ML20211K800
| ML20211K800 | |
| Person / Time | |
|---|---|
| Issue date: | 11/06/1984 |
| From: | Murley T NRC OFFICE OF INSPECTION & ENFORCEMENT (IE REGION I) |
| To: | NRC OFFICE OF INSPECTION & ENFORCEMENT (IE REGION I) |
| Shared Package | |
| ML20211K772 | List: |
| References | |
| FOIA-86-183 NUDOCS 8612150163 | |
| Download: ML20211K800 (29) | |
Text
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NOV 6 1984 MEMORANDUM FOR:
All NRC Region I Employees FROM:
Thomas E. Murley Regional Administrator
SUBJECT:
NRC REGION I INSTRUCTION 1200.10 Attached is a revision to' Region I' Instruction No. 1200.10, " Processing Allega-tions and Complaints," and' interim
- guidante' from the' Executive rDirectoc of T
Opeestians.on the same subject. The EDO has provided general guidance on how to handle allegations and this instruction implements that guidance for Region I.
In order that all allegations receive prompt attention it is incumbent upon you as Region I employees to familiarize yourselves with and follow these in-structions. Based on the experience we have gained from nandling allegations under the current instruction, I wish to highlight the following points:
Any individual who receives an allegation should exert every effort te transfer the alleger to the Action Office Contact, normally the Section Chief having project responsibility, and to promptly notify the Office Allegation Coordinator.
The procedures and time restraints set forth in this instruction are
' designed to assure that the safety significance of any allegation is properly analyzed and addressed.
Allegations having obvious safety significance should be immediately brought to the attention of your supervisor without regard to the time provisions of the instruction.
Unless required in order to protect the public health and safety, contact with the licensee will not be initiated unless such contact is approved by the Allegation Panel Chairman.
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"'l-almgMWaTt*THft'whoutv499 If for safety significance reasons, an Allegation Panel meeting is to be held promptly following receipt of the allegations (s), OI must be provided as much prior notification of the meeting as is possible.
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GARDE 86-183 Thomas E. Murle
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o RI 1200.10 REGIONAL INSTRUCTION 1200.10 PROCESSING ALLEGATIONS AND COMPLAINTS PURPOSE This instruction establishes internal procedures for the receipt, processing, control and disposition of allegations and for the accurate and timely updating of the status of those allegations for which the Region is the Action Office, in accordance with Interim Manual Chapter 0517 (attached as Appendix A to this Instruction).
ACTION 1.
All Region I technical and administrative staff members should become familiar with the procedures for processing allegations as outlined in the enclosures and appendix to this instruction.
2.
Those individual staff members, primarily resident inspectors and Region I staff inspectors, who can expect to receive the majority of allegations, should become fully familiar with the policies and procedures set forth in detail in the enclosures and appendix to this instruction to assure that required actions are carried out.
3.
It is the responsibility of the Office Allegation Coordinator (OAC) to provide the required training to ensure that Region I staff members are fully informed regarding their responsibilities in the proper management and handling of allegations under this instruction and in accordance with the NRC Manual Chapter " Management of Allegations."
4.
It is the responsibility of Region I staff members who receive allegations to immediately forward such allegations to the Action Office Contact (AOC) and the OAC, and it then becomes the responsibility of the AOC to assure that the receipt of such allegation is promptly documented in accordance with this instruction. hwehe espee9n r
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CONTACT Questions or comments regarding this Instruction should be directed to the Regional Counsel.
Approved:
Thomas E. Murley Q
Regional Administrator Date:
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Enclosures:
See Attached Table of Contents for Enclosures
TABLE OF CONTENTS FOR ENCLOSURES - Overview of an A11egation's Progress Through Region I - Responsibilities - Allegation Receipt Report - Allegation Traveler - Letters to Allegers - Interface with the Office of Investigation o
Ar 'ndix A - Proposed NRC Manual Chapter 0517, " Management of Allegations" Ap;.endix B - NRC Announcement No. 85 of September 10, 1984 l
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i Overview of an A11egation's,orogress Through Region I Immediately following the receipt of an allegation or becoming aware of infor-mation indicative of improper activities:
The receiver of an allegation made by telephone should exert every effort to transfer the alleger to the AOC and promptly notify the OAC.
It then becomes the respons4441ty tf*the-AOC*to-decument-thes-tofor-mation.oa.4n. Allegation Receipt 4eport fdreiMRe-Regien"P'Fbtm*T07, revised 6/84) (see Enclosure 3).
All allegations received through means other than the telephone (letters) should immediately be forwarded to the AOC.
In the rare instance where an allegation cannot be transferred immediately to the AOC, as soon as possible and, in any event, no later than two (2) working days from receipt of the allegation, fill in a Form 207 and forward this information, by hand, to the appro-priate AOC for the facility about which the information has been received and the OAC.
TWwih.in(tieten% eft..ach::u4d;xx;-er o"v"s=kMer (see
- ), as applicable, and fe. me the Acknowledgement / DOL letter and Allegation Receipt Report +^- W N ienet ^/4 f::
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The OAC processes the information received by issuing a file number in accordance with the Allegation Management System's (AMS) numbering system, preparing an NRC Form 307 (Allegation Data Form), initiating NRC:RI Form 238 (Allegation Traveler), contacting the Allegation Panel Chairman (appropriate Division Director) to schedule an Allegation Panel Meeting before notifying the Branch Chief, Section Chief and other pertinent personnel, as necessary, such as 01:RI, DOL contact, etc., as to when and where the meeting will be held; 7g ;;;
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.vu to eva' uate the appropriate action (s) to be taken; Following the Allegation Panel meeting, the OAC will complete the Allegation Traveler; Any subsequent information received will be duplicated with the original information being forwarded to the OAC master file; On - "
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wiso The letter to the alleger will restate the alle-su ue. msmoucu.
gation, review the actions taken, and enclose such related informa-tion that documents the areas pursued to resolve the matter. This
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letter is sent to the alleger and the allegation file should be on l
the blind carbon copy list with enclosures.
The close out letter l
and its enclosures should contain sufficient evidence establishing that an allegation has been resolved.
However, in the event that such a letter is not being prepared to the alleger, a memorandum with the same information will be addressed to the OAC which identifies the allegation file number, and the facility in the subject line, and encloses such related information which documents the action (s) taken to close the allegation (in cases where only specific pages of a re-port are provided, include the inspection period dates, the date of the letter forwarding the report to the licensee and the report num-ber in the upper right margin);
At the completion of the allegation resolution process, appropriate documents will be placed in the NRC records system (PDR, LPDR, docket file, subject files, DCS). Documents to be retained in the allega-tion files include those necessary for an individual to understand the incoming allegation and its resolution.
Any records so dis-seminated must be treated to protect the identity of the alleger.
The Section's File on the allegation will be forwarded to the OAC once the allegation is closed out.
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Responsibilities A.
Section Chief (AOC)
Carries out the responsibilities as the Action Office Contact (AOC) which identifies him as the person with the responsibilities of resolving allegations from a technical standpoint; Possesses the option of recontacting an alleger prior to the allega-tion panel meeting.
It is recommended that this authority be exer-cised when information is vague or the allegation is received in writing; Ensures that the Allegation Receipt Report (NRC Region I Form 207) is filled out properly and in detail; Prepares the Acknowledgement / DOL letter (see Enclosure 5);
Forwards the Acknowledgement / DOL letter and Allegation Receipt Report to the OAC; Attends the Allegation Panel Meeting and recommends a planned course of action. Normally, no action will be taken prior to the Allegation Panel Meeting unless required in the judgement of the AOC for health and safety reasons.
Provides information to the OAC such as: course of action, originals of documentation or updated information, estimated action completion date of inspection and its documentation, etc.;
Assigns personnel to resolve matters in the manner determined at the i
Allegation Panel Meeting; Approves Allegation Traveler (NRC RI Form 238) prepared by the OAC; Maintains the duplicated allegation file I,rovided by the OAC or delegates that responsibility to an appointee; Signs the Acknowledgement / DOL letter and assures that it is processed out of the Region; Responsible for the receipt of all technical information from all technical staffs who may provide inspection or investigative support; Responsible for drafting all outgoing correspondence connected with an allegation including correspondence to allegers, licensees, the j
OAC, from the Regional Administrator to the Office of Investigations, t
etc., as necessary;
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2 Responsible for ensuring that licensee follow-up actions are docu-mented and that licensee response to allegations are appropriately considered in the SALP process.
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Responsible for maintaining cognizance of issues including timely review and resolution of issues; and l'
Responsible for the documentation of closecut information and close-out correspondence to the alleger and/or 0AC.
Responsible to ensure that closeout documentation, when not an in-spection report, is entered in the NRC records system as specified in Appendix A, Part VII, Allegation Resolution Documentation," (page Al-9, paragraph 1).
As soon as possible after the receipt of an allegation and the rele-vant 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 deter-mination will be reported in the next AMS update.
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B.
Allegation panel This panel will meet within five working days from the date that the al-legation is received by the OAC and will identify the scope of the allega-tion; identify the technical and investigative lead for the resolution of the allegation; and, formulate an overall plan for resolving an allegation.
This Panel will consist of:
The appropriate Division Director (Chairman of the Panel)
Branch Chief Section Chief (Action Office Contact) a Office Allegation Cor rdinator Director, Office of Investigations (at his discretion)
Any personnel who will delegate or serve as technical support in resolving an allegation The action plan for the solution of the allegations should include a schedule which anticipates estimated completion dates (ECD). It is during this initial Panel meeting that a determination will be made whether the allegation involves a licensing issue warranting referral to NRR or NMSS and/or whether it involves matters requiring referral to another NRC office or federal agency. The Allegation Panel, in consultation with the jf Regional Administrator when appcopriate, shall determine what notificationsif outside the Region are appropriate including licensing boards.
Except in cases where there is an immediate threat to the health and safety of the public (including licensee employees), no actions will be taken to verify the validity of the allegations or concerns, nor shall such matters be discussed with the licensee until after the Allegation Panel has had its initial meeting.
Except for those allegations that involve conditions that require immedi-ate action such as theft of Special Nuclear Material, sabotage, and im-mediate threats to the health and safety of the public that are governed by other NRC procedures the Chairman of the Al-legation Panel shall convene the Panel to evaluate the Allegation.
Division Directors have the authority to transmit any letter to a licensee that concerns safety when requesting licensee action.
The Division Director, as Chairman of the Allegation Panel, will not transmit such a letter when (1) the identity of an alleger will be directly or inc'irectly compromised, or (2) an investigation or inspection could be compromised because of knowledge gained from the release of information.
In these cases, prior to his own action, he will notify the Regional Administrator who in turn will notify the EDO, who in turn will approve or disapprove such action.
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4 bL n0 The Chairman of the Panel is also responsible for interpreting information f
and determining if such information is, in fact, an allegation anytime
- i there is a doubt or question.
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$l The technical staff is responsible for development, initiation, and follow F
through on corrective actions. There are several areas which should be considered by the Panel during the initial review and evaluation of the p
allegation. These are as follows:
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What specific safety issue is involved in the allegation and is it an f
issue that can be adequately addressed by a technical inspection?
(:I Is there an immediate safety concern which must be quickly addressed?
h Is the allegation a specific safety or quality issue or a generalized concern?
L-i Has the staff previously addressed this issue?
i Determine whether the allegation package contains sufficient infor-(
mation for a thorough evaluation.
If it does not, identify the additional information needed and how it should be acquired.
C Determine whether all aspects of the allegation are adequately F
defined and described to permit or require a meaningful and extensive evaluation. This is a screening process that may result in a decision to not consider the allegation further. If the latter is the decided course of action, the alleger should be so informed in a courteous and diplomatic manner along with the rationale for not considering it further. The potential for adverse publicity must be recognized when taking this action.
Determine whether the identity of the alleger is necessary for a thorough evaluation.
Determine what specific issues are involved in the allegation and whether the issues can be adequately addressed by a technical inspection.
Determine if the allegation can be examined and resolved during a routine, scheduled inspection.
If this is not possible, determine the best way to address the issues.
Determine whether licensee / vendor resources can reasonably be used in resolving the allegation to conserve staff resources.
Consider po-tential problems associated with " turning the issue over to the licensee."
Determine the time sensitivity of the allegation and what immediate actions are necessary.
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5 Determine whether the allegation has the potential to require es-calated enforcement action.
j Determine' the time sensitivity of the allegation, and what immediate actions are necessary.
Determine whether licensee / vendor resources can reasonably be used in resolving the allegation to conserve staff resources. Consider po-tential problems associated with " turning the issue over to the licensee."
Determine whether investigative assistance will be needed.
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Identify peripheral issues that could develop.
i Consider if any licensing actions or board proceedings are pending which could be influenced or affected by the allegation.
When an allegation involves a case pending before a licensing or appeal board or the Commission, information. concerning it should be provided to j
NRR or NMSS as soon as possible to assist in the determination of whether or not a board notification should be made.
Determine if other NRC Offices that may have an interest should be l
notified.
Within 30 days of the receipt of an allegation, the Region will make 4
a preliminary determination of the safety significance of the item and the need for regulatory action.
(Similar to the approach to the review of Section 2.206 petitions.)
1 Establish a schedule for-the resolution of each allegation which is consistent with the licensing schedule, if applicable.
Notify the OAC when status changes or action (s) is complete.
j The Chairman of. the Allegation Panel will delegate personnel to notify the Public Affairs Office in matters where they may be con-i tacted or the public will require notification.
1 In cases where allegations are given to the regional staff by: (1) a member of the news media, or; (2) where the news media acts as an intermediary between the regional staff and an alleger, or; (3) when i
you are contacted by a member of the news media about allegations previously received from someone else, inform the PA0 of this media involvement.
For power reactors, during the period from 30 days prior to the con-1 struction completion date until the Commission meeting on full power-4 authorization, the Receiving Office.or Action Office for any allega-tion will, wi ject Manager thin 2 working days, telephonically notify the NRR Pro-j i
of iTT receipt and tne identificatT N tion F
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Office in addition to completing the Allegation Data Form.
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6 Consider the Region's action, if any', and the appropriate acknow-ledgement to the alleger in accordance with Appendix B.
Final resolution of an allegation shall be documented and placed in the
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allegation master file along with all supporting documentation. The final report will be made a part of the Region's docket files and should state L.
the facts clearly, in a style that does not belittle or disparage the
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alleger.
For those allegations resulting in the need for corrective action, the
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affected organization shall be properly informed.
One vehicle for ac-complishing this for reactor facilities is a 10 CFR 50.54(f) letter, for b
material licensees a 10 CFR 30.32(b) letter, and for fuel fabricating licensees a 10 CFR 70.22(d) letter.
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C.
Office Allegation Coordinator (OAC)
The OAC serves as a focal point for administrative processing and control of all allegations received by the Region. The OAC is responsible for:
tracking allegations from initial receipt to final resolution; the establishment and maintenance of files that clearly identify a
allegations received by the Region; documenting the actions initiated to resolve such matters; ansuring that management and cognizant staff are informed of,allega-tions under their purview and kept current on the status of such allegations by providing accurate and timely information to the AMS, and by briefing management on the proposed final resolution of allegations; ensures that the final resolution is properly documented; assists technical staff members who are reviewing allegation infor-mation, primarily in the form of coordinating activities, necessary to resolve issues; assists in the formulation of a course of action to resolve issues; provides the required training to ensure that Region I staff members are fully informed regarding their responsibilities in the proper management and handling of allegations; ensures that the appropriate parts of the Allegation Data Form (NRC Form 307, Enclosure 7) are completed for all allegations received within the Region and that the requested data is accurate and for-warded within 10 days to the NRR AMS Coordinator; determines the appropriate Action Office and coordinates with the OAC of the affected Office or Region on each allegation received by Region I and forwards all applicable information to the respective Action Office when Region I is not the Action Office; when appropriate, the OAC will forward a copy of the Allegation Data Form to the resporisible headquarters licensing office (Office of I
Nuclear Reactor Regulation (NRR) or Office of Nuclear Material Safe-guards and Security (NMSS) OAC) within 10 working days of receipt of an allegation; NOTE:
For power reactors, during the period from 30 days prior to the l
construction completion date until the Commission meeting on full power authorization, the Receiving Office or Action Office for any allegation will, within 2 working days, telephonically notify the NRR Project Manager of its receipt and the identification of the Action Office in addition to l
completing the Allegation Data Form.
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updates the AMS printout for forwarding to the NRR AMS Coordinator by the 25th of each month in an
" addressee only" envelope to,
" Allegation Management System, Program Support and Analysis Staff, Phillips Building, Room 528;
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assign an Allegation Management System (AMS) number; I
contcct OI telephonically or in person so OI can review and,.if so
.7 desired, attend the Allegation Panel Meeting; f
log the AMS number, site and date of receipt in the Region I Status a
y Tracking Notebook; L
prepare NRC Form 307, NRC Region I Form 207 and the Acknowledgement /
i DOL letter to the alleger; i
schedule the allegation panel meeting; prepare NRC Region I Form 238; prepare the forwarding memo from the OAC to the applicable Division Director which states the date of the allegations receipt; the date of the Allegation Panel Meeting; and includes RI Forms 207 & 238 and NRC Form 307 for which the Division Director's, as Chairman of the Panel, signature is required on RI Form 238 as approval for the action completion schedules; fax the Allegation Data Form (NRC Form 307) to Headquarters (NRR AMS Coordinator);
distribute a sanitized copy of the Allegation Receipt Report, the Allegation Data Form, the Region I Allegation Traveler 238 and memo from the CIC to the applicable Division Director and "cc list";
ensure that the Region I Status Tracking Report is accurately main-tained to cross reference the AMS for a timely, up-to-date, monthly submittal; ensures the distribution of the Region I Status Tracking Report by the 5th of each month; ensures that the safety significance, as determined by the Action Office Contact, is entered into the AMS.
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j Enclosura 3 Allegation Package for section Chiefs ALLEGATION RECEIPT REPORT Date/ Time Received:
/
Allegation No.
(leave blank)
Namei Address:
Phone:
City / State / Zip:
Confidentiality Requested:
Yes__
No Implied Alleger's Employer:
Position /
Title:
Facility:
Docket No.:
Allegation Summary (brief description of concern (s)):
Number of Concerns:
(For Allegation Panel Only)
Employee Receiving Allegation:
(first two initials and last name)
Type of Regulated Activity:
(a) _ Reactor (d)
Safeguards (b)
Vendor (e)
Other:
(c)
Materials (Specify)
Materials License No. (if applicable):
Functional Area (s):
(a) Operations (e) Emergency Preparedness (b) Construction (f) Onsite Health and Safety (c) Safeguards (g) Offsite Health and Safety (d) Transportation (h) Other:
NRC Region I Form 207 (Revised 6/84)
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Page of Detailed Description of Allegation:
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NRC Region I Form 207 (R2 vised 6/84) 1
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g eJnsatou3 Deta f f ed Description of Alle9ation (Cont'd):
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ALLEGAT!oN TRAVELER Date Allegation Received by OAC:
Allegation No.:
Panel Meeting Date:
Panel Meeting Attendees:
(Division Director)
(Branch Chief)
(Section Chief)
(OAC)
(Other/ Title)
(Other/ Title)
Safety Significance:
Applicant's Estimated Fuel Load Date (Construction Only):
Planned / Completed Follow-up Actions (complete as applicable):
Special Notification (s) Required:
01:RI Enf. Coord.
NRR/NMSS Proj. Mgr Hearing Board Other:
Completion Date Estimated Actual Recontact Alleger for Add'l Info:
/
Send Acknowledgement Letter to Alleger:
/
Send Notification / Request Letter to Licensee:
/
Date Licensee's Response Requested:
/
Raview Concerns during Inspection:
/
Routine Special Resident Regional
/
(IR No./date documented)
Pr:: pare Transfer memo to 01:RI.
/
Review Concerns During Investigation:
/
Case No.:
Review Investigation Documentation:
/
Prepare Inquiry Memo (if no inspection / investigation)
/
Send Closecut Letter to A11eger/ Memo to OAC
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Recommended by:
Approved by:
(Section Chief)
(Division Director)
NRC Region I Form 238 (June 1984)
4.
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ENCLOSURE 5 LETTERS TO ALLEGERS A.
Policy Allegations shall be acknowledged by a letter to the individual wh sented the allegation.
The purpose of the letter is to assure the alleger o pre-that his/her concern will be examined.
In addition other follow up letters may be required in order to properly address an, allegation B.
Responsibility signature of the responsible Section Chief.The OAC will n or the No member of the Region I staff will prepare andcurrenc dence to allegers without first coordinating such action with the OAC responsible Section Chief to ensure that a single point of contact is ma and tained with the alleger and to ensure that l
n-complete.
Generally, there are several the allegation case file is sent to illegers by certified or registered mail. types of letters which could be These are as follows:
1.
Normal first acknowledgement letter 2.
Request for Additional Information 3.
Close out for Lack of Response 4.
Close out for Action Completed 5.
Referral of Allegation to Another Agency Samples of some of the above letters are attached to this Enclosure of example, however, you are encouraged to draft a letter that is y way priate for the particular case in consultation with the responsible Bra and Section Chief.
cl Acknowledgement Letter to the Alleger Form Docket No.
File No.
RI-84-A-Name:
Address:
City, State, Zip:
Dear (Alleger):
Subject:
- Allegation (s) against (facility / licensee)
This refers to your with (letter, telecon, etc.)
(inspector,etc.)
of the Region I staff on in/during which you (date) alleged We have initiated actions to examine the facts and circumstances of your concern (s) and you will be informed of our findings.
With respect to your request for confidentiality, I can assure you that we will make every effort to handle this matter in such a way so as to maintain your confidentiality.
Our procedures to ensure confidentiality include limiting access to documents which contain your identity, preparing documentation in which your identity is not mentioned, and other procedures which limit the re-lease of your identity on a strict need-to-know basis. However, I would like to point out that licensees can and do sometimes surmise the identity of indi-viduals 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 to a licensee the accuracy of their assumption.
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Acknowledgement Letter to the Alleger Form - Page 2 of'2 In closing, let me assure you that we will evaluate and conduct an appropriate follow-up on the issue (s) you have brought to our attention.
It is concerned i
individuals such as yourself, who, in bringing such matters to our attention, assist us in meeting our responsibilities for protecting the health and safety c
of the public. Should you have additional questions, or if I can be of furthei-assistance in this matter, please do not hesitate to contact me.
Sincerely,
, Chief Reactor Projects Section Division of Projects and Resident Programs Tel:
bec:
Allegation File Concurrences:
Section Chief Branch Chief Division Director
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DOL Letter to the A11eger Docket No.
File No.
Name:
Address:
City, State Zip:
Dear (Alleger):
Subject:
Allegation Against That Includes A Discrimination Complaint This refers to your conversation with on in which you expressed concerns related to physical security practices at We have initiated actions to examine the facts and circumstances of your concern (s) and you will be informed of our findings.
With respect to the matter of your termination, the United States Department of Labor (DOL) is responsible for handling such complaints.
Therefore, we suggest you contact DOL for resolution of your complaint.
A copy of DOL's
" Procedures for Handling of Discrimination Complaints Under Federal Employee Protection Statutes" is enclosed.
(The confidentiality paragraph should be inserted here if applicable.)
In closing, let me assure you that we will evaluate and conduct an appropriate follow-up on the issue (s) you have brought to our attention.
It is concerned individuals such as yourself, who, in bringing such ' matters to our attention, assist us in meeting our responsibilities for protecting the health and safety of the public.
Should you have additional questions, or if I can be of further assistance in this matter, please do not hesitate to contact me.
Sincerely, Chief Reactor Projects Section Division of Project and Resident Programs 4
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Enclosure:
As stated bcc w/ encl:
J. Gutierrez 5-Branch Chief Section Chief D. Holody Allegation File Concurrences:
Section Chief Branch Chief Division Director E
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occner no.
FILE No.
(NAME)
(DATE)
(ADDRESS)
(CITY, STATE, ZIP CODE) 4
Dear (Mr.)(Mrs.)(Ms.)(Miss) (LAST NAME):
SUBJECT:
{ STANDARD INTRODUCTORY PARAGRAPH)
This refers to (TELEPHONE CALLS, MEETINGS AND/0R LETTE concerns related to (GENERAL AREAS OF ALLEGATION) practices at ressed AND/0R SITE).
(STANDARD PARAGRAPH - INQUIRY INITIATED)
We have initiated actions to examine the facts and circumstances of cern(s) and you will be informed of our findings.
our con-(STANDARD PARAGRAPH - ACKNOWLEDGE REQUEST FOR Regarding your request for confidentiality, every effort to handle this matter in such a way so as to maintain your ity.
Some of our procedures to ensure anonymity ym-documents which contain your identity, include limiting access to identity is concealed, and other internal procedures which limit thpreparing tion of your identity on a strict need-to-know basis.
e dissemina-out however, that of individuals who provide information to us because o formation, or other factors beyond our control.
n-neither confirm or deny the accuracy of their guess.In such cases our policy is to (STANDARD PARAGRAPH-CLOSING)
In closing, let me assure you that every effort wi concerns.
ur to protect the public health and safety, the e."tironment conformance to regulatory requirements.
, and assuring industry basis to ensure that we fulfill our mandate.We engage in major efforts on a daily demanding responsibilities.ir bringing concerns to our attention,It is concerne yourselt, who help us to meet these attention and should you have additional questions, or if I can j
assistance in this matter, please do not hesitate to contact me.
er i
Sincerely, E Responsible Section Chief l
F N
(DATE)
(NAME)
(ADDRESS)
(CITY, STATE, ZIP CODE)
Dear (Mr.)(Mrs.)(Ms.)(Miss) (LAST NAME):
SUBJECT:
Allegation Against (Facility)
(STANDARD INTRODUCTORY PARAGRAPH)
This refers to (TELEPHONE CALLS, MEETINGS, AND LETTERS) in which you expressed concerns related to (GENERAL AREAS) practices at *(UTILITY)'s (SITE) nuclear power plant.
(REQUEST FOR ADDITIONAL INFORMATION PARAGRAPH)
We have determined that we need additional information from you before we can proceed with our inquiry into your concerns. We have attempted to contact you by telephone without success and I would appreciate your contacting me collect at (215) as soon as possible so that we can discuss this matter further.
(ADDITIONAL INFORMATION PROMISED BUT NOT RECEIVED)
Based on your telepheae conversation with (NAME) on (DATE), it was our under-standing that you would provide additional information and I would appreciate your contacting me collect at (215) at your earliest convenience so that we may proceed with our inquiry into this matter.
If I am not available at the time, please ask for or leave a message so I can return your call.
Your cooperation and assistance is appreciated.
Sincerely, (NAME) Responsible Section Chief (TITLE) t
_g FILE NO.
3 (DATE)
(NAME)
(ADDRESS)
(CITY, STATE, ZIP CODE)
Dear (Mr.)(Mrs.)(Ms.)(Miss) (LAST NAME):
SUBJECT:
Allegation Against (Facility)
This refers to our letter to you dated (DATE) in which we requested that you contact us to provide additional information regarding your concerns related to (GENERAL AREAS) Practices at (UTILITY)'s (SITE) nuclear power plant which you discussed (IN YOUR LETTER TO US DATED (DATE)) (IN YOUR CONVERSATION WIT (NAME) ON DATE)).
In that you have not contacted us and provided the additional information we requested, the Regional Staff plans no further action regarding this matter.
We have, however, alerted our inspectors to your general concerns so that they can pay particular attention to those areas during their routine inspections.
Should you have any questions regarding our disposition of this matter, please call me collect at (215)
Sincerely, (NAME) Responsible Section Chief (TITLE) 1
e
.. _ _- L i
FIEE'NO.
(cart)
(NAME)
(ADDRESS)
(CITY, STATE, ZIP CODE)
Daar (Mr.)(Mrs.)(Ms.)(Miss) (LAST NAME):
SUBJECT:
Allegation Against (Facility)
This refers to my letter to you dated (DATE) which indicated that we had (INITIATED AN INQUIRY) (REQUESTED THAT OUR INSPECTORS LOOK) into your concerns regarding (GENERAL AREAS) practices at (UTILITY)'s (SITE) nuclear power plant as documented in the enclosure to that letter.
(PARACRAPH: ACTION COMPLETE - REPORT ENCLOSED)
Our (INQUIRY)(INSPECTION)(INVESTIGATION) regarding this matter has been com-pleted and our findings are documented in the enclosed report (S).
This concludes the Regional Staff's activities regarding this matter.
(PARAGRAPH: ACTION COMPLETE - NOT ADDRESSED IN REPORT)
Our inspectors have looked into this matter; however, to maintain your confi-dentiality, your concerns and the inspector's findings and planned actions were not highlighted in their report.
We have, however, documented our findings relative to (YOUR CONCERN)(EACH OF YOUR CONCERNS) in an enclosure to this letter.
(PARAGRAPH: ACTION COMPLETE - INVOLVED 2.790 INFORMATION)
Our (INQUIRY)(INSPECTION)(INVESTIGATION) regarding this matter has been com-pleted.
In that your concerns dealt with physical security matters, the details of which are exempt from public disclosure pursuant to 10 CFR 2.790(d),
we are unable to provide you with a copy of our report.
We have, however, documented our findings and planned actions in a general sense in an enclosure to this letter.
(PARAGRAPH:
ITEMS OF NONCOMPLIANCE IDENTIFIED)
With regard to the item (S) of noncompliance identified during (INSPECTION)
(INVESTIGATION), (UTILITY) is required to inform us in writing of the correc-tive actions they have taken or plan to take and our inspectors will continue to follow such actions to ensure proper resolution.
Let me assure you that we will follow-up such actions vigorously to ensure full compliance with regulatory requirements.
(PARAGRAPH:
EXPLANATION OF UNSUBSTANTIATED)
I would like to explain that the finding " unsubstantiated" does not necessarily mean that we find the facts as you stated them to be untrue; rather, it means only that we were unable to obtain objective evidence to corroborate your statements through interviews, document reviews and/or direct observation. As a regulatory agency, objectivity is of utmost importance along with ensuring compliance with regulatory requirements. Objectivity ensures our decisions and conclusions are based on fact and that any action based on these facts can be legally enforced.
(PARAGRAPH: STANDARD CLOSING)
We appreciate you informing us of your concerns.
We feel that our actions in this matter have been responsive to those concerns; however, should you have further questions regarding this matter, please feel free to contact me.
Please be assured that we will continue to perform inspections to ensure that (AREA 0F CONCERN) procedures are properly followed at nuclear power plants to protect the health and safety of the public. We take our safety responsibil-ities to the public very seriously and I can assure you that we will continue to do so vigorously within the bounds of our lawful authority.
Sincerely, (NAME) Responsible Section Chief (TITLE) e l
b
t ENCLOSURE 6 INTERFACE WITH THE OFFICE OF INVESTIGATIONS Requests for investigations are made by memorandum from the Regional Administrator to the Director, Office of Investigations, Philadelphia Field Office (OI).
If, after its initial meeting or at any time during the disposi-tion of an allegation, the Allegation Panel feels referral should be made to 01, then the OAC, in consultation with the responsible Section Chief, should draf t a referral memorandum for the Regional Administrator's signature.
This referral memorandum should have the concurrence of the responsible Branch Chief and Division Director.
Allegations of wrongdoing by individuals or organizations other than NRC i
employees and contractors should be considered for referral to OI. Additional tasks which should be considered for referral to OI include taking sworn state-ments, resolving conflicting factual matters and other tasks which potentially involve wrongdoing.
OI should be freely consulted during the Panel's initial deliberations and should be asked, where appropriate, to participate in *. hose deliberations. The referral memorandum is not to substitute for contin;al informal discussions with 01, but rather it serves to ensure the integrity of the Region I Allega-tion Tracking and Case File System, to document the results of official co-ordination activities, and to eliminate the possibility of a misunderstanding in communications.
a
.m p
Docket No.
File No.
' MEMORANDUM FOR:
K. Christopher, Director Office of Investigations, Philadelphia Field Office FROM:
Thomas E. Murley Regional Administrator, RI
SUBJECT:
ALLEGATION AGAINST (ALLEGATION #)
In accordance with the proposed NRC Manual Chapter 0517, " Management of A11ega-tions," the technical staff of Region I has met and discussed the concerns of the attached allegation. As you will note, the allegation (s) concerns an area a
that will require the cooperation of your office to conduct an inquiry that may result in an ir.vestigation.
Please provide the Regional Office Allegation Coordinator with an 01 assigned case no. cross referenced with the above file number for allegation file purposes.
Thomas E. Murley Regional Administrator I
l r
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