ML20212J911
| ML20212J911 | |
| Person / Time | |
|---|---|
| Issue date: | 05/24/1985 |
| From: | Dircks W NRC OFFICE OF THE EXECUTIVE DIRECTOR FOR OPERATIONS (EDO) |
| To: | Connelly S NRC OFFICE OF INSPECTOR & AUDITOR (OIA) |
| Shared Package | |
| ML20212J882 | List: |
| References | |
| FOIA-86-215 NUDOCS 8608140436 | |
| Download: ML20212J911 (5) | |
Text
_ - _
E@
UNITED STATES g
'n NUCLEAR REGULATORY COMMISSION i
wassmotow.o. c.aosss
(....*,/
MAY 2 41985
\\
cfr O
(
MEMORANDUM FOR: Sharon R. Connelly, Director e
Office of Inspector and Auditor FROM:
William J. Dircks t) 0 -
Executive Director for Operations g
SUBJECT:
REVIEW OF NRC'S ALLEGATIONS MANAGEMENT SYSTEM 0
This responds to your April 15, 1985, memorandum transmitting the subject audit report. We note in your Sumary of Findings that you found the NRC does have systems in place, both at Headquarters and the regional offices, to manage the allegation review, and that these systems appear to provide an adequate framework for the processing of allegations. We also note that this audit was conducted from June through December 1984, and that draft Manual Chapter 0517 was issued for policy guidance on September 19, 1984. Consequently, that staff guidance was operational for only about one-half of the OIA review period. With respect to your specific.
recomendations, we submit the following:
OIA Recommendation We recomend that the EDO develop standardized documentation for use in 1.
recording the resolution of allegations. The format could be the one used in the SER's or another acceptable format. Using standard documen-tation will preclude the necessity for having to expend resources to prepare such documentation at a later time.
EDO Response We disagree. We appreciate the value of a comen format. At the present time, however, most allegations require an on-site inspection, are closed out in Inspection Reports (IR), and are not placed in SER Supplements (SSER). The IR provides a written characterization of the allegation and the agency action to resolve it, if substantiated. On plants having large numbers of allegations, such as Diablo Canyon, Waterford and Comenche Peak, the staff found that an SSER was required to compile all the necessary i
analysis and inspection work in one complete document. While it may be possible to revise the IR fomat to allow the allegation description and resolution to be lifted in its entirety and placed in an SSER, the resources required to do that in all cases do not justify the few cases in which it would be utilized. Regardless of the form of documentation, both irs and SSERs can be used to adequately address s'ilegations.
In addition, both are publicly available. TEA-%-2IT % 8 81 6 860807 GARDE 86-215 PDR
r
/
J
! OIA Recomendation 2.
We recomend that the EDO clarify to the staff the implementation of draft Manual Chapter 0517 pertaining to confidentiality for allegers, pending approval by the Comission of a policy statement on confidentiality.
)
ED0' Response We agree. As you know this question is presently before the Comission.
When the Comission reaches a policy decision on this matter, it will be issued to the staff with implementing guidance, and will also be incorporated in the final version of NRC Manual Chapter 0517. We do not believe it would be
, helpful to issue additional interim instructions pending a decision on this matter by the Comission, since that decision is expected momentarily.
OIA Recomendation 3.
We recomend that the EDO revise Manual Chapter 0517 to pennit Office Directors and Regional Administrators to delegate the authority to grant confidentiality to an organizational level which will more easily enable.the granting of confidentiality to allegers.
EDO Response We agrea. The final version of MC 0517 will permit Office Directors and Regional Administrators to delegate this authority within bounds.
DIA Recomendation 4.
We recomend that the EDO develop and implement procedures designed to provide bettor protection to allegers' identities within NRC. These procedures should (a) require that the allegers' identities be restricted to as few people within the NRC as possible; and (b) provide that when allegations infonnation is being disseminated within the agency, its confidential nature should be clearly marked so as not to inadvertently disclose the identity of a confidential alleger.
EDO Response We agree. This item was stressed at a recent (March 21-22,1985) meeting of the principalagencyusersofthenewAllegationManagementSystem(AMS),andMC0517 will be revised to provide additional staff guidance.
i.
. OIA Recomendation 5.
We recomend that the EDO develop guidance requiring that allegation case files within the NRC be more tightly controlled so that inadvertent disclosure of an alleger's identity is precluded.
EDO Response We agree. MC 0517 will be revised to provide additional staff guidance.
OIA Recomendation 6.
We recomend that the EDO reiterate to NRC officials responsible for allegation follow-up the requirements to provide feedback to allegers.
The E00 ch uld also require that the feedback be documented.
EDO Response We agree. The new Allegation Management System which went into effect on April 1,1985, requires a positive indication of alleger close-out i
notification.
In accordance with the recomendation, the EDO has reiterated this natter to all agency management and staff charged with allegation resolution.
)
OIA Recomendation 7.
We recomend that the EDO modify the ATS to more accurately reflect the true allegations workload. We believe that this can be accomplished in several ways, and suggest the following possible alternatives:
(a) Change the ATS reporting guidelines to require a separate ATS number be assigned for each separate technical issue; or (b) Modify the ATS to allow suffix numbers to be included in the ATS.
We understand that the EDO currently has plans to modify the ATS and we believe this recomendation should be considered in conjunction with these changes.
Response
We agree. The new AMS computer system, and 'the new Allegation Data Input form (307) allow for the entry of multiple concerns under one allegation number and require that this infonnation (number of concerns) be provided for each allegation opened. This was also covered in the March meeting.
Recomendation 8.
We recomend that the EDO reinforce to the technical staff the policy
- t:L't turning allegations over to licensees for their follow-up.
l
I,
EDO Response We agree. This guidance is presently a part of 0517 and requires that action offices assure that turning the allegation over to the licensee will not (1) reveal the identity of a confidential alleger or (2) compromise an i
ongoing or planned inspection or investigation. This will be reinforced 1
to Office Directors and Regional Administrators at the issuance of the final version of 0517.
It is also a standard audit item when 0517 implementation is reviewed and was also covered in the March counterpart meeting.
OIA Recomendation 9.
As it appears that the task force approach may continue to be used in cases where a large number of allegations are pending against a specific licensee, we (OIA) recomend that the EDO consider using alternative approaches to establishing task forces. One such approach could be designating specific NRC officials to manage any future task force efforts. These could be officials who have been involved with previous task forces and would have the necessary experience regarding workload planning and supervision of task force resources. This should alleviate some of the problems encountered by earlier task forces.
EDO Response We agree with the thrust of this recommendation, but we do not believe that the designation of NRC officials on a pennanent basis to handle any task force efforts that might arise is feasible. The regular workload of potential task force leaders must be considered at the time of the assignment.
If task forces are necessary in the future, we intend to draw upon the experience of successful task force leaders. If they are not available by reason of workload to head the effort, we will make them available on a consultation basis during the start-up of any new task force.
OIA Recomendation
- 10. We recomend that the EDO:
(a) reiterate to Office Directors / Regional Administrators that all allegations involving NRC employees or NRC contractors be referred to OIA, in accordance with NRC Manual Chapter 0702; that such allegations should not be entered in the ATS; that referrals should be made as soon after receipt by NRC as possible; and that any documentation associated with the allegation should be provided to OIA; and (b) modify draft Manual Chapter 0517 to require Office Directors / Regional Administrators to promptly forward to OIA any allegations received regarding employee misconduct.
EDO Response We agree. MC 0517 will be revised accordingly, and we will reiterate this pro-vision to Office Directors / Regional Administrators. This item, too, was covered in the March meeting.
Y
," ' j o
, OIA Recomniendation
- 11. We recomend that the Director, Office of Nuclear Reactor Regulation encourage licensees to voluntarily develop and implement "in-house allegations management programs."
EDO Response _
We agree with the thrust of this reconenendation. The first place to deal with allegations should be at the utility level, and utilities should be encouraged to review allegations and to resolve them. The NRC must be assured that such programs have sufficient organizational independence and report at a high enough level to avoid built-in conflicts-of-interest. Additionally, as noted in your Recomendation 12, below, we must able to review the programs and audit specific allegations and resolutions handled by the licensee.
However, the knowledge that the NRC will audit these non-required allegation management programs may, in fact, discourage some utilities from instituting such programs.
OIA Recommendation
- 12. We recomend that the Director Office of Inspection and Enforcement, develop appropriate inspection guidance and procedures to examine licensee allegations management programs. This guidance should provide assurance that licensee allegation management programs are neither being used to mask wrongdoing, nor providing an impediment to NRC regulatory activities.
EDO Response We agree, however, it should be recognized that such programs are not required by regulation and are not in existence at every plant.
IE will incorporate appropriate guidance into inspection procedures so that they are examined on a sampling basis where they do exist.
C;tp:SY51am1.Ol3IE8 William J. Dircks Executive Director for Operations Distribution EDO R/F J. Keppler Central Files R. Martin H. Denton J. Grace Regional Administrators J. Taylor J. Davis W. Dircks
%f R. Brady REVISIONS MADE T0 seeC 5 PER EDO (5/23/85)
R. Stark
- SEE PREVIOUS CONCURRENCE i
M.Bridgers(EDO-546)
NRR/DL*
NRR/DL*
NRR/DD/DL*
NRR/D*
EDO l
H. Smith (ED0-546)
RBrady RStark FMiraglia HDenton WJDi ks LGAunningham 05/13/85 05/13/85 05/13/85 5/17/85 05/p 85 T. Murley
...