ML20154A441
| ML20154A441 | |
| Person / Time | |
|---|---|
| Issue date: | 07/01/1988 |
| From: | Murley T Office of Nuclear Reactor Regulation |
| To: | Office of Nuclear Reactor Regulation |
| Shared Package | |
| ML20150E588 | List:
|
| References | |
| FOIA-88-355 NRRL-1003, NUDOCS 8809120217 | |
| Download: ML20154A441 (10) | |
Text
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- e UNITED STATss
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NUCLEAR REGULATORY COMMISSION W ASHING TON, 0, C. 20844 July 1, 1988 MEM RANDUM FOR:
All NP.R Employees FR0'4:
Thomas E. Murley, Director Office of Nuclear Reactor Regulation
SUBJECT:
OFFICE LETTER NO 1003 - MANAGEMENT OF ALLEGATIONS PURPOSE This Office Letter establishes the policies and procedures for the management of allegations in NRR, and estabitshes an NRR Allegation Review Board ( ARB) responsible for direction and oversight of the allegation management process in NRR.
I BACKGRdVND Since December 1982, the NRC has been following EDO approved procedures for the handling of allegations.
In June 1987, NRC Manual Chapter and Appendix 0517, ' Management of Allegations," (NRC-0517) was issued in final fem to all
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NRC employees.
This Chapter, reviewed and approved by the Comission, codified the Comission's policies with regard to allegations, confidentiality for allegers and staff interface with the Office of Investigations (01).
The Appendix to NRC-0517 established the procedures and guidelines for implementing the Comission's policies in these areas.
This Office Letter does not repeat the infomation in NRC-0517, but references those policies and procedures extensively, and provides guidance on the implementation of NRC 0517 in NRR.
RESPONSIBILITIES AND AUTHORITIES l
Office of the Director. NRR a.
Approves all policies and procedures concerning the m6nagement of allegations in NRR.
b.
Approves all Confidentiality Agreements issued by NRR.
c.
Approves all O! referrals initiated by NRR.
The NRR A11eostien Review Board is responsible for providing direction and oversight of the allegation management process in NRR, including:
a.
the review of each new allegation considered for NRR action to determine the appropriate resolution plan, schedule and priority, b.
the review of assignments of allegations to NRR. branches for resolution,
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CONTACT:
Richard Brady. PTSB \\
h 49-21263 8809120217 000023 S/A 'I f ' 3 T h O >
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I NRR Employees July 1, 1988 f
detemining the potential safety significance of each allegation.
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c.
d.
initial detemination of the need for 01 referral, f
i e.
the review of actions taken by the assigned branch and approval of closure l{
memoranda and closure letters to allegers when the proposed closure differs i
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substantively from the approved resolution plan, and.
4 f.
review of allegations open for more than ISO days to detemine the reasons for the delay in resolution and to focus management attention on these issues, as necessary.
Such reviews will occur every three months, I
tosm ncing when the allegatiire is six months old.
NCR Givision Directors i
a.
Ensure that the policies and procedures in NRC 0517 and in this Office Letter are implemented, b.
Participcte, as required, as members of the AAB.
j NRR Branch Chiefs and Project Directors I
a.
Ensure that their employees are familiar with the provisions of this i
Office Letter.
I j
b.
Participate in the ARB process, as required.
i c.
For allegations assigned to their branches or project directorates, ensure that the resolution plan is followed and the schedule for resolution is I
met.
i d.
Prepare 0! referrals, as required, i
e.
Approve cad sign all other correspondence going outside the office involving allegations, following concurrence by the OAC.
i Director, lHvision of Reactor Inspection and Safecuerds (DRIS) l s.
Serves as Chairperson of the ARB.
b.
As Chairperson, ARB, concurs in all 0! referrals initiated by MRR.
The NRR Office Allegation Coordinator a.
Serves as the central control point for allegations assigned to NRR.
i b.
Reviews and concurs on all NRR correspondence involving allegations going outside the Office, c.
Maintains the official agency files on NRR allegations.
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NRR Employees July 1, 1988 G
d.
Provides advice, guidance and assistance to NRR management and staff in the implementation of the policies and procedures in NRC-0517 and in this Office Letter.
e.
Provides assistance to the Chairperson of the ARB.
f.
Performs other OAC duties as described in NRC-0517.
All NRR Employees a.
Maintain a working knowledge of the procedures contained in NRC-0517 and in this Office Letter.
b.
Record the rer.ipt of new allegations in as much detail as possible, using Enclosur 21, Allegation Data Receipt Form, Provide all infomation received on new allegations directly to the c.
(OAC) within five (5) workdays of receipt of the allegation.
BASIC REQUIREMENTS a.
Receipt of Allegations i
Any NRC employee may be the recipient of an allegation.
Accordingly, all employees must be aware of the procedures and systems in place for t
the management of allegations.
NRR employees who receive allegations will record the infomation on an Allegation Data Receipt Fom, Enclosure 1,
(
and provide this fom, along sith any other information or material related to the allegation, directly to the OAC within five (5) workdays of receipt i
of the allegation.
(NRR employees working with the Regions as part of' a Regt;a-based insoection program should provide this infomation to the Regional OAC )
b.
Detemination of Action Office Upon receipt of an allegation, the OAC will detemine the most appropriate action office for resolution.
If the OAC detemines that the allegation should be assigned for resolution outside NRR, the OAC will initiate discussions with the proposed action office.
If that office agrees to i
accept the allegation, the allegation will be transferred and the recipiet.t t
of the allegation will be so advised by the OAC.
The OAC will also ensure that the alleger is dvised of the new point of contact, if necessary, i
(Allegations received in writing may not require this contact All allegations not assigned to other offices or regions will be assigned by the OAC to an NRR branch or project directorate for resolution.
The OAC will also advise the Chairperson, ARB, of the receipt of the allegation and assist in arranging an ARB meeting.
NRR Employees
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c.
Allegation Review Board Meetings The ARS shall consist of (1) the Directer DRIS, who will serve as Chairperson, (2) the OAC, and (3) an NRR Projects Division Director or
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designated Assistant Director.
Nonnally, the Chairperson, ARB, will select the Projects Division Director based on the reactor facility involved. When no reactor sitt is involved, the selection of the Projects Division Director will be made on a rotational basis.
In the absence of the Director, DRIS, the Deputy Director, DRIS, will serve as the alternate Chairperson. As determined by the Chairperson, other Division Directors, Branch Chiefs or other NRR personnel may be required to participate in the ARB proceedings.
The Director, 01, will be advised of all ARB meetings and invited to attend. The scheduling of ARB meetings shall be detennined by the Chairperson.
The Chairperson shall detennine at the beginning of each meeting of the ARB if sufficient personnel are available to conduct the business of the ARB.
The ARB is required to meet within ten (10) workdays following notification to the Chairperson by the OAC of receipt of an allegation for which (1) NRR is the action office, or (2) when agreement has not been reached on the assignment of an allegation to an action' office.
The ARB may also review and approve the proposed closure action on an nf allegation on the reconinendation of the OAC.
This will nonnally be' the
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case when the proposed closure differs substantively from the resolution plan approved by the ARB.
d.
Action by the Allegation Review Board At the ARB meeting, the chief of the branch or project directorate assigned action for the allegation will review the allegation with the ARB and present his/her proposed resolution plan and schedule, iricluding his/her view on the need for 01 referral.
The ARB will detennine the potential safety significance of the allegation and approvo or modify and approve the proposed resolution plan and schedule.
The ARB shall also determine the priority to be assigned to the resolution of the allegation in accordance with the priority ranking system established by the Director, NRR, in his memorandum of April 20, 1988, to T. Martin and F. Miraglia, "Priority Ranking System for Review Efforts."
The ARB shall also assess the need for O! referral.
If referral is necessary, the assigned branch will prepare the O! referral in accordance with the procedures in NRR Office Letter 1000, and within the timeframe of the resolution plan and schedule approved by the ARB, e.
Action by the Assigned Branch or Project Directorate The NRR branch or project directorate assigned action on the allegation O
will make its best efforts to resolve the allegation and bring it to final closure in accordance with the resolution plan and schedule approved by I
the ARB.
In the course of its resolution activity a branch may encounter other allegations. This situation should be discussed as soon as possible with the OAC.
Nomally, allegations of a similar nature or involving the
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NRR E
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mployees
-5 July 1, 1988 same system or plant function will be incorporated as part of the original allegation.
There may be exceptions to this, particularly if there are different allegers involved, or if it is not feasible to incorporate the new allegations into the ongoing resolution effort.
Similarly, an inspection or other resolution activity may uncover evidences of wrongdoing or impropriety on the part of the licensee or vendor that were not a part of the original concern. When information of this nature is uncovered by NRR personnel, they will contact their management as soon as possible for guidance on proceeding with the inspection. Management should consider conferring with Of on how to proceed.
Caution must be exercised at this pcint to avoid compromising a subsequent investigation by 01.
When the inspection is completed and if it appears to the branch chief that an O! referral should be made, the OAC will be informed.
The OAC will confer with the Chairperson, ARB, who will determine if the Branch should initiate an O! referral
- ackage, or if the ARB should make the OI referral decision. The OAC will arrange the ARB meeting, if requested by the Chairperson, ARB.
f.
Documentation
/11 documentation involved in the allegation resolution process which l
.ntains the identity of the alleger should nomally be handled as limited l
zistribution, with no copies placed in the DCS, PDR or docket files, i,ccess to this infomation should be on a need-to-know basis.
Copies of correspondence should not be placed in files accessible to individuals who do not have the required need-to-kncw.
This includes branch reading files.
Distribution should be made using "Addressee Only" envelopes.
The OAC should receive. copies of all correspondence on allegations.
Mo'st of the infomation involving allegations is not rileasable under FOIA.
Questions on FOIA applicability r,hould be referred to the OAC.
All of the documents described below will become part of the pemanent allegation file maintained by the OAC.
1.
Allegation Data Receipt Fom As provided earlier, receipt of allegations by NRR employees will be documented on an Allegation Data Receipt Fom (Enclosure 1) and forwarded by the recipient directly to the OAC.
2.
Acknowledgment Letters An acknowledgement letter to the alleger will be prepared and issued by the assigned branch or project directorate within ten (10) workdays of the meeting of the ARB. The letter will acknowledge receipt of the allegation, establish a point of contact for further correspondence, provide staff's understanding of the allegation and provide an opportunity for the alleger to clarify or correct staff's interpretation and/or provide additional information.
Acknowledgement letters will be signed by the branch chief or project director who has tne lead for allegation resob
'on.
The OAC will be placed on concurrence for these letters.
m NRR Employees July 1, 1988 3.
ARB Meeting Sumaries The meeting sumaries of the ARB will be prepared by the OAC and approved by the Chairperson, ARB. These sumaries will identify the allegation, state whether or not the allegation is safety
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significant, identify the facilities involved, the NRR branch i
assignment, the resolution plan, schedule and priority, the ARB's decision concerning the need for OI referral, whether the allegation should be referred to the licensee or vendor, and include any other coments the Board wishes to make concerning the allegation.
Distribution will include the Executive Team, the chief of the branch assigncd resolution responsibility, the Director. 01, and the OAC. provides the tomat to be used for these meeting sumaries.
4 Letters to Licensees. Applicants and Vendors Letters to the licensee, applicant or vendor concerning allegations or referring them for review shall be signed by the branch chief or project director who has resolution responsibility.
The OAC will be placed on concurrence for these referral' letters.
O 5.
Requests to O! for Investigation NP.C-0517 and NRR Office f.etter 1000 describe the procedures to be used to request an OI investigation.
All DI referrals initiated in NRR must be routed for concurrence by the Chairperson, ARB. The assigned branch is responsible for the preparation of the OI referral in accordance with the scheaule approved by the ARB.
The OAC will, also be on concurrence for all O! referrals.
6.
Closure Documents Upon resolution of the allegation, the assigned branch will prepare a close-out letter to the alleger, to be signed by the branch chief, detailing the action taken by the NRC in this matter and enclosing any related inspection reports, safety evaluations or staff analyses that support the allegation resolution. The OAC will be placed on concurrence for these closure letters.
If the alleger is anonymcus, the closure document will be a Memorandum for the File and shall include the same infomation as closure letters to allegers. Closure letters may be issued by the branch chief or project director having resolution responsibility, following concurrence by the OAC. There may be cases where the ')AC will recomend that the closure document be held for review by the ARB to detemine the adequacy of the resolution effort. This will always be the case if the closure (n
differs substantively from the resolution plan.
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NRR Employees July 1, 1988 7.
Incoming Correspondance Copies of t.ll incoming correspondence from the alleger, the licensee or the vendor concerning allegations will be provided to the OAC by the recipient for incorporation in the allegation file, g.
C_onfidentiality 1.
It is the policy of the NRC to protect the identity of all allegers.
For the majority of the individuals bringing their concerns to the NRC, ;he agency's reasonable efforts (as sumarized below and as defined in the Comis.;1on's policy statement on confidentiality and in NRC-0517) should provide sufficient protection of the alleger's identity.
2.
Reasonable efforts include:
(a) identity not to be publicly revealed unless directed by appropriate legal authority, (b) application of the need-to-know principle, f.e., avoidance of unnecessary use of the identity of an alleger or other identifying d
particulars in internal NRC discussions and documents.
(c) documents which contain the identity of the alleger to be placed in secure storage when not under the personal control of'the user.
(d) inspection reports, safety evaluations and other publicly available documents will not contain the identity of allegers, (e) draft documents to be discarded as soon as possible, (f) transmission of documents containing the identity of allegers to be hand-delivered or securely wrapped and marked, "Addressee Only,"
(g) information to be withheld under FOIA, and (h) in response to specific questions from outside the NRC, not acknowledging that an individual is an alleger.
NRC policy is to neitntr confirm nor deny that an individual is an alleger.
3.
When the above-sumarized protections are considered insufficient to protect the identity of an alleger, the agency may consider granting (s
confidential source status to an alleger. A confidential source.
m as defined by the comission's policy $+.atement on confidentiality and NRC-0517, is an alleger who has signed a written Confidentiality Agreement with an authorized NRC official.
In NRR the authorizing official is the Director, NRR. All requests for confidential source status should be directed to the OAC.
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MRR Employees July 1, 1988 4.
The subject of confidentiality should not be routinely raised by the recipient of an allegation.
should be addressed to the OAC.
Questions regarding confidentiality EFFECTIVE DATE This Office Letter is effective upon issuance.
1
^/ N-g, 0
Thomas E. Murley, ut rector Office pf Nuclear Reactor Regulation
Enclosures:
1.
Allegation Data Receipt Form 2.
ARB Meeting Sunnary Format cc w/ enclosures:
- 8. Hayes, 01 J. Lieberman, OE O
J. Taylor, EDO V. Stello, EDO J. Partlow, OSP W. Mcdonald, ARN W. Russell J. Grace A. Davis R. Martin J. Martin SECY OGC hRC PDR l
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ENCLOSUPT 1 LIMITED DISTRIBUTION ALLEGATION DATA RECEIPT FORM Date & Time Allegation Received:
Number:
(leaveblank)
Allegation received from:
Name:
Address:
Phone:
Job title:
Employed by:
~~
Facilities Involved:
D Details of Allegation:
(Ask: Who? What? Where? When? How? Why?)
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(attached additional pages, if necessary)
Employee receiving allegation: Name:
Organization:
Phone:
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LIMITED DISTRIBUTION
ENCLOSURE 2 i
LIMITED DISTRIBUTION
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ALLEGATION REVIEW BOARD SUPMARY Allegation Number NRR-XX-A-XXXX 1.
TheNRRAllegationReviewBoardmeton(date)at(time).
2.
Present at the meeting were:
(listofattendees).
3.
Facilities / organizations involved:
4.
Allegation title:
(insertabbreviatedtitle).
5.
Thisallegationhasbeenassignedto(branch)forresolution.
6.
The ARB determined the allegation to be safety significant/of no safety significance.
7.
The ARB assigned this allegation a Priority level of (1-4) after consideration of its safety significance.
8.
The ARB made the following decision on O! referral:
9.
(For01 referrals) The ARB recomends an investigation priority of (high-medium-low).
10.
The following resolution plan and schedule was approved by the ARB:
Activity Due Date 8
a.
Acknowledgement letter b.
Referral to licensee / vendor c.
01 referral i
d.
Inspection e.
Etc.
f.
Closure letter l
- 11. Additional coments:
12.
Prepared by:
(AllegationCoordinator)
Date:
- 13. Approved by:
(Chairperson,ARB)
Date:
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l Distribution:
i NRR Executive Team l
Director, O!
NRR OAC Chief. Assigned Branch Allegation File No. NRR-XX-A-XXXX l
L!P!TED D!!TRIE"T!DN
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