ML20133P154

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Forwards Newly Developed Allegation Receipt & Disposition Decision Forms to Be Used from This Day Forward
ML20133P154
Person / Time
Issue date: 10/05/1994
From: Vito D
NRC
To:
NRC
Shared Package
ML20133N901 List:
References
FOIA-96-488 NUDOCS 9701240099
Download: ML20133P154 (8)
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N From David J. Vito (DJV) '

To: C \ DOC \ALLGSTAT.GRP Date: Wednesday, October 5, 1994 2:24 pm Subjects New Allegation Forms & Ack. Letter Attached are newly developed Allegation Receipt and Allegation Disposition (Panel) Decision forms. PLEASE USE THESE FORMS (AND PROVIDE THEM TO YOUR STAFF FOR THEIR USE) FROM THIS DAY FORWARD So WE CAN ALL BE CONSISTENT WITH REGARD TO WHAT INFORMATION IS TO BE GENERATED WHEN WE RECEIVE AND MAKE DECISIONS ON AN ALLEGATION. Also attached is a new Draft Form Acknowledgement Letter to be used for development of future allegation acknowledgement letters. The new forms and ,

draft acknowledgement letter have been included on the S: drive (S \ENF- I ALLG\ALLEGATN\ALG-FORM \*.*). This new information has not been incorporated into the Regional Instruction as yet because we are waiting for the forthcoming massive change to NRC Management Directive 8.8 to be approved before changing the Regional Instruction.

The new forms and draft acknowledgement letter incorporate recent changes derived from various sources, namely, Bill Russell (assessment of apparent safety significance for each allegation), Jim Taylor (up front provision of NRC identity protection policy to allegers), and the Region I Allegation Quality Improvement Team (process streamlining and clarifications). The most notable changes are as follows:

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1. The allegation disposition (panel) record form has added a section for i assessment of safety significance. While we may intuitively assess safety significance during a panel meeting in the nature of the decisions that are made and the schedules developed for resolution, Bill Russell indicated that NRC has not done a good job in DOCUMENTING why the panel desicions are made in terms if safety significance.
2. The allegation receipt report form has added questions that will help the person receiving the information assess whether the information being received is really an allegation as defined by NRC. The form also asks the person receiving the information whether he/she remembered o inform the alleger of the i NRC ider'ity protection policy, as has been div+cd by a recent (8/22/94)

} memorandum from Jim Taylor.

3. The new draft acknowledgement letter has added the information about the NRC identity protection policy. Also, Bill Russell disagreed with the Allegation QIT's suggestion regarding use of an abbreviated form acknowledgement letter (i.e., one that refers to the receipt of information without feeding back any specifics about the information that was received). So, the "new" draft acknowledgement letter retains the old format of summarizing the alleger's issues. An amenable alternative to Bill Russell was that we could exclude the allegation summary information from the acknowledgement letter if we attached a

} copy of the allegation receipt form to the acknowledgement letter. This, of course, would require that the allegation receipt form is LEGIBLE.

As a final note, please remember that the allegation panel process will proceed much more smoothly if you come to the meeting with a suggested course of action INCLUDING filling out an Allegation Disposition (Panel) Record Form with your l suggested activities. This direction has been included in the Regional Instruction since before I got the SAC job (10/93) and its implementation is '

still very sporadic.

] CC: WFK, DJH, BRL Files: S \ENF-ALLG\ALLEGATN\ALG-FORM \ALGRCPT.FRM, St\ENF-ALLG\ALLEGATN\ALG-FOP.M\NEWACK.LTR, St\ENF-ALLG\ALLEGATN\ALG-FORM \PANLDISP.FRM

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1 9701240099 970114 PDR FOIA KELLER96-488 PDR

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.~ Allegation Receipt Report Page 1 of j (Use also for staff suspected wrongdoing) l Date/ Time j Received::* Allegation P*o.

. (leave blank) i Employee Receiving Allegation or suspecting wrongdoing j (first two initials and last name):

Name of

} Allegers

  • Home Address:
  • Home Phones * . City / State / Zips *

{ Alleger's

< Employers

  • Alleger's Position / Titles
  • e

}

Facility: Docket No. or Materials License No.:

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j-l Was alleger informed of NRC identity protection policy? Yes No i

If a licensee employee or contractor,

! did they raise the issue to their management? Yes No Was confidentiality requested? Yes No Was confidentiality initially granted? Yes No Individual Granting Confidentiality:

, criteria for determining whether the issue is an allegation: l 1

l. Is it a declaration, statement, or assertion of impropriety or inadequacy? Yes / No
f. Is the impropriety or inadequacy associated with NRC regulated activities? Yes / No I Is the validity of the issue unknown? Yes / No ]

l l If No to any of the above questions, the issue is not an allegation and should be l handled by other appropriate methods (e.g. as a request for information or an OSHA 1 referral).

j. Allegation Summary or staf f suspected wrongdoing (brief description of concern (s)):

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l Number of Concerns

) Type of Regulated Activity (a) __ Reactor (d) __ Safeguards

(b) __ Vendor (e) __ Others
(c) __ Haterials (Specify) 1

( Functional Area (s): (a) Operations (e) Emergency Preparedness (b) Construction (f) Onsite Health and Safety (c) Safeguards (g) Offsite Health and Safety j (d) Transportation (h) Others.

  • These sections are D21 completed for instances of potential wrongdoing j identified by NRC staff.

4 j Distribution: SAC OI i

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Detailed Description of Allegation or staff suspected wrongdoing: )

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i SAMPLE ACKNOWLEDGEMENT LETTER TO ALLEGER (DRAFT 10/5/94)

Docket No. License No.

File No. RI-9_-A-ALLEGER'S NAME XDDRESS

Dear  :

Subject:

Concerns You Raised to the NRC Regarding '

(site name)

This refers to your with ,

(telephone conversation, letter, etc.)

on , in which you expressed concerns related to i

I We have initiated actions to examine your concern (s) as characterized above ,

and will inform you of our findings. '

The NRC notes that in resolving technical issues, the NRC is also protecting the identity of allegers and intends to take all reasonable efforts to not disclose your identity to any organization, individual outside the NRC, or the public unless you clearly indicate no objection to being identified. However, you should be aware that your identity could be disclosed if disclosure is necessary to ensure public health and safety, if disclosure is necessary to inform Congress or State or Federal agencies in furtherance of NRC responsibilities under law or public trust, or if you have taken actions that are inconsistent with and override the purpose of protect.ing an alleger's identity.

USE ONLY FOR WRONGDOING Also, your identity may be disclosed at the NRC's discretion in order to pursue an investigation of issue (s) involving potential wrongdoing, such as the (subject) issue you brought to our attention.

CERTIFIED MAIL RETURN RECEIPT RE0 VESTED W

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USE THIS PARAGRAPH IF THE ALLEGER WAS DISCRIMINATED AGAINST AND/0R DOL MAY BE AN ALTERNATIVE Also, your identity will be disclosed as part of any NRC investigation of (an) issue (s) of potential discrimination against an individual for raising safety issues, such as the concern (s) you raised above.

In addition, the NRC was established to regulate safety issues in the nuclear industry. Regarding the termination of your employment (OR INSERT APPLICABLE ISSUE), the Department of Labor (DOL) has the authority to order backpay, reinstatement or compensatory damages. In order to protect your rights, you must file a written complaint with D0L within 180 days of the occurrence of the discrimination. Any such

  • complaint can be filed with your local D0L office or: l The Office of Administration Wage and Hour Division Employment Standards Administration U.S. Dept. of Labor, Room S3502 200 Constitution Avenue, N.W.

Washington, D. C. 20210 1

Your complaint must describe the firing or discrimination you feel occurred. A copy of the D0L's " Procedures for Handling of Discrimination Complaints Under Federal Employee Protection Statutes" is ,

enclosed for your attention. '

USE THIS PARAGRAPH ONLY FOR ALLEGERS WHERE CONFIDENTIALITY HAS BEEN GRANTED AND WHERE THE ALLEGATION PANEL HAS APPROVED CONFIDENTIALITY PER THE REGIONAL INSTRUCTIONS, BUT FOR WHON NO CONFIDENTIALITY AGREENENT HAS BEEN EXECUTED.

With respect to your request for confidentiality, I assure you that we will attempt to maintain your confidentiality while resolving this matter. Please read the attached Confidentiality Agreement, sign and date and mail it to us in the self-addressed, stamped envelope provided. i I would like to point out that licensees can and sometimes do surmise  !

the identity of individuals who provide information to us because of the  :

nature of the information or other factors beyond our control. In such  !

cases, our policy is to neither confirm nor deny the licensee's  :

assumption. (ADD THIS FOR H & I ALLEGATIONS) You should be aware that the NRC normally will not investigate a case of potential discrimination against an individual for raising safety issues if the individual is a confidential source. This type of case cannot be investigated if an alleger's name is kept confidential.

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USE THIS PARAGRAPH IF THE NRC DOES HAVE A SIGNED CONFIDENTIALITY AGREEMENT 4

FROM THE ALLEGER With respect to the Confidentiality Agreement you signed, I assure you  ;

that we will honor the Agreement. I would like to point out that '

l licensees can and sometimes do surmise the identity of individuals who provide information to us because of the nature of the information or .!

other factors beyond our control. In such cases, our policy is to neither confirm nor deny the licensee's assumption. (ADD THIS FOR H & I .

ALLEGATIONS) You should be aware that the NRC normally will not i investigate a case of potential discrimination against an individual for raising safety issues if the individual is a confidential source. This type of case cannot be investigated if an alleger's name is kept confidential .

USE THIS FOR ALL LETTERS I Also, if a request is filed under the Freedom of Information Act (F0IA) related to your area (s) of concern, the information provided will, to the extent consistent with that act, be purged of names and other potential identifiers.

Further, you should be aware you are not considered a confidential source unless confidentiality has been formally granted in writing.

Should you have any additional questions, or if the NRC can be of further assistance in this matter, please call me collect at (610) 337-5222.

Sincerely, j Senior Allegation Coordinator or Appropriate Section Chief  :

Enclosure:

As stated bcc:

Allegation File No. '

Enforcement Officer, R1 (if 1st paragraph is checked) concurrence SAC Technical Section Chief A0C (if appropriate)

ALLEGATICN DISPCSITICN RECORD Rev. 2 10/5/94 Site Section Chief (AOC):  ;

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Allegation No.: Date Received i I

Acknowledged: Receipt Report to SAC: ll e

l l CONFIDENTIALITY GRANTED: Yes No OI Informed:

, IS THERE A HARASSMENT / DISCRIMINATION ISSUE: Yes No ,

(If yec, complete H&ID section on reverse)

DOES TuE ALLEGATION INVOLVE POTENTIAL WRONGDOING: Yes No j DOES THE ALLEGATION KAVE POLITICAL IMPLICATIONS: Yes No DOES THE ALLEGATION REQUIRE RESOURCES TO RESOLVE WHICH CAN NOT BE OBTAINED BY THE AOC: Yes No If yes to any of the above, the allegation needs to go to an Allegation Panel.

vcherwise, document disposition actions below. j ALLEGATION PANEL (AP) DECISIONS ,

Dates Previous APs on issue: Yes / No Chair - Branch Chief -

Section Chief (AOC) - SAC -

I (Others) - OI Rep. -

l (State specific action required for closure (including DISPOSITION ACTIONS:

special r,oncurrences ) , responsible person, ECD and expected closure doenmentation) 1)

Responsible Person: ECD:

Closure Documentation: Completed:

2)

Responsible Person: ECD Closure Documentation Completed:

] 3)

Responsible Person: ECD:

Closure Documentation: Completed:

4) 1 Responsible Person: ECD:

Closure Documentation: Completed:

Safety significance Assessment:

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Options for Resolutions v Licensee Referral (Div. Dir. Concurrence Required / Document NRC Review of [' '

Response - Resp. - AOC)

Referral to Another Agency (OSHA, etc. - Resp. - SAC) l Referral to an Agreement State (MD, ME, NH, NY, RI - Resp. - SAC)

Referral to Another NRC Office (OIG, NRR, other Regions - Resp. - SAC)

Request for Additional Info.(From alleger, licensee, others - Resp. - AOC)

Closecut Letter / Memo (If no further action planned - Resp. - AOC)

Inspection (Resident / Specialist routine or reactive) 1 Reauired Actions i l Acknowledgement Letter (Resp. - AOC)

DOL Info to Alleger (If H&ID and not provided in person - Resp. - AOC)

Closeout Letter / Memo (Upon completion of disposition actions - Resp. - AOC)

IF HGID INVOLVED:

1) has the individual been informed of the DOL process and the need to file a complaint within 180 days Yes No
2) has the individual filed a complaint with DOL Yes No
3) if the complainant filed directly with DOL, have they been Yes No contacted to obt. sin their technical concerns (Resp. - SAC)
4) is a chilling effect letter warranted: Yes No NOTES:

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Distribution: SAC .,

OI Responsible Persons Panel Attendees

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