ML20212J896

Forwards Draft to Manual Chapter 0517 Re Mgt of Allegations. Comments Requested by 850710.Revised Draft Will Be Circulated to Ofc Directors & Regional Administrators for Final Comment & Concurrence

ML20212J896
Person / Time
Issue date:	06/27/1985
From:	Brady R Office of Nuclear Reactor Regulation
To:	Abbott C, Fox E, Oconnell B NRC OFFICE OF INSPECTION & ENFORCEMENT (IE), NRC OFFICE OF NUCLEAR MATERIAL SAFETY & SAFEGUARDS (NMSS), NRC OFFICE OF RESOURCE MANAGEMENT (ORM)
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ML20212J882	List: ML20212J878 ML20212J893 ML20212J896 ML20212J901 ML20212J906 ML20212J911 ML20212J916
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FOIA-86-215 NUDOCS 8608140428
Download: ML20212J896 (27)

Text

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[- W i3 UNITED STATES

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j NUCLEAR REGULATORY COMMISSION WASHINGTON. D. C. 20555 g 4Cf hb

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$UN 2 71985 NOTE TO: Ed Fox, IE Bob 0'Connell, NMSS l Carol Abbott, ORM Jim Lieberman, DELD Larry Chandler, OELD Alan Shropshire, RI Bruno Uryc, RII , i Chuck Weil, RIII Tom Nash, RIV ,

(

Allen Johnson, RV (

l RE:

DRAFT OF 0517 ON ALLEGATIONS I

Attached'is comments. a rough redraft of 0517 which I am circulating for informal .

did not allow for final proofing, so some small errors .

Time may be f I would like to get your reaction to this by July 10. Keep in mind that while some changes have been made to the Confiden .

In addition to your genersi comments, keep in mind those areas where com were mademet? by the EDO in response to the OIA report.

adequately Are those commitments A revised draft will be circulated to Office Directors and Regional Administra for final comment and concurrence.

Thanks for your help.

[

f N rady l

Acting Program Mana rf Allegations and Boar Notifications Division of Licensing, ONRR

Enclosure:

As Stated ,

cc: H. Thompson ,

1 e g3 7,15 * ..

O 8608140428 860807 PDR FOIA GARDE 86-215 PDR

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U.S. NUCLEAR REGULATORY COMMISSION NRC MANUAL Volume: 0000 General Administration Part : 0500 Health and Safety NRR CHAPTER 0517 MANAGEMENT OF ALLEGATIONS 0517-01 COVERAGE ThischapterandiEsappendicesdefinethepolicyandproceduresforthe 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 processing 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 l pr,operly treated, provided confidentiality when necessary, j appropriate-and possible, and notified of the resolution. .

023 To assure.that issues raised are promptly ond adequately investi-gated.

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NRC-0517-03 MANAGEMENT OF ALLEGATIONS 0517-03 RESPONSIBILITIES AND AUTHORITIES 031 Executive Director for Operations (EDO)

Set policy and procedures for the receipt, processing, control, and disposition of allegations and establish policy for the treatment and confidentiality of those who provide information to the NRC. For those matters within the purview of 01 and OIA, only set policy and procedures governing their interfaces with other Offices and Regions.

032 All Office Directors / Regional Administrators

a. Establish internal procedures so that all employees are aware of requirements for receipt, processing, control, and disposition of allegations and for the accurate and timely updating of the status of those allegations for which their office is the Action Office.

b. Appoint an Office Allegation Coordinator (OAC) who serves' as administrative point of contact for employees and other Offices and the Regions. The OAC will:

1. Ensure that the appropriate parts of the Allegation Data Form (NRC Form 307, Exhibit 1) are completed for all allega-tions received within the Gifice or Region and that the requested data are accurate and timely.

2. Determine the appropriate Action Office and, if applicable, coordinate with the OAC of the affected Office or Region on each allegation received. ,

3. Ensure the appropriate parts of the Allegation Data Form are )

completed for. all allegations for which the Office or Region

, is the Action Office.

4. Forward the Allegation Data Form to the respective Action Office 0.AC when the Office or Region is not the Action Office. ,

5. When the receiving Office or Region is the Action Office, ensure that the allegation is entered into the AMS within 10 working days of receipt. (For power reactors, during the period from 30 days prior to the construction completion date until the Commission meeting on full power authorization, the i 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 completing the Allegation Data Form.)

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MANAGEMENT OF ALLEGATIONS NRC 0517-032b6

6. Ensure that allegations received from other Offices or Regions are entered into the AMS within 10 workdays.

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7. Acquire input data on new allegations (including those

' referred to 01) from the staff within the Office or Region and ensure this information is entered in the AMS. )

8. Ensure that all open allegations in the AMS are reviewed and updated on a monthly basis.

9. Provide reports as described in Appendix 1. Part IX, 4.

c. Determine the safety significance and generic implications of ,

those allegations that fall within the programmatic responsibi- l lity of that Office or Region and establish schedules for the i processing of allegations with the objective of resolving them as promp+.ly as resources allow and prior to any applicable licen- j sing.dec hion date.

d. Review those allegations for which it is the Action Office for potential board notification and recommend such notification to I NRR or NMSS.

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e. Refer all allegations involving wrongdoing, except those involving i NRC employees or NRC contractors, to the Office of Investigations l and provide technical assistance to 01 for investigating allega- '

tions as requested.

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f. Refer all allegations. of wrongdoing by NRC employees or NRC con-tractors to the Office of Inspector.and Auditor. (

Reference:

NRC Manual Chapter 0702).

g. 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 - l to the action. '

h. For technical concerns with generic. implications, consider the need to inform other affected Offices for further action (e.g. ,

AE00 for operational data, RES for concerns affecting research activities,etc.)

1. 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 tc ensure their awareness of the complaint and to determine DOL's investigative intent. Determination of the need for an NRC

. investigation rests with 01.

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NRC-0517-034 MANAGEMENT OF ALLEGATIONS l

033 Director, Office of Investigations Investigate allegations of wrongdoing by other than NRC en- I ployees and NRC contractors. Conduct interface responsibilities l with the Offices and Regions as described herein. i i

034 Director, Office of Inspector and Auditor l

1 Investigate allegations of wrongdoing by NRC employees and NRC contractors. Such allegations do not fall under the purview of this manual chapter and are not entered in the AMS.

035 Director, Office of Inspection and Enforcement

a. Resolve allegations affecting matters for which it is the respon-sible office including those that involve vendors or that are generic in nature in coordination with NRR or NMSS. l

b. Mo,nitor the allocation of resources for this activity by.the Region.

036 Director, Office of Nuclear Reactor Regulation

a. Propose to the EDO for approval agency-wide policy and proce-dures regarding the processing of allegations. For those allegations that fall under the purview of 01, propose policy and procedures governing their interface with other Offices and Regions.

b. Review allegations concerning NRR licensees in coordination with the Action Office for potential board notification and make such notification, if required.

c. Evaluate implications of allegations relative to licensing deci-sions and plant safety concerning NRR licensees in coordination with IE and the Region (s). -.

d. Resolve those. allegations pertaining to reactor licensing issues assigned to NRR.

e. Maintain the AMS and any necessary improvements to modify its capabilities, in coordination with RM.

f. Conduct programmatic reviews of all action offices to assure implementation of NRC policy on allegations.

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6 MANAGEMENT OF ALLEGATIONS NRC 0517-04 037 Director, Office of Nuclear Material Safety and Safeguards

a. Review allegations concerning NMSS licensees in coordination with the Action Office for potential board notification and make such notification if required.

b. Evaluate implications of allegations relative to licensing deci-sions concerning NMSS licensees in coordination with IE and the Region (s).

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c. Resolve those allegations for which NMSS is the action office.

038 Office of Resource Management (RM) *

a. Establish the ADP program and maintain the data base of information in the AMS.

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b. Provide specia11 reports to Offices and Regions as requested. l

c. Pr'6 vide a~ssistance to the NRR Program Manager for Allegations in making modifications and improvements to the AMS.

m 0517-04 DEFINITIONS 041 Action Office. The NRC Office or Region that is responsible for reviewing and taking action, as appropriate, to resolve an allega-tion.

1 042 Action Office Contact. The staff member in the Action Office who is assigned the responsibility for resolving an allegation. l 043 Allegation. l A declaration, statement, or assertion of impro- I priety or inadequacy associaterl with NRC-regulated activities, the i validity of which has not been established. This includes all l 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 manual chapter.

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NRC-0517-049 MANAGEMENT OF ALLEGATIONS 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; or 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).

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 deny staff members access to the identity of the alleger when such identification is required by staff members to evaluate and resolve allegations.

047 Inguir'y." An activity involving minimal effort to det' ermine the appropriate response to information reported to the NRC. Typi- '

cally, an 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.

049 Investigation. Forma 1 activities normally conducted by the Office of Investigations on its own. volition, or at the request of the Commission, EDO, or Regional Administrators, with or without technical assistance. The Office of Investigations is the lead Action Office for all investigations involving wrong-doing, excluding wrongdoing by NRC employees and NRC contractors which is handled by OIA. _

050 Office Allegation Coordinator (OAC). A designated staff member in each Office or Region who serves.as the administrative point of contact for that Office or Region regarding the processing of allegations.

051 Receiving Office. The Office or Region that initially receives an allegation. In some cases, the Action Office and Receiving Office will be the same if the allegation falls within the functional responsibility of the Receiving Office.

052 Safety Significa . A measure of the importance of an allega-tion yeJative to its potential impact on the public health and

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3 MANAGEMENT OF ALLEGATIONS NRC 0517-054 TA 053 Wrongdoing For the purposes of this manual chapter, it includes k the alleged delib purposeful, or willful violation of NRC 1 regulations, lice sej hnical specifications, licensee commitments N' to the NRC, or ot er s or statutes of interest to NRC.

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0517-05 BASIC REQUIREMENTS 051 Applicability. The provisions of this chapter and appendices are applict.ble to, and shall be followed by, all NRC employees.

052 Wrongdoing. Allegations of. wrongdoing at NRC-regulated facilt -

ties, as opposed to those involving technical issues, fall within the purview of the Office of Investigations (allegations of

• wrongdoing by NRC employees or NRC contractors fall within the purview of OIA and are not entered into the AMS). The Office or Region will enter allegations of wrongdoing into the AMS using-information provided by OI (see Appendix 1, Part IX.2 of this manual chapter). OI will investigate allegations involving -

wropgdoing and provide either a report or a summary of its .

findings to the requesting Office or Region. Allegations involving wrongdoing for which a Region is the Action Office'will be coordinated by the Region OAC with the 01 Field Office Director in that Region. Allegations involving wrongdoing for which a' Headquarters Office is the Action Office w OI Headquarters. G.uL App ~4r (IQ(6)ill be coordinated with 053 Action Office Assianments Allegations submitted by any source concerning NRC-regulated activities should be transmitted by the Receiving Office OAC to the OAC in the appropriate Office or Region for processing.

054 Confidentiality. Under normal circumstances, the identity of individuals making allegations should not be revealed by the NRC. A confidentiality agreement (Exhibit 2) 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 infer .

ence 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 information provided, if such a determination can be made 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 where the identity of any alleger is concerned. For those allegers with a confidentiality ag"eement, this means that the

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p NRC-0517-049 MANAGEMENT OF ALLEGATIONS identity of the source must be protected by not referring to the name I or other identifying information in discussions unless absolutely necessary and by expurgating the name and other identifying informa-tion from documents before disseminating these to the staff. For those allegers without a confidentiality agreement, this means avoidance of unnec.assary use of the identity of the source and other identifying information in discussions and in documents. It must be made clear to all concerned if and on what tems the anonymity of a person making an allegation is to be protected. A clear record should be maintained for the files to preclude later misunderstandings.

Allegation case files containing the identity of allegers must be safeguarded to prevent the identity of allegers from being disclosed.

The authority to sign and issue confidentiality agreements resides with Office Directors and Regional Administrators. This authority may be redelegated. Copies of all delegation of authority memoranda will be provided to the EDO and the NRR OAC. If at any time for any reasrn confidentiality is breached or jeopardized. Office or Region-al., man.agement 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 A11egers. 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 l letter, telephone call or 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 being pursued.

056 Screening of Allegations. Allegations should be screened for significance to safety and the more serious ones should be addres-sed first. All allegations should be addressed as promptly as '

resources will allow and as the need is identified. Screening #

of allegations should be considered diligently to the point where  !

some may be dismissed early in the process for logical reasons (i.e. , lack of specificity af ter reasonable followup, lack of safety significance, etc.) to conserve staff resources. Followup on allegations, whether they are general or specific, should focus not only on the specific allegation but on the overall area of concern, including the potential for generi 1plications as well #

a's' cr,iminal -activities. In this regard, note that an allegation directed toward a non-safety item or activity may, through generic considerations, affect a safety item or activity.

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NRC-0517-049 MANAGEMENT OF ALLEGATIONS When a number of allegations point to or reinforce indications of a broader problem, prompt action to broaden the scope of the inquiry should then be taken to determine whether or not such is the case. While the safety significance of an allegation is an important factor in determining the extent and promptness of staff resources commitment, it should not affect the staff treatment of the alleger as discussed in section 055, above. F A y da4 co-staad y Ub Q .4 @ k @ CM*%eW-( k />g & L W ,

057 Timeliness of Resolving Allegations. The Action Office should JPEIT!

resolve all allegations in a manner which is timely under the circum ces and professional in scope and depth. Allegations h g relatively high safety significance should be addressed .

xpeditiously. Less significant allegations should be addressed as priorities and resources permit, but usually within 6 months of r m int-Tf it is anoropriate, an inspection should be madeS' AA[A" plant visit with the person making the allegation may be made ,

if 'necessary and if the individual is willing to make such a off a

visit to find the exact location of a problem. Access issues

[s should be addressed on a case-by-case basis. Travel costs for th'e individual..only can be offered, if necessary, and are borne

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, f[j by the Office or Region extending the offer. Care should be taken ,

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^Y to avoid embarrassment or abuse of the individual, e.g., schedule )

visit on off-shift / weekend, etc.

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k De Q'/[3 058 Involvement of Licensees or Other Affected Organization.

(V* d / For allegations involving a potentially significant and immediate  !

impact on the public health and safety, the affected organization

' M[@4 Y should be promptly informed to assure proper and timely action. )

For other allegations, once information from allegers is received and understood by the Office / Region and if it is deemed appropriate by the Office Director / Regional Administrator, the licensee / vendor should be advised specifically by letter of the area of concern and should be requested to address it, subject to further audit by NRC, in order to minimize the expenditure of NRC resources. In all instances, however, confidentiality must not be breached and the effectiveness of investigations / inspections should not be com- 8" -

promised, such as by prematurely releasing or appearing to ease #' ^#'7 an NRC inspe'ction report (note exceptione discussed below). The Y '"

alleger must be informed that this is not handing a matter over to 4 the affected organization, but that NRC will review and evaluate '*

the activities as necessary. The affected organization should be w ';

l informed regarding the resolution of the allegation if appropriate (See Appendix I Part VIII).

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f GEMENT OF ALLEGATIONS NRC 0517-058 i

As noted above, there are wo exceptions to the involvement of the licensee or vendor in the resolution process. The first exception is where the information annot be released in sufficient detail to be of use to the license or vendor without compromising the identity of a confident 1 source. In such cases release should normally not be ade unless the release is necessary to preve,nt an imminent thr at to the public health and safety. The 1 EDO shall be consulted 'n all cases where it appears there is a need to release the ide ntity of a confidential source. The second exception is whore a licensee / vendor could compromise an investigation / inspection because of knowledge gained from the ggr I

release of information, especially if wrongdoing is involved. '

N Release of information to a licensee / vendor is expected to be

• I g exception for 01 investigations. _ j Note that 10 CFR 19.16(a), involying ra iological working condi- '

tions, requires that a worker's aWw. vion be in writing and be made l l available to the licensee no later than at the time of inspec-ti,on,,and_that confidentiality be provided at the worker's I' ,

request. In addition to expurgating names and other identifying I information, protection of confidentiality could also involve retyping an alleger's handwritten notice. In the event the potentialforwrongdoingisinvolved,&I]$ h: ld t,6 q r+ % to i pepform-en--iwim e t 4 na t i nn in which emee t licerdis wuulu noT. De < , . .'

iTTTu uneu7 1$1sd(u :. kt G e bC""D* 6.b. ,#

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w .u< w A c.: / 4 la4e-Ned M%oMons 4 059/\ Ideally,allallegationsconcerningaparticularfacilitywillbe

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resolved before any license is authorized. If, however, because of $ "

the number of allegations and/or their tardy su tions cannot be resolved in a timeframe consistent with reasonable '

I and responsible licensing action, it may be necessary to give priority to those allegations which, because of their potential d impact on safety, must be resolved before licensing action can be taken.

In reviewing allegations, the Action e will first determine V h

j whether, if true, the allegations ar terial to the licensing Y

decision in that they would require . denial of the license sought, the imposition of additional conditions on such license, or further analysis or investigation. Allegations which, even if true, are not material to any licensing decision or which on their face or after initial inquiry are determined to be frivolous or too vague or general in nature to provide sufficient inf:= tier for the staff to investigate will receive no further consideration.

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o HANAGEMENT OF ALLEGATIONS NRC 0517-058 As to allegations which are material to the licensing decision, the Action Office will next determine whether the information presented is new in the sense of raising a matter not previously considered or tending to corrobrate previously received but not yet resolved allegations. In making this determination all infor-mation available to the NRC will be considered, including that previously provided by an applicant or licensee and that obtained by the Agency in the course of its review and inspection efforts or from its investigation of prior allegations. In some cases, information re dy available to the NRC may be sufficient to resolve certaih a legations. However, if an allegation is found

)q' to be both ma ter al and new, the staff will investigate the alleg tion further. f the Action Office determines that, as a result of the number of allegations or the timeframe in which they are received it appears likely that full consideration of all allega-tions cannot be accomplished consistent with reasonable and timely Commission action, the Action Office will conduct a further screening of the allegations to determine their significance to sa.f.ety..and therefore what priority should be assigned relative to the activity to be authorized. The following screening criteria will be considered: .

1.  %

The likelihood that the allegation is correct, taking

' o consideration all available information including the appar nt of knowledge, expertise, and reliability of the indivi '

dual submitting tne aisegativa in .. . a; : ' + h a a legation submitted and the possible existence of more credible contrary tion. .

2. The need for prompt consideration of the allegation recogniz-ing the public interest in avoiding undue delay. If the staff determines that an allegation. raises a significant safety ,

concern regarding, for example the design, construction, or ~

operation of a facility or about quality assurance ur control or ,

management conduct, which brings into question the safe operation

• of the facility at a given stage of operation, the allegation must be addressed prior to authorizing that stage. For purposes of this Manual Chapter, an allegation will be considered safety significant if the allegation would, if true. (1) raise a significant question about the ability of a particular structure, system, or component I to perform its intended safety function or (2) raise a significant question of management competence, integrity, or conduct or about implementation of the quality assurance program, sufficient to l raise a legitimate doubt as to the ability to operate the plant )

safely. Allegations which are not safety significant will be f

resolved in the normal course of business independent of license a issuance. /

060 Appendix 1. This appendix provides procedures for receipt, control, processing, and disposition of allegations assigned to -

NRC DTfices or Regions and the procedures and guidelines used to record the_ receipt, status, and disposition of allegations in the AMS.

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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 t'o be established within each Region and Office under the t control of an individual Office Allegation Coordinator (OAC), or a panel of l staff personnel or other appropriate staff. 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 l 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 l social functions. All allegations, no matter how originated, are subject I 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 where safety is involved, the NRC does not recognize the term "off-the-record." A11egers 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. ./

d d4 WC3 f*dd k b Any employee who receives an allegatio must be aware that it is essential to protect the identity of the allege 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 rivealed, but only if a confidentiality agreement has not been executed. As a general rule, the "ne'ed to know" principle should be used when dealing with the protection of a person's identity.

NRC employees, particularly resident and regional inspectors, regional supervisors, and 0ACs who 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 step,s 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.

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NRC 0517. APPENDIX 1 MANAGEMENT OF ALLEGATIONS 4

Part II: The Office Allegation Coordinator (0AC)

1. The initial responsibility of the OAC is to identify the proper Action Office to which the allegation should be assigned for evaluation and

' resolution in coordination with other OAC's (either in the Offices or Regions).

2. The OAC serves as a focal point for administrative processing and con-trol of all allegations assigned to the Regions and Offices. The OAC is responsible for:

a. Entering allegations into the AMS; , ,

b. Tracking allegations from initial receipt to final t resolution; i

c. Assuring establishment and maintenance of files .

l that clearly identify allegations assigned to  ! '

.the Region or Office;

d. Documenting actions initiated to resolve allegations; e., Ens.ur.ing that management and cognizant staff are

- informed of allegations under their purview;

f. Maintaining 'the current status of allegations in the AMS;

g. Ensures that the final resolution of allegations is properly documented. i

3. The oar assists technical staff members who are reviewing allegation information, primarily in the form of coordinating activities neces-sary to resolve issues. In addition, the OAC may assist in the ,

formulation of a course of action to resolve issues. l

4. A panel, which includes the OAC as a member, may be designated with the primary responsibility to ensure that all allegations are promptly l assigned and properly evaluated, and that the actions taken to resolve i the allegation, as well as the resolution, are properly documented and l transmitted to the alleger and the affected organization as appro-priate.

5. The OAC will serve as the point of contact with the Department of Labor on matters involving discrimination under Section 210(a) of the Energy Reorganization Act and will coordinate as necessary with OI and the Enforcement Staffs.

Part III: Receipt of an Allegation

1. A11ecations Received by Telephone or Personal Visit Any NRC employee who receives a telephone call from someone who wishes to make an allegation should have the caller transferred to the OAC or appropriate technical staff member in the Office or Region.

Likewisier'if an individual appears in person at an NRC Office, the .

individualIshould be referred to the OAC or other technical staff member. Techttimal employees, when unable to refer the telephone call or the visitor as described, shall obtain as much information as possible from the individual (see item 3, below). When unable to j locate the OAC or other technical staff member, administrative en-ployees should refer an individual to a technical staff supervisor.

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MANAGEMENT OF ALLEGATIONS APPENDIX 1, NRC 0517

2. Allegations Received by Mail Personnel responsible for distribution of mail will forward cor-respondence that appears to contain an allegation to the OAC. Both letters and envelopes will be forwarded and no copies will be made.

An employee who receives direct correspondence, including internal NRC memoranda, that contains allegations shall forward the 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 A11eger I Any employee receiving a telephone call or visit, as discussed in item 1, shall tttempt to obtain as much information as possible from the indi,vidual_.

It is crucial to identify: .

a. full name -

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b. complete mailing ~ address l

c. telephone number where the individual may be contacted l

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 fo win 1 6 M P n o &g guidance:

Inform the individ[a1 that.if so request'6d, 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 i from discriminating against an employee for contacting the NRC. Basic Requirement 054 provides further information regarding protection of conffdentiality.

The alleger may be informed that the NRC employee with whom he/she is in contact does not have the capability to evaluate the information, 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 permit the alleger to review the information with the NRC to provide maximum assurance that th_e information has been correctly interpreted and understood ~. ..- .

14

/

NRC 0517, APPENDIX 1 MANAGEMENT OF ALLEGATIONS If the alleger persists in not offering identification after the above explanations, document the allegation in as much detail as possible and advise the alleger that he/she may contact the OAC or designated staff member in 30 days or any other agreed upon period, for information on the status of any actions being taken on the information supplied.

For allegations of discrimination that fall under Section 210(a) of the Energy Reorganization Act, inform the allegers that NRC will look into the complaint and any safety concerns identified by the alleger, and that appropriate enforcement actions will be taken against the employer if the allegation is substantiated. To assure personal empicyee rights are protected, advise the alleger that the complaint, must be filed with the Department of Labor within 30 days of the occurrence of the discrimination event.

Part IV: Action by the Receiving Employee and the Office Allegation Coordinator (OAC)

1. 7 WhenanailigitionconcerninganNRC-regulatedactivityisreceived,the employee receiving the allegation will provide the information obtained to the Receiving Office OAC who will complete an NRC Form 307, Alle-gation Data Form. The Action Office is then identified and the completed form is forwarded to the Action Office OAC.

2. The Action Office OAC will enter the pertinent information in the AMS in accordance with these procedures. All allegations must be entered into 8 the AMS. In this way an " audit trail" will be established so that NRC actions can be properly monitored and completed. The OAC or other designated staff member will ensure that the alleger is properly contacted to acknowledge receipt of the allegation and to confirm the specifics of the allegation. Depending on the nature of an allegation, the OAC will provide copies of the allegation documentation and the letter sent to the alleger (with the alleger's identity and identifying information concealed) to the cognizant technical staff supervisor for evaluation and initiation of action. Such copies also will be forwarded to 01 Headquarters or to -

the cognizant OI Field Office for information. When responsibility for the handling of an allegation is transferred from one organizational unit to another, the alleger should be notified of the new point of contact (name and telephone number) by the individual who is relieved as contact in order to assure continuity. A single point of contact should be the rule.

The OAC will follow up on the allegation with the cognizant technical staff supervisor at periodic intervals until the matter has been i satisfactorily resolved. When the case is closed, an update should l be made to that effect in the AMS. l

. -- 1 15

o MANAGEMENT OF ALLEGATIONS APPENDIX 1, NRC 0517

3. The OAC will coordinate allegation information with the technical staff and may assist in determining whether the information is suffi-cient to identify the issues. If the infor.mation 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-ca't ion; 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-trators or Office Directors will resolve which Office or Region should' take the lead.

• r

6. Allegations in category 4b, should be referred to OI Field or Head-lo quarters personnel contractors. except for those involving NRC N emp &yees or NRC See 10, below).

b c epto.v.tY) s(%% tu emb%dV'A di .T u e %m a k 2 *"4* .% udp

7. When applicable and after coordination, the Action Office should notify other agencies such as the Occupational Safety and Health Administration, DOE, etc. in dealing with allegations in category 4c. Notification to other Federal law enforcement agencies and State and local jurisdictions of possible criminality involved in allegations should be handled by the appropriate OI Office or the Office of Inspector and Auditor (for matters falling within its -

purview on~1y~.) -

16

,, .Mf+^d*

% EN _

pbe U

'Q ,h o eM NRC 0517, APPENDIX 1

.M OmfW AGEMENT OF ALLEGATIONS

>,'.L W ' N

8. Thehensuresthat y iscrimina y

g (w f)<J #

aina! ynder Section 210(a) of the Energy complaint must b Reorganization Act g,. ,gpf.j 1 .. 9- edAe. DOL (the

• "" " ~ ~%y filed with DOL within 30 daysL of

, + u nuu ii J ,,f-the W_ -+ itsComplaints occurrence).

should be filed with the Office of the Administrator, dage and Hour Division Employment Standards Administration, U. S. Depa 53502, 200 Constitution Avenue, N.

W., Washingtrtment of Labor, Room .f.

M e r! M a h ntrete e. Cfi ka Cir::ter thcul-m,' D. C. 20210.  % g <j-,#

i 9 pra ptly 4afe~

~ M 0AC a be maintains awareness of DOL's nigativeinvesintent,and ensures NRC consideration timely referral to 01. of the need for its or n investigation by .

DOL's investigation by assisting DOL in obtaininThe OAC will take reasor facilities and any necessary security clearances access S tyto licenspd

" AllegationshouldahobeenteredintotheAMS. /n?g vij yu ,y, g _ . ,,

9.

Leau A n e.13. "wa u p>

If an allegation 's determined to have generic implications, tv m- other - -1 Offices and/or Regions with responsibilities that may be affected will tional data, RES for concerns affecting research act .

10.

Allegahionsregardingsuspectedimproperconduc'tbyNRCemplo NRC contractors will be brought to the attention of appropriate management Auditor (0IA). for possible referral to the Office of Inspector and i

, (

Reference:

NRCAllegations of this nature are not entered into the AMS.

Manual Chapter 0702). '

Part V: Documenting Allegations 1.

When an allegation is received and the action office identified,a working file should be established to contain all related documentation concerning the allegation, including all correspondence, memorandum to files, interviews, sions, and meetings. and summaries of telephone conversations, discus-files of the Action Office in an officially designated location.This To ensure proper documented evaluation, about each allegation. full and complete information should be-information, attempts should be made to expand and clarify theIn add information so that the issue is well defined.

regardless of source or how received, must be documented.All allegations, Records or files containing the name of a confidential source or other identifying information (i.e. a confidentiality agreement has been executed) should be stamped "This material contains confidential source information."

2.

There will be occasions when the allegations obviously have no sub-stance and appear to represent a distortion of facts.

in these cases, documentation is necessary that identifies the con-However, even tact, the general content of any communications, and the basis for a conclusion that the matter need not be pursued.

Instances such as these~will the be coordinated OAC to ensure with the appropriate technical staff by proper disposition.

17 e

..+ ..

MANAGEMENT OF ALLEGATIONS APPENDIX 1, NRC 0517

3. The importance of obtaining and documenting all pertinent information

! about an allegation cannet be overemphasized. Evaluation and screen-ing of the allegation, as well as the proposed course of action that will be adopted to resolve the issue, will be based primarily on this information. In some cases, a personal interview with the alleger may be warranted. In these cases, the OAC will consult with NRC management to determine the best way to obtain the details re-quired. Depending on the nature of the allegation and the time sensi-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 7 0r it'~er h designated staff member is responsib'le 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 Coanizant 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 substantial 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?

b. Is the allegation a specific safety or quality issue or a gener-alizd e concern?

l 18

NRC 0517. APPENDIX 1 MANAGEMENT OF ALLEGATIONS l I

c. Has the staff previously addressed this issue?

d. Does the allegation package contains sufficient information for a j

thorough evaluation? If it does not, identify the additional information that is needed.

e. Are all aspects of the allegation adequately defined and described to permit or allow a meaningful and extensive evaluation. This is a screening process that may result in a decision not to consider the allegation furthere 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 p.otential  ;

for adverse publicity must be recognized when taking this action.

f.

Is the identity of the a11eger necessary for a thorough evaluation?

j g. What specific issues are involved in the allegation? Can the issues l De adequately addressed by a technical inspection? j i  :

Can the allegation be examined and resolved during a routine, scheduled  !

inspection? If this is not possible, determine the best way to address the i i i gues.

h- s i.

Can licensee / vendor resources reasonably be used in resolving the  ;

' allegation to conserve staff resources? Consider potential problems  :

associated with involving the licensee in the resolution process i

e

j. Does the allegation have the potential to require escalated j enforcement action? .

l k. What is the time sensitivity of the allegation, and what immed-i iate actions are necessary?

1

1. Will investigative assistance be needed?

i j m. Identify peripheral issues that could develop.

n. Are any licensing actions or board proceedings pending which could t j beinfluencedoraffectedbythea11egation2,Whenanallegation involves a case pending before a licensing or appeal board or the

! Commission, information concerning it should be provided to NRR or  !

I NMSS as soon as possible to assist in the detenmination of whether l I or not a board notification should be made. This decision must be }

made promptly by NRR or HMSS in accordance with office procedures.

l o. Should other NRC Offices be notified?

i i p. As soon as_possible after the receipt of an allegation and the relevant information has been reviewed and evaluated, the Action l

Office w.i.R make a preliminary determination of the safety signi-

• ficance of the item and the need for immediate regulatory action. ,

I

~

l 19 l

r .  ;

MANAGEMENT OF ALLEGATIONS APPENDIX 1. NRC 0517

q. Establish a schedule for the resolution of each allegation which 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.

4. A reaso.n,abl.e effort must be made to notify all allegers of the NRC's disposition or resolution of their concern (s). The official file must .

) contain documentation of this effort.

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 now becomes

! a closed case file,

2. t t

A final report or document.should be prepared that sets forth the facts q about the allegation and its resolution clearly and conclusively. The y final report can be a memorandum for a relatively minor matter, an investigation / inspection report, or a technical paper for a complex or C#^ ssi ?*I#'

major generic matter. It can be an SER supplement for multiple allegations OUEg

proximate to OL issuance. It should not contain the name of, or material that could be used to identify, the alleger (See Basic -

Requirement 054).

l

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.

i

! 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 FDIA with appropriate precautions to protect confidentiality. Until that time, all allegation documentation is exempt from release under the FOIA in

accordanceTwith 10 CFR 9.5 Exemption (7) due to actual, or the potential .

! for, law enforcement action. File documents, however, are frozen by the FOIA request for release when the case is closed should a subsequent FOIA request be received. .

20 i /

l NRC 0517, APPENDIX 1 MANAGEMENT OF ALLEGATIONS Part VIII: Dissemination of Final Report

1. A copy of the final report shall be sent to the alleger and, if appro-priate, to the affected outside organization (s). A transmittal letter may be needed to summarize the matter.

2. As in Part VII.1 above, copies of the final report shall be placed in the NRC records system, and should be treated so as not to reveal the identity of the alleger.

3. The foregoing does not apply to OI investigative reports.

PART IX: ALLEGATION MANAGEMENT SYSTEM

1. General

a. For purposes of the Allegation Management System (AMS) the defini-tion.prov.ided for an allegation is very general and broad. The significance or nonsignificance of an allegation will be judged during the Action Office review and follow-up activities. There is to be no screening of allegations for possible deletion prior to entering them into the system (except of course for duplication of entries). The AMS should provide a vehicle for collecting, storing and retrieving all key information regarding all allega-tions. The Action Office determines the necessary action to be taken based upon the specifics of the case. Some allegations may be received and closed out the same day,

b. The AMS provides basic descriptive and status information and serves as a referral system. It identifies the office and staff to contact for more specifics on an allegation. Additionally, it keeps the staff informed as to how the allegation was resolved and provides reference to the close out documentation.

c. When an allegation is received, it is not necessary to identify -

by separate entry into the AMS every component or subset of the allegation.. For example, if an allegation is received that con-sists of 15 separate concerns of wrongdoing and technical defi-ciencies, the allegation may be entered as one allegation. However, the description of the allegation should include the number of separate concerns and their subject area. In some cases thes e neey '

be a distinct grouping of concerns, for example, in two areas such as training and quality assurance. In such a case it may be appropriate to enter two allegations. A main objective is to ensure that the receipt of an allegation is entered and tracked in ,

i the system. An allegation is not completed and closed until an Action Office supervisor determines that appropriate action has been,taken_

21

/

l l

P 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 anf proprietary or commercial (2.790) infor-mation.

e. Some. allegations may require 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 made 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

a. The Office of Investigations has jurisdication over all allegations 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 01--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:

(1) The Region or Office OAC will coordinate with the OI Field i 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 OI 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.

e

.m 22

,s' :.

NRC 0517. APPENDIX 1 MANAGEMENT OF ALLEGATIONS (5) The allegation will be considered closed when the investiga-tion report has been issued and as long as no technical issues l remain. If technical issues or an investigation remain, the allegation remains open, reference is made to the technical report or OI investigation report if either is complete, and a schedule for resolution of the al, legation is placed in the f>h\1.

c. For allegations of wrongdoing received by 01, the OI Headquarters or Field Director will coordinate with the respective Office or Region OAC to complete the items 2.b(1) through (5), above.

d. For allegations of a technical nature received by 01, the OI Head-quarters or Field Director will contact the respective Office .

or Region and follow the procedures as indicated in item 3 below for the Receiving Office.

3. Receivino Office Upon receipt of an illegation involving an NRC-regulated activity, the person receiving the allegation will provide the information rela-tive fo'the allegation (see Exhibit 1) to the OAC who will initiate steps required to identify the Action Office and to enter the alle-gation into the AMS.

-3

~ The Receiving Office OAC should, in addition to determining the appro-priate Action Office, coordinate with the Action Office, and receive '

concurrence from the Action Office before transfer of responsibility.

4. Action Office. The Action Office shall :

a. Complete that portion of the Allegation Data Form marked " Action Office," assign an allegation number to it, and enter the allegation into the AMS within 10 working days of the date of receipt of the allegation

b. Update all open allegations in the AMS on a monthly basis.

c. As soon as possible after the receipt of an allegation and relevant information has been reviewed and evaluated, make a preliminary determination of safety significance and the need for any regu-latory action.

I l

'7_ .

23

/

O MANAGEMENT OF ALLEGATIONS APPENDIX 1. NRC 0517

d. Schedule the resolution of each allegation to be consistent with )

the licensing schedule and the safety significance of the alle- )

gation.  :

I

e. Make a determination regarding the need for a board notification  !

to NRR or HMSS. If the initial board notification is preliminary in nature, a follow-up notification is sent to boards when i 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. l f.

Develop and maintain a working file for each allegation, which will contain all related documentation. For those allegations comprised '

j of multiple concerns, separate working files may need to be estab-lished for each concern.

J  ;

g. .

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 tafety significance of all allegations not scheduled to be j resolved before the construction completion date, with a recom-mendation as to whether any or all of them constitute grounds for i delaying issuance of (or otherwise restricting) an operating " '

license.(b oSc0 c, i' h.

Thirty days prior to a Commission decision on authorizing full-power operation, a report similar to item g., above, will be I

prepared, i.

Ensure protection of the identity of all allegers when confiden-tiality is requested or implied by their actions. '

i

5. NRR OAC In addition to the normal OAC responsibilities, the NRR OAC:

a. In coordination with ORM, is responsible for the maintenance and l upgrading of the AMS.

b.

! Authorizes and requests that special reports be prepared from the AMS database for use by other than individuals involved in allegation resolution.

c. 12' responsible for conducting programmatic reviews of the implementation e

of the policies and procedures in this Manual Chapter

~

_ l Gym 24 l

I

,t O *i hAGEMEJTOFAl,t.EGATIONS EXHIBIT 2, NRC 0517 CONFIDENTIALITY AGREEMENT e i

I have information that I wish to provide in confidence 16 the U.S. Nuclear  !

Regulatory Conunission (NRC). I request an express pledge of confiden-tiality as a condition of providing this information to the NRC. I will i not provide this information voluntarily to the NRC without such confiden-tiality being extended to me. ,

It is my understanding, consistent with its legal ebligations, the NRC by I agreeing to this confidentiality, will adhere to the following conditions:

(1) The NRC will not identify se by name or personal identifier im any HRC initiated document, conversation, or consnunication released to the .

public which relates directly to the information provided by me. I under-stand the term "public release" to encompass any distribution o side of the NRC with the exception of other pubite agencies which may req re this .

information in furtherance of their responsibilities under law o lic trust.

(2) The NRC will disclose my identity within the NRC only to the extent required for the conduct of NRC-related activities.

(3) During the course of the inquiry or investigation the NRC will also

. make every .4f fo'rt Yonsistent with the investigative needs of the Commission to avoid actions which would clearly be expected to result in the disclo-sure of my identity to persons subsequently contacted by the NRC. At a later stage I understand that even though the NRC will make every reason-able ef fort to protect my identity, my identification could be compelled by orders or subpoenas issued by courts of law, hearing boards, or similar legal entities. In such cases, the basis for granting this promise of con-fidentiality and any other relevant facts will be cosenunicated to the authority ordering the disclosure in an effort to maintain my confiden-tiality. If this effort proves unsuccessful, a representative of the NRC will attempt to inform me of any such action before disclosing my identity.

I also understand that the NRC will consider me to have waived my right to confidentiality if I take any action that may be reasonably expected to disclose my identity. I further understand that the NRC will consider me to have waived my rights to confidentiality if 1 provide (or have pre-viously provided) information to any other party that contradicts the information that I provided to the NRC or if circumstances indicate that I as intentionally providing false inforsation to the NRC.

Other Conditions: (if any)

I have read and fully understand the contents of this agreement. I agree with its provisions.

Date Name:

Address:

Agreed to on behalf of the U.S. Nuclear Regulatory Cocalssion.

Date ,_

- Signature

- Name:

Title:

APPROVED:.-

,, ", . EXHIBIT 1 NRC 0517 o .

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