ML20204H025
| ML20204H025 | |
| Person / Time | |
|---|---|
| Issue date: | 08/01/1986 |
| From: | NRC OFFICE OF INVESTIGATIONS (OI) |
| To: | |
| Shared Package | |
| ML20204H001 | List: |
| References | |
| FOIA-86-183 83-016, 83-16, NUDOCS 8608070443 | |
| Download: ML20204H025 (6) | |
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OfflCE Of INVESTIGA110NS INVLSilGAllVE PROCfDURL MLMORANDUM NO.83-016
SUBJECT:
BOARD N011FICAT10N PROCEDURES FOR ALLEGATIONS OBJECTIVE W
To provide the appropriate NRC staff office with information regarding al'lega-tions received by 01 from sources outside NRC hich may be subject to a Board Notification (BN).
BACKGROUND
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There is a Corcnission approveo agency-wide p licy regarding notification of Licensing Boards, Appeal Boards or the Co=nission of new and potentially important information which the technical staff believes to be relevant to one or more proceedings pending before the Boards or the Cocnission.
Broadly stated, the policy calls for all NRC personnel to be alert to the emergence of such infora.atior. -from outside sources or within the NRC--which is potentially relevant to a pending adjudication.
This information must be channeled, tooether with the recommendation that it go to the Board (s) and with the rationale for that recom.endation, to the Director of Licensing, NRR, or NMSS's Board f;otification Coordinator for further assessment and reco=.enda-tion (see NRR Of fice Letter 19, Rev.1, attached).
APPLICABillTY The policy on Board Notification recuires that Boards be provided new informa-tion developed or received within thirty (30) days prior to the start of the evidentiary bca rings.
Thereupon, the Board Notification period extends until the adjudication becomes final within the Commission, i.e., until completion of Comnission revicw or Cor4nission election not to review it.
Information received prior to the board notification period is simply factored into staff documentation (e.g. Safety Evaluation Report) which goes to the Boards in the normal course of evcots.
It applies to all construction permit and operating license proceedings regardless of the specific issues which are in controversy.
Mc.rver, for opercting lio-nse a: rM.:nt !.:arings, Ercrd Nutificetion is lir..ited to infor-mation on issues under consideration in the hcaring.
If an allegation (information) ultimately results in a Board Notification, all parties to the adjudicatory proceeding as well as the Board (s) will be provi-ded with the notification.
GiNIRAL POLIC7 All allegations received directly_ by 01 Ir.vestigctors from a source outside NRC which may be subject to a EN shall be pr0 ptly transmitted to the appro-priate NRC s taf f of fice (when r eceived by hcadt.uarters ir.vcstigators) or s eg;enal of fice (when received by ficld ir..estigctors) for their review, evaluction cr.d r i ccm:ndc tic n for a SN.
8608070443 860801 PDR FOIA CARDE86-183 PDR
h, .
e PROGRAM REQUIRLMLNIS a
s 01 Investiaators All allegations received directh by 01 Investigators from a source outsid(
NRC which m'ay be the subject of a BN should be promptly transmitted to the appropriate staff office (NRR, NMSS) when received by headquarters investigators or regional office when received by field investigators.
The transmission will be made through the cognizant 01 supervisor within twb,
working days.
In the case of a Field Office, OI:HQ should be promptly,'. ~
informed concurrent with the transmittal of the information to the cognizant regional office. *j This applies to allegations which relate to a facility which isThe subject of an adjudication which has reached the BN stage as explained above,**' regardless of whether thc allegations will be handled through inspection or investigatory effort.
It is incumbent upon all 01 investigative personnel to always view any allegation information they may directly receive, not only from the perspective of its potential investigative merit, but also whether or not it may require a Board Notification.
Field Office Director / Director, Division of field Operations a) Reviews allegations identified or received directly by investigators supervised by them.
Transmits the allegations within two working days to the appropriate region or in the case of Director,DF0 to the appropriate staff office (NRR or fiMSS).
The priority in which such an investigation is placed will be determined through discussion between the appropriate 01 Field Director and Ol:HQ.
b)
It will be the responsibility of the DF0 to transmit to the appropriate staf f office any update information af fecting a previously issued BN.
The Field Office Directors will ensure that such updated information when identified by the Field Office, is transmitted to the DF0 within 2 working days after its receipt.
c) Director, DF0 in consultation with the cognizant Field Office Director reviews and concurs in BN's initiated by the staff office regarding allegations which are the subject of an 01 investigation to ensure that the BN is suf ficiently informative but does not provide infornation which if relrased would cceprcmise that investigetion.
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The information is in turn provided to NRR or NMSS by the Region for further assessment to determine whether the information is subject to a j
BN.
If the infornation is subject to a BN and it relates to an 01 2
investigation, 01: HQ reviews the BN to insure the information will not cocpromise the investigation.
-++j Allegations received from an outside scurce althcugh not subject to
-j this 01 BN procedure shall also be pre"stly trcnswitted to the apprr.priate region or staff of fice either by the field Of fice Director or j
Director, Division of field Opcrations.
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REFERENCES for additional background information refer to Inspection and Enforcement -
Manual Chaptgr 1530, NRR Office Letter 19 (revision 1), NRR Office Letter 37)
SECY-82-122,:and SECY-82-340.
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MANAGEMENT OF ALLEGATIONS November 1982 - Allegation Tracking System ( ATS) established by EDO.
December 8,1982.- NMSS Interim Procedures issued.
September,1984 - Proposed Manual Chapter 0517, " Management of Allegations."
ED0 has directed that the proposed MC serve as policy until the final MC is issued.
Applies to all NRC employees.
Allegation:
A declaration, statement, or assertion of impropriety 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, individuals or organizations outside 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, e.g., 2.206 petitions, hearing boards, appeal boards, etc.
Issues arising in these proceedings but remaining unresolved are to be entered into the AMS.
Threshold:
For entering into AMS, virtually any allegation is to be entered.
No screening out before entry in system except for duplication.
Evaluation of significance takes place after entry into AMS, during Action Office review and followup activities.
procedures:
Staff member receiving allegation
- Obtain as much information as possible about allegatio and about identity of alleger for followup.
- Contact Office Allegation Coordinator (OAC)
- Coordinate with Action Office as necessary.
- Complete Receiving Office portion of NRC Form 307, " Allegation Data Form."
0AC will send form, along with any additional background information, I
to Action Of fice.
Action Office completes its part of form and sends it to NRR for entry into AMS.
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Action Office ensures that all allegations are promptly assigned and properly evaluated, and that followup actions and resolution are documented in files.
l Resolution is provided to alleger and is placed in agency files (DCS, pDR, I
Docket File, etc.).
r Confidentiality:
Routine:,
- Protect identity of alleger.
- Don't enter identity of alleger into AMS.
"Need to know" basis for disclosure of identity to other staff.
Express promise of confidentiality (written agreement):
- Use only when necessary (requested or implied by alleger).
- Agreement may be signed only by Office Director or RA.
Responding to Allegers:
- Respect, consideration, and tact.
- Prompt response, personal contact by letter, telephone, or personal meeting.
- Advise alleger of results of followup action.
Screening and Evaluation of Allegations
- See Appendix 1, page Al-7.
- Significance to safety and' generic implications.
Identify immediate safety concerns - more serious ones addressed first.
- Identify other issues.
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- Board Notification if appropriate.
- All allegations addressed as promptly as resources will allow, but l
usually within 6 months of receipt.
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- Screen to determine whether further review is warranted:
Assuming information to be true,
- 1) would it lead to denial or conditioning of license or further investigation or analysis by NRC? and
- 2) does it provide any ne'w information not already considered or under consideration by NRC?
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- Determine how to address issues.
Inspection?
Licensee evaluation?
Other?
Screening and Evaluation of Allegations (cont'd)
- Notify, other offices or agencies affected.
- Wrongdoing By licensees - refer to 01.
By NRC employees - refer to OIA.
"As soon as possible after the receipt of an allegation and the relevant information has been reviewed and evaluated, the Action Office will make a preliminary determination of the safety significance of the item and the need for immediate regulatory action. This determination will be reported in the next AMS update."
- For reactors, 30 days prior to scheduled construction completion date for each pending OL, each Action Office will forward to DL/NRR an evaluation of the safety significance of all allegations not scheduled to be resolved before the construction completion date, with recommendation as to whether any or all of them constitute grounds for delaying issuance of (or otherwise restricting) an operating license.
- Before taking a licensing decision, review the status and resolution of allegations affecting that license or facility.
Documenting Allegations
- Documentation in Allegation File and provide AMS updates to keep management informed.
- Preliminary determination of safety significance.
- All followup actions and evaluations.
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- Resolution.
- AMS close-out.
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- Treat documentation to protect identity of alleger.
- Copy of final report sent to alleger and placed in NRC records system.
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%,**60 APP, 2 4 1o84 MEMORANDUM FOR:
EDO Office Directors Regional Administrators FROM:
William J. Dircks Executive Director for Operations
SUBJECT:
RELEASE OF INFORMATION TO LICENSEES REFEREKCE:
Memo, Dircks to Office Directors and Regional Administrators, " Policy in Regard to Dealing with Those who Provide Information to the NRC," dated January 6, 1984 The reference above deals with the general issue of dealing in a prompt and efficient manner with information provided to NRC with due regard for confidentiality of those who provide such information. This memorandum deals with the narrower issue of release of such information to licensees / vendors.
In addition to the need for expeditiously resolving any issue related to safety, recent experience has shown that considerable resources are being used to deal with allegations for NT0L plants. The policy set forth in the memo is intended to improve this situation.
The principal guidance on this point is that the licensee / vendor should be advised of potential safety concerns raised by allegations as soon as feasible in order that appropriate review and subsequent action can be taken to protect the health and safety.
I expect that once infonnation from allegers is received, and the Office / Region understands the information, that the licensee will be advised specifically by letter of the area of concern and will be requested to address it, subject to further audit by NRC. However, the anonymity of sources should be protected and the effectiveness of investigations / inspections should not be compromised, i.e.,
premature release should not allow licensees the opportunity to cover up problems or appear to do so.
There are two exceptions to this guidance. The first exception is where we cannot release the information with sufficient detail to be of use to the licensee / vendor without compromising the identity of the confidential source.
In such a case release should normally not be made unless the release is necessary to prevent an imminent threat to the public health and safety I should be consulted in any case where it appears a need to release c5 M% 6 kl3 e
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the identity of a confidential source. The second exception is where a licensee / vendor could compromise an investigation or 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 should make the decision of whether or not to release the information to avoid compromising NRC action.
I recognize that 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 this policy are enhanced. However, at such a time, the requirement for a licensee to know where his problems lie is also high. We should concentrate on organizing the process in order to deal with these particular situations.
I am requesting that IE incorporate this policy in an appropriate Manual Chapter.
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