ML20212J906
| ML20212J906 | |
| Person / Time | |
|---|---|
| Issue date: | 03/17/1986 |
| From: | Cyr K NRC OFFICE OF THE EXECUTIVE DIRECTOR FOR OPERATIONS (EDO) |
| To: | Brady R Office of Nuclear Reactor Regulation |
| Shared Package | |
| ML20212J882 | List: |
| References | |
| FOIA-86-215 NUDOCS 8608140434 | |
| Download: ML20212J906 (37) | |
Text
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March 17, IS86 !
Note to: Richard C. Brady, Sr.
Program Manager for Allegations, NRR
SUBJECT:
DRAFT MANUAL CilAPTER 0517 Our office has reviewed the advance copy of 0517 which you provided to us. We have a few minor comments which are marked on the attached copy of the manual chapter.
If you have any questions please give me a call.
l (W '
Karen Cyr Regional Operations and Enforcement Division, OELD i
cc: E. Shomaker, ELD L. Chandler, ELD l
8608140434 860807 PDR FOIA 1!Ll'7 '
GARDE 86-215 PDR l
s
,t .?
d L
6y U.S. llUCLEAR REGULATORY COMMISS10tt NRC MANUAL Volume: 0000 General Administration Part : 0500 Health and Safety NRR CHAPTER 0517 MANAGEMENT OF ALLEGATIONS 0517-01 COVERAGE ,. ,A
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[ uM::%yv~,"' - $, , f This chapter and its appendices define the policy and procedures for the proper receipt, processing, control, and disposition'of allegations received f by NRC licensees and their contractors, the policy with individuals who provide information to the NR cedures for the referral of matters which the staff hnd the policy and pro-potential wrongdoing to the Office of Investigations (OI etermined involve 0517-02 OBJECTIVES S*tJe h I
021 disposition of allegations and to define procedures -
receipt, status, and disposition of allegations are tracked N%ks 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 basis;and made available to NRC Offices and Regions on a need-to-know 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 flRC are properly treated, their ioentity protected where appropriate and possible, and notified of the resolution.
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NRC-0517-03 MANAGEMENT OF ALLEGATIONS 023 To assure that issues raised are promptly and adequately investi-gated.
024 To establish the policy for requesting and setting priorities fc;-
investigations of matters which involve potential wrongdoing and to define the procedures for referral of such matters to 01.
0517-03 RESPONSIBILITIES AND AUTHORITIES 031 Executive Director for Operations (E00)
Set policy and procedures for the receipt and disposition of allegations, in conjunc, tion with theprocessing,contro),
Of rector, 01, implement the policy for initiation, establishment of priorities and termination of investigations, request investi-gations of n;atters involving potential wrongdoing ide the Office of Investigations and the Office of Inspector and Auditor (OIA) implement policy for protecting the identity of those who provide information to the NRC.
in the purview of OI and CIA, only set policy and proceduresFor those m governing their interfaces with other Offices and Regions.
032 All Office Directors / Regional Administrators a.
.- Estabitsh internal procedures so that all employees are aware of allegations and for the accurate and timely updating j 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 Office or Region and that the data are accurate and timely.
2.
Determine the appropriate Action Office and, if applicable, coordinate each with received.
allegation the OAC of the affected Office or Region on 3.
Forward the Allegation Data Form to the respective Action Office.OAC when the Office or Region is not the Action Office 2
( .* ..
e
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1 MANAGEMENT OF ALLEGATIONS NRC 0517-03265 4.
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 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 entering the allegation into the AMS.
5.
Ensure that allegations received from other Offices or Regions are entered into the AMS within 10 workdays of receipt.
6.
Acquire input data on new allegations (including those -
, referred to OI) from the staff within the Office or Region and ensure this infomation is entered in the AMS.
7.
Ensure that all open allegations in the AMS are reviewed and updated as necessary on a monthly basis. '
8.
Ensure Part IX,the 4g.preparation and h. of reports as described in Appendix 1 9.
Maintain records of individuals granted confidential source -
status and records of NRC personnel within the Region or Office who have would revealbeen the identity found of toahave a needsource.
confidential to know infonnation whic 10.
Maintain would reveal secure the identity files when such filessource.
of a confidential contain information which ';
- c. s Detemine the safetydnificance and ceneric imp 1tcations of d those allegations that faTwithin the programmatic responsibi- '
- lity of that Office or Region and establish schedules for the 4 processing of allegations with the objective of resolving them -
singpromptly as decisionas resources allow and prior to any applicable licen-date, d.
Review those allegations for which it is the Action Office for i potential NRR or NHSS.
board notification and recommend such notification to 4
- e. ,
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Refer all matters where there is a reasonable basis for belief of wrongdoing and for which the staff determines an investigation is i necessary to determine whether regulatory action is required, except i those involving NRC employees or NRC contractors, to the Office of
. Investigations in accordance with the guidance herein and in I
Appendix 3 to this manual chapter and provide technical assistance to O! for investigating allegations as requested.
- f.
- Refer all allegations of wrongdoing by NRC employees or NRC con-tractors to the Office of Inspector and Auditor. (
Reference:
NRC ManualChapter0702).
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. s MANAGEMENT OF ALLEGATIONS NRC 0517-0321 g.
Prior to taMeg a major action such as a licensing decision or escalated enforcement, review the status and resolution of allegations to the action. for that project in the AMS especially those related h.
For technical concerns with generic implications, consider the need to inform other affected Offices for further action e.g.,
AE0D for operational data, RES for concerns affecting rese(arch activities,etc.)
1 For discrimination complaints received concerning possible violation of Section 210(a) of the Energy Reorganization Act, their awareness of the complaint and to determine DO investigative on-rests intent.7etem$a wiC C:.
i ome'-L ,.; - d ';; n !'"
f .,s a af J. ~ ke up. A.JAtL wcx enp.itEiWj.TCl & ,
Ensure that the bission's Policy Statement on Confidentiality is implemented and that all NRC personnel take all necessary steps to protect the identity of confidential sources and reason-able steps to protect the identity of other allegers.
k.
Resolve those matters within area of responsibility initially referred to 01 but which are returned by OI without conducting i
an investigation because of its resource constraints.
033
.. Director, Office of Investigations W
- MMfN a.
Investigate allegations of wrongdoing by other\than NR responsibilities with the Offices and Regions as '
b.
and the Director of the Office of Inspector and protecting the identity of those who provide information to the NRC.
c.
policy for initiation, establishment of priorities an ,
of investigations set forth in Appendix 3 of this manual chapter.
034 Director, Office of Inspector and Auditor a.
and the Director of the Office of Investigations, tecting the identity of those who provide information to the NRC .
)
b.
Investigate allegations of wrongdoing by NRC employees and NRC contractors.
this manual chapter and are not entered in the AMS.Such a 4
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NRC-0517-04 MANAGEMENT OF ALLEGATIONS 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.
b.
Monitor the allocation of resources for allegation management by the Regions.
c.
Monitor the investigations being conducted within the IE area of responsibility to assure that an investigative priority or schedule Director, Officrequested by a Regional Administrator and established by the of Investigations me'ets regulatory needs.
036 Mon 4oW W4f'ti ,
Director, Office of Nuclear Reactor Regulation 4.4 n'd d n 4. M - Q W a.
i K h,2 fo 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 andRegions.
procedures governing their interface with other Offices Q,
and -
b.
Review allegations concerning NRR licensees in coordination with the Action Office notification, for potential board notification and make such if required.
c.
Evaluate implications of allegations relative to licensing dect-sions and plant safety concerning NRR licensees in coordination with IE and the Region (s).
d.
Resolvetothose assigned NRR. allega'tions pertaining to reactor licensing issues 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, g.
Monitor the investigations being conducted within area of respon-sibility to assure that an investigative priority or schedule Otractor, Office of Investigations meets regulatory needs 037 Director. Office of Nuclear Material Safety and Safeguards a.
Review allegations concerning NMSS licensees in coordination with the Action Office notification for potential board notification and make such if required.
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.. C MANAGEMENT OF ALLEGATIONS NRC 0517-043 b.
Evaluate implications of allegations relative to licensing deci-sions concerning Region (s). fetSS licensees in coordination with IE and the c.
Resolve those allegations for which NMSS is the action office.
d.
Monitor the investigations being conducted within area of respon-sibility to assure that an investigative priority or schedule requested by a Regional Administrator and established by the Ofrector, Office of Investigations meets regulatory needs.
038 Office of Resource Management (RM)
b.
Provide special reports to Offices and Regions as requested.
c.
Provide assistance to the NRR Program Manager for Allegations in making modifications and improvements to the AMS.
039 Office of the Executive legal Director and Regional Counsel a.
Provide legal counsel in resolving allegations as necessary.
b.
' requested.
Review referrals of matters to the Office of Investigations, as
,. c.
Provide legal counsel on confidentiality agreements as requested.
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.
i 042 Action Office Contact.
The staff member in the Action Office who is assigned the responsibility for resolving an allegation. I 043 Allegation. ;
A declaration, statement, or assertion of impro- !
validity of which has not been established.priety or inadequacy This includes all safety concerns identified by sources such as the media, indi-viduals or organizations outside the NRC efforts from Federal State or local gove,rnment officesand technical audit regarding activities at a licensee's site. Excluded from this ,
definition are matters being handled by more formal processes
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q l such as 10 CFR 2.206ptitions, hearing boards, appeal boards
etcNitegauons th_at may result from these formal processes,and I
..\
are not resolved within these processes shall be subject to treatment under this manual chapter. ,
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NRC-0517-0410 MANAGEMENT OF ALLEGATIONS 044 Allegation Management System (AMS). A computerized information system each that contains a summary of significant data pertinent to 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; agency. or a representative of a local, State, or Federal (NRC employees should be aware of procedures for pre-senting differing professional opinions, NRC Manual Chapter 4125).
046 Confidentiality.
The term that refers to the protection of data
, that by name. directly, or otherwise, could identify a confidential source It is not intended to deny staff members access to 'the identity of a confidential source when such identification is required by staff members to evaluate and resolve allegations.
047 Confidential Source.
An alleger who has executed, or has orally represented (Exhibit 2). that he/she will execute, a Confidentiality Agreement.
048 _Inqui ry.
An activity involving minimal effort to determine the appropriate response to information reported to the NRC.
cally, an inquiry entails the use of the telephone or writtenTypi-correspondence rather than formal interviews or other investi-gative required. measures; however, formal interviews will be conducted if ;
049 _ Inspection.
For purposes of this Manual Chapter, a special I that may be used to evaluate and resolve an allegatio ;
0410 Investigation.
normally conducted by the Office of Investigations that m to evaluate and resolve an allegation.
i 0411 Office Allegation Coordinator (OAC). A designated staff member in each Office or Region who serves as the administrative point allegations.of contact for that Office or Region regarding the processing of 0412 Receiving Office. The Office an allegation. In some cases,or Region that initially receives the Action Office and Receiving l
Office will be the same if the allegation falls within the functional responsibility of the Receiving Office. j 0413 _ Safety Significant. For purposes of this Manual Cha allegation will be considered safety significant if'pter, an the allegation would, if true. (1) raise a significant question about the ability of a particular structure, system, or component to perform its ,
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MANAGEMENT OF ALLEGATIONS NRC 0517-05 I
intended safety function or (2) raise a significant question of I management competence, integrity, or conduct or about implementa-tion of the quality assurance program, sufficient to raise a legitimate doubt as to the ability to operate the plant safely, i
-AMegations-whicEare-not-safety-s4sni444 ant e!' & Nse!ved i ,
the-notwal-course-of-business-inde]Rmdent of iicense issuance.
0414 Sanitization. The process of ensuring that any NRC document {
i i
developed of as a result of an allegation does not reveal the identity the alleger. !
0415 Secure Files.
Files which are locked when not in use and to which access is controlled on a need to know bases. Thi files shall be marked "Contains information which would reveal the identity of-a confidential source" and controls shall include a sign-out procedure. :
0416 Wrongdoing.
Wrongdoing consists of both intentional violations of I regulatory requirements and violations resulting from careless dis-regard of ortoreckless amounting intent. in3ffference to regulatory requirements i A reasonable basis for belief of wrongdoing exists when, from the circumstances surrounding it, a violation of a regulatory requirement appears more likely to have been intentional or to have resulted from careless disregard or reckless indifference than from error or oversight.
0517-05 BASIC REQUIREMENTS 051 Applicability.
The provisions of this chapter and appendices are applicable to, and shall be followed by, all NRC employees. .
052 Wrongdoing. l For those matters where there is a reasonable basis for l and for which the staff concludes an investigation is determine whether enforcement or other regulatory action is required should be referred to the Office of Investigations following the pro-cedures set forth in Appendix 3 of this manual chapter.
of wrongdoing by NRC employees or NRC contractors fall within theAllegations purview of OIA and are not entered into the AMS. O! will. notify the requester within 30 days whether the matter has been a estimated schedule.
the requester with the basis for its decision.If a request is not accepte Any differences between the staff and OI on the need for or priority of an investi-gation shall be resolved in accordance with the process described in Appendix 3 of this manual chapter. The Office or Region will enter allegations of wrongdoing into the AMS using information received
{orfart IX.2 offrom this the alleger manual O!or willprovided chapter). by 01 provide either3a (see Ap[pen report a susmary of fits findings of those matters which it investigates I 4.
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MANAGEMENT OF ALLEGATIONS i
to the requesting Office or Region. Allegations involving wrong- I doing for which a Region is the Action Office will be coordinated by l the Region OAC with the OI Field Office Director in that Region, i .
Allegations involving wrongdoing for which a Headquarters Office is j j the Action1,Office Appendix will be coordinated with 01 Headquarters (see also Part IV.6).
l 053 Action Office Assignments. Allegations submitted by any source Receiving Office OAC to the OAC in the appropriate Office Region for processing.
054 Identity of Allegers. As a general rule, the need-to-know I
principle should be implemented for allegers. Generally, this*means avoidance of unnecessary use of the identity of the alleger and other identifying information in discussions and in documents. With the exception of reports prepared by the Office of Investigations, the identity of an alleger. reports should normally not contain inform information which could reveal the identity of an alleger areIndi responsible for controlling such documents, such as by placing them i in closed storage when not under the individual's personal control. ,
If asked whether a person is an alleger NRC staff should respond !
i i that it is NRC policy.not to identify an alleger unless it is clear that the individual concerned has no objection. !
i !
- i. Higher standards of control are to a I granted confidential source status. pply when an alleger has been Confidential source status is 1
granted when a Confidentiality Agreement (Exhibit 2) is executed by i the NRC and the alleger. Guidance with respect to granting confi-j dentiality, revoking confidentiality, and providing the identity of l a confidential source outside the NRC is contained in Appendix 2.
j The identity of a confidential source must be protected by not .
i referring to the name or other identifying
- NRC discussions unless absolutely necessary,information and by expurgating in internal j the name and other identifying information from documents before t
providing them to authorized / assigned NRC staff members.File's and i
{
of a confidential source are to be marked "Contains i
which would reveal the identity of a confidential source," and may not be reproduced without the authorization of the OAC.
i Information which can reveal the identity of a confidential source i may be withheld under the Freedom of Information Act from public 1 disclosure pursuant to 10 CFR l 9.5(a)(7 (iv). Information which i could reveal the identity of an alleger w)ho has not been granted i confidential source status may also be withheld und
! circumstances, but this may not always be the case.er appropriate l
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NRC-0517-057 MANAGEMENT OF ALLEGATIONS 055 Confidential Files. Confidential files must not be compromised inadvertently.
All information relating to cases where confiden-tiality has been formally granted, by signed agreement, must be ke in a secure controls apply.file cabinet or safe to which extremely limited access These files must be physically separated from the normal alleghtion information. files due to the special access controls on the A log system must be utilized to clearly identif personnel who had access (observation or personal possession) y all these files and the time during which access was granted. The to Office Director or Regional Administrator will b gation, specify the responsible office person (s,)who y writtenpermit dele-access to this file. These designated persons mustmay a) restrict access to authorized NRC personnel, b) verify the "need to know" of the individuals requesting access and so note on the log by ,.
or_other c6py) of the information is made - multiple I for simultaneous review must be returned to the file, d) ensure, by an informal briefing of the requestor, that information is kept in a secure location while ou returned in a timely manner, tside of the central file and is 056 _ Staff Generated Information.
Staff generated information relating to evaluations or inspections of allegations where confidentiality has been formally is included that could granted must be sanitized such that no information through any path, lead to the identification of thethe alleger, or, confidential suc,h staff generated information must be kept in files.
The OAC should provide case specific instructions to NRC staff personnel who generate and review such information concerning sanitization of documents and all unsanitized documents to indicate its generated sensitivity. must contain a cover sheet that is clearly markedT 4[
M Drafts of staff generated infor=+M for such cases n w nnen,.,.,,u. , ~. su should es--
dest be,-s-u.royed upon finalizatiorMEN=M"g N Md A-M +a
~ss, u ausa- An. ann +,p _ll .i'$ i be complete, containing all infomation related to the .{I res' the issues identified, similar to the normal allegation files. Con-fidential files may be referenced in the normal allegation files, but no more than a cross reference with the effected projects and status, should be kept in the normal allegation file enclosure.
057 Responding to Allegers. Those who provide allegations to NRC staff must be treated with respect, consideration, and tact. Under no circumstances should they be dealt with brusquely or abusively.
When allegations are received in writing, a prompt attempt to make personal contact must ordinarily be made in each case either by a letter, telephone earnest call or personal meeting. Contact should be 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.
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NRC 0517-058 MANAGEHENT OF ALLEGATIONS 058 Processing Allegations. The Action Office should resolve all aTlegations in a manner which is timely under the circumstances (taking into consideration the schedule and/or stage of licensing).
Except as discussed below (Late-filed Allegations), all allegations received prior to issuance of an initial license should be resolved before the license is issued. Allegations having relatively high safety significance should be addressed first and with expedition.
Less significant allegations should be addressed as priorities and resources permit, but usually within 6 months of receipt. For I 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 to perform f tt 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 raise a legitimate doubt as to the ability to operate the plant safely. -
Allegations should be screened as promptly as possible to assure the proper identification of safety-significance. As a result of screening, it may be possible to close out some allegations early in the process for logical reasons (e.g., after initial inquiry, the allegation is frivolous or too vague or general in nature to permit further be should followup). Appropriate documentation of such determination provided.
,. In any event, while the safety-significance of an allegation is important in determining the extent and promptness of staff resource commitments,s it should not affect the treatment of the alleger as discussed in section 057, above.
Followup of allegations, whether they are general or specific, should focus not only on the particular allegation but on the , )
1 overall area of concern, including the potential for generic implications as well as wrongdoing. In this regard, note that an {
allegation directed toward a non-safety item or activity may, as a result of generic implications, When a number of allegations poin{tffect a safety item or activity.
t to or reinforce indications of a '
broader problem, prompt action to broaden the scope of the inquiry should be taken to determine the extent of the problem.
.If it is appropriate, an inspection should be made. A plant visit with the person making the allegation may be made if necessary and if the individual location is willing to make such a Vfsit to find the exact of a problem.
Access issues should be addressed on a case-by-case basis. Travel costs for the individual only can be offered, extending if necessary, the offer. and are borne by the Office or Region Care should be taken to avoid embarrassment or abuse etc. of the individual, e.g., schedule visit on off-shift / weekend, 1
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MANAGEMENT OF ALLEGATIONS NRC 0517-059
! 059 Late-filed Allegations. ,
Ideally, all allegations concerning '
a particular facility will be resolved before any license is authorized.
If, however, because of the number of allegations and/or their tardy submission all allegations cannot be resolved in a timeframe consistent with reasonable and responsible licensing l action, it may be necessary to give priority to those allegations which, because of their potential impact on safety, must be resolved before licensing action can be taken. In this regard, Action Offices must be alert to the possibility that late-filed allegations may impact on upcoming licensing decisions. Therefore, close coordina-tion and consultation between Action Offices and the appropriate licensing office is required in carrying out the responsibilities and manual procedures chapter. for processing late-filed allegations set out in this In reviewing allegations, the Action Office will first determine whether, if true, the allegations are material to the licensing decision in that they would require denial of the license sought, "
the imposition analysis of additional conditions on such license, or further or investigation.
If it appears that the allegations may be material to a licensing decision, the Action Office will promptly consult with the appropriate ifcensing office that will make a final determination on materiality and assist the Action Office in deter- ,
mining. further appropriate action. :
The Action Office also has office, if warranted. responsibility to recommend Board Notification to the 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 information for the staff to, investigate out will receive no further consideration and may be closed on this basis.
As to allegations which are material to the licensing decision the~
Action Office will next determine whether the information prese,nted is new in the sense of raising a matter not previously considered or tending allegations. to corroborate previously received but not yet resolved In making this determination all information 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 already available to the NRC may be sufficient to resolve certain allegations.
However, if an allegation is found to be both material and new, the staff will investigate the allegation further. If the Action Office determines that, as a result of the number of ,
allegations or the timeframe in which they are received it appears l likely that full consideration of all allegations cannot be !
accomplished consistent with reasonable and timely Connission of the allegations to detennine their significance to 12
NRC-0517 0510 MANAGEMENT OF ALLEGATIONS i
therefore to what priority should be assigned relative to the activity be authorized.
considered: The following screening criteria will be 1.
The likelihood that the allegation is correct, taking into consideration all available information including the apparent level of knowledge, expertise, and reliability of the individual submitting the allegation in terms of the i allegation submitted and the possible existence of more credible contrary information.
2.
The need for prompt consideration of the allegation recognizing the public interest in avoiding undue delay.
If the staff determines that an allegation raises a
- significant safety concern (as defined in section 058 above) regarding, for example, the design, construction, or operation of a facility or about quality assurance or 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.
Allegations which are not safety significant will be resolved in the normal course of business independent of license issuance.
Note that the screening called for by this section is to be '
conducted to'detennine which late-filed allegations must, because of
, their safety-significance, be resolved before issuance of a license; the initial screening called for by section 058 above, on the other hand, is intended to facilitate the allocation of staff resources based necessary on safety-significance in all cases. irrespective of license issuance and is 0510 Involvement of Licensees or Other Affected Organization.
For allegations involving a potentially significant and immediate -
impact on the public health and safety, the affected organization 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 NRC to ensure that the licensee respon,se is adequate, in order tosubje minimize the expenditure of NRC resources. In all instances, however it1s clear he has ne identity of an alleger should not be revealed unless ed *b - gations/ inspections Actions and the effectiveness of investi-releasing or appearing to release an NRC inspection report (no exceptions discussed below).
,t The alleger must be informed tha At t p##}g r is nohh:nding a matter ever te- the affected organizatioparthat NRC will review and evcluate the activities as necessary. The
&g, ov% affected organization should be informed regarding the resolution pd4.
f of F the allegatien if appropriate (See Appendix I Part VIII).
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MANAGEMENT OF ALLEGATIONS NRC 0517-0511 l As noted above, there are two exceptions to the involvement of the licensee or vendor in the resolution process. The first exception is where the information cannot be released in sufficient det bean of of alleger.
use to the licensee or vendor without compromising the identity In such cases release should nomally not be made unless the release is necessary to prevent an imminent threat to the public health and safety.
The E00 shall be consulted in all cases where it appears there is a need to release the identity of a con-fidential source and the appropriate Regional Administrator or Office Director shall be consulted in the case of all other allegers.
The second exception is where a licensee / vendor could compromise an investigation or inspection because of knowledge gained from the release of information, especially if wrongdoing is involved.- In these cases, the decision to release the information to the licensee MIN shall be made by the Director of the Action Office, the Regional Ch*- th p ,-gO Administrator or the Director of the Office of Investigations. In .
%( detemining whether to refer the allegation to a ifcensee, considera-y ,,
4/( allegations, that is, the likelihood that the licensee willt kI %. 4 g Release of information to a licensee / vendor is expec exception for OI investigations.
O & sr- fg '
C- -
" g ote that 10 CFR 19.16(a), involving radiological working condi-18 ^l" / and be made available to the licensee no later than 7,h,, , j.., T. ,V reques 4 In addition to expurgating names andection,. and that co -
T-
}%
- c. U " ,. .a.. n-information, protection of confidentiality could also involveother identifying retyping an alleger's handwritten notice. In the event the
- yo.g,r n oI" y' h a potential for wrongdoing is involved, the matter should be co-ordinated with OI prior to the inspection and providing any infor -
mation to the licensee.
0511 Appendix 1.
This appendix provides procedures for receipt, control, processing, and disposition of allegations assigned to NRC Offices or Regions and the procedures and guidelines used to record the receipt, status, and disposition of allegations in the AMS.
0512 Appendix 2.
This appendix provides guidance for granting and -
fidential source outside of the NRC. revoking confidentiality and fo 0513 Appendix 3.
This appendix provides guidance for initiating, establishing priorities for and teminating investigations of matters involving potential wrongdoing.
14
. l MANAGEMENT OF ALLEGATIONS APPENDIX 1, NRC 0517 PROCEDURES FOR RECEIVING, SCREENING, ASSESSING, AND CONTROLLING ALLEGATIONS AND FOR THE ALLEGATION M Part I: . General and controlling allegations that come to the attention of the These functions are to be established within each Region and Office under the control of an individual staff personnel or otherOffice Allegation appropriate Coordinator (OAC), or a panel of 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 regarding the proper management of allegations.
Allegations pertaining to NRC-licensed facilities and activities may come or by direct verbal contact at sites, in offices, at meetings, an social functions.
to processing in accordance with this manualIt is chapter.All imperative allegations, no fessionally, promptly, and with consistent treatment.that allegatio It is very important to note that where safety is involved, the NRC does not recognize the term "off-the-record." Allegers who wish to provide off-the-record information tant to safety cannot mustoff be treated bethe clearly advised that information impor-record but tha will be accepted officially and acted upon as ne,cessary.t the information with the protection of an alleger's However, ality Agreement identity.As a general rule, the unless a Confidenti-dential source, a(n alleger's identity may have Extending to be revealed.
a Exh Confidentiality Agreement to an alleger will provide the maximum protection ~
regarding an alleger's identity. The guidelines in Appendix 2 should be followed in extending or revoking a Confidentiality Agreement.
may be revealed outside of the NRC. Appendix 2 also provides guidanc 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 informed. steps are necessary to ensure that an appropriate OAC is promptly 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.
Al-1
NRC 0511, APPENDIX 1 MANAGEMENT OF ALLEGATIONS Part II: _The Office Allegation Coordinator (OAC) 1.
Office to which the allegation should be assigned fo resolution or Regions). in coordination with other 0ACs (either in the Offices 2.
The OAC serves as a focal point for administrative processing and con-trol of all allegations is responsible for: assigned to the Regions and Offices. The OAC
- a. Entering allegations into the AMS;
- b. Tracking resolution;allegations from initial receipt to final *
- c. Assuring establishment and maintenance of files that clearly identify allegations assigned to the Region or Office;
- d. Documenting actions initiated to resolve allegations;
- e. Ensuring that management and cognizant staff are informed of allegations under their purview;
- f. Maintaining
- g. properly Ensuring that the final resolution of allegations isthe curre documented.
3.
The OAC ass'ists technical staff members who are reviewing allegation information, sary to resolve primarily issues. in the form of coordinating activities neces-formulation of a course of action to resolve issues.In addition, the OA 4.
A panel, which includes'the OAC as a member, may be designated with assigned and, properly evaluated, and that the actio the allegation, as well as the resolution, are properly documented and ,
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 Sect OI and the Enforcement Staffs.
Part III: Receipt of an Allegation 1.
Allegations 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.
Likewise, if an individual appears in person at an NRC Office, the individual should be referred to the OAC or other technical staff member.
Technical employees, when unable to refer the telephone call or the visitor as described, shall obtain as much information as Al-2
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MANAGEMENT OF ALLEGATIONS APPENDIX 1, NRC 0517 possible from the individual (see item 3, below). When unable to loca te the OAC or other technical staff member, administrative em-playees should refer an individual to a technical staff supervisor.
- 2. Alleg stions Received by Mail Perscnnel 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, to the OAC. that contains allegations shall forward the correspondence of correspondence also should be made aware that correspon ;
taining infonnation which could reveal the identity of an alleger thould l be transmitted in a sealed envelope marked "To Be Opened b Only;" for expedited transmittals (e.g., electronically), y Addressce such information should be deleted from correspondence.
- 3. Discussions with Alleger Any employee receiving a telephone call or visit, as discussed in item 1, shall attempt to obtain as much information as possible from the individual. It is crucial to identify:
- a. full name
- b. complete maiiing address c.
,. d. telephone number where the individual may be contacted
- e. position or relationship to facility or activity involved nature of allegation If the alleger declines to provide the above information, attempt to establish the reason (s) using the following guidance:
Explain that Public 1.aw 95-601 affords protection to the alleger by pr'ohibiting contacting the anNRC.
employer from discriminating against an employee for If the alleger continues to be reluctant to provide sufficient infonnation to evaluate his/her concern or expressly requests confidentiality, a Confidentiality Agreement (Exhibit 2) may be extended in accordance with the guidelines in Appendix 2, Part II. Basic Require-ment 054 provides further information regarding protection of confidentiality.
The alleger may be informed that the NRC employee with whom he/she is in determine to contact does not have follow-up the capability to evaluate the information, action therefore, it may be necessary, or to establish NRC jurisdiction; for additional information. that someone else contact the alleger The alleger should be informed also, that--unless an objection is registered--he/she the allegation. Thiswill mabe recontacted as soon as possible regarding a letter to the alleger,y be done by telephone, personal visit, or by at an address designated, which will also acknowledge the receipt of the allegation. This process will permit Al-3
.o ..
NRC 0517, APPENDIX 1 MANAGEMENT OF ALLEGATIONS the alleger to review the information with the NRC to provide maximum understood. that the information has been correctly interpreted and assurance If the alleger persists in not offering identification after the above explanations, advise document the alleger the allegation in as much detail as possible and that he member in 30 days or any o/she may contact the OAC or designated staff ther 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 ajainst the*
employer if the allegation is substantiated. To assure personal employee 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. i allegations received by telephone.to allegations received Part IV: Action by the Receiving Employee and the Office Allegation Coordinator (OAC) 1.
When an allegation concerning an NRC-regulated activity is received, the employee receiving the allegation will provide the information obtained to the Data gation Receiving Form. Office OAC who will complete an NRC Form 307, Alle-The Action Office is then identified and the completed form and all documentation regarding the allegation will be forwarded by the Receiving Office OAC to the Action Office OAC.
2.
The Actionwith accordance O'ffice OAC these will enter the pertinent information in the AMS in' procedures.
the AMS. All allegations must be entered into -
In this way an " audit trail" will be established so that NRC actions can be properly monitured and completed. The OAC or other designated staff member will ensure that the alleger is properly contacted to acknowledge the allegation. receipt of the allegation and to confim the specifics of Depending on the nature of an allegation, the OAC will provide copies of the sanitized allegation documentation and the letter i i
sent to the alleger (with the alleger's identity and identifying informa-tion concealed) to the cognizant technical staff supervisor for evaluation and initiation of action.
tity of an alleger, a need-to-know deterinination mustIf be the made.To the alleger is See Appendix 2. a confidential source, the determination must be documented.
When responsibility for the handlin transferred from one organizational unit to another,gthe of alleger an allegation should is be notified of the new point of contact (name and telephone number) by the individual single pointwho is relieved of contact asbe should contact in order to assure continuity.
the rule. A Al-4
( . *
\.
MANAGEMENT OF ALLEGATIONS APPENDIX 1, NRC 0517 The OAC will follow up on the allegation with the cognizant technical staff supervisor satisfactorily at periodic intervals until the matter has been resolved.
be made to that effect in the AMS.When the case is closed, an update should 3.
The OAC will coordinate allegation information with the technical staff and cient may assist to identify the in. determining whether the information is sufft-issues.
insufficient, the OAC or designated staff member will assist inIf the informatio further contact with the alleger. A single point of contact with an alleger provides a means of better controlling comunications, 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 ing categories:the issues involved in an allegation into one of the follow-a.
Allegations that involve technical matters, such as: inadequacies in procedures, qualifications, or training; inadequate implementa-tion of procedures; exposure or inadequate corrective actions; or over-(s) to radiation, b.
Allegations where there is a reasonable basis for belief of wrong-doing and for which the staff determines an investigation is necessary to determine whether regulat' o ry action is require such as:
record falsification; willful or deliberate violations; material Reorganization Act, or other improper conduct. false statements 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, such issues will normally be tracin the absence of specific allegations of wi resolved using program resources.ked separately as technical issues and If an allegation covers issues that affect other Regions or Offices, follow-up activities will be coordin-OAC will contact the affected Offices which should result in a agreement as to which Office or Region should have the lead.
ment cannot be reached at the OAC level, then the Regional Adminis-If agree-trators take theorlead.
Office Directors will resolve which Office or Region should 6.
Allegations in category 4b, except for those involving NRC employees or NRC contractors (see 10, below), should be referred to 0I Field or Headquarters Offices in accordance with the guidelines in Appendix 3 of this manual chapter. Requests for an investigation by OI must be made using the " Request for Investigation" form (Exhibit 3 to this Al-5
)
.~ .
NRC 0517, APPENDIX 1 MANAGEMENT OF ALLEGATIONS manual chapter) and distributed as indicated on the form.
of the completed form, 0I will evaluate the request and conduct con-Upon~ receipt sultations as necessary with the requesting office. If a request is ' " y,.
not accepted, 0I will provide the requester with the basis for its decision.
Any differences between the staff and OI on the need for or priority of an investigation shall be resolved in accordance with the '
process described in Appendix 3 of this manual chapter.
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 4 other Federal law enforcement agencies and State and local jurisdictions is the responsibility of the appropriate OI Office or the Office of.
Inspector and Auditor (for matters falling within its purview only).
8.
Allegations in the AMS. involving discrimination under Section 210 should be entered crimination complaint under Section 210 of the Energy Reorg must be filed with ' the Department of Labor within 30 days of the dis-crimination. Complaints should be filed with the Office of the Adminis- }
trator, Wage and Hour Division, Employment Standards Administration, U. S.
Department of Labor, Room 53502, 200 Constitution Avenue, N. W.,
Washington, D. C. 20210. The OAC also maintains awareness of D0L's in-vestigative intent, and ensures NRC consideration of the need for its own investigation by timely referral to 01. The OAC will take reasonable steps to facilitate DOL's investigation by assisting DOL in obtainin access to licensed facilities and any necessary security clearances.g Regional Counsel or OELD/ROED should be contacted on access problems.
- 9. ~
If an allegation is determined to have generic implications, other Offices and/or Regions with responsibilities that ma :
be appropriately notified by the Action Office (e.g.y be affected
, AE00 will -
for opera-tional data, RES for concerns affecting research activities, etc.) ,
)
i 10.
Allegations regarding suspected improper conduct by NRC employees and NRC contractors will be. brought to the attention of appropriate management for possible referral to the Office of Inspector and Auditor (OIA). Allegations of this nature are not entered into the AMS.
(
Reference:
Part V: Documenting Allegations 1.
When an allegation is received and the action office identified, a i 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-This file shall be maintained in the official files of the Action Office in an officially designated location. The confidential files, those with extremely limited access, will be Al-6
- MANAGEMENT OF ALLEGATIONS APPENDIX 1, NRC 0517 physically separate from the normal allegation files, but will contain the documentation tion files. similar to that kept in the non-confidential allega-file and clearly marked with the allegation number.The allegation s To ensure proper evaluation, full and complete information should be documented about each allegation.
In addition to obtaining basic information, attempts should be made defined. to expand and clarify the information so that the issue is well documented. All allegations, regardless of source or how received, must be to be locked when not in use.official Access to the files is to be controlled. Files are In addition, records or files containing the name of a confidential source or other identifying information should be stamped "Contains information which would reveal the identity of a confidential source" and access should be controlled with a sign-out pro-cedure.
The information in these files shall not be reproduced without authorization of the OAC. The same controls apply to copies as to originals.
2.
There will be occasions when the allegations oby'ausly have no sub-stance and appear to represent a distortion of facts. However, even in these cases, documentation is necessary that identifies the con-tact, the general content of any communications, and the basis for a conclusion that the matter need not be pursued.
Instances such as the OAC to ensure proper disposition.these will be coordinated wit 3.
The importance of obtaining and documenting all pertinent information
- about an allegation cannot be overemphasized.
Evaluation and screen-ing of the allegation, as well as the proposed course of action that will this be adopted to resolve the issue, will be based primarily on information.
alleger may be warranted.In some cases, a personal interview with the In these cases, the OAC will consult with NRC management to determine the best way to obtain the details re-quired. -
tivity, assistance from the Office of Investigations (OI) or ot 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.
action will be taken to verify the validity of the allegationNormally, rno shall such matters be discussed with licensees, i' accessa /
the OAC or designated staff member has briefed appropriate NRC /
, ntil after management.
5.
all information received in conjunction with an allegation ensuring that management and cognizant technical staff members are fully informed. . 3 Al-7
NRC 0517, APPENDIX 1 MANAGEMENT OF ALLEGATIONS 6.
Allegations normally should not be addressed in Preliminary Notifica-tions (PNs) or Daily Reports (DRs); however, if it is detennined that .
PN or DR entries are appropriate, the approval of an Office Director or a Regional Administrator should be obtained.
7.
If allegation documents which would reveal the identity of an alleger must be sent to other NRC personnel, the documents should be securely wrapped and marked "To be Opened by Addressee Only." The sender must ensure that the recipient has a need to know. In the case of a confi-dential source, the sender must verify the recipient is included on
, the list of individuals with a need to know maintained by the OAC. All NRC personnel are to take reasonable steps to ensure that the identity '
of an alleger is not revealed and all necessary steps to ensure that the '
identity of a confidential source is not revealed. (See Basic Reqaire-ment 054.)
Part VI: Evaluation by Cognizant Technical Staff 1.
When an allegation package is received, the technical staff within the Office or Region will review the documentation to detennine if there }
is a safety concern that requires immediate action. The technical staff on is responsible corrective actions. for development, initiation, and follow-through Allegations or documents containing a substantial number of following criteria: allegations once entered in the AMS can be screened using the
,. a.
Is there an immediate safety concern which must be quickly addressed? ~
b.
Is theconcern?
alized allegation a specific safety or quality issue or a gener-
- c. Has the staff previously addressed this issue? -
i
' d.
Does the allegation package contain sufficient infonnation for a 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 allegation further. screening process that may result in a decision not to consid the alleger should be Ifsothe informed latter isinthe a courteous decided and course of action.
diplomatic manner -,
along with the rationale for not considering it further. l I
for adverse publicity must be recognized when taking this action.The potential f.
Is the identity of the alleger necessary for a thorough evaluation?
i g.
l What specific issues are involved in the allegation? Can the issues be adequately addressed by a technical inspection?
Al-8
_ _ _ + - - - - _ - . - . . - - , _ , ., ..--, .__. -.- __ -,
, _---.w__, , w , - - - - , . _ _ . - - - , , , .
MANAGEMENT OF ALLEGATIONS 4
APPENDIX 1. NRC 0517 h.
Can a the allegation scheduled be examined and resolved by investigation or during inspection?
way to address the issues. If this is not possible, determine the best 1.
Can licensee / vendor resources reasonably be used in resolving the allegation to conserve staff resources? . Consider potential problems
. associated with involving the ifcensee in the resolution process.
J. Does the allegation have the potential to require escalated enforcement action?
k.
What is the time sensitivity of the allegation, and what immed-1 fate actions are necessary?
- 1. Will investigative assistance be needed?
m.
Identify peripheral issues that could develop.
i n.
Are any licensing actions or board proceedings pending which could be influenced or affected by the allegation. When an allegation i involves a case pending before a licensing or appeal board or the Commission, infomation concerning it should be provided to NRR or NMSS as soon as possible to assist in the determination of whether or not a board notification should be made. This decision must be made promptly by NRR or NMSS in accordance with office procedures.
- o.
- . - Should other NRC Offices be notified?
p.
As soon as possible after the receipt of an allegation and the relevant infomation has been reviewed and evaluated, the Action l Office will make a preliminary determination of the safety signi-ficance of the item and the need for immediate regulatory action.
i ,
q.
Establish a schedule for the resolution of each allegation which is consistent with the licensing schedule, if applicable, j , r.
Notify or actionthe(s)
OAC or designated staff member when the status changes is complete.
I 2.
j It is the responsibility of the technical staff within the Office or 1
Region to resolve each allegation that falls under its jurisdiction,
! and subsequently, to notify the OAC or designated staff member of the
{ action closeout. taken so that the status of each allegation can be tracked to i
Final resolution of an allegation shall be documented and placed in the working file along with all supporting documentation. The belittle or disparage the alleger. final report should state the facts 3.
1 For those allegations resulting in the need for corrective action, the affected to protectorganization the identity (s) shall of the be properly alleger. - informed recognizing the need f
1 Al-9 I_ _ . _ . - . .____ . _ .- _ _ . _,_
l .
i i
NRC 0517, APPENDIX 1 i
MANAGEMENT OF ALLEGATIONS 4.
- disposition or resolution of their concern (s).A reasonable contain documentation of this effort. The official file must Part VII
- Allegation Resolution Documentation
! 1.
Allegation resolution documentation officially closes the file for athat casecase closed and file.shall be placed in the working file which now becomes 2.
A final report or document should be prepared that sets forth the facts about of investigation the allegation and its resolution clearly eport and co i
plex or major gen,eric matter.an inspection report, or a technical paper for a com-4 allegations proximate to OL issuance.It can be an SER supplement for multiple
- Requirement 054).or material that could be used to identify, the a I.
3.
The final report should include a sunenary 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 a11eger.
4 4.
} Appropriate tion. entries should be made in the AMS to close out the alleg
\
5.
j i allegation documentation is subject to release under i appropriate precautions'to protect confidentiality. Until that time, all allegaticn documentation is exempt from release under the FOIA in accordance for, law enforcement with 10action.
CFR 9.5 Exemption (7) due to actual, or the potential.
An FOI.A request received during the open stage, for F0IAhowever, processing. will " freeze" those documents in the file at that time '
freely review case files when an allegation is closed and those documents necessary to account for official action.
6.
i suitable for referral to the DeReports issued by the Office of Investi Regions for enforcement action.partment of Justice (00J) or NRC Offices or As such, they will often contain infor-mation which would reveal the identify of confidential sources and allegers.
i Transmittal letters referring OI reports to the Department of Justice should clearly indicate that the reports reveal the identity of confidential the reports. sources and allegers and request that DOJ closely control Memoranda to the EDO and Regional Administrators should also clearly indicate if a report contains information which would reveal l the identity of a confidential source or alleger. The EDO and Regional
! Administrators of such reports onwill make determinations a need-to-know basis. regarding further distributions j
Determinations regarding a i.
confidential source shall be documented.
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---.____.-- _. - -. __..L...__-.-
. _,-- - . , - _ . - -. - - - - - . - _ . - , _ ,- -.... - - .. - -_. - - _ _ . - _.. m , .
MANAGEMENT OF ALLEGATIONS APPENDIX 1, NRC 0517 In addition, OI reports which would reveal the identity of a confidential source should be stamped "Contains information which would reveal the identity of a confidential source."
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 a11eger. -
3.
The foregoing does not apply to OI investigative reports. However, if an OI report is the primary document relied upon in the resolution of an allegation,. the alleger should be provided with a summary of the report.
PART IX: Allegation Management System
- 1. General a.
For purposes.of the Allegation Management System (AMS) the defini-tion provided 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 N 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 infonnation 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 deft- i 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 there may be a distinct grouping of concerns, for example, in two areas such as training and quality assurance. In such a case it may be Al-11
e . ,
. l s .
NRC 0517, APPENDIX 1 MANAGEMENT OF ALLEGATIONS appropriate to enter two allegations. A main objective is to ensure that the receipt of an allegation is entered and tracked in the system. An allegation is not completed and closed until an Action Office supervisor determines that appropriate action has been taken.
d.
Sensitive information such as the names of persons making allega-tions shall not be entered in the system. All information entered on the form shall be unclassified and shall not contain any safe-guards information or any proprietary or commercial (2.790) infor-mation, e.
Some allegations may require action by two or more offices. For purposes of entering the allegation into the AMS either separete 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 jurisdiction ever all allegations where there is a reasonable basis for belief of wrongdoing and for which the staff determines an investigation is necessary to determine whether regulatory action is required except those involving NRC
~
. employees or NRC contracters and will forward all allegations of a technical nature to the appropriate Office or Region. The Office or Region will be responsible for entering all allegations--even those under the purview of OI--into the AMS using a Region or Office AMS number, b.
For those allegations of wrongdoing, except those involving NRC ~
employees or NRC contractors, assigned to the Region or Office:
(1)
The Region or Office OAC will coordinate with the OI Field Director or OI Headquarters representative to determine if sensitive information is included which should not be placed into the AMS.
and the word "All sensitive sensitive" putinformation in its place.is to be deleted should be made to provide descriptive material to assist theHowever a AMS user to the maximum extent possible.
(2) 1 The Region number. or Office OAC will assign a Region or Office AMS The 01 assigned number should be entered in the AMS as a cross-reference. l i
(3)
The name and phone number of the 01 Field Director or OI Headquarters representative will be placed in the appropriate section of the form as the Action Office contact.
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MANAGEMENT OF ALLEGATIONS APPENDIX 1, NRC 0517 (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.
(5)
The allegation will be considered closed when the investiga-tion report has been issued and as long as no technical issues 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 allegation is placed in the AMS.
c.
For allegations of wrongdoing received by 01, the 01 Headqu'ahers or Field Director will coordinate with the respective Office or Region 0AC to complete the items 2.b(1) through (5), above.
d.
For allegations of a technical nature received by OI, the OI Head-quarters or Field Director will contact the respective Office or forRegion and follow the Receiving the procedures as indicated in item 3 below Office.
e.
01's review of allegations for potential wrongdoing shall be docu-mented in the allegation case file.
- 3. Receiving Office Upon receipt of an allegation involving an NRC-regulate tive to the allegation (see Exhibit 1) to the OAC who will initiate gation required steps to identify the Action Office and to enter the alle-into the AMS.
priate Action Office, coordinate with the Action Office, a concurrence from the Action Office before transfer of responsibility.
4.
Action Office. The Action Office shall :
a.
Complete that portion of the A1. legation 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.
Review tions in theand, AMS where on a necessary, update the status of all open allega-monthly basis, c.
As soon as possible after the receipt of an allegation and relevant determination latory action. of safety significance and the need f
, Al-13
. I j
MANAGEMENT OF ALLEGATIONS APPENDIX 1, NRC 0517 d.
Schedule the resolution of each allegation to be consistent with the licensing gation. schedule and the safety significance of the alle-e.
Make a determination regarding the need for a board notification to NRR or NMSS.
in nature, a follow-up notification is sent to boards when uation is completed, or whenever significant relevant infonna-tion is identified during the course of evaluating the allegation.
This detennination should be made as soon as possible in accordance with the Action Office board notification procedures.
f.
Develop and maintain a working file for each allegation, which will contain all related docu:nentation.
of multiple Concern. concerns, separate working files may be needed for ea g.
Thirty days prior to the construction completion date (appli-cant's estimate) for each pending OL, each Action Office will forward to the appropriate licensing organization in NRR, an eval-uation of the safety significance of all allegations not scheduled to be resolved before the construction completion date, with a recommendation as to whether any or all of them constitute grounds for delaying license. issuance of (or otherwise restricting) an operating (See 059.)
h.
' , Thirty days prior to a Commission decision on authorizing full-power operation, prepared. a report similar to item g., above, will be -
i.
Protect the identity of all allegers and, when confidentiality is are implemented. requested, assure that the added controls in this Manual Cha
- 5. NRR OAC . -
In addition to the normal 0AC responsibilities, the NRR OAC:
a.
In coordination upgrading of the with AMS.ORM, is responsible for the maintenance and b.
Authorizes and requests that special reports be prepared from the AMS allegation database for use by individuals other than those involved in resolution, c.
Is responsible for conducting progranaatic reviews of the implementation '
of the policies and procedures in this Manual Chapter.
Al-14 I
, s' ,
MANAGEMENT OF ALLEGATIONS APPENDIX 3, NRC 0517 GUIDANCE FOR INITIATION, ESTABLISHMENT OF PRIORITIES AND TERMINATION OF INVESTIGATIONS PART I: General On January 10, 1986, Staff and the Office of Investigations for initiation, establishment priorities and termination of investigations.
The Commission concluded that priorities for investigations and that staff views on the priority cess. of an investigation were an integral part of the investigation pro-guidelines. The following procedures are to be followed in implementing the PART II: Referral of Matters for Investigation by the Staff 1.
Regional Administrators and Office Directors, the latter through the gation shall EDO, refer to all matters the Office of Investigations for possible investi-where:
- 1) there is a reasonable basis for belief of and 2) the staff determines an investigation is necessa
.. decide whether enforcement or other regulatory action is required.
Matters for which there is not a reasonable basis to believe wrongdoing is involved or matters which may involve wrongdoing but for which an investigation would be unnecessary to determine the appropriate course of action should not be referred to 01 for investigation.
a licensee discovers that a ' low-level employee deliberately violated aFor exam requirement or falsified a document, disciplines the employee and takes .
conclude that further NRC action is unnecessary. appropriate
- 2. /.. d.~~d All referrals to OI shall be made using the "Re~ quest for Investigation" form, Exhibit 3 to this Manual Chapter.
_lowwillbeassignedtotherequestedinveggA ' n priority using theof high, normal or examples set forth below as guidance. Each request +
coordinated with regional counsel or OELD as appropriate. Copies of the completed request forms shall be distributed as indicated on the form.
3.
As indicated above, the staff will recommend a high, normal or low priority for each matter referred to 01.
serve as guidance in assigning priorities.The following examples may these examples are just that. It should be recognized that case to assure that the appropriate priority is established.' Judgment .
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MANAGEMENT OF ALLEGATIONS APPENDIX 3, NRC 0517 High A.
Current manager, licensed operator or other employee involved in deliberate violation of requirements having high safety signifi-cance, e.g., continuing potential for unnecessary radiation exposure to employees or members of the public.
B.
Suspected tampering with vital equipment at a power reactor. '
C.
Allegations of falsification of records available for NRC inspection or submittals to the NRC or deliberate withholding of information I required to be reported to the NRC, where the situation involved !
i presents e.g., an immediate and continuing health and safety concern, 1.
falsification of records having high safety significance, such !
as falsifications required test; which conceal a repeated failure to perform a l I
- 2. i alleged withholding of significant design flaw or seismic criteria information for an operating facility; or 3.
level of individual involved in the alleged withholding of information or falsification is such that a serious question of i the willingness of management to conduct safe operations is raised.
D. :
Allegation of falsification of records available for NRC inspection '
or deliberate violations of NRC requirements concerning an area of significant safety' concern for licensing. I E.
Allegations of wrongdoing where immediate investigation is necessary to ensure preservation and availability of eviderice or which are in some other way time perishable. -
Normal A.
Allegations of intimidation or harassment of QC inspectors or workers on safety-related equipment at a facility under construction.
B. !
. Allegations of deliberate violations of NRC requirements where there is no indication the violation is recurring or causing immediate and direct health and safety impact on the general public or employees. I i
C.
Allegations of falsification of records available for NRC inspection or licensingdeliberate violation of NRC requirements of safety concern in the process. '
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, e i MANAGEMENT OF ALLEGATIONS APPENDIX 3. NRC 0517 Low A.
Allegations of deliberate violations of NRC requirements, falsifi-of workers where the licensee is aware of the allega already undertaken corrective action.
An NRC investigation is needed
! to determine the degree of culpability only if there is evidence of a deliberate violation of NRC requirements.
B.
Allegations of deliberate violation of NRC requirements at an operating the reactorfacility where there is in long-tenn is no near-term safety concern, g, shutdown.
4 Program offices are responsible to the EDO for assuring that within their areas of responsibilities necessary investigations are conducted. If the program office believes that a priority for a matter should ately to resolve the matter.
OI should be contacted within 15 days of the original referral if the priority is changed from the initial request.
5.
Once a matter has been accepted by OI for investigation, if the an investigation has changed, that infonnation will be pro Director, OI for his consideration.
PART III: Initiation of an Investigation by OI I. .
Upon receipt of the " Request for Investigation" form, OI will evaluate the request office. OI willand conduct initiate consultationsif:as necessary with the requesting an investigation a.
t The staff has found that the alleged wrongdoing has had or could have an impact on the public health and safety, the common defense-~
and security, protection of the environment, or antitrust laws provided that these matters are within NRC jurisidiction; and b.
The Director.
believe 01 determines that the matter that there involves wrongdoing; andis a reasonable basis to c.
The Director, OI detennines that there is sufficient information available to support the allegation to warrant initiation of an investigation.
2.
If upon review of the request, there is a reasonable belief that the alleged wrongdoing is solely a product of careless disregard or reckless indifference OI will not normally conduct an investigation unless the-requester indicates that the matter requires application of OI resources becausewith concurs there thisare major regulatory implications and the Director. 01 judgment.
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_ _ _ ._ , _ _ _ _ _ . _ . - - - - - " * ~ ' - - - ' - - - ' ' ~ ~ -
1
,. 4 MANAGEMENT OF ALLEGATIONS APPENDIX 3, NRC 0517 3.
OI will seek Commission approval prior to initiating an in'v estigation relating to the character / integrity of an individual within 01 jurisdiction. i 4.
01 will notify the requester within 30 days of receipt of the request whether the matter has been accepted for investigation and, if so, the priority assigned to the matter and the estimated schedule for completion. l If a matter is not accepted for investigation, OI will provide the l
requester with the basis for its decision. Copies of 01 correspondence '
on scheduling and priorities will be sent to all'those who received a copy of the original request as indicated on the request form.
PART IV: Resolution of Offferences Between .
Staff and 01
- 1. i Following OI notification of its action on a request for investigation, if the Regional Administrator has concerns about the priority or schedule assigned to the matter or the declination of OI to investigate at all, he shall promptl his concern. y notify the Director of the appropriate program office of 2.
The Director of the responsible program office will review disputed matters referred by the Regional Administrator and the priorities and schedules assigned on matters referred to 01 directly by the program office.
If the Director determines that an investigation priority or needs, and the matter cannot be resolved with the Dir promptly notify the EDO.
3.
The ED0 will resolve all differences over the need for and priority and schedules for investigations with the Director, OI or seek Commission resolution. -
PART V: Termination of Investigations 1.
will normally be made outside the context of the inves priority /threshhold system. I to its conclusion if there is a reasonable basis for a belief that the matter ments. being investigated involves a deliberate violation of NRC require-The decision to terminate an investigation will be a case-by-case assessment by the Director, OI of such issues as whether the relevant facts necessary to resolve the matter under investigation have been witnesses are unavailable or could no longer be expecte pertinent information, or whether continued investigation would be non-productive or otherwise not serve the agency's interests. ,
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g .D. O MANAGEMENT OF ALLEGATIONS APPENDIX 3, NRC 0517 2.
As indicated in section II.5 above, if the requester of an investigation determines that the need for or priority of an investigation has changed that information will be provided to the Director, OI for his consideration.
3.
For low and normal priority cases, 01 may close a case if its projection of resource allocations indicates that the investigation could not be initiated within a reasonable period of time which will generally be six months.
OI may close a case following its initial evaluation if at that time OI is able to make a projection of its resource allocations and the case would not be initiated within a reasonable period of time, e.g., six months.
4.
OI will notify of lack the stafftoinpursue of resources writingit.when it formally closes a cash because Part VI: _ Resolution of Those Matters Returned to the Staff By OI Without Investigation 1.
Those matters which are returned to the Staff by OI without investigation (see V.3) will be handled by the staff as part of its normal process to resolve inspection findings. This may include additional between the staff and licensee or proceeding with e appropriate on the basis of the original or supplemented inspection findings or such other actions as appropriate.
supplemental
' , If, after developmen_t of
' vesO riformatjortor__ reassessment of the original findings '
/ / ihvestTgation In accoFdance with the procedures in this c
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staff will matters not use referred itstoresources back the staff by to 01.cc7 N Stduct an invest) he ation of. [he ci. ) %+ O'[ us &
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MANAGEMENT OF ALLEGATIONS EXHIBIT 3, NRC 05I7 l LIMITED DISTRIBUTION -- NOT FOR PUBLIC DISCLOSURE Request No. (Region-yea r-No. ) T0: FROM REQUEST FOR INVESTIGATION Licensee / Vendor / Applicant Docket No. Facility or Site Location Regional Administrator / Office
. Date A. Request What is the ma'tter that is being requested for investigation ~
(be as specific as possible regarding the underlying incident). B. Purpose of Investigation 1. (be as specific as possible). wrongdoing $ suspected; explain the basis LIMITED DISTRIBUTION-- NOT FOR PUBLIC DISCLOSURE W/0 OI E3-1 Approved: I
MANAGEMENT OF ALLEGATIONS EXHIBIT 3, NRC 0517 LIMITED DISTRIBUTION -- NOT FOR PUBLIC DISCLOSURE 2. What are the potential regulatory requirements that may have been violated? O 3. If no violation concern? is suspected, wha't is the specific regulatory 4. If allegations occurred? areoccurred likely involved, is there a view that the allegation
, not sure likely, explain the basis for that view. . If
,. C. Requester's Priority 1. Is the priority of the investigation high, normal, or low? 2. What are is the estimated date when the results of the investigation needed?
- 3.
What is the basis for the date and the impact of not meeting this date? (For example is there an immediate safety issue that must be addressed or are,the results necessary to resolve any ongoing ! regulatory come of theissue and if so, what actions are dependent on the out-investigation? i LIMITED DISTRIBUTION -- NOT FOR PUBLIC DISCLOSURE W/0 O i /
.,'y a MANAGEMENT OF ALLEGATIONS EXHIBIT 3. NRC 0517 LIMITED DISTRIBUTION -- NOT FOR PUBLIC DISCLOSURE D. Contact
- 1. Staff members: -
- 2. Allegers identification with address and telephone number if not confidential. (Indicate if any confidential sources aFe' inyolved and who may be contacted for the identifying detafis.)
F. Other Relevant Information L
)
1 1 Signature ~ cc: OI (8. Hayes) */ E00 NRR/NMSS as appropriate */, **/ IE */ ***/ OELD , Regional Administrator **/, ***/
*/
T* If generated by region. I
"*/ If generated by IE.
/ If generated by NRR/NMSS -
LIMITED DISTRIBUTION -- NOT FOR PUBLIC DISCLOSURE W/0 01 APPR ' I L - - l}}