ML20126H212
| ML20126H212 | |
| Person / Time | |
|---|---|
| Issue date: | 02/08/1984 |
| From: | Fox E NRC OFFICE OF INSPECTION & ENFORCEMENT (IE) |
| To: | NRC |
| Shared Package | |
| ML20126H018 | List: |
| References | |
| FOIA-84-601 NUDOCS 8506180283 | |
| Download: ML20126H212 (26) | |
Text
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.dd MEMORANDUM FOR: ATS Coordinators FROM:
Edwin F. Fox, Jr., ATS Coordinator Program Support and Analysis Staff Office of Inspection and Enforcement
SUBJECT:
DRAFT NRC MANUAL CHAPTER 0517: " MANAGEMENT ALLEGATIONS" Enclosed for your review is the rough draft of the new NRC Manual Chapter 0517 " Management of Allegations."
I have collated, synthesized and " hammered" this manual chapter together from various sources; not with standing ED0 Policy Letters, Office and Regional Allegation Procedures as well as discussions with some of you over the phone and in person.
Please conduct your review with that in mind, mark up your copy as appropriate and if agreeable I propose we meet in the ET Room, 3rd floor E/W-West, Bethesda, Md. on February 21st at 9:00 a.m. to discuss changes, modifications or issues. Let me know if the date/ time is agreeable to you as soon as possible.
I fully intend for this meeting to be a working group one and if you have no major concerns or issues to raise or do not need to interact in the development of this manual chapter, you do not have to attend.
If you do not wish to or can not attend and do have coments, you may either phone them in or send your marked up) copy of the MC to me (E/W-West 359 or telephone me on extension 49-249059.
I do not know how long it will take us to go through the MC but my intent is to continue the meeting until we have a final draft prepared (not typed) which will be acceptable at the Allegation Tracking System coordinator and the Regional /0ffice levels. Our target is to have a final draft, typed and out for formal office coments and/or concurrence by February 29, 1984.
Additionally, I have enclosed an up-to-date listing of ATS Coordinators with their current telephone numbers.
If you have any anges to this list please let me know as soon as possible.
in Jr., ATS Coordinators ram Support and Analysis Staff Office of Inspection and Enforcement cc:
W. Haass, IE J. L. Blaha, IE E. A. Greher, IE i
0506180283 850419 PDR FOIA ADATOB4-601 PDR i
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U.S. NUCLEAR REGULATORY COMMISSION NRC MANUAL Volume:
0000 General Administration Part :
0500 Health and Safety IE CHAPTER 0517 MANAGEMENT OF ALLEGATIONS 0517-01 COVERAGE This chapter and its appendices define the policy and procedures for the proper processing, control and disposition of allegations concerning NRC-regulated activities received by NRC of fices except the Office of Investi-gations and the policy and procedures with regards to dealing with those who provide information to the NRC.
0517-02 OBJECTIVES 021 To establish policy for the control, processing and disposition of allegations and to define procedures by which the receipt, status and disposition of allegations are tracked.
Thereby assuring:
a.
that all allegations are assessed by cognizant technical staff regarding their safety significance so that they can be priori-tized and resolved in a timely manner; b.
that timely information on all allegations is maintained and made available to NRC Offices which have a need to know this informa-tion; c.
that ultimately all allegations are processed in accordance with these procedures and that the resolution of all allegations is properly documented; 022 To assure that persons who bring irregularities and deficiencies in safety performance to the NRC's attention are dealt with pro-perly and issues raised are correctly treated; and that when requested or inferred their confidentiality is maintained when possible.
BRAFT Approved:
N 1
DR NRC-0517-031 MANAGEMENT OF ALLEGATIONS 0517-03 RESPONSIBILITIES AND AUTHORITIES 031 Executive Director for Operations Sets policy and procedures for the control tracking and disposi-tion of allegations and establishes policy with regards to dealing with those who provide information to the NRC.
032 Director, Office of Investigations Responsible for investigating significant allegations of wrong-doing by other than NRC employees and contractors.
033 Director, Office of Inspection and Enforcement a.
Responsible for establishing agency-wide policy and procedures regarding the processing of allegations exclusive of those which fall under the purview of the Office of Investigations or Office of Inspector and Auditor.
b.
Responsible for the Allegation Management Information System (AMS) and any necessary improvements to modify its capabilities.
c.
Responsible for resolving those allegations which fall under the purview of the Office of Inspection and Enforcement (IE) and for ensuring that all allegations for which it is the action office are entered into the AMS.
d.
Responsible for designating an Office Allegation Coordinator.
034 Director, Office of Nuclear Reactor Regulation a.
Responsible for reviewing allegations for potential board notification and for making notification if required.
b.
Responsible for reviewing and monitoring allegations for impact on licensing decisions in coordination with IE and the Region (s).
c.
Responsible for determining the safety significance of allega-tions on a specific plant or licensee.
d.
Responsible for resolving those allegations which fall under the i
purview of NRR and for ensuring that all allegations for which it is the action office are entered into the AMS.
035 Director, Office of Nuclear Material Safety and Safeguards a.
Responsible for reviewing allegations on HMSS licensees for potential board notification.
b.
Responsible for reviewing and monitoring allegations for impact on licensing decisions in coordination with IE and the Region (s).
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MANAGEMENT OF ALLEGATIONS NRC 0517-035c c.
Responsible for reviewing and determining the safety significance of allegations on a specific facility or license.
d.
Responsible for resolving those allegations which fall under the purview of NMSS and for ensuring that all allegatiens for which it is the action office are entered into the AMS.
036 Regional Administrators a.
Responsible for evaluating the safety significance of allegations which concern NRC licensees within their respective regions and for entering them in the AMS.
b.
Review all allegations for potential board notification and recommend board notification to NRR.
c.
Establish procedures for the internal processing of allegations.
d.
Schedul? inspections of pending allegations with an objective of resolving them prior to date of licensing.
e.
Refers all allegations dealing with wrong doing to the Office of Investigations.
037 All Office Directors a.
Responsible for establishing internal procedures so that all employees are aware of requirements and procedures for recording and handling allegations, b.
Appoint an Office Allegation Coordinator (OAC) who serves as point of contact for employees and other offices.
0517-04 DEFINITIONS 041 Action Office The NRC office which is responsible for reviewing and taking action, as appropriate, to resolve an allegation.
042 Allegation A positive statement of fact, tne validity of which has not been proven.
An allegation may be a general statement such as " periodic tests being falsified," or a specific statement such as " field weld number AFXW-392 was not performed by a quali-fied welder and by welding procedure W-152 b.!cause the wrong type of welding was used."
However it need not be asserted verbally by an alleger and includes all safety concerns identified by individuals or organizations outside the NRC, such as technical audit efforts from Federal, state or local government offices regarding contractors at a licensee's site.
043 Alleger An individual who provides information to the NRC about inadequacies or improprieties (an allegation). 4 /he individual h4 av &f )
b L
3 Approved:
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NRC-0517-043 MANAGEMENT OF ALLEGATIONS may be a concerned private citizen, a licensee or contractor employee, a representative of a local, state, or Federal agency, or an NRC employee.
044 Control A formal process utilizing control numbers whereby each allegation is identified by number in the chronological order it is received and, by which number the allegation is tracked through final closeout.
Control also includes management actions necessary to ensure the allegation is resolved and the measures necessary to ensure the protection of the alleger's identity.
(see Appen11x 2 for numbering allegations) 045 Confidentiality The term " confidentiality" refers to the pro-tection of data which directly, or otherwise, could identify an alleger by name.
It is not intended to deny staff members access to the identity of the alleger when such identification is required by staf f members to evaluate and resolve allegations.
046 Inspection As used in this manual chapicr, routine or special regional activity specially designed to examine and subsequently resolve allegations.
Response or reaction to an allegation is a reactive inspection.
047 Investigation Formal activities conducted by the Office of Investigations at the request of the Commission, EDO, Regional Administrators, with or without technical assistance.
The Office of Investigations is the lead action office for all investiga-tions (see section 052).
048 Office Allegation Coordinator (OAC) A designated staff member in each office who serves as point of contact for that office regard-ing the disposition of allegations.
049 Screening A process involving prompt review by the OAC or an allegation review panel of facts associated with an allegation, and considering other factors such as time sensitivity, impor-tance to safety, plant status, and timing, technical expertise required, and where to assign responsibility for further action.
0517-05 BASIC REQUIREMENTS 051 Applicability The provisions of this chapter and appendices are applicable to, and shall be followed by all NRC employees, except those assigned to the Office of Investigt.tions.
052 Allegations of Wrongdoing Allegations of this nature as opposed to those involving technical issues fall within the purview of the Office of Investigations.
Although OI coes not fall under the purview these procedures, OI personnel will forward alle-gations of a technical issue to the appropriate Office or Region for action; OI conducts investigations regarding allegations of wrongdoing at NRC-regulated facilities.
The Office or Region will enter these type of allegations into the AMS using Approved:
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MANAGEMENT OF ALLEGATIONS F
NRC 0517-052 information provided by OI (see Appendix 1 of this manual chapter).
Allegations of wrongdoing received in the region will be coordinated with the OI representative in the region and those received by Offices at NRC fieadquarters will be coordinated with OI Headquarters.
053 Reporting Requirements Allegations submitted by any source con-cerning NRC-regulated activities should be transmitted to the appropriate OAC for processing / handling / control.
054 Confidentiality Identity of sources will not be voluntarily exposed by the NRC unless it is clear that the individual con-cerned has no objection.
As a general rule the "need to know principal" should be used when dealing with the protection of a person's identity.
It must be made clear to all concerned if and on what terms the anonymity of a person making an allegation is to be protected.
In every case, the individual shall be asked if anonymity is desired.
A clear record should be maintained for the files to preclude later misunderstandings.
A confidentiality agreement (Exhibit 1) should be executed with the individual, if necessary, and when possible.
Authority to sign for NRC is the Office Director or Regional Administrator.
If at any time for any reason, confidentiality is breached or jeopardized, office or regional management should be informed and the person should be advised, the reason explained and remedial measures taken, if possible.
055 Responding to Allegers Those who provide allegations to NRC staff must be treated with respect, consideration and tact.
j Under no circumstances should they be dealt with brusquely or,
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under an atmosphere of interrogation.
When allegations are ry received in writing, a prompt attempt to make personal contact
?
9 must ordinarily be made in each case Contact, when made, should -
be earnest and professional. 6fthout exceptiiinnThe individual p*
making the allegation should be promptly aTvised of the results of inspection follow-up action so that they are aware that their
/
problems were addressed; X If for some reason there is unusual
,,,MU delay in providing the results, the person should be advised so e'
that they do not feel their allegations are being ignored.
056 Allegations are to be Taken feriously Allegations should be screened for importance and the more serious addressed first.
Serious or not, allegations should be addressed as promptly as resources will allow.
Follow up on allegations, whether they are general or specific, should focus not only on the specific alle-gation but on the overall area of concern, including the poten-tial for generic implications.
When a number of allegations point to or reinforce indications of a broader problem, it is appropriate to assume that such a problem may exist.
Prompt action to broaden the scope of our inquiry should then be taken to determine whether or not such is t
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NRC-0517-056 MANAGEMENT OF ALLEGATIONS the case.
While the safety significance of an allegation is an important factor in determining the extent and promptness of staff resources commitment, it should not affect the staff treat-ment of the person making the allegation as given in section 055, above.
057 Timeliness of Resolving Allegations The action office should attempt to resolve all allegations within ninety (90) days.
Follow up of allegations should be professional in scope and depth.
If it is appropriate, an inspection should be made.
A plant visit with the person making the allegation should be made if necessary to find the exact location of a problem and if the individual is willing to make such a visit.
Access issues should be addressed on a case-by-case basis.
Travel costs for the individual can be offered, if necessary. Care should be taken to avoid embarrassment or abuse of the individual, e.g., visit can be scheduled for an off-shif t/ weekend, licensee accompaniment prohibited, etc.
058 Licensee Involvement Licensees should be encouraged to take allegations seriously.
Programs such as interviews of all employees who terminate should be encouraged.
Such programs should be monitored by NRC.
Licensee action does not relieve the 'NRC of its responsibilities to respond to allegations. It should be advantageous under some circumstances to have the licensee address the validity of allegations to the NRC.
If so, confidentiality must not be breached.
Licensees can be asked to address the validity of allegations only if in so doing the person making the allegation is not exposed.
One vehicle for accomplishing this is a 50.54(f) letter.
The person making the allegation must be informed that this is not handing the issue over to the licensee, but that NRC will review the licensee's report.
Such a review should, of course, not be preemptive.
059 Appendix 1 This appendix provides procedures for processing of allegations received by Offices or Regions.
0510 Appendix 2 This appendix defines the procedures and guidelines used to record the receipt status and disposition of allegations in the allegation management system.
Approved:
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CONFIDENTIALLY AGREEMENT I have information that I wish to provide in confidence to the U.S. Nuclear Regulatory Commission (NRC).
I request an express pledge of confiden-tiality as a condition of providing this information to the NRC.
I will not provide this information voluntarily to the NRC without such confiden-tiality being extended to me.
It is my understanding, consistent with its legal obligations, the NRC, by agreeing to this confidentiality, will adhere to the following conditions:
(1) The NRC will not identify me by name or personal identifier in any NRC initiated document, conversation, or communication released to the public which relates directly to the information provided by me.
I under-stand the term "public release" to encompass any distribution outside of the NRC with the exception of other public agencies which may require this information in furtherance of their responsibilities under law or public trust.
(2) The NRC will disclose my identity within the NRC only to the extent required for the conduct of NRC-related activities.
(3) During the course of the inquiry or investigation the NRC will also make every effort consistent with the investigative needs of the Commission to avoid actions which would clearly be expected to result in the disclo-sure of my identity to persons subsequently contacted by the NRC.
At a later stage I understand that even though the NRC will make every reason-able effort to protect my identity, my identification could be compelled by orders or subpoenas issued by courts of law, hearing boards, or similar legal entities.
In such cases, the basis for granting this promise of con-fidentiality and any other relevant facts will be communicated to the authority ordering the disclosure in an effort to maintain my confiden-tiality.
If this effort proves unsuccessful, a representative of the NRC will attempt to inform me of any such action before disclosing my identity.
I also understand that the NRC will consider me to have. waived my right to confidentiality if I take any action that may be reasonably expected to disclose my identity.
I further understand that the NRC will consider me to have waived my rights to confidentiality if I provide (or have pre-
)
viously provided)rovided to the NRC or if circumstances indicate that I am information to any other party that contradicts the infor-mation that Ip intentionally providing false information to the NRC.
Other Conditions:
(if any)
I have read and fully understand the contents of this agreement..
I agree with its provisions.
Date Name:
Address:
Agreed to on behalf of the U.S. Nuclear Regulatory Commission.
Date Signature J
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MANAGEMENT OF ALLEGATIONS RJ NRC 0517, APPENDIX 1 PROCEDURES FOR SCREENING, ASSESSING AND CONTROLLING ALLEGATIONS Part I:
General These procedures establish guidance for screening, assessing, and con-trolling allegations that come to the attention of the NRC staff.
This function is to be established within each regional / staff office under the control of an individual office allegation coordinator (OAC) or-a panel of investigation / allegation coordinators (IACs).
This individual (s) is to be highly experienced and possess a good working knowledge of matters relating to processing a broad spectrum of allegations.
The Regions and Offices will establish procedures and where appropriate provide the required training to ensure that their staff is fully informed regarding the proper management of allegations.
Allegations, complaints and concerns (all referred to here as allegations) pertaining to NRC-licensed facilities and activities may come to the atten-tion of the NRC staff by telephone, letter, news media reports or by direct verbal contact at sites, in offices, at meetings and even at social func-tions.
It is imperative that allegations be recognized as such by staff members, and processed professionally, promptly, with consistent treatment.
Any employee who receives an allegation must be aware that it is essential to protect the identity cf the individual making an allegation if they request it or infer it by their actions.
To this end, coordination with the appropriate office or r1gion investigation / allegation coordinator must comply with the principle of " confidentiality," which is discussed separately.
It is very important to note that where safety is involved, the NRC does not recognize the term "off the record."
Individuals who wish to provide off the record information must be clearly advised that safety-related information cannot be treated off the record, but that the information will be accepted officially and acted upon as necessary.
The name of the alleger will be protected, however, if requested under the rules of con-fidentiality.
Commission employees, particularly resident and regional inspectors, regional supervisors, and investigation / allegation coordinators who are expected to receive the majority of allegations, should become fully familiar with the prescribed policies and procedures to ensure that the required actions are performed.
It is the responsiblity of employees who receive allegations to take what-ever steps are necessary to ensure that an appropriate investigation /
allegation coordinator is promptly informed. Whenever possible, the person making the allegation should be referred to the OAC, or, arrangements should be made for the OAC to get back to the individual.
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MAFT i
Al-1 Approved:
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NRC 0517, APPENDIX 1 MANAGEMENT OF ALLEGATIONS Part II: The Office Allegation Coordinator (OAC) 1.
The OAC serves as a focal point for administrative processing and con-trol of all allegations received in the Region and Offices.
The OAC is responsible for tracking allegations from initial receipt to final resolution.
The OAC establishes and maintains as required files that clearly identify allegations, received by the Regions or Offices, snd documents actions initiated to resolve such matters.
The OAC ensures that management and cognizant staff are informed of allegations, kept current on the status of allegations in the Allegation Management System, and briefed on proposed final resolution of allegations.
The OAC also ensures that the final resolution is properly documented and promulgated through appropriate means (PDR, AMS, etc.).
2.
The OAC assists technical staff members who are reviewing allegation information, primarily in the form of coord.nating activities neces-sary to resolve issues.
In addition, the OAC may assist in the formulation of a course of action to resolve issues.
3.
A panel, consisting of two or more investigation / allegation coordin-ators, can be designated having the primary responsibility to ensure that all allegations are properly documented, screened, controlled, and expeditiously processed.
Part III:
Receipt of an Allegation 1.
Allegations Received by Telephone or Personal Visit Any NRC employee who receives a telephone call from someone who wishes to make an allegation should have the caller transferred to the OAC.
Likewise, if an individual appears in person at an NRC Office, the individual should be referred to the OAC.
Technical employees, when unable to refer the telephone call or the visitor to the OAC, shall obtain as much information as possible from the individual (see paragraph 3, below).
When unable to locate the OAC, administrative employees should refer the individual to a technical staff supervisor.
2.
Allegations Received by Mail Personnel responsible for opening and screening mail will forward cor-respondence that appears to contain an allegation to the OAC.
Both letters and envelopes will be forwarded and no copies should be made.
An employee who receives direct correspondence, including internal NRC memoranda, that contains allegations shall forward the correspondence to the OAC. These personnel should also be made aware of the require-ment to properly mark correspondence containing confidential source information.
(NRC MC 2101, Part XVI) 3.
Discussions with Alleger Any employee receiving a telephone call or visit as discussed in para-graph 1, above, shall attempt to obtain as much information as pos-sible from the individual.
Acquiring the following information is crucial:
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MANAGEMENT OF ALLEGATIONS NRC 0517, APPENDIX 1 9
a.
full name b.
complete mailing address c.
telephone number where the individual may be contacted d.
position or relationship to facility or activity involved e.
nature of allegation If the individual declines to provide the above information, attempt to establish the reason (s) using the following guidance:
If the individual is concerned about protecting his identity, inform the individual that if he so requests, his identity will be kept con-fidential.
Explain further, if necessary, that Public Law 95-601 pro-hibits an employer from discriminating against an employee for con-tacting the NRC.
Unless the identity of the caller is learned, it would not be possible to provide the protection afforded by Public Law 95-601.
The individual may be informed that the NRC employee with whom he is in contact does not have the capability to evaluate the information to determine followup action or to establish NRC jurisdiction; there-fore, it may be necessary that someone else contact the individual for additional information.
The individual should be informed also, that it is NRC policy to send a letter to the individual, at an address he designates, documenting the NRC understanding of his allegations or concerns.
This will per-mit the alleger to review the information and inform the NRC if his information has been incorrectly interpreted.
The individual will be advised of this policy and unless he objects, a letter will be pre-pared and forwarded in accordance with established procedures.
If the individual persists in not identifying himself after the above explanations, document the allegation in as much detail as possible and advise the individual that he may contact the OAC in thirty days, for information on the status of any actions being taken on the infor-mation supplied.
Part IV: Action by the Office Allegation Coordinator (0AC) 1.
Upon receipt of an allegation, the OAC will complete an NRC Form 307, Allegation Data Form, and forward a copy of the completed form to NRC headquarters, IE and NMSS or NRR OAC depending on the issue.
The NRC Form 307 serves as notification to NMSS and NRR that an allegation has been received and is being entered in the AMS in accordance with Appendix 2 of this manual chapter.
An " audit trail" - to include personal interview records -should be established so that NRC actions can be properly justified if necessary.
All allegation should be entered in the allegation management system.
I )
The OAC will ensure that an acknowledgement letter is prepared and S-2 M g p "y "
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forwarded to the alleger, restating the individual's allegation and advising the individual of actions being taken.
Depending on the t p ()
nature of an allegation, the OAC will provide copies of the allegation if
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NRC 0517, APPENDIX 1 Ml AN MANAGEMENT OF ALLEGATIONS vi ni i documentation and the letter sent to the alleger (with the alleger's identity concealed) to the cognizant technical staff supervisor for p
evaluction and initiation of action.
Such copies will also be for-f 4,.
warded to the cognizant Office of Investigations Field Office or f r $ p) Headquarters for information.
g'jrrh c
When responsibility for the handling of e {y q an allegation is transferred from one organizational unit to another, c
e the person making the allegation should be notified by the individual who is relieved as contact in order to assure continuity.
A single point of contact should be the rule.
The OAC will follow up on the allegation with the cognizant technical staff supervisor at periodic intervals until the matter has been satisfactorily resolved.
Then the case will be considered closed and an entry made to that effect in the Allegation Management System.
3.
The OAC will coordinate allegation information with the technical staff and may assist in determining whether the information is suf fi-cient to identify the issues.
If the information is determined to be sufficient, the OAC will assist in further contact with the alleger.
A single point of contact with an alleger provides a means of better control of communications, aids in the developing rapport, estab-lishes continuity in the flow of information between the regional offices and the NRC, and aids in protecting of the alleger's identity.
4.
The OAC assists the cognizant technical staff in identifying and separating the issues involved in allegations into one of the follow-ing categories.
a.
Allegations that are purely technical, such as inadequacies in procedures, qualifications, or training; inadequate implementa-tion of procedures; inadequate corrective actions; and radiation overexpostres.
b.
Allegations -that involve wrongdoing; record falsification; willful or deliberate violations; material false statements; or other improper conduct.
Allegations that involve matters outside the jurisdiction of NRC.
c.
5.
It should be recognized that technical issues involving failure to meet requirements have the potential for being willful or deliberate violations.
However, in the absence of specific allegations of will-fulness or deliberateness, such issues will normally be tracked separ-ately as technical issues and resolved using inspection program resources.
If an allegation covers issues that affect other Regional or Headquarters Offices, followup activities will be coordinated with the affected offices and a lead office will be designated. The OAC will contact the affected offices and will in most cases agree mu-tually as to which office or region should have the lead.
If it can not be agreed upon at the OAC level then the Regional or Office Directors will resolve which office or region should take the lead.
6.
-Allegations dealing with 4b above, should be referred to OI Field or HQ Personnel.
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l MANAGEMENT OF ALLEGATIONS IM kb NRC 0517, APPENDIX 1 Unnti 7.
Information regarding suspected improper conduct by NRC employees will be brought to the attention of appropriate management for possible referral to the Office of Inspector and Auditor (OIA).
8.
When applicable and after coordination, the OAC is responsible for notifying other agencies such as the Occupational Safety and Health Administration, and the Department of Labor in dealing with allega-tions in category 4c, above.
Notification of other federal law enforcement agencies of possible criminality or nationally significant information contained in allegations should be coordinated first with the appropriate Office of Investigations Field Office and the Office of Inspector and Auditor.
Part V:
Documenting Allegations 1.
In order to ensure proper screening and evaluation, as much informa-tion as possible should be documented about each allegation.
In addi-tion to obtaining basic information, attempts should be made to expand and clarify the information so that the issue is relatively well de-fined.
All allegations, regardless of source or how received, must be documented, screened, and evaluated.
2.
There will be occasions when the allegations obviously have no sub-stance and appear to represent a distortion of facts.
However, even in these cases, documentation is necessary that identifies the con-tact; the general content of any communications; and the basis for a conclusion that the matter need not be pursued.
Instances such as these will be coordinated with the appropriate technical staff by the OAC to ensure proper disposition.
3.
The importance of obtaining and documenting all possible details about an allegation can not be overemphasized and is required to screen and evaluate the allegation. Screening and evaluation of the allegation as well as the proposed course of action that will be initiated to resolve the issue, will be based primarily on this information.
In some cases, the information may be so substantial, technical, or indicative of possible @,fngdoing, that a personal interview with the alleger is warranted.
In these cases, the OAC will consult with NRC management to determine the best way to obtain the details required.
Depending on the nature of the allegation and the time sensitivity, assistance from the Office of Investigations (01) or other resources may be requested.
If 01 assistance is appropriate, a formal request for an OI investigation will be made.
4.
As soon as possible after receiving an allegation or becoming aware of information that indicates inadequate or improper activities, the OAC shall be notified. No actions will be taken to verify the validity of the allegations or concerns, nor shall such matters be discussed with licensees until after the OAC has briefed appropriate NRC management.
5.
Technical employees and supervisors who receive allegations in the absence of the OAC, shall prepare an allegation form and forward it to the OAC.
Preparation of an allegation form shall be accomplished within two working days following receipt of the information.
The Al-5 Approved:
NRC 0517, APPENDIX 1 MANAGEMENT OF ALLEGATIONS I
allegation report may be typed or legibly written, in original copy f.
only.
No copies of the allegation form shall be made.
The person who prepares the allegation form is prohibited from retaining copies.
This will provide an extra measure of protection to both the alleger and the individual against whom the allegation is being made.
The OAC may copy and distribute an allegation report if required, once the s
identity of the alleger has been removed from the document.
However control of even these copies is required.
6.
The OAC is responsible for reviewing all information received in con-junction with an allegation and ensuring that management and cognizant technical staff members are fully informed.
7.
Allegations normally should not be addressed in Preliminary Notifica-tions (PNs) or Daily Reports (DRs); however, if it is determined that PN or DR entries are appropriate, the approval of Office Director or Regional Administrator.
Part VI:
Evaluation by Cognizant Technical Staff 1.
Upon receipt of an allegation package from OAC, the cognizant tech-nical staff will review the documentation to determine if there is an immediate safety concern which must be quickly addressed and propose a course of action to resolve the issue (s).
The cognizant technical staff is responsible for develcpment, initiation, and follow-through on corrective actions.
There are several areas to be considered by the cognizant technical staff during review of the allegation, such as:
a.
Is there an immediate safety concern which rcast be quickly addressed?
b.
Determine whether the allegation package contains sufficient information for a thorough evaluation.
If it does not, identify the additional information that is needed.
c.
Determine if the allegation can be examined and resolved during a routine, scheduled inspection.
If this is not possible, deter-mine the best way to address the issues.
d.
Determine whether the identity of the alleger is necessary for a thorough evaluation.
Determine what specific issues are involved in the allegation and e.
whether the issued can be adequately addressed by a technical inspection.
f.
Determine whether the allegation has the potential to require escalated enforcement action.
g.
Determine the time sensitivity of the allegation, and what immed-iate actions are necessary.
h.
Determine whether investigative assistance will be needed.
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MANAGEMENT OF ALLEGATIONS MAN NaC 0517, APPENDIX 1 URMII 1.
Identify peripheral issues that could develop.
j.
Consider if any licensing actions are pending which could be impacted by the allegation.
k.
Determine if all other NRC offices who may have an interest have been notified.
2.
It is the responsibility of the cognizant technical staff to resolve each allegation that falls under its jurisdiction, and subsequently, to notify the OAC of the action taken so that the status of each alle-gation can be tracked.
Final resolution of an allegation shall be documented and placed in a case file along with all supporting docu-mentation.
The final report should set forth the facts clearly, dis-positively, and in a style that does not belittle or disparage the person who brought a safety matter to our attention.
3.
Within thirty days of the receipt of an allegation the action office will make a preliminary determination of the safety significance of the item and the need for regulatory action.
(Similar to the review of Section 2.206 petitions.)
4.
A schedule for the resolution of each allegation which is consistent with the licensing schedule will be established.
5.
An early determination of whether to recommend board notification to NRR or NMSS or not will be accomplished.
6.
Notify 0AC when status changes or action (s) is complete.
DRAFT Al-7 Approved:
MANAGEMENT OF ALLEGATIONS Nlf NRC 0517, APPENDIX 2 umi NRC ALLEGATION MANAGEMENT SYSTEM (AMS)
PART I:
PURPOSE This Appendix prescribes the procedures and responsibilities for the NRC Allegation Management System (AMS) which is to track the receipt, disposi-tion, and status of allegations involving NRC licensees or NRC-licensed activities and to provide periodic status reports on allegations to NRC management.
PART II:
OBJECTIVES The objectives of the allegation management system are:
1.
To provide a record which demonstrates that allegations are reviewed, acted upon as appropriate, and receive proper NRC management atten-tion.
2.
To provide periodic reports to management on the status of allegations and to alert management of allegations that may have an effect on pending major actions such as licensing decisions or escalated enforcement.
PART III:
DEFINITIONS 1.
Action Office Contact.
The staf f member in the Action Office who is assigned the responsibility for the action to be taken on an allega-tion.
2.
Office Allegation Coordinator (OAC).
A designated staff member in each office who serves as the principal point of contact for that office regarding the disposition of allegations.
3.
Receiving Office.
The office which initially receives an allegation.
In some cases, the Action Office and Receiving Office will be the same if the allegation falls within the functional responsibility of the Receiving Office.
PART IV:
RESPONSIBILITIES 1.
Each Office Director / Regional Administrator.
The basic requirements of this procedure for implementation and maintenance of the NRC Allegation Mangement System (AMS) shall be followed by each office and region.
Each Office Director and Regional Administrator shall:
Develop internal procedures to implement the information system.
a.
b.
Designate a staff member to serve as Office Allegation Coor-dinator and point of contact for matters involving the manage-ment system.
c.
Provide accurate and timel information as required for input and/or updates to the manage A2-1 Approved:
NRC 0517, APPENDIX 2 i v=T MANAGEMENT OF ALLEGATIONS
~
e.
Prior to major action suc1 as licensing decisions or escalated enforcement, check on the status of allegations reported in the management system.
2.
Office Allegation Coordinator (OAC).
Each 0AC will:
Serve as office point of contact for matters involving the NRC a.
Allegation Management System.
b.
Ensure completion of the appropriate parts of the Allegation Data Form for all allegations received within the office and that the requested data is accurate and timely.
Determine the appropriate Action Office and coordinate with the c.
Action Office Coordinator on each allegation received bu the office.
d.
Complete the appropriate parts of the Allegation Data Form for all allegations for which the office is the Action Office.
Forward the Allegation Data Form to the respective Action Office e.
Allegation Coordinator (0AC) when the office is not the Action Office.
f.
Forward the completed Allegation Data Form to IE OAC and the responsible Licensing Office (NRR or NMSS) OAC within 10 work-ing days of receipt of an allegation when the office is the Action Office.
During the period from thirty days prior to the Construction completion date until the Commission meeting on full power authorization, the Receiving Office or Action Office for any new allegation will, within two working days, telephoni-cally noti fy the NRR Project Manager of its receipt and the identification of the Action Office.
g.
Acquire input and updates on allegations from the staff within the office and provide this information as input to the system on a periodic basis.
3.
Office of Inspection and Enforcement (IE).
IE is responsible for man-aging the AMS and ensuring that monthly status reports are provided to each office.
4.
Office of Resource Management (ORM).
ORM is responsible for:
Establishing the ADP program and maintenance of the data base, a.
which stores the information concerning allegations.
b.
Providing periodic monthly reports to IE OAC (Exhibits 1 and 2).
Providing other information as required.
c.
Approved:
A2-2
MANAGEMENT OF ALLEGATIONS NRC 0517, APPENDIX 2 I gE PART V:
IREMENTS 1.
General For purposes of the Allegation Management System the definition a.
provided for an allegation is very general and broad.
The significance or nonsignificance of an allegation will be judged during the Action Office review and followup of the allegation.
There is to be no screening of allegations prior to entering them into the system (except of course for duplication of entries).
The management system should provide a vehicle for collecting all allegations.
The Action Office determines the necessary action to be taken based upon the specifics of the case.
Some allegations may be received and closed out the same day.
b.
The management system provides basic descriptive and status information and serves as a referral system.
It identifies the of fice and staff to contact for more specifics on an allegation.
Additionally it keeps the staff abreast as to the resolution of spec.fic allegations and how the allegation was resolved with reference to the close out documentation, if any.
When an allegation is received, it is not necessary to identify c.
by separate entry into the management system every component or subset of the allegation.
For example, if an allegation is received that makes 15 separate assertions of wrong-doing, the allegation may be entered as one allegation with a brief general description of the types of assertions.
In some cases there may be a distinct grouping of assertions, for example, in two areas such as training and quality assurance.
In such a case it may be appropriate to enter two allegations.
A main objective is to ensure that the receipt of an allegation is entered and tracked in the system.
An allegation is not completed and closed until Action Office supervisor determines that appropriate action an has been taken.
d.
Sensitive information such as the names of persons making allega-tions or about whom allegations are made shall not be entered in the system.
All information entered on the form shall be unclas-sified and shall not contain any safeguards information or any proprietary or commercial (2.790) information.
Some allegations may require action by two or more offices.
For e.
purposes of entering the allegation into the management sytem, either separate entries should be made for each Action Office for their assigned action or one entry may be made with the involved Action Office Coordinators agreeing on the lead Action Office for followup of the allegation.
If - another office is involved in responding to an allegation, it should be so indicated in the
" remarks" section.
2.
Interaction with the Office of Investications i
a.
The Office of Investigations will continue to investigate all allegations of wrongdoing and will forward all allegations of a i
A2-3 Approved:
NRC.0517, APPENDIX 2 MANAGEMENT OF ALLEGATIONS I
technical issue to th r ate Office or Region.
T_he_Of fice or Recion will be responsible for enterina_ all allegatioDS-even those unde r_the_ purview of 0.I--into the allegation management 0, b, a system using a Region or Of fice Allegation Management Number.
b.
For those allegations of wrongdoing received by the Region or Office (1) The Region or Office OAC will coordinate with the OI Field Representative or 01 Headquarters Representative to deter-mine if sensitive information is included which should not be placed into the AMS.
All sensitive information is to be deleted and words " sensitive" put in its place (2) The Region OAC will assign a Region AMS number.
(3) The name and phone number of the OI Field representative or 01 Headquarters representative will be placed in the appro-priate sections of the form as the Action Office contact.
(4) The OI Field representative will keep the Region or Office OAC apprised of the status of the allegation investigation and provide information necessary to determine the safety significance of the allegation to appropriate Regional or Office management.
n W, e"fb ' (5)
,t The allegation will be considered closed when the investiga-W ) p*g tion report has been issued %:nd -es kng es no technical h ^p issues remain.1l If technical issues remain, the allegation remains open, reference is made to to OI investigation report 8'
D and a schedule for resolution of the allegation is placed in the remarks portion of the allegation data form.
For allegations of wrongdoing received by 01, the OI Headquarters c.
or Field Regresentative will coordinate with the respective Office or Region 0/ C to complete the items 2.b(1) thru (5), above.
d.
The allegations of a technical nature received by 01, the OI Head-quarters or Field Representative will contact the respective office or region and follow the procedures as indicated in item 3 below, for the receiving office.
3.
Receiving Office Upon receipt of an allegation involving an NRC-regulated activity 0AC of the Receiving Office should:
Complete the appropriate parts of the Allegation Data Form (NRC a.
Form 307).
Exhibit 3 is the Allegation Data Form and specific instructions for completion of the form are contained on the reverse side.
DRMI Approved:
A2-4
MANAGEMENT OF ALLEGATIONS NRC 0517, APPENDIX 2 appropria b [ction Office, coordinate with the b.
Determine the Action Office, and receive concurrence from the Action Office before transfer of responsibility.
c.
Forward the Allegation Data Form to the Action Office if dif-ferent than the Receiving Office.
The Office Allegation Coordinator is responsible for ensuring that these actions are completed.
3.
Action Office.
Action Offices for allegations will:
Complete that portion of the Allegation Data Form marked " Action a.
Of fice," assign an allegation number to it, and forward a copy of the form to the IE and the NRR or NMSS OAC, as applicable, within 10 working days of the date of receipt of the allegation.
b.
Provide updates to IE 0AC on a monthly basis by indicating updates on the previous month's status report.
Updates are due to IE by the 25th of each month.
All input to IE for the infor-mation system should be sent in " addressee only" envelopes to,
" Allegation Management System, Program Support and Analysis Staff (E/W-W 359).
Completion of the followup action for an allegation will be recorded by updating the monthly status report.
Name and telephone of Office Regional Allegation Coordinators will be indicated at the top of the update sheets; any changes in the de-signation of 0ACs will be made here.
Within 30 days of receipt of an allegation, make and document a c.
preliminary determination of safety significance and the need for any regulatory action (similar to the approach to the review of 62.206 petitions).
d.
Schedule the resolution of each allgation (to be consistent with the licensing schedule and the safety significance of the alle-gation).
e.
Recommend Board Notifications to NRR; if the initial board notification is preliminary in nature, a followup notification is sent to boards when evaluation is completed, or whenever signi-ficant relevant information is identified during the course of evaluating the allegation, f.
Develop 'and maintain case files for each allegation, which will
{
include documentation of all preliminary and final resolutions.
g.
Provide status information to IE OAC for the AMS regarding items c-f, above.
h.
Thirty days prior to the construction completion date (appli-cant's esitmate) for each pending OL, each Action Office will forward to the Division of Licensing, NRR an evaluation of the safety significance of all allegations not scheduled to be A2-5 Approved:
NRC 0517, APPENDIX 2 nP, kN MANAGEMENT OF ALLEGATIONS hhh resolved before the construction completion date, with a recom-i I
mendation as to whether any or all of them constitute grounds fo
{
delaying issuance of (or otherwise restricting) an operating license.
l Thirty days prior to a Commission decision on authorizing full-
{
i power operation, a report similar to item g, above will be prepared.
3 I
j.
Ensure protection of the identity of all allegers when confiden-tiality is requested or inferred by their actions.
f l
The Office Allegation Coordinator is responsible for ensuring that these actions are completed.
4.
IE OAC Upon receipt of an Allegation Data Form and updates, IE OAC will a.
transmit the information to the Office of Resource Management (ORM) for input into the management system.*
b.
IE will monitor and ensure that monthly status reports are provided during the first week of each month.
The monthly report will include all new allegations and all updates provided into the system as of the 25th of the previous month.
The format for the status report is provided by Exhibit 4.
- Part of the long-term development of the AMS is to look at the feasibi-lity of placing terminals in selected offices in each Region for the capa-bility of direct input and update of allegations.
Approved:
A2-6
R-1246130 RUN DATE:
02/01/84 ALLEGA T IOH TRACK IHG SYSTEM STATISTICAL
SUMMARY
JANUARY 1984 TOTAL TOTAL ALLEGATIONS ALLEGATIONS ALLEGATIONS OPEH HUMBER OF HUMBER OF RECEIVED CLOSED Ol' EN ALLEGATIONS ALLEGATIONS ALLEGATIONS DURING DURING AS OF THE FHD 90 DAYS OLD IN THE SYSTEM CLOSED OFFICE THE MONTH THE MONTil OF Tite MONTH OR OLDER (CUMULATIVE)
(CUMULATIVE) l IE 1
0 1
1 4
3 NRR 2
0 3
3 6
3 OI 11 2
76 76 87 11
.N RI 16 5
64 47 115 51 C '>
~Jc3
-x3 h
RII 18 6
71 45 134 62 RIII 24 24 71 51 18 I I10
~
RIV 9
0 53 49 89 31 I
RV 6
3 56 31 88 3
TOTALS 87 40 400 303 704 302
~
R-1246120 RUN DATE: 02/01/84 PAGE I ALLEGATIOH TRACKIHG SYSTEM LIST OF OPEN ALLEGATIONS AS OF THE EHD OF JANUARY 1984 FACILITY HAME ALLEGATION HUMBER CONTACT FTS PH0HE AMERICAN TESTING LABS DIR4-83-A-0043 RK HERR 728-8110 ARKANSAS 182 RIV-84-A-0001 TF WESTERNAH 728-8100 ARMED FORCES RADI0 BIOLOGY RES INST RI-83-A-0089 JD KINHEMAN 988-1252 ARH0/DAP CORP, MICHIGAN CITY, IN mRIII-84-A-0013 DJ SREHIAWSKI 388-5611 BARCLAY INTERHATIDHAL RIV-83-A-0082 TF WESTERMAN 728-8100 BEAVER VALLEY t RI-83-A-0074 LE TRIPP 488-1227 BEAVER VALLEY t RI-83-A-0080 LE TRIPP 488-8227 BEAVER VALLEY 1 RI-83-A-0084 LE TRIPP 488-1227 BEAVER VALLEY 1 RI-84-A-0006 LE TRIPP 488-1227 BEAVER VALLEY 1 RI-84-A-0007 LE TRIPP 488-1227 BEAVER VALLEY 2 RI-85-A-0088 LE TRIPP 488-1227 BEAVER VALLEY 2 RI-84-A-0009 LE TRIPP 488-1227 BECHTEL RIV-83-A-0035 TF WESTERMAN 728-8100 e
It BELLEFONTE 1 RII-83-A-0122 8 URYC 242-4193 BELLEFONTE 1 RII-83-A-0123 B URYC 242-4193 N
BELLEFONTE 1 RII-84-A-0001 8 URYC 242-4193 BELLEFONTE 1 RII-84-A-0009 GA TODD 242-4193 BORG WARNER RIV-83-A-0029 TF WESTERMAN 728-8100 IIIII BORIDE PRODUCTS IHC RIV-83-A-0060 RK HERR 728-8110 "3("p BOVARI ELECTRIC IHC OIR4-83-A-0077 RK HERR 728-8110 BRAIDWOOD 182 OIR3-83-A-0059 ET PAWLIK 384-2686 I
BRANCH RADIOGRAPHIC LAB RI-82-A-0006 JE KIHHEMAN 488-1252
=""*
- T"3 BROHX VA MEDICAL CENTER RI-83-A-0099 JD KIHHEMAN 488-1252 ej BROWN BOVERI MRIV-83-A-0030 TF WESTERMAN 728-8100 I,
BROWHS FERRY 1 RII-83-A-0005 GA TODD 242-4993 BROWHS FERRY t RII-83-A-0025 GA TODD 242-4193 BROWHS FERRY t RII-83-A-0043 GA TODD 242-4193 BROWNS FERRY 1 RII-83-A-0044 GA TODD 242-4193 BROWNS FERRY f RII-83-A-0051 GA TODD 242-4193 BROWHS FERRY 1 RII-83-A-0102 GA TODD 242-4193 BROWHS FERRY 1 RII-83-A-Ott3 GA TODD 242-4193 BROWNS FERRY 1 RII-83-A-0120 GA TODD 242-4193 BRUNSWICK 1 RII-83-A-0009 GA TODD 242-4193 BRUNSWICK 1 RII-83-A-0124 GA TODD 242-4193 BRUNSWICK 2 OIR2-85-A-0036 RH BURCH 242-6508 BRUNSWICK 2 RII-83-A-0026 GA TODD 242-4193 BYRON 1 OIR3-83-A-0075 ET PAWLIK 388-5686 BYRON 182 OIR3-83-A-0018 ET PAWLIK 384-2668 BYRON 182 OIR3-83-A-0039 ET PAWLIK 384-2668 BYRON 182 OIR3-83-A-0040 ET PAWLIK 384-2668 fp m MULTIPLE FACILITIES ASSOCIATED WITH THIS ALLEGATION HUMBER d
E)(///0/ /~3 mac,%,.i ALLE,2_A_ TION C,.ATA_FO Ib.
307 S. NUCLEAR REGULATORY COMMISSION
(
_e.
RECEIVING OFFICE
- 1. Facility (les) Involved:
(Nemel (if more then 3, or if genenc, wnte GENERIC)
- 2. Functional Area (s) Involved:
(Ct ck appropn.te boitesi )
operations onsite health and safety construction offsite health and safety safeguards emergency preparedness other (specityl 3.
Description:
l l l l l l l l l l l l l l l l l l l l l l l l l l (Lmt to 100 charactersi l l gggl l l g g l l l l l l l l ggggggl l l l l l l l l l l l l l l l l l l l l l l l l l l 1 IIIIIIIIIIIIIIIIll IIIIIIII
- 4. Source of Allegation:
(Check ppropn.te box)
Contractor employee security guard licensee employee news media NRC employee private citizen organization (specifyi other (specity)
MM DD YY
- 5. Date Allegation Received:
- 6. Name of Individual trirst two initi.i..nd i..t n.mei Receiving Allegation:
- 7. Office:
ACTION OFFICE II. Action Office
Contact:
(First two initi.i. nd i.., n. met
- 9. FTS Telephone Number:
~
- 10. Status:
Open,if followup actions are pending or in progress
,, w,,n,,
Closed. If followup actions are completed MM DD YY
- 11. Date Closed:
l l
t2. R.rnarks:
[ l l l l l ll l l l l ; iiii
- ; i i i i ;
(Lwnet to 50 charactersi IIIIIIIIIIIIIIIIIIIIIIIIII h
is. An.gation Number:
mDET
-^-
.. e...
R-1246ft0 RUN DATE: 02/01/84 ALLEGATION TRA
(
5YSTEM DATA BASE REVIEW / UPDATE SHEET DATA AS OF THE END OF JANUARY 1984 ALLEGATION NUMBER:
IE-83-A-0004 FACILITY / DOCKET GENERIC 10000000 FUNCTIONAL AREA:
OPERATIONS DESCRIPTION:
ADEQUACY OF METHODS USED TO GENERATE SETPOINTS FOR ALL NUCLEAR PLANTS USING ANALOG PROTECTION SYSTEMS.
SOURCE:
OTHER - HSSS EMPLOYEE DATE RECEIVED:
10/12/83 PERSON RECEIVING:
OFFICE RECEIVING:
ACTION OFFICE CONTACT:
FTS PHONE HUMBER:
STATUS:
OPEN DATE CLOSED:
REMARKS:
CHANGES TO DATA?
YES H0
~
DATE REVIEWED
/
/
OFFICE C00RDINATOR'S IHITIALS
?
1i
ATS COORDINATORS IE Ed Fox 359 E/W-W x24905 AE00 Ron Becker 263 E/W-S x24490 NMSS Bob 0'Connell 396 SS x74211 01 Polly Schofield 434 E/W-S x27246 NRR Gordon Edison P-528 x28933 1
ORM :
Carol Abbott P-612 x24928 RES Ed Oklesson 1130 SS x74344 ADM T Bill Dorie 2100 MNBB x27515 IP Neal Moore 414 E/W-5 x27984 DEDR0GR Ed Blackwood
'6113 M BB x24359 N
SED Bill Kerr 72N MNBB x24665 ELD Karen'Chr-9604 MNBB x27269 h
SP Darrel Nash
. 5037 AR x29882 l
RI Don Haverkamp
FTS-488-1236 RII Gregg Todd' i3 FTS-242-4193 L
RIII Charles Weil 'S FTS-388-5535 RIV Tom Westerman if FTS-728-8145 RV-i.
Allen Johnson 'E FTS-463-3739 e
e i
s' P
f w
,X
^N
(
.A-