ML20204H015
| ML20204H015 | |
| Person / Time | |
|---|---|
| Issue date: | 11/02/1984 |
| From: | Taylor J NRC OFFICE OF INSPECTION & ENFORCEMENT (IE) |
| To: | NRC OFFICE OF INSPECTION & ENFORCEMENT (IE) |
| Shared Package | |
| ML20204H001 | List: |
| References | |
| FOIA-86-183 NUDOCS 8608070441 | |
| Download: ML20204H015 (1) | |
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UNITED STATES
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NUCLEAR REGULATORY COMMISSION
~'I 3-i WASHINGTON. D C. 20555 s
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..< p NOV 2 1994 MEMORANDUM FOR:
All IE Employees FROM:
James M. Taylor, Deputy Director Office of Inspection ard Enforcement
SUBJECT:
MANAGEMENT OF ALLEGATIONS As a m' ember of the Office of Inspection and' Enforcement, you are a potential recipient of allegations concerning the nuclear power plants, or other facilities and activities we regulate.
It is important that you know your responsibilities concerning an allegation should you receive one. We have issued instructions in the past concerning how to process allegations and Ed Fox, Car Office Allegations Coordinator (0AC), has presented a seminar on this same subject.
For your additional information and guidance, enclosed is the recent Executive Director for Operations Policy on the Management of Allegations.
Should you receive an allegation or if you have any questions concerning your responsibilities in dealing with allegations or the enclosed policy, please Contact Ed Fox, IE 0AC (x24905).
A
-. S 'h r James M. Tavlev, Daputy Di rector
/',0ffice of Inspectio' and Enforcement
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Enclosure:
policy on the Management of Allegations 8608070441 860801 PDR FOIA CARDE86-183 PDR
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Septenber 19, 1984 MEMORANDLM FOR: Office Directors Regional Acministrators FFOM:
William J. Dircks Executive Director for Operations
SUBJECT:
PROPOSED NRC MANUAL CHAPTER 0517, " MANAGEMENT OF ALLEGATION 5" The attached proposed Manual Chapter is provided to you as policy in regard to management of allegations.
Since the Commission may shortly address the issues of confidentiality and last minute allegations separately, and their decisions may require some changes as a matter of administrative convenience, the manual chapter will not be published until these points have been addressed.
In the meantime the attachment will serve as policy on this matter, (Sigrad E.':ir: 1. DI::ks William J. Dircks Executive Director for Operations
Attachment:
As stated Distribution EDO R/F WDircks JRoe TRehm PDR Stello l
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' l U.S. NUCLEAR REGULATORY COMISSION 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 receipt, processing, control, and disposition of allegations received by NRC offices that concern NRC-regulated activities conducted by NRC licensees and their contractors and the policy and procedures for dealing with individuals who provide information to the NRC.
0517-02 OBJECTIVES 021 To establish the policy for the receipt, processing, control, and disposition of allegations and to define procedures by which the
- receipt, status, and disposition of allegations are tracked through the Allegation Management System (AMS), thereby assuring that; a.
allegations are properly assigned for processin~g and assessed for safety significance to permit ranking and resolution in a timely manner; b.
timely and accurate information on all allegations is maintained and made available to NRC Offices and Regions on a need-to-know basis; c.
all allegations not resolved by other formal means are processed in accordance with these procedures and the resolution of all allegations is properly documented; 022 To assure that individuals making allegations to the NRC are properly
- treated, provided confidentiality when necessary, appropriate and possible, and notified of the resolution.
023 To assure that issuas raised are promptly and adequately investi-gated.
Approved:
MANAGEMENT OF ALLEGATIONS NRC 0517-032b6
\\
6.
Acquire input data on new allegations (including those referred to OI) from the staff within the Office or Region and ensure this information is forwarded to the NRR OAC in a timely manner for placement into the AMS.
7.
Provide updates (using an AMS printout) on previous allega-tions (including those referred to 01) from the staff within the Office or Region and ensure this information is forwarded to the NRR OAC on a monthly basis for placement into the AMS.
8.
Provide reports as described in Appendix 1 Part IX, 4 and 5.
c.
Determine the safety significance and generic implications of those allegations that fall within the programmatic responsibi-lity of that Office or Region and establish schedules for the processing of allegations with the objective of resolving them prior to a licensing decision date, if applicable.
d.
Review those allegations for which it is the Action Office for potential board notification and recommend such notification to NRR or HMSS.
e.
Refer all allegations involving wrongdoing, except those involving NRC employees or NRC contractors, to the Office of Investigations and provide technical assistance to 01 for investigating allega-tions as requested.
f.
Prior to taking a major action such as a licensing decision or escalated enforcement, review the status and resolution of allegations for that project in the AMS especially those related to the action.
g.
For technical concerns with generic implications, consider the need to inform other affected Of fices for further action (e.g.,
AE00 for operational data, RES for concerns affecting research activities, etc.)
~
h.
For discrimination complaints received concerning possible violation of Section 210(a) of the Energy Reorganization Act, refer the complainant to DOL and promptly notify DOL to ensure their awareness of the complaint and to determine 00L's investigative intent.
Determination of the need for an NRC investigation would rest with 01.
033 Director, Office of Investigations Investigate allegations of wrongdoing by other than NRC em-ployees and NRC contractors. Conduct interface responsibilities with the Offices and Regions as described herein.
3 Approved:
MANAGEMENT OF ALLEGATIONS NRC 0517-p 0517-04 DEFINITIONS 04I Action Office.
The NRC Office or Region that is responsible for reviewing and taking action, as appropriate, to resolve an allega-tion.
042 Action Office Contact.
The staff member in the Action Office who is assigned the responsibility for resolving an allegation.
043 Allegation.
A declaration, statement, or assertion of impro-priety or inadequacy associated with NRC-regulated activities, the validity of which has not been established.
This includes all safety concerns identified by sources such as the media, indi-viduals or organizations outside the NRC, and technical audit efforts from Federal, State or local government offices regarding activities at a licensee's site.
Excluded from this definition are matters being handled by more formal processes such as 10 CFR 2.206 petitions, hearing boards, appeal boards, etc.
Allegations that may result from these formal processes and are not resolved within these processes shall be subject-to treatment under this ranual chapter.
044 Allegation Management System (AMS).
A computerized information system that contains a summary of significant data pertinent to each allegation.
045 Alleger.
An individual or organization who makes allegations.
The individual or organization may be a concerned private citi-zen; a public interest group; a licensee, vendor or contractor employee; a representative of a local, State, or Federal agency.
(NRC employees should be aware of procedures for presenting differing professional opinions, NRC Manual Chapter 4125).
l 046 Confidentiality.
The term that refers to the protection of data that directly, or otherwise, could identify an alleger by name.
It is not intended to ceny staff members access to che identity l
of the alleger when such identification is required by staff members to evaluate and resolve allegations.
047 Inquiry.
An activity involving minimal effort to detemine the appropriate response to information reported to the NRC.
Typi-l cally, art inquiry entails the use of the telephone or written correspondence rather than formal interviews or other investi-gative measures; however, formal interviews will be conducted if required.
048 Inspection.
A routine or special activity that may be used to examine and subsequently resolve an allegation.
~
e 5
Approved:
1 MANAGEMENT OF ALLEGATIONS NRC 0517-054 054 Confidentiality.
The identity of individuals making allegations should not be revealed by the NRC unless it is clear that the
.* individual concerned has no objectior..
A confidentiality agreement (Exhibit 4) should be executed for those allegers who specifically request it, and should be offered for execution to those allegers who by their actions convey the inference that their identity will be protected by the NRC but who are apparently unaware that such an agreement is available.
The offer of a confidentiality agreement should be contingent upon an assessment of the usefulness of the infomation provided, if such a detemination can be trade in a timely manner.
For other individuals, confidentiality need not be provided.
As a general rule, however, the "need to know" principle should be implemented for all allegers.
For those allegers with a
confidentiality agreement, this means that the. identity of the source must be protected by not referring to the name or other identifying information in discussions unless absolutely necessary and by expurgating the name and other identifying information 'ros documents before disseminating these to the staff.
For those al segers without a confidentiality agreement, this means avoidance of unnecessary use of the identity of the source and other identifying information in discussions snd in documents.
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.
A clear record should be maintained for the files to preclude later l
misunderstandings.
The confidentiality agreement may be signed by Office Directors and Regional Administrators only and may be transmitted to the alleger for signature by mail or in person as convenience dictates.
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, to reduce the impact of disclosure.
Since OI has established policies and practices for the protection of confidentiality for its activities, the above are not necessarily applicable to 01.
055 Responding to Allecers.
Those who provide allegations to NRC staff must be treated with respect, consideration, and tact.
Under no, circumstances should they be dealt with brusquely or abusively.'
When allegations are received in writing, a prompt attempt to make personal contact must ordinarily be made in each case either by a letter, telephone call or even a personal meeting.
Contact should be earnest and professional.
The alleger should be promptly advised of the results of followup action and, in instances of unusual delay in providing the results, should be advised of the status periodically so that there is an awareness that the allegation is not being ignorec.
7 Approved:
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NRC-0517-056 MANAGEMENT OF ALLEGATIONS an NRC inspection report (note exceptions discussed below).
The
. alleger must be informed that this is not handing a matter over to
- the affected organization, but that. NRC will review and evaluate
~the actions of the affected organization and perfom indepenoent activities as necessary.
The affected organization should be informed regarding the resolution of the allegation if appropriate (See Appendix I Part VIII).
There are two exceptions to the above.
The first exception is where the information cannot be released in sufficient detail to be of use to the licensee or vendor without compromising the identity of the confidential source.
In such cases release should normally not be made unless the release is necessary to prevent an imminent threat to the public health and safety.
The EDO shall be consulted in all cases where it appears there is a need to release the identity of a confidential source.
The second exception is where a licensee / vendor could compromise an investigation / inspection because of knowledge gained from the release of information, especially if wrongdoing is involved.
The Regional Administrator for inspections and the Director of the Office of Investigations for investigations shall decide whether or not to release the information to avoid compromising NRC action.
Releast of information to a licensee / vendor is expected to be the exception for OI investigations.
Note that 10 CFR 19.16(a), involving radiological working condi-tions, requires that a worker's allegation in writing be made available to the licensee no later than at the time of inspec-
- tion, and that confidentiality be provided at the worker's request.
In addition to expurgating names and other identifying information, protection of confidentiality could also involve l
retyping an alleger's handwritten notice.
In the event the potential for wrongdoing is involved, OI should be requested to perform an investigation in which case the licensee would not be informed.
059 "Last Minute" Allegations.
When a large number of issues are raised at the same time, as has occurred with several plants as
~
they approach issuance of an OL, the difficulties in executing the above policy guidelines are compounded.
Consideration should be given to organizing a task force, comprised of both headquarters and regional personnel with a senior NRC manager as the task force leader, to resolve these issues within the usual short time frame between the'date the issues were identified and the proposed date for issuance of an OL.
A high degree of organization in the initial stages will be required in order to deal with these particular situations.
To conserve NRC resources in resolving these large numbers of issues, the involvement by the licensee except as noted above will be appropriate.
It may also be quite appropriate to categorize the large number of issues into two 9
Approved:
MANAGEMENT OF ALLEGATIONS APPENDIX 1, NRC 0517 PROCEDURES FOR SCREENING, ASSESSING, AND CONTROLLING ALLEGATIONS AND FOR ALLEGATION MANAGEMENT SYSTEM (AMS)
Part I:
General This part establishes procedural guidance for screening, assessing, and controlling allegations that come to the attention of the NRC staff.
These functions are to be established within each Region and Office under the control of an individual Office Allegation Coordinator (OAC), or a panel of staff personnel or other appropriate staff technical persons.
The Regions and Offices will establish procedures consistent with this guidance and where appropriate provide the required training to ensure that their staffs are fully informed regarding the proper management of allegations.
Allegations pertaining to NRC-licensed facilities and activities may come to the attention 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 functions.
All allegations, no matter how originated, are subject to processing in accordance with this manual chapter.
It is imperative that allegations be recognized as such by staff members and processed pro-fessionally, promptly, and with consistent treatment.
It is very important to note that wnere safety is involved, the NRC does not recognize the term "off-the record."
Allegers who wish to provide off-the-record information must be clearly advised that information impor-tant to safety cannot be treated off the record, but that the information will be accepted ~ officially and acted upon as necessary.
The name of the alleger and other identifying information will be protected, however, under the confidentiality guidelines presented herein.
Any employee who receives an allegation must be aware that it is essential l
to protect the identity of the alleger if such anonymity is requested or implied by his/her actions (i.e., an alleger who employs circuitous means to contact the NRC or makes several phone calls anonymously and then subse-quently identifies himself as the one who has been making the anonymous calls).
To this end, coordination with the appropriate Office or Region Allegation Coordinator must comply with the confidentiality guidelines discussed separately (Basic Requirement 054).
If necessary, the identity of an alleger may be revealed, but only if a confidentiality agreement has not been executed.
As a general rule, the "need to know" principle should be used when dealing with the protection of a person's identity.
l NRC esployees, particularly resident and regional inspectors, regional supervisors, and 0ACs "wh'o are expected to receive the majority of allega-tions, should become fully familiar with the prescribed policies and proce-dures to ensure that the required actions are performed.
It is the responsibility of all employees who receive allegations to take whatever steps are necessary to ensure that an appropriate OAC is promptly informed.
Whenever possible, the person making the allegation should be referred to either the OAC, other individuals as designated by the Region or Office, or arrangements should be made for the OAC or designated staff member to recontact the individual.
1 Al-1 Approved:
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MANAGEMENT OF ALLEGATXONS APPENDIX 1, NRC 0517 2.
Allegations Received by Mail _
Personnel responsible for distribution of mail will forward cor-respdndence that appears to contain an allegation to the OAC.
Both letters and envelopes will be fomarded and no copies will be made.
An employee who receives direct correspondence, including internal NRC memoranda, that contains allegations shall forward tne correspondence to the OAC.
All personnel who may come into possession of this type of correspondence also should be made aware that correspondence con-taining confidential source information should be transmitted in a sealed envelope marked "To Be Opened by Addressee Only;" for expedited transmittals (e.g.,
electronically), confidential source information should be deleted from correspondence.
3.
Discussions with Alleger Any employee receiving a telephone call or visit, as discussed in item 1, shall attempt to obtain as much infomation as possible from the individual.
It is crucial to identify:
a.
full name b.
complete mailing address telephone number where the individual may be contacted c.
d.
position or relationship to facility or activity involved e.
nature of allegation If the alleger declines to provide the above information, attempt to establish the reason (s) using the following guidance:
Inform the individual that if so requested, his/her identity will be kept confidential.
Explain further, if necessary, that Public Law 95-601 affords protection to the alleger by prohibiting an employer from discriminating against an employee for contacting the NRC.
Basic Requirement 054 provides further infomation regarding protection of l
confidentiality.
l The alleger may be informed that the NRC employee with whom he/she is in contact does not have the capability to evaluate the infomation, i
to determine follow up action, or to establish NRC jurisdiction; therefore, it may be necessary that someone else contact the alleger for additional information.
The alleger should be informed also, that-unless an objection is registered--he/she will be recontacted as soon as possible regarding the allegation. ~ This may be done by telephone, personal visit, or by a letter to the alleger, at an address designated, which will also acknowledge the receipt of the allegation.
This process will pemit the alleger to review the information with the NRC to provide maximum assurance that the information has been correctly interpreted and understood.
Al-3 Approved:
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MANAGEMENT OF ALLEGATIONS APPENDIX 1, NRC 0517 3.
The OAC will coordinate allegation information with the technical staff and say assist in determining whether the information is suf fi-cien6 to identify the issues.
If the information is determined to be insufficient, the OAC or designated staff member will assist in further contact with the alleger.
A single point of contact.with an alleger provides a means of better controlling communications, aids in developing rapport, establishes continuity in the flow of information between the Regions and other NRC Offices, and aids in protection of the alleger's identity.
4.
The OAC assists the cognizant technical staff in identifying and separating the issues involved in an allegation into one of the follow-ing categories:
a.
Allegations that involve purely technical
- matters, such as:
inadequacies in procedures, qualifications, or training; inade-quate implementation of procedures; or inadequate corrective actions; or overexposure (s) to radiation.
b.
Allegations that involve wrongdoing such as:
record falsifi-cation; willful or deliberate violations; material false state-ments; discrimination under Section 210(a) of the Energy Reorganization Act; or other improper conduct.
c.
Allegations that involve matters outside the jurisdiction of NRC.
5.
Technical issues in category 4a involving failure to meet requirements have the potential for being willful or deliberate violations.
- However, in the absence of specific allegations of wi11 fulness or deliberateness, such issues will normally be tracked separately as technical issues and resolved using program resources.
If an allegation covers issues that affect other Regions or Offices, follow-up activities will be coordin-ated with the affected Offices and a Lead Office will be designated. The OAC will contact the affected Offices which should result in a mutual agreement as to which Office or Region should have the lead.
If agree-ment cannot be reached at the OAC level, then the Regional Adminis-l trators or Office Directors will resolve which Office or Region should take the lead.
6.
Allegations in category 4b, should be referred to OI Field or Head-quarters personnel except for those involving NRC employees or NRC contractors.
l 7.
When applicable' and after coordination, the Action Office should l
notify other agencies such as the Occupational Safety and Health Aministration, DOE, etc.
in dealing with allegations in category
)
4c.
Notification to other Federal law enforcement agencies and l
State and local jurisdictions of possible criminality involved in allegations should be handled by the appropriate 0I Office or the Office of Inspector and Auditor (for matters falling within its purview only.)
l Al-5 Approved:
MANAGEMENT OF ALLEGATIONS APPENDIX 1, NRC 0517 alleger may be warranted.
In these cases, the OAC will consult with NRC t aanagement to determine the best way to obtain the details re-1 quired.
Depending on the nature of the allegation and the time sensi-l tivity, assistance from the Office of Investigations (OI) or other resources may be requested.
4.
As soon as possible after receiving an allegation or becoming aware of information that indicates inadequate or improper activities, the person receiving the allegation shall notify the OAC.
Normally, no action will be taken to verify the validity of the allegations, nor shall such matters be discussed with licensees, if necessary, until after the OAC or designated staff member has briefed appropriate NRC management.
5.
The OAC or other designated staff member is responsible for reviewing all information received in conjunction with an allegation and for ensuring that management and cognizant technical staff members are fully informed.
6.
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 an Office Director or a Regional Administrator should be obtained.
7.
If allegation documents must be sent to other NRC personnel, they should be appropriately handled to protect the identity of the confidential alleger.
The confidential alleger's identity or other identifying information should not be released unless there is a "need to know" (See Basic Requirement 054).
Part VI:
Evaluation by Cognizant Technical Staff 1.
When an allegation package is received, the technical staff within the Office or Region will review the documentation to determine if there is a safety concern that requires immediate action.
The technical staff is responsible for development, initiation, and follow-through on corrective actions.
Allegations or documents containing a sub-stantial number of allegations once entered in the AMS can be screened using the following criteria:
a.
Is there an immediate safety concern which must be quickly addressed?
Is the alhegation a specific safety or quality issue or a gener-b.
alized concern?
c.
Has the staff previously addressed this issue?
d.
Determine whether the allegation package contains sufficient information for a thorough evaluation.
If it does not, identify the additional information that is needed.
Al-7 Approved:
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l MANAGEMENT OF ALLEGATIONS APPENDIX 1, NRC 0517 Establish a schedule for the resolution of each allegation which q.
is consistent with the licensing schedule, if applicable.
r.
Notify the OAC or designated staff member when the status changes or action (s) is complete.
2.
It is the responsibility of the technical staff within the Office or Region to resolve each allegation that falls under its jurisdiction, and subsequently, to notify the OAC or designated staff member of the action taken so that the status of each allegation can be tracked to closecut.
Final resolution of an allegation shall be documented and placed in the working file along with all supporting documentation.
The final report should state the facts clearly, in a style that does not belittle or disparage the alleger.
3.
For those allegations resulting in the need for corrective action, the affected organization (s) shall be properly informed.
Part VII:
Allegation Resolution Documentation 1.
Allegation resolution documentation officially closes the file for that case and shall be placed in the working file which new becomes a closed case file.
Closed case files shall be retired to inactive storage through the Document Management Branch, TIDC, and destroyed according to the Comprehensive Records Disposition Schedule (NUREG-0910).
Appropriate documents, including those necessary for an individual to understand the incoming allegation and its resolution, shall be placed in the NRC records system (PDR, LPDR, Occket File, Subject File, DCS) and must be treated to protect the identity of the alleger.
2.
A final report should be prepared that sets forth the facts about the allegation and its resolution clearly and conclusively.
The final re-port can be a memorandum for a relatively minor matter, an investiga-tion / inspection report, or a technical paper for a complex or major generic matter.
It can be an SER supplement for multiple allegations proximate to OL issuance.
It should not contain the name of, or material that could be used to identify, the a11eger (See Basic Requirement 054).
~
3.
The final report should include a summary of the concern, a descrip-tion of the evaluation performed and the conclusions drawn.
It should be written in..a.. style that does not belittle or disparage the alleger.
4.
Appropriate entries should be made in the AMS to close out the allega-tion.
5.
When the final report has been approved (i.e., the case is closed), all allegation documentation is subject to release under the FOIA with appropriate precautions to protect confidentiality.
Unti.1 that time, all allegation documentation is exempt from release under the FOIA in accordance with 10 CFR 9.5 Exemption (7) due to actual, or the potential for, law enforcement action.
File documents, however, are frozen by the F0IA request for release when the case is closed should a subsequent F0IA request be received.
Al-9 Approved:
MANAGEMENT OF ALLEGATIONS APPENDIX 1, NRC 0517 d.
Sensitive information such as the names of persons making allega-tions shall not be entered in the system.
All information entered
'on the form shall be unclassified and shall not contain any safe-guards information or any proprietary or commercial (2.790) infor-mation.
e.
Some allegations may.equire action by two or more offices.
For purposes of entering the allegation into the AMS either separate entries should be made for each Action Office for their assigned action or one entry may be.ade with the involved 0ACs 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.
Interfaces with the Office of Investigations The Office of Investigations has jurisdication over all allegations a.
of wrongdoing except those involving NRC employees or NRC contractors and will forward all allegations of a technical nature to the appropriate Office or Region.
The Office or Region will be responsible for entering all allegations--even those under the purview of OI--into the AMS using a Region or Office AMS number.
b.
For those allegations of wrongdoing, except those involving NRC employees or NRC contractors, assigned to the Region or ' Office:
l (1) The Region or Office OAC will coordinate with the OI Field Director or OI Headquarters representative to determine if sensitive information is included which should not be placed into the AMS.
All sensitive information is to be deleted and the word " sensitive" put in its place.
However an attempt should be made to provide descriptive material to assist the AMS user to the maximum extent possible.
(2) The Region or Office OAC will assign a Region or Office AMS number.
The OI assigned number should be entered in the AMS as a cross-reference.
(3) The name and phone number of the OI Field Director or OI Headquarters representative will be placed in the appropriate section of the form as the Action Office contact.
(4) The 0I Field Director will keep the Region or Office OAC apprised ~of the status of the allegation investigation and provide timely information necessary to determine the safety significance of the allegation to appropriate Regional or Office management and for use in updating the AMS.
Approved:
Al-11
MANAGEMENT OF ALLEGATIONS APPENDIX 1, NRC 0517 d.
Schedule the resolution of each allegation to be consistent with
- i. the licensing schedule and the safety significance of the alle-gation.
e.
Make a determination regarding the need for a board notification to NRR or NMSS.
If the initial board notification is preliminary in nature, a follow-up notification is sent to boards when evaluation is completed, or whenever significant relevant informa-tion is identified during the course of evaluating the allegation.
This determination should be made as soon as possible in accordance with the Action Office board notification procedures.
f.
Develop and maintain a working file for each allegation, which will contain all related documentation.
For those allegations comprised of multiple concerns, separate working files may need to be estab-lished for each concern.
g.
Provide status information to the NRR OAC for the AMS regarding items c-f, above.
h.
Thirty days prior to the construction completion date (appli-cant's estimate) 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 resolved before the construction completion date, with a recom-mandation as to whether any or all of them constitute grounds for delaying issuance of (or otherwise restricting) an operating i
license.
i Thirty days prior to a Commission decision on authorizing full-power operation, a report similar to item h above, will be prepared.
l j.
Ensure protection of the identity of all allegers when confiden-l tiality is requested or implied by their actions.
l S.
NRR OAC a.
Upon receipt of an Allegation Data Form and updates, the NRR OAC will perform a quality check and will transmit the information to the Office of Resource Management (RM) for input into the AMS.
This procedure will be modified when direct input or update capability-to the AMS can be obtained for Offices and Regions.
b.
~ NRR will coordinate with RM to provide Offices and Regions monthly status reports during the first week of each month.
The monthly report will include a list of all open allegations and a list of l
those allegations closed during the last 30 days.
The format for i
the status report is provided.(Exhibit 3).
l Al-13 Approved:
l a
NRC 0517, ExH1BTT 1 MNMEM M M M E INSTRUCTIONS 1*
Allegation Nueer Action Office fill in the boxes to uniquely iden-tify this allegation OFFICE official NRC office abbreviation for the Office responsible for followup activities.
YEAR last two digits of the calendar year in which the allegation was reported to NRC.
A identifies this number as an allegation numer.
NUl6ER sequential nueer assigned by the Office or Region responsible for the followup activities.
EXAMPLE The 24th allegation received by IE in 1982 would be shown as IE-82 A-0024 2.
Facility (ies)
Give the name of the facility (ies) or company (ies)
Involved about whom the allegation is made. Write the docket nueer, if appropriate, in the spaces to the right. If the allegation is made about a specific individual or if the information in this item is otherwise sensitive, write SENSITIVE. If more than three facilities or companies are in-volved write GENERIC.
6.
Description Briefly describe the allegation (1 or 2 sentences).
Se concise.
If an allegation includes several in-stances of technical deficiencies or wrongdoing, list the assertions separately or group them by type.
NOTE: If the description of the allegation is sensitive, write only SENSITIVE.
7.
Nu m er of Write the total numer of concerns given in the l
Concerns allegation. Note that each Office or Region any l
need to establish a working file for each concern.
i 8.
Source Check the box that most clearly oescribes the affiliation. DO NOT include the name of the indi-vidual making the allegation.
9.
Confidentiality Indicate whether confidentiality has specifically Requested been requested.
- 13. Safety _
provide an estimate of the safety significance of Significance allegation Example (a) Check "high" for an alle9ed def t-ciency in an operating plant that could have an issediate and great effect on public health and safety (b) Check " Low" for an alleged deficiency in a plant under construction that would have a minor effect on public health and safety
- 20. Did Disposition Check appropriate box (es) and briefly describe Result in Letter method of disposition (e.g., letter, technical to Modify or report, inspection report, SER, etc.) and identify Revoke License document.
- 22. Remarks Include additional information as appropriate.
EXAMLES:
list other allegations related to this allegation; list other NRC offices responsible for followup activities on this allegation.
- 23. Cross Reference Identify other related allegations and investiga-tions by alpha-numeric designation.
- 25. Applicant's Construction For plants under construction, enter the app 11 A
cant's estimated construction completion dater Completion Data there is no need to provide this information until 3 or 4 months prior to the estimated date.
- 26. Board Nottffcation Issued Indicate whether a board notification was issued.
l Approved:
El-2
. ?-.
i l
l
]
R-9246829 RUII DAIE 06/08/84 PAGE 8 D
z LIST OF ALL ALLEGATIONS
$9 m
FACILITY NAME ALLEGATI0H HUMBER COMIACI FT5 PNOME SIA1US 4
}
o l
ISISCS FIRE SEALS) mRIII-83-A-0029 W GULDEMOND 388-5608 SPEN l
AMERICAII TESIIIIS L ABS DIR4-83-A-0043 RK MERR 728-89It SPEN b
l AMERICAII IESIItte LASS RIV-83-A-0023 IF WESIERMAN 728-4000 CleSED m
l AMERSNAM CORP RII-84-A-0026 B URYC 242-4893 SPEN j
AREANSAS 182 RIV-St-A-0008 IF WESTERMAN F28-8500 SPEN
-4 ARKANSAS IS2 RIV-84-A-0048 IF WESTERMAN 728-8100 SPEN "o
ARMES FORCES RADISSISLOGY RES INST RI-83-A-0089 JD KINNEMAN 488-8252 SPEN z
ARIOS/ SAP CORP. MICNIGAll CITY. IN mRIII-84-A-0083 DJ SRENIAW5KI 388-5688 CLOSEB ATLAMIIC CITY MEDICAL CENIER RI-84-A-0024 JE GL ENN 488-8260 CLOSED j
AILAKilC NUCLEAR SERVICES RII-83-A-8107 GA TODD 242-4193 CLOSED AUBURN SIEEL MILL RII-83-A-0015 GA 10D0 242-4893 CLOSED a
BA0000$000. IllC.
RII-84-A-0049 B URYC 242-4893 CLOSED
'i BARCLAY INTERNATIONAL RIV-83-A-0082 IF WESTERMAN 728-8900 SPEN BASIC E00GINEER5 NATIONAL VALVE PA WIE-84-A-0003 EW MER50110FF 492-4572 OPEN 4
}
C BAV10 MIS INDUSI X-RAY CONSI 08 RII-83-A-002 GA 1000 242-4893 CLOSED i
e SEAVER WALLEY l RI-83-A-007
- )
LE TRIPP 484-1227 CLOSED 1
BEAVER VALLEY I RI-83-A-0080 LE TRIPP 488-1227 CLOSED 1
BEAVER VALLEY 9 RI-85-A-0084 LE TRIPP 484-1227 CLD5FD l
BEAVER VALLEY l RI-84-A-0006 LE IRIPP 488-8227 CLO5ED I
BEAVER VALLEY l RI-84-A-0007 LE IRIPP 488-8227 OPEN BEAVER WALLEY 2 RI-83-A-0088 LE TRIPP 488-1227 OPEN BEAVER VALLEY 2 RI-84-A-0009 LE 1RIPP 488-9227 OPEN BEAVER VALLEY 2 RI-84-A-0043 LE IRIPP 488-8358 OPLM BECNIEL R I V-8 3-A-00 3 5( * * )
IF WESTERMAN 724-8000 CLOSED BELLEFONTE l RII-83-A-0039 GA 1009 242-4893 CLOSED BELLEFONIE I RII-83-A-0040 GA TODD 242-4893 CLOSED BELLEFONIE I RII-83-A-0090 GA 1000 242-4993 CLOSED l
g SELLEF00 LIE 9 RII-83-A-St22 B URYC 242-4893 OPEN l
w BEL L EFDIIT E l RII-83-A-0123 8 URYC 242-4893 OPEN 3
3 BELLEF000fE l RII-84-A-0001 B URYC 242-4193 OPEN m
1 BELLEFONIE 1 RII-84-A-0009 GA 1000 242-4193 OPEN x
]
Q BELLEFONTE I RII-84-A-0036 JB LAttKFORD 242-4894 OPEN 3
BELLEFS401E I RII-84-A-0052 JB LABIRFORD 242-4894 CLOSED cp i'
BEST IIIStBSIRIES INC. ARLINGTON VA RII-84-A-0027 A TILLMAN 242-5683 CLSSED
~
l BEINESDA NSSP. CINCINNATI OMIO RIII-83-A-0078 DJ SRENIAW5KI 308-5681 CLOSED BIS ROCK POINI RIII-85-A-0067 LR GREGER 388-5644 CLO5ED (d
s BER WASTE DUMP M. COVINA. CA RV-84-A-004l RD THOMAS 463-3763 CLOSED i
8086 MARIIER RIV-43-A-0029 IF WESTERMAN 728-8100 OPEN 2
BORIDE PeteuCTS INC II I V-8 3-A- 006 0 RK HERR 728-8190 OPEN i
B0 VARI ELEC1RIC INC OIR4-83-A-0077 RK MERR 728-Site OPEN SPS INSIRUMENIS INC. EVAN5 VILL. IN RIII-84-A-0030 DJ 5REMIAMSKI 388-54II ClSSED j
BRAIBMOOD t mRIII A-50 te(** )
W5 LIITLE 388-5578 OPEN
~
N l
i i
j
...MUL.TIPLE FACILIIIES ASSOCIAT.ED WIIN THIS ALLEGAIION NUM0ER u