ML20216C744
| ML20216C744 | |
| Person / Time | |
|---|---|
| Issue date: | 06/30/1997 |
| From: | Dan Collins NRC OFFICE OF INSPECTION & ENFORCEMENT (IE REGION II) |
| To: | Cool D NRC OFFICE OF NUCLEAR MATERIAL SAFETY & SAFEGUARDS (NMSS) |
| Shared Package | |
| ML20013H163 | List: |
| References | |
| NUDOCS 9804150031 | |
| Download: ML20216C744 (62) | |
Text
,
4 sc UNITED STATES
- p # 8849'o ;
NUCLEAR REGULATORY COMMISSION 8 h REGloN il
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- ATLANTA FEDERAL CENTER
, 61 FoRsYTH STREET. sW. sulTE 23T85
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- T @'4 y$ ATLANTA, GEORGIA 30303
%*** June 30, 1997 MEMORANDUM TO: Donald A. Cool, Director Division of Industrial and Medical Nuclear Safety, NMSS h+*A FROM: Douglas M. Collins, Acting Director hh Division of Nuclear Materials Safety
SUBJECT:
LISTING OF LICENSEE EXEMPTION REQUESTS RECEIVED AND DENIED (Your Memo, June 27,1997)
In response to your request, we have records of Region 11 licensee exemptions to 10 CFR requested, granted or denied from January 1,1997 through June 30,1997, as listed below:
- 1. University of Virginia, No. 45-00034-30, was granted a standard 30.35, 30 day exemption from Financial Assurance requirements for source loading of a teletherapy device.
- 2. University of Virginia, No. 45-00034-09, was granted a standard 30.35, 30 day exemption from Financial Assurance requirements for a teletherapy source change.
- 3. Department of Navy, No. 45-23645-01NA was granted a TAR exemption from certain provisions of Part 36 for use of a teletherapy device for blood irradiation. l l
- 4. Bluefield Regional Medical Center, No. 47-19142-02 was granted a standard 30.35, '
30 day exemption from Financial Assurance requirements for a teletherapy source change.
- 5. Hospital Oncologic, No. 5211832-01, was granted a standard 35.647 exemption to allow five year teletterapy maintenance to be extended for up to two months, since the vendor was unavailable earlier. They were also granted a standard 30.35, 30 day exemption from Financial Assurance requirements for a teletherapy source change.
cc: A. Blough, RI R. Caniano, Rill R. Scarano. RIV 9804150031 980402 Attachment 17 a l PDR ORG NOMA 1
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- g ur% #g UNITE'O STATES NUCLEAR REGULATORY COMMISSION f . Tl Jj E 101 MARIETTA S E ,W., SUITE 2900 ATLANTA, GEORGIA 303234199 ,
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February 29, 1996 1
LICENSING PROCEDURE 1.0 l 1
SUBJECT:
PROCESSING OF EXEMPTION REQUESTS Backaround Some exemptions to NRC regulations are incorporated in the regulations and require no further action by the NRC for the licensee to use the exemption. In addition, the Region may grant exemptions to the regulations by inclusion of a t license condition in the license based on a general exemption granted by the !
Office of Nuclear Materials Safety and Safeguards (NMSS) or inclusion of a i license condition in the license based on authorization granted by NMSS in response to a Technical Assistance Request (TAR).
The purpose of this procedure is to provide specific guidance to the license reviewers in Materials Licensing / Inspection Branches 1 and 2. on granting exemptions to NRC regulations.
s Action Upon receipt of a request for an exemption, the license reviewer assigned the case will review the request and determine if an exemption is required. If the exemption requested is granted in the regulations or if an exemption is not required, the reviewer will inform the licensee in writing.
If the exemption requested is one that NMSS has authorized the region to issue without consultation with NMSS in Policy and Guidance Directive (P&GD) 84-12 or other P&GD, add the condition specified by NMSS to the license and issue the amendment.
If the exemption requested is not covered by the paragraphs above, the reviewer will prepare a TAR for submission to NMSS in accordance with P&GD 93-02. The request will be signed by the Branch Chief.
APPROVED BY:
.?
j '
l D6Mn P. Pot 'er, Chief, MLIB2 Charles M. Hosey, Chief, MLIBl l l
Attachment 18 l
l UNITED STATES
[e2 40u9'o NUCLEAR REGULATORY COMMISSION
'h ATLANTA ERA CENTER 61 FORSYTH STREET, SW, SUITE 23T85 9 8 ATLANTA. GEORGIA 30303 3415 October 17, 1997 Recional Office Instruction No.1030. Revision 9
{
PROCESSING ALLEGATIONS, COMPLAINTS, AND CONCERNS A. Puroose:
To establish Regional Office procedures for the proper processing, control, and disposition of allegations, complaints, and concerns received by any Region II staff member involving Nuclear Regulatory Commission (NRC) licensed facilities or activities.
This revision implements the requirements of Hanagement Directive (HD) 8.8 "Hanagement of Allegations," and includes the following substantive changes: Section 1.5.3, scheduling and arranging the Allegation Review Board (ARB) agenda: Section 1.5.4, preparing for the ARB Section 1.6.5.7, setting time requirements for licensee responses:: Section 1.5.4.5, completeness of ARB minutes: Section 1.8.4, review and approval of allegation closure documentation: Section 1.9 allegation correspondence: Section 2, standard letters; and Section 3, warning cover sheets for allegation material.
B. Discussion:
Allegations, complaints, and concerns (hereinafter referred to as I allegations) pertaining to NRC licensed facilities and activities may be received in a wide variety of forms and under varying circumstances. It is imperative that allegations be recognized as such by Region II staff members and that this information be processed in a professional, prompt, and consistent manner. Region II staff members are required to maintain a high level of sensitivity to allegations paying particular attention to any public health and safety aspects of allegations.
An allegation is a declaration, statement, or assertion of impropriety or inadequacy associated with NRC regulated activities, the validity of which has not been established. This term includes all concerns identified by sources such as individuals or organizations, and technical audit efforts from Federal, State, or local government offices regarding activities at a licensee's site. Excluded from this definition are inadequacies provided to NRC staff by licensee managers acting in their official capacity, matters being handled by more formal processes such as 10 CFR 2.206 petitions, misconduct by NRC employees or NRC contractors: non radiological occupational health and safety issues; and matters involving law enforcement and other Government agencies.
Region II staff members who receive an allegation must understand that i it is absolutely essential to protect the identity of the individual providing the information in an allegation and that every effort must be made to preclude the inadvertent or premature disclosure of the Attachment 24
Regional Office Instruction 2 No. 1030, Revision 9 individual's identity outside NRC. To this end, in the event an individual's identity must be released or revealed under any circumstances, coordination must be effected with the Director.
Enforcement and Investigation Coordination Staff (EICS) who will initiate the necessary coordination for obtaining the pro:er authorization to disclose the identity of an individual w1o provides information to the NRC. This provision for protecting the identity of an individual is not to be confused with the principle of
" confidentiality," a matter which is discussed in detail in Enclosure 2 to this Instruction. Identity protection does not include withholding an individual's identity when anonymity has been requested and the NRC representative knows the individual's identity.
It is important to note that no information provided to the NRC can be considered as being "off the record," and any potential allegation information is required to be officially documented and acted upon )
appropriately.
C. Action:
- 1. All Region II staff members generally should be familiar with the procedures for processing allegations as outlined in this Instruction and HD 8.0, "Hanagement of Allegations."
- 2. Those individual staff members who can expect to receive allegations in the field shall be fully familiar with the policies and procedures contained in this Instruction. In addition.
Region II supervisors and managers shall be fully familiar with the policies and procedures relative to processing allegations.
D. Belagnsibility:
- 1. The Director, EICS, has the primary responsibility for ensuring that all allegations are properly documented, controlled, and processed.
- 2. The Region II Division Director having project' technical responsibility in the area of concern identified in an allegation is responsible for conducting an ARB. This Division Director will act as Chairman of the ARB for those allegations under the purview of his technical responsibility.
- 3. Each Region II Division Director and Branch Chief is responsible for assuring that allegations assigned to them for action by the ARB are inspected and resolved in a timely manner. The performance measure expected to be met is that allegations will be closed in less than 180 days.
- 4. It is the responsibility of Region II staff members who receive .
allegations to document the information promptly and forward such
c 1 I
1 i
l Regional Office Instruction {
3 No. 1030. Revision 9 1
I l documentation within five workina days of receipt of the information through their su Allegation Coordinator (SAC)pervisor to the Region so that appropriate II Senior allegation )
l processing action can be initiated.
E.
Contact:
l Questions or comments regarding this Instruction should be directed to l the Director EICS, at extension 24421.
i l F.
References:
l 1.
i Regional Office Instruction (ROI) 1004. " Notification to the l Office of Investigations of Potential Wrongdoing"
- 2. MD 8.8, " Management of Allegations"
! )
- 3. HD 9.2, " Office of the Inspector General" '
! 4. ROI 1801, Revision 2. " Handling of Allegations of Improper Actions by NRC Employees or Contractors"
- 5. ROI 1040, " Assistance'to the Office of Investigations"
- 6. Field Policy Manual (NUREG/BR 0075), No.1 FBI,".and No. 13 " Coordination with
" Witnessing Unsafe Situations"
- 7. Allegation Guidance Memorandum (AGM) 96 01, Revision 1
" Additional Measures to Protect the Identity of Allegers and Confidential Sources" i
- 8. AGM 96 02, " Assuring the Technical Adequacy of the Basis for Closing an Allegation"
- 9. NRC Policy and Guidance Procedure 002 Revision 1, August 1997, "NRC/ FEMA Staff. Procedure for Res Raised by Members of the Public" ponding to Offsite EP Issues l
l G. Effective Date: ,
l This Instruction supersedes ROI 1030. Revision 8 dated August 5, 1996, and is effective upon issuance. !
/
/ *
/ ,
- j. Luis A. Rey I i
e Regional i strator
Enclosures:
(See Page 4)
Regional Office Instruction 4 No. 1030 Revision 9 4
Enclosures:
j
- 1. Receiving and Processing Allegations -
- 2. Protecting Identity
- 3. Confidentiality Agreement
- 4. Guidance for Receipt and Documentation of Allegations
- 5. Allegation Report
- 6. Allegation Action Plan
- 7. Standard Letters *
- 8. Warning Cover Sheets Distribution List A i
4
Regional Office Instruction No. 1030 Revision 9 RECEIVING AND PROCESSING ALLEGATIONS 1
1.1 Incomina Alleoations 1.1.1 Teleohone Calls or Visits by Alleaers to the Reaional Office Any Region II staff member within the Regional Office who receives a telephone call from a concerned individual (hereinafter referred to as an alleger who wishes to make an allegation, express a concern, or re)gister a complaint shall transfer the caller to the Senior Allegation Coordinator (SAC). Likewise, if an alleger comes to the Regional Office to personally discuss an allegation, the alleger is to be referred to the SAC who will conduct an interview with the alleger. Technical staff members within the Regional Office who are unable to contact the SAC, the Director, Enforcement and Investigation Coordination Staff (EICS), or a member of EICS to meet the alleger or take a telephone call shall handle the matter themselves and obtain as much information as possible regarding the allegation.
Administrative staff members who cannot locate the SAC or a member of EICS, shall locate a technical staff supervisor or manager, and refer the alleger to that person.
'1.1.2 Alleaations Received in the Reaion II Hail Allegations received in the mail normally are handwritten or typed on plain paper (no letterhead), while official correspondence is usually on letterhead stationary.
Therefore, unless it is otherwise obvious, administrative personnel who open and screen mail will forward all incoming correspondence which ap mars to contain an allegation to the !
l Director, EICS. Both t1e letter and envelope will be !
delivered and no copies of such documents / correspondence i will be made. Any Regional staff member who receives l documents or correspondence including internal NRC !
memoranda, which contain allegations, shall forward the !
l documents to the Director, EICS. l 1.1.3 A11eaations Received Durina the Course of an Insoection If an allegation is received by an inspector in the field, l the inspector should document the allegation and transmit '
all acquired information and documentation to the SAC for processing. The inspector should also encourage the alleger to contact the SAC directly for status of their concern and provide the alleger with the Region II "800" telephone .
Enclosure 1
Regional Office Instruction 2
- No. 1030. Revision 9 1
number (800 577 8510) or the Allegation Hotline "800" telephone number (800 695 7403) to make that contact. The inspector should also be aware that meeting with an alleger i
on site may compromise the alleger's identity. If meetirg l
off site is more appropriate, the inspector should immediately inform his or her management for concurrence.
I In such circumstances, considerat'.on shall be given to I having another NRC employee prest.nt during the interview to ensure personal safety and security during the meeting.
1.1.4 Referrals from Other Aaencies or NRC Offices Any member of the Regional staff who receives written or telephonic notification that other agencies or NRC offices have received allegations regarding facilities or licensees i
within Region II shall promptly forward such information to l the Director. EICS.
1.2 Contact with Concerned Individuals i 1.2.1 The SAC is res)onsible for ensuring that communications are l maintained wit 1 an alleger. Although not always possible, the SAC should normally be the initial point of contact for the alleger when he or she communicates with the NRC. This enables more efficient control of such communications and aids in )rotecting the identity of the alleger. Branch Chiefs w1o receive direct communication from an alleger as a result of a status or closure letter should coordinate the contact with the SAC and document the contact with a memorandum to file that will be placed in the appropriate allegation case file.
l 1.2.2 All contactn with the alleoer shall be conducted in a orofessiona' manner. "he safety significance of the allegation, or lack the-eof, should not affect the treatment of the alleger, although it may affect the timing of the NRC follow up action.
1.2.3 Any member of the Regional staff having initial contact with an alleger shall attempt to obtain as much information as possible, including:
Full name of the alleger and employer:
Complete mailing address; Home and work telephone numbers:
Position in or relationship to the facility or activity involved:
, Enclosure 1
Regional Office Instruction 3
No. 1030, Revision 9 Nature and details of allegat. .n: and-Alleger's preference for method and time of contact.
Additional guidance regarding the acquisition of allegation information is provided in Enclosure 4 to this Instruction.
1.2.4 If the alleger identification, persists in not providing fully document personal the allegation and advise the alleger that he or she may contact the SAC in 30 working days for information on the status of any actions being taken related to the information provided.
1.2.5 If the alleger does not object to being contacted again, the alleger should be informed that the SAC will be contacting them to acknowledge recei)t of the allegation within 30 days. The alleger also s1ould be advised of the NRC policy on identity protection and that they will be notified of the NRC findings at the completion of the appropriate review.
1.2.6 Region II staff members shall, as soon as possible after contact with an alleger or receiving an allegation, notify their supervisor that they have made contact with an alleger and that they have received an allegation. The supervisor shall ensure that the SAC is promptly notified of the allegation.
1.3 Documentina Alleoations 1.3.1 It is important to obtain as much information as possible from the alleger concerning the allegation. In addition to the basic information (e.g., who, what, when, where, why, and how), attempts should be made to develop and clarify the information so that the issue is relatively well defined.
Every allegation received, regardless of the source, method of communication involved, or apparent substance, must be documented and evaluated.
1.3.2 A standardized Allegation Report form (included as Enclosure 5) should be utilized to document all ellegations where practicable. A memorandum format may also be used.
1.3.3 The importance of obtaining all possible details concerning an allegation cannot be overemphasizec'. Evaluation of the allegation as well as the proposed course of action that will be initiated to resolve the allegation will be based on this initial information. In some instances, the information may be so substantial, technically complex, or Enclosure 1
i l
Regional' Office Instruction 4 1
No. 1030. Revision 9 indicative of possible wrongdoing, that a personal interview l
with the alleger is warranted. In these cases, the Director, EICS, and the SAC will brief the Regional Administrator (RA) and discuss the most appropriate means of l
arranging for and conducting an interview of the alleger to obtain the details required. Depending on the nature of the allegation and time constraints, the RA may request assistance from the Office of Investigations (OI) or utilize other Region II resources, as required, to promptly address the issue. If the RA determines that 01 assistance is appropriate, the Director, OI Field Office. Region II, will be briefed by the SAC.
1.4 A11ecation Reoort The Region II staff member who receives an allegation shall pre)are an i Allegation Report (see Enclosure 5) and forward it through his/ler I supervisor to the SAC. The Allegation Report shall be placed in an envelope marked "To Be Opened By Addressee Only" and addressed to the supervisor. Pre)aration of the Allegation Report shall be accomplished within three warcina days following receipt of the information and forwarded to t1e appropriate supervisor. The following guidelines shall be adhered to in pre >aring the Allegation Report or memorandum and transmitting it to t1e SAC.
1.4.1 The Allegation Report shall be typed (or handwritten legibly) and no copies of the Allegation Report shall be made or distributed. This requirement prohibits the originator from retaining a copy for their oersonal file and is intended to provide an extra measure of protection for l both the alleger and the staff member receiving the i allegation. If an allegation is being mailed to the '
Regional Office, the sender shall retain a copy until it is verified that the Regional Office has received the Allegation Report. The retained copy shall then be destroyed.
1.4.2 If placed in the U.S. Postal Service mail, the Allegation Report shall be mailed to the SAC at the following address:
RII/ SAC. Post Office Box 845, Atlanta, GA 30301. The SAC will inform the appropriate supervisor of the receipt of the allegation as well as the individual who sent the Allegation Report.
1.4.3 Prepare the Allegation Report in accordance with the guidance provided in Enclosure 4. If a memorandum format is used, the opening paragraph shall identify the alleger, the Enclosure 1
Regional Office Instruction 5 No. 1030 Revision 9 date time, location, and circumstances surrounding the contact with the alleger including identification of other persons present during the contact. Each succeeding paragraph shall document all information associated with a particular allegation. The NRC staff member documenting the allegation should take care to document the allegation precisely as stated by the alleger. The purpose of this is to clearly record exactly what the allegation was so as to ensure appropriate follow up. .
If information is received from more than one alleger, consideration should be given to reporting the information from each alleger in separate Allegation Re memoranda to ensure clarity and separation. ports or If separate memoranda are not used, then the details should be separated so that the specific facts of the alle attributed to each individual alleger.gation If thecan be readily individual receiving and documenting the allegation adds any personal views, comments, analysis or evaluation to clarify the !
information received, those comments should be clearly i identified as such in a separate paragraph at the end of the '
Allegation Report. Judgement should be used in the ;
documentation of any personal comments or observations as the Allegation Report is subject to release under the provisions of the Freedom of Information Act.
1.4.4 The SAC is responsible for reviewing all information received in conjunction with an allegation and ensuring that appropriate Region II staff are promptly and fully briefed.
If the information contained in the Allegation Report is determined to be insufficient to permit follow up, the SAC may recontact the alleger to obtain additional information, or advise the receiving staff member, after appropriate coordination with the staff member's supervision, that additional information is required and request the staff member to obtain the information from the alleger. When an allegation involves issues outside of the SAC's area of technical expertise arrangements shall be made to have an appropriate technical staff member present during the conversation or interview with the alleger to assist in fully developing the technical issues of the allegation.
1.4.5 The SAC will provide an information copy of all Allegation Reports to the Director, OI Field Office, Region II.
1.4.6 Normally, the receipt of allegations shall not be addressed in Preliminary Notifications (PN) or Daily Reports (DR).
If, however, such entries are deemed appropriate, the Enclosure 1
Regional Office Instruction 6 No. 1030. Revision 9 a> proval of the RA shall be obtained prior to issuance of t1e PN or DR, following coordination with the Director, EICS.
1.5 Processino A11eantions 1.5.1 Within 30 days of receipt of an allegation, the SAC will assign a unique file number to the allegation and enter the allegation into the Allegation Management System (AMS). The followin numbers:g unique numbering sequence is used for allegation RII 1997 A 0001, where "RII" indicates Region II, "1997" is the calendar year the allegation was received in Region II, "A" indicates an allegation, and the four digit number represents the sequential order in which the allegation was received during the calendar year indicated.
1.5.1.1 A single allegation case file may include any number of concerns. Each specific concern shall be individually identified and tracked within ,
the allegation case file utilizing documents prepared from the Allegation Management System (AMS). A single allegation case file shall be prepared for one alleger. If multiple allegers report an allegation as a group, consideration may be given to including all the allegers in one allegation case file to facilitate administrative control of the allegation.
l 1.5.1.2 Entries made in the AMS shall not contain personal, sensitive or privacy information related to the alleger, safeguards information, or information related to a civil or criminal wrongdoing case.
1.5.1.3 The following types of allegations received in l
the Region will not be entered into the AMS:
however, associated case files or records can be I
maintained as appropriate by EICS on an "as l needed" basis:
Allegations related to 10 CFR 2.206 petitions:
Allegations referred to the Department of Justice (D0J), state or local law enforcement agencies, and military agencies unless the referral is to the Enclosure 1 l
i
Regional Office Instruction 7 No. 1030 Revision 9 organization in the capacity of an NRC licensee:
Allegations referred to the Office of the l Inspector General (0IG): and 1 Allegations referred to the Occupational Safety and Health Administration (OSHA).
1.5.1.4 All Department of Labor (DOL) cases and Office I of Investigations (01) cases opened in Region II will be assigned an allegation number and entered into the AMS for tracking purposes.
1.5.1.5 Hultiple allegations of emaloyee discrimination (as defined in the Energy Reorganization Act)
' may be maintained under the same allegation number if the allegations are less than 90 days apart and they involve the same supervisor or manager or the alleger is claiming a continuing pattern of discrimination by management in j general.
However, for technical allegations, a new case file should be opened. This is to preclude revision of the " receipt date" of previously l opened allegations in the AMS. I If an allegation has already been reviewed by an ARB, a new allegation number will be assigned to i any subsequent allegations received from the l same alleger. Allegations are required to be reviewed by an ARB within 30 days of receipt of the allegation. If an alleger provides .
I additional new concerns.within 29 days of !
receipt of the original concerns they are to be '
included with the original concerns and reviewed l by an ARB at the same time if possible.
l 1.5.2 The SAC will maintain a Region II allegation case file, retrievable by the allegation number, for each allegation received. Tha file will include all correspondence, memoranda to file, documentation of interviews, and summaries of telephone conversations, discussions, and meetings. The SAC is responsible for maintaining a case chronology in the allegation case file which identifies all documents received and filed in the case file as well as all actions associated with the allegation case file.
Enclosure 1
Regional Office Instruction 8 No. 1030 Revision 9 1.5.3 The SAC will promptly provide each new allegation to the Division Director with project technical responsibility for the subject matter of the allegation. This will usually be in the form of an Allegation Report. The SAC will schedule the allegation for review at an ARB as soon as practical consistent with the urgency and safety significance of the allegation. The SAC will arrange.the discussion of allegations at the ARB by Facility and Division to more effectively enable the Region II technical staff to manage and schedule their presentation time for the ARB.
Allegations shall be reviewed by an ARB no later than 3_q
.d n g after the allegation was received in Region II.
1.5.4 Alleoation Review Board i 1.5.4.1 The ARB will consist of the Division Director responsible for the area of concern (Chairman),
the Directors (or Deputy Directors) of other Region II divisions that may have follow up responsibilities associated with the allegation, the SAC, and an 01 representative for matters of suspected wrongdoing. The Regional Counsel and i other staff members should participate, as appropriate.
It is particularly im prepared for the ARB.portant This willthat thetime save staff be during the ARB and with any subsequent discussions and decisions regarding the allegation being reviewed. The Branch Chief should ensure that an appro)riate amount of time is available prior to the ARB to review the allegation, formulate a proposed course of action for resolution, and determine the safety significance of the allegation if true. This
" front work" by the Branch Chief is critical to conductin meeting. g an effective and productive ARB 1.5.4.2 The ARB will evaluate each concern contained within an allegation, determine the appropriate course of action required for resolution, and.
assign specific responsibility for the required resolution action. The following factors should be considered by the ARB in dispositioning an allegation: ;
i Enclosure 1 1 I
i l
l I
i Regional Office Instruction 9 No. 1030, Revision 9 l
Concerns requiring immediate regulatory action Feedback to the alleger Technical issues Wrongdoing concerns and recommended OI prioritization l
l Potential for chilling effects l
Referrals to other entities Office of General Counsel positions Actions necessary to resolve and close the allegation 1 l
Basis for another ARB 1.5.4.3 Allegations of wrongdoing, including employee l discrimination, will be reviewed by the ARB and processed in accordance with ROI 1004, l " Notification to the Office of Investigations of Potential Wrongdoing." j l
L 1.5.4.4 l The ARB should be reconvened if supplemental l i
information is obtained which changes or affects i the safety significance of the allegation. In addition, allegations that are open for more l
than six months should be reviewed by an ARB at '
- four month intervals (except DOL and OI cases in l which no outstanding technical issues remain 1 open). These timeliness reviews may also be '
l accomplished through regularly scheduled l
allegation timeliness meetings as directed by l
senior regional management. l i
1.5.4.5 The SAC is responsible for preparing the ARB minutes; however, the ARB Chairman, with the l
assistance of the SAC as required, is l
responsible for ensuring that the actions assigned and that the bases for those actions are complete, accurate and technically adequate.
The ARB Chairman is required to review and i aprove all ARB minutes during the ARB. The ARB C1 airman should also ensure that ARB minutes prepared by the SAC at the ARB meeting are complete and include, as a minimum, the following information:
Allegation number and description j Date of ARB and participants Affected licensee j l -
Safety significance and basis :
l l
Enclosure 1 i i
j J
I Regional Office Instruction 10 No. 1030, Revision 9 Proposed action, identification of individual or group assigned resolution action, and schedule for completion of action !
l -
Recommended priority level and basis of any 01 investigation I Any generic implications possibly ,
i associated with the allegation l 1.5.4.6 Minutes of ARB meetings will.be maintained in the allegation case file for each individual Case.
1.5.5 The assigned technical staff member or group, as directed by the ARB or senior regional management, is responsible for initiating, developing, and implementing review activities pertinent to the resolution of the allegation. Enclosure 6.
Allegation Action Plan, should be used to document the resolution strategy for performing follow up on allegations.
A copy of the Allegation Action Plan will be forwarded to the SAC for inclusion in the allegation case file. This Action Plan is intended to be an administrative tool to assist in formulating review activities and resolution ;
I strategies for more complex allegations. Allegations requiring only basic review activities for resolution may not benefit from completion of an Action Plan.
1.5.6 Allegations determined to be of relatively high safety significance should be addressed immediately. Allegations having less safety significance should be addressed during the next regularly scheduled inspection of that area at the l affected facility or within six months of receipt of the- '
i
' allegation. If the next scheduled inspection is such that it will not support closure of the allegation within six months, the inspection schedule should be changed to support '
closure of the allegation within the required six months.
1.5.7 Within 30 days of receipt of an allegation, the SAC shall notify the alleger in writing to acknowledge receipt of the allegation and to confirm the staff's understanding of the specifics of the allegation. The letter (Enclosure 7) should contain the following infor: ation:
NRC limitations related to the protection of an
. alleger's identity (see mandatory statement in Allegation Report):
Enclosure 1 '
Regional Office Instruction 11 No. 1030. Revision 9 Advisement related to filing a written complaint of employee discrimination with DOL under Section 211 of the Energy Reorganization Act:
- l Discussion related to the potential for the allegation to be referred to other entities, to include the licensee, for resolution:
Initial feedback on NRC actions; and, Method for contacting the SAC 1.5.8 For allegations involving employee discrimination as a result of identifying safety concerns, the alleger shall be specifically advised that if he or she is discriminated against by their employer for reporting nuclear safety concerns to their employer or to the NRC, they have 180 days from the date of the alleged act of discrimination to file a written complaint with the DOL under the provisions of Section 211 of the Energy Reorganization Act. The alleger should be informed that the DOL, not the NRC, provides the arocess for obtaining a personal remedy and relief.
- urther, the alleger shall also be informed that although the NRC may investigate the allegation prior to its resolution by DOL, the NRC may choose to wait for the results of the DOL investigation which will be monitored by the NRC. In addition, the alleger is to be informed that if he/she files a written complaint of discrimination with DOL, that they should provide a copy of that written complaint to the SAC.
1.5.8.1 Allegers making allegations of employee ;
discrimination for which OI has not initiated an 1 investigation should be recontacted by the SAC before the expiration of the 180 day tolling period to determine if the alleger has filed a complaint with DOL.
1.5.8.2. When an allegation of emsloyee discrimination is initially received as a X)L complaint, the SAC i i
will review the complaint to determine if there l are any safety concerns that need to be l addressed, The complaint will be entered into i the AMS and will be presented at an ARB. The SAC will provide a copy of the written DOL l complaint to 0I. The SAC shall also contact the l alleger to determine if the alleger has safety concerns that were not included in the written DOL complaint.
l Enclosure 1
1 l
Regional Office Instruction 12 No. 1030. Revision 9 1.5.8.3. In addition to the AMS database, EICS maintains
{
an approved System 6 database of DOL complaints t by name of complainant for enforcement tracking !
purposes. No listing shall be maintained that j correlates DOL complainants' names with '
allegation ~ numbers.
1.5.9 If the NRC receives a credible report from an alleger expressing reasonable fears of retaliation for reporting safety concerns, and the alleger is willing to be identified I to the licensee, the Regional Administrator may initiate actions to alert the licensee that the NRC has received such information. This process is addressed in the Enforcement Manual in Chapter 7.
l 1.5.10 For allegations requiring a lengthy resolution period, the !
responsible branch chief shall advise the alleger of the status of the allegation in writing every six months so that the alleger is aware of and understands that the staff is continuing to pursue the allegation. This periodic contact requirement includes allegations involving an open OI investigation, DOL complaint, or pending enforcement action.
EICS allegersmaintains and can data relevant to issuance of letters to
)rovide information as to any status letters that may >e due. This information is available on request from the SAC or the EICS Technical Assistant.
l 1.6 Referral of Alleaations to Licensees '
l 1.6.1 It is NRC policy to refer as many allegations as possible to the licensee for action and response unless any of the following conditions apply:
i Information cannot be released in sufficient detail to the licensee without compromising the identity of the alleger or confidential source (unless the alleger has no objection to his/her name being released).
The licensee could compromise an investigation or inspection because of knowledge gained from the referral.
The allegation is made against the licensee's management or those parties who would normally receive and address the allegation.
Enclosure 1
l l
l Regional Office Instruction 13 No. 1030. Revision 9 The basis of the allegation is information received from a Federal agency that does not approve of the information being released in a referral.
1.6.2 Except in cases where there is an immediate threat to the health and safety of the public (including licensee employees), allegations will not be discussed with the l
licensee until allegation andAf.authorized tit the ARBthe hasreferral.
reviewed and evaluated the 1.6.3 Any allegation not meeting the criteria specified in Section 1.6.1 above shall be evaluated by the ARB for referral to the licensee using the following guidance:
Could the release of information bring harm to the alleger or confidential source?
Has the alleger or confidential source voiced valid objections to the release of the allegation to the licensee?
What is the licensee's history of allegations against it and past record in dealing with allegations, including the likelihood that the licensee will effectively investigate, document, and resolve the allegation?
l Has the alleger or confidential source already taken this concern to the licensee with unsatisfactory results? If the answer is "yes," the concern is within NRC's jurisdiction, and the alleger objects to the referral, the concern normally should not be referred to the licensee.
Are resources available within the region to resolve the allegation?
1.6.4 Before referring the allegation outside NRC. the alleger should be contacted and informed of the planned referral.
Ideally, this should be done when the initial information is
. eceived from the alleger. The alleger should be informed that the allegation could be referred outside the NRC for resolution including a referral to the licensee. The
. alleger should be asked if he/she has any objections to such a referral. This does not mean that the NRC re permission from the alleger to make a referral. quires If an I objection is ex)ressed by the alleger, the basis for the objection will >e fully developed and documented in the Enclosure 1 I
Regional Office Instruction 14 No. 1030, Revision 9 l Allegation Report. Subsequent notification regarding j referral should be documented by letter (Enclosure 7), if possible, and should inform the alleger that the NRC will review and evaluate the licensee's resolution activities and !
response and that the alleger will be informed of the final I disposition. In addition.. if an allegation referral includes a copy of documentation supplied by the alleger, written permission should be obtained from the alleger acknowledging that the material they provided will be provided to the licensee. Allegers should generally be given 14 days to respond and pose their objection to the referral. If an objection to the referral is made by the alleger, a referral may still be made by the NRC with consideration of the factors described in Section 1.6.1 and 1.6.3 above.
1.6.5 Alleaation Referral Letters 1.6.5.1 Official letters referring allegations to licensees for review and action will normally be signed by the responsible Division of Reactor Projects (DRP) or Division of Nuclear Material Safety (DNMS) Branch Chief. A higher level of signature authority such as the Division Director, or the Regional Administrator, may be appropriate if the allegation is of such importance to warrant using a high level signature to convey the significance of the ,
issue to the licensee. The ARB Chairman is responsible for making this determinatien.
1.6.5.2 The Branch Chief having technical oversight of the issues in an allegation is responsible for the preparation of the allegation referral letters sent to licensees. Referral letters (Enclosure 7) should clearly inform the licensee of the concern without compromising the identity of the alleger, request an evaluation, and require a written response.
1.6.5.3 Referral letters are to be coordinated with and concurred on by the Director. EICS, prior to -
issuance. This coordination and concurrence may be performed by the SAC if the Director. EICS, is not available. The SAC shall brief the Director. EICS, on any such concurrence.
Enclosure 1
l Regional Office Instvtion 15 No. 1030. Revision 9 1.6.5.4 The letter referring an allegation to a licensee
.does not oo in the Public Document Room. A copy of the licensee allegation referral letter is filed in the case file.
1.6.5.5 The licensee referral letter instructs the i licensee to send their response to the Director.
EICS. They should not send a copy to the document control desk.
! 1.6.5.6 The cover letter and enclosures must be marked "Contains Information Not For Public l Disclosure. "
- \
1.6.5.7 A determination should be made by the ARB as to i
l what would constitute a reasonable amount of time for the licensee to respond. Consideration must include an estimation of the amount of work 1 involved in responding to the referral and the
! nature of the referral, Referral letters should l
provide the licensee with the option to contact
- the Region should the length of time for the requested response create an unwarranted burden.
The authority to adjust the response time is to <
be coordinated with the appropriate ARB Chairman l
prior to approval by the Branch Chief. Any adjustment to the required response time shall be documented in a memorandum to the allegation case file.
l 1.6.6 NRC Indeoendent Verification The NRC should ensure that the licensee's response to a referred allegation is adequate. The overall scope and i depth of independent verification by the NRC should be based l on factors such as, but not limited to. a licensee's prior performance related to resolution of referred allegations.
the degree of independence of the licensee's staff's evaluation, safety significance of the matter, and level of licensee management mtentially involved in the matter. The following examples smuld be used in determining the adequacy of a licensee's response:
' 1.6.6.1 Was the evaluation conducted by a licensee er.tity independent of the organization in which the alleged event took place?
Enclosure 1
1 Regional Office Instruction 16 I
No. 1030 Revision 9 I l
I 1.6.6.2 Was the licensee's evaluator com)etent in the !
specific functional area in whici the alleged event occurred? l 1.6.6.3 Was the evaluation of adequate depth to i
establish the scope of the problem?
1.6.6.4 Was the sco)e of the evaluation sufficient to establish t1at the alleged event or problem 1 was/was not a systematic defect? l 1.6.6.5 If the allegation was substantiated, did the licensee's evaluation consider the root cause and generic implications of the allegation?
1.6.6.6 Were the licensee's corrective actions i sufficient to 3revent, alleviate, or correct the i deficiency in )oth the short and long term? 1 As appropriate, the inspection staff should independently inspect and review selected elements of the concern to verify the validity of the representations stated in the licensee's response. This evaluation may most appropriately be conducted by the Resident Ins not satisfied with the licensee'pector staff. If the NRC is s disposition of the l allegation, or if the response is deemed inadequate, the issue will remain open pending further NRC inspection activity. Any licensee res)onse deemed to be inadequate shall be reviewed by the AR3 and a decision made by the ARB as to what additional action is required. The licensee may also be requested to provide additional information to clarify their response. Such correspondence would originate at the Branch Chief level.
1.6.6.7 Following review of the licensee's res>onse, and if that response is found adequate wit 1 no further follow up action required, the Branch Chief will prepare a memorandum for the allegation case file that states that the response was reviewed and that it was found to be adequate.
1.7 Alleaation Referral to State and Federal Entities 1.7.1 Aareement States Enclosure 1 L
Regional Office Instruction 17 No. 1030 Revision 9 1.7.1.1 Allegations against an Agreement State licensee i shall be forwarded to the Division of Nuclear {
Haterials Safety (DNHS) for coordination and referral to the appropriate State agency.
1.7.1.2 The Director, DNHS, is responsible for ensuring a review and assessment of the adequacy of the State agency's resolution response to a referred allegation.
1.7.1.3 Referred allegations will be closed following receipt of acceptable documentation from the 1 State and subsequent notification to the alleger.
1.7.1.4 The Director, DNHS, will forward allegations made against an Agreement State official to the Director, Office of State Programs, for disposition.
1.7.1.5 Consistent with Section 1.6.4 above, the SAC will inform the alleger of the NRC's intent to refer the allegation to the appropriate State agency for resolution.
1 1.7.1.6 In cases where employee discrimination is !
alleged against an Agreement State licensee, the i Director, DNHS, will refer the allegation to the ;
Agreement State for follow up only if the allecer aarees to be identified to the Aare::cnt jitatt. The Director, DNMS, will coordinate the i proposed referral with the SAC, who will inform '
the alleger that the NRC does not have I
, jurisdiction to investigate employee l discrimination by an Agreement State licensee and unless they agree to be identified to the State, no investigation will occur. The SAC will also inform the alleger that it is not possible to investigate employee discrimination if the alleger does not agree to the release of their identity to the appropriate State agency. If the alleger does not agree to the disclosure of their identity to the State, the allegation will not be forwarded to the State. If the alleger does not agree to have their identity disclosed to the State, the SAC will inform the alleger that the concern will be considered closed because of the inability to pursue action in Enclosure 1
I Regional Office Instruction 18 No. 1030 Revision 9 complaints of discrimination without identifying the complainant, ,
1.7.1.7 If the alleger agrees to be identified to the State, the SAC will close the allegation case file after appropriate referral to the State and the alleger is informed of the referral. The SAC will provide the alleger with the name, address and telephone number of a contact at the State agency responsible for resolution of the allegation. For those cases where the alleger does not want to be identified, the case will be kept open until the State provides an adequate !
response and that response is provided to the alleger. ;
1.7.2 Other Federal Entities 1.7.2.1 Allegations within the purview of OSHA are to be handled in accordance with Manual Chapter 1007, Interfacing Activities Between Regional Offices, NRC, and OSHA. The Director, DNHS, will coordinate with the Region II State Liaison Officer (SLO) regarding the referral and any required response. The ARB should consider referring occupational health and safety issues to the licensee.
1.7.2.2 The SAC will coordinate allegations where wrongdoing has been substantiated with the Director, OI Field Office, to determine the results of any referral made to 00J by OI. The fact that an allegation is being considered for referral to DOJ will not be disclosed to a licensee, an alleger or the public without the concurrence of the Director, OI Field Office.
1.7.2.3 Allegations under the jurisdiction of other Federal or State government entities not addressed in this Instruction should be evaluated for referral to the NRC's point of-contact for that Federal or State government entity by the ARB. The Director, DNHS and SLO, as appropriate, will effect the referral after coordination with the Director, EICS.
1.7.2.4 If an allegation is referred to another Federal or State government entity for which the NRC has Enclosure 1
Regional Office Instruction 19 No. 1030. Revisien 9 no regulatory oversight, that agency will not be requested to provide a response or the results of their review of the allegation. The SAC will coordinate with the Director. DNHS. to ensure that a letter is sent to the alleger advising the alleger of the referral, the agency to which the allegation was referred and a point of contact for the alleger within the referral agency.
1.7.2.5 Notification of Federal. State, and local law enforcement agencies, to include the type and amount of information provided to them is the responsibility of the Director. OI Field Office, when possible criminal activity or other nationally significant information is included in the allegation.
1.7.2.6 The Director, DNHS, will ensure that allegations against an Agreement State licensee that fall within the purview of other Federal agencies are referred to the appropriate agency and concurrently transmitted to the appropriate Agreement State.
1.7.2.7 Allegations involving suspected improper conduct by NRC employees will be forwarded to the Deputy Regional Administrator (DRA) for referral to the OIG in accordance with ROI 1801. " Handling of Allegations of Improper Actions by NRC Employees or Contractors." The SAC will provide all associated documents to the DRA for retention.
Subsequent contact with the alleger regarding the issue should be referred directly to the OIG.
1.7.2.8 The Director. DNHS is responsible for ensuring that the alleger is promptly notified when an allegation has been referred to another government agency and when the allegation is closed by the NRC.
1.7.2.9 The Director. DRS will ensure that the resolution of allegations involving offsite emergency preparedness issues for commercial nuclear power facilities is coordinated with the Emergency Preparedness and Radiation Protection Branch. Division of Reactor Program Management.
Enclosure 1
Regional Office Instruction 20 No. 1030, Revision 9 l
Office of Nuclear Reactor Regulation (PERB/ DRPH /NRR).
1.8 A]leaation Resolution Documentation 1.8.1 Within 30 days of the completion of all actions required for the closure of an allegation, the Branch Chief responsible for resolution of the allegation will advise the alle letter (Enclosure 7) of the results of NRC follow up.ger Theby l Branch Chief will prepare the closure. letter to the alleger l
' incorporating the information contained from the staff memoradum along with a copy of the applicable inspection l report. The Branch Chief will provide a copy of the closure l letter to the SAC who will then close the allegation in the l AMS. If the allegation was referred to a licensee, pertinent portions of the licensee's response may be t
incorporated into the NRC's closeout letter. The closure !
letter will be signed by the Branch Chief and sent to the l alleger via certified mail (return receipt requested).
! 1.8.2 Allegations will normally be resolved through the inspection l
process and documented in an inspection report. The inspection report should not identify that an inspection is based in whole or in part on an allegation. In most cases, the inspection facts and findings can be fully documented without reference to the fact that an area was inspected because of an allegation. In those rare instances where there is a need to refer to an allegation or the alleger in
! an inspection report, the concurrence of the Director, EICS, will be required prior to issuance of the inspection report. .
l 1.8.3 When action on an allegation has been completed by the responsible Branch Chief, a copy of the pertinent insxction documentation and an Allegation Evaluation Report (AEI),
shall be transmitted to the SAC along with a copy of the closure letter to the alleger. The AER should include a I
t restatement of the allegation, a description of the evaluation performed, and the conclusions reached as a result of the review (see Enclosure 7). In cases where i
' there is no inspection report that addresses the allegation, the inspection report cannot be provided due to safeguards-concerns, or the allegation evaluation and results are not presented in detail in the insmetion report due to identity protection concerns, the AER s1ould.be expanded to l comprehensively address the actions taken to resolve the I allegation.
Enclosure 1 l
Regional Office Instruction 21 No. 1030, Revision 9 1.8.4 The basis for closing an alle ation must be reviewed and concurred in by the responsib e technical Branch Chief. The !
Branch Chief's concurrence may be documented in an E mail or l a memo from the Branch Chief to the SAC providing the basis for closure, through concurrence in the closure letter. .or, in those cases where the Branch Chief issues the closure letter, his or her signature. Such documentation should be -
included in the allegation case file.
1.8.5 If available, electronic versions of inspection reports and AERs should be provided to the SAC in addition to the normal l copy. This will facilitate updating the AMS.
1.8.6 Allegation resolution documentation is used to officially close an allegation case file and shall be included in the I allegation case file: however, allegation case files will l remain open pending resolution of DOL, 01 and related enforcement actions.
1.8.7 Allegation documentation should be handled with extreme care to preserve the fundamental principle of assuring the identity protection of individuals who bring safety concerns to the NRC. AERs that are prepared by the staff could contain information that may com>romise the identity of an
' alleger. Therefore, the staff s1all be sensitive to the l requirement for proper controls and safeguards for such documents, to include mail and reproduction. personal computer disks, electronic 1.8.8 Proposed language for letters to allegers when OI returns a potential wrongdoing issue to the staff becasue of a lack of resources or low investigative priority, including employee discrimination, is included in Enclosure 7. This language may be revised to fit the particular set of circumstances but should always include a statement that the particular circumstances were reviewed, that there are constraints on NRC investigatory resources, and that other cases of higher priority are being pursued.
1.9 Alleaation Corresoondence 1.9.1 All allegation corres)ondence that identifies an alleger must be protected in >1ue folders with an appropriate warning label.
1.9.2 Allegation case files that contain the identity of a confidential source are to be stored by EICS in a secure Enclosure 1
Regional Office Instruction 22 No. 1030. Revision 9 filing cabinet drawer designated solely for files involving confidential sources and shall not be stored with allegation case files that do not involve a confidential source.
1.9.3 Allegation case files containing the identity of a I
- confidential source must have a RED cover sheet attached to the outside of the case file that indicates the file contains the identity of a confidential source and provides handling instructions (Enclosure 8).
1.9.4 Correspondence containing the identity of a confidential source that is separated from the allegation case file must also have the cover sheet described in 1.9.3 above, attached.
1.9.5 Correspondence containing the identity of an alleger that is !
separated from the allegation case file must have a BLUE cover sheet that indicates the correspondence contains the {
identity of an alleger and provides handling instructions (Enclosure 8).
1.9.6 To help prevent the inadvertent release of correspondence to an alleger, acknowledgment, status, and closure letters shall have the allegation number clearly typed on the front i page of the letter and on the upper right corner of each !
subsequent > age. This action will reduce the possibility of l a staff mem)er not recognizing that the letter concerns an allegation and may identify an alleger. Additionally, any letter from an alleger or confidential scurce shall be clearly stamped on each page, "This document identifies an alleger (or confidential source)" as appropriate.
1.9.7 All acknowledgment and closure letters to allegers are to be sent via U.S. Postal Service certified mail. The certified mail return receipt (green card) return address should be Post Office Box 845, Atlanta, Georgia 30301 as identified in the letters to allegers.
1.9.8 The " green card" should list the name and address for the alleger and it is important to list the allegation number so that the EICS staff can file the return receipt in the appropriate allegation case file when it is returned. The certified mail " receipt for certified mail" (white and green slip) that shows the certified mail number should not have the name and address of the alleger instead, place only the allegation number on the white and green slip.
Enclosure 1
Regional Office Instruction 23 No. 1030. Revision 9 1.9.9 No copies or distribution of acknowledgement and closure letters to allegers are to be made except one copy to EICS ,
for the allegation case file. The allegation case file is the official NRC record for the allegation. No copies are to be retained. The Branch Chief is permitted to retain a
" sanitized copy" of the correspondence that does not contain the identity of the alleger or any other information that could identify the alleger. All documentation retained is subject to potential release under a Freedom ofInformation Act (F0IA) request.
1.9.10 After the allegation correspondence is mailed. EICS is to be provided ^with a copy that includes the enclosures. Provide the SAC an e mail version of the documents. Do not retain any copies of e mail or other correspondence that identifies an alleger or confidential source.
1.10 Allecation Proaram Audits 1.10.1 The SAC is responsible for maintaining the current status of l allegations in the AMS by ensuring that all open allegations !
are reviewed and updated, as necessary, on a monthly basis.
In addition, within 30 days following case closure, the SAC shall perform an audit of the allegation case file and AMS to ensure completeness and accuracy of all material in the allegation case file.
1.10.2 The Region II Allegation Management Program is subject to periodic audits by.the Agency Allegation Advisor (AAA). The AAA audit review will include the handling, documenting, tracking, and resolution of allegations: a review of Region II procedures and instructions related to allegation management; allegation case file administrative maintenance:
ARB activities; related staff training: and, other items of interest at the discretion of the AAA.
1.11 Alleaation Records 1.11.1 The SAC is responsible for maintaining allegation case files and related documentation. Allegation case files are generally restricted for access to the staff except on a "need to know" basis. In addition. EICS shall maintain a document check out system to record individual access to allegation case files. Allegation case files may be signed out by Region Il staff members for period not to exceed five l days. The individual staff member is responsible for the Enclosure 1
f I
J Regional Office Instruction 24 No. 1030. Revision 9 l
l security of the file. Allegation case files that contain l
the identification of a confidential source can only be checked out of EICS with the approval of the Director, EICS.
1.11.2 01 maintains its own records regarding criminal / civil
- investigations and OI confidential sources. Access to those files will be coordinated through the Director, OI Field l Office. !
1.11.3 Closed allegation case files will be maintained in the Region for a period of three years, after which they will be i retired to the Federal Records Conter for retention for an ;
additional seven years. Allegation case files are scheduled i
for destruction after a period of retention of 10 years.
1.12 Trainino l
t Staff members having responsibility for implementing this Instruction '
are to receive training in its requirements as directed by the Regional l
Administrator. The Director, EICS, is responsible for providing j allegation training to the staff. Currently, the Regional Administrator has directed that mandatory training be conducted on an annual basis. .
l l
Enclosure 1 1
l t-
1 Regional Office Instruction No. 1030, Revision 9 l PROTECTING IDENTITY 2.1 Backaround A fundamental premise supporting the NRC's information gathering process is a recognition of the need to protect the identity of individuals providing the information. Inherent in the principle of identity protection is the belief that no one will refrain from reporting information if they have assurance that their identity will not be disclosed. The responsibility to protect the identity of individuals providing information from retaliatory action by their employers and coworkers begins with the initial contact between the individual and NRC.
While Public Law 95 601 makes it unlawful for employers to take i
' retaliatory actions against employees reporting information to the NRC and provides the means for the employees to obtain legal remedies, the legal process can be very lengthy: so much so, that employees could be reluctant to provide information for fear of being out of work for an
- l. extended period of time while going through the legal process.
! 2.2 Identity Protection
! I
' If an individual is concerned about identity protection, the staff !
member involved should explain that the NRC protects the identity of i individuals who t their employer. provide However,information bywhom individuals to not revealing their the NRC has identity Dg1 grantedto i
l i confidentiality by written agreement should be informed of the following: i l
- 1. In resolving technical issues, the NRC intends to take all i
reasonable efforts not to disclose the identity of an alleger
! outside the agency unless:
I l a. The alleger clearly indicated no objection to being l identified.
i b. Disclosure is necessary because of an overriding safety I issue.
- c. Disclosure is necessary pursuant to an order of a court or NRC adjudicatory authority or to inform Congress or State or Federal agencies in furtherance of NRC responsibilities under law or public trust.
- d. Disclosure is necessary in furtherance of'a wrongdoing investigation (e.g., allegations involving record falsification, willful or deliberate violations, or other Enclosure 2 l
Regional Office Instruction 2 No.1030. Revision 9 deliberate conduct in violation of NRC regulatory requirements) including investigation of harassment and .
I intimidation allegations,
- e. The alleger has taken actions that are inconsistent with and override the purpose of protecting the alleger'.s identity.
This information is also included as part of the Allegation Report to facilitate providing all mandatory elements to the alleger.
- 2. Under the Freedom of Information Act (FOIA), disclosure may be necessary; however, to the extent possible, information provided under the FOIA will, consistent with the F0IA, be purged of names and other potential identifying information.
- 3. The NRC will normally disclose an alleger's identity during an NRC investigation if the alleger is the victim of discrimination.
The NRC does not provide )hysical protection to an individual who provides information to t1e NRC. This is a matter for local law enforcement officials and the alleger should be so advised.
Within Region II, the identity of ADY individual reporting allegations, expressing concerns, or registering complaints will be withheld from the staff except on a 'need to know" basis. A11egers' names shall not appear in any report (except as noted above regarding the preparation of Allegation Reports or related memorandum to be included in the allegation case file) or in any internal memorandum or other document placed in normal mail distribution, nor will it be divulged to any NRC employee or outside individual who has not clearly demonstrated a "need.
to know' relative to such information. This policy is intended to I reinforce regional senior management's emphasis on the responsibilities 1 associated with protecting the identity of individuals who provide information to NRC.
Any breakdown in the system which results in the unauthorized disclosure of the identity of an alleger shall be immediately brought to the attention of the Director EICS. '
Under no circumstances will the identity of an alleger be made known to l a licensee employee or otherwise disclosed other than for the reasons outlined above without the specific approval of the Regional Administrator. In addition, reasonable efforts will be made to contact the alleger and explain the need for disclosure, with the exception of wrongdoing investigations.
If the licensee correctly guesses the identity of the alleger, staff members will respond, if necessary under the circumstances, that the NRC Enclosure 2
Regional Office Instruction 3 No. 1030. Revision 9 position is to neither confirm nor den decline to discuss the matter further.y the Anyvalidity of by attempts such guessesorand a licensee any other unauthorized individual to learn the name of an alleger will be reported to the Director, EICS.
2.3 Confidentiality Confidentiality is the protection of da.a which could directly, indirectly or otherv.se identify an alleger or other individual by name and/or the fact that a confidential source provided such information to the NRC. The NRC only grants confidentiality in very special circumstances to acquire information related to activities within its jurisdiction. However, it is NRC solicy not to divulge to others the identity of an individual who has >een granted confidentiality, either during or subsequent to an incuiry based on the information provided to NRC.
Within Region II, conficentiality is considered so important that a need to know rule will be vigorously implemented and followed by all Region II personnel.
2.3.1 The Regional Administrator is the regional authority for 1
i granting confidentiality and this authority has been redelegated to designated Region II staff members. The j current letter authorizing individual Region II staff l members to grant confidentiality is on file in the Office of I the Regional Administrator. This letter and its enclosure should be reviewed if additional information regarding j confidentiality is required.
j 2.3.2 Region II staff members authorized to grant confidentiality must be thoroughly familiar with the NRC " Statement of Policy on Confidentiality," dated November 25, 1985, which is appended to the delegation letter discussed above. The Regional Administrator will be briefed as soon as possible l before any grant of confidentiality is made to an alleger.
If the Regional Administrator is unavailable, the Deputy Regional Administrator will be briefed. If it is not practicable to brief either the Regional or Deputy Regional Administrator, they should be briefed as soon as practicable following the grant of confidentiality.
2.3.3 Inspectors or other Region II staff members involved with an alleger who requests confidentiality should contact the SAC. >
If the SAC is not available, contact.the Director EICS, or i a senior Region II staff member who has been authorized to !
grant confidentiality.
j Enclos"re 2 1
l l
Regional Office Instruction 4 No. 1030, Revision 9 2.3.4 Confidentiality is in force and effect when an alleger signs the confidentiality agreement and that agreement is signed by an authorized Region II representative.
2.3.5 In those cases where an alleger requests confidentiality 1
l during a telephone conversation or it is not possible to immediately sign a confidentiality agreement, a temporary oral grant of confidentiality may be given by an authorized Region II representative; however, the SAC should be >
1mmediately notified and arrangements made to mail the I alleger a confidentiality agreement.
2.3.6 The alleger must be advised that they have two weeks from receipt of the confidentiality agreement to sign it and return it to the SAC. If the agreement is not completed with this time frame, the Executive Director for Operations (EDO) will determine if the temporary grant of confidentiality should continue. A copy of the Confidentiality Agreement is provided in Enclosure 3.
One point regarding promises of confidentiality should be clearly understood by all Region II staff members and explained to the individual providing information. if appropriate. A pledge of confidentiality shall not be made (or may not be honored if previously granted) if the individual provides information indicating that he intends to or has personally committed, or participated in criminal acts which may include a deliberate (knowing and willful) i violation of NRC requirements. In cases such as this, the j Regional Counsel should be contacted for advice and )
guidance. Caution should also be exercised in this 3 particular area as there is the possibility the individual could infer he was granted immunity.
2.3.7 Communications with confidential sources should be handled I
with extreme care so as not to comprise the identity of the confidential source. Use of government stationary.
government return addresses, or government vehicles should be avoided when dealing or meeting with a confidential source.
2.3.8 Revocation of confidentiality may only be implemented by the Commission or the EDO. However, confidentiality will only be revoked in extreme circumstances such as failure to sign an agreement or alleger actions inconsistent with the purpose of confidentiality, i i
Enclosure 2 l
Regional Office Instruction 5 No. 1030. Revision 9 2.3.9 The granting official may withdraw confidentiality following receipt of a written request from the alleger.
2.3.10 The SAC is responsible for maintaining records of the status of confidential sources and signed confidentiality agreements.
2.4 Anonymous A11eoers There are instances when an alleger will not provide his or her identity i even after identity protection and confidentiality have been explained. l The following points .should be explained if an anonymous alleger will '
not reveal their identity:
The Region II staff member taking the call :nay not have the l technical expertise to evaluate the inforr.ation provided to I determine if it is sufficient to permit adequate follow up or if i it is within the regulatory jurisdi:. tion of the NRC: therefore it I may be necessary to contact the alleger for additional information I at a later date. I It is Region II policy to keep the alleger informed of the final resolution on an allegation within the jurisdiction of the NRC, In cases where an allegation is not within the regulatory jurisdiction of the NRC, it is Region II )olicy to notify the individual of the responsible agency to w11ch the matter has been referred. !
After the above points have been ex)lained to the alleger and the alleger persists in not revealing t1eir identity, document the allegation in as much detail as contact the SAC collect at (404)possible. Advise the individual to 562 4424 or 1 800 577 8510 as soon as possible to provide any additional information that may be necessary for the appropriate resolution of this matter.
Once an alleger provides their identity or if the receiving NRC representative is aware of the alleger's identity, the alleger will be afforded identity protection, and can no longer be treated as anonymous, even if the alleger requests anonymity.
Enclosure 2
)
Regional Office Instruction No. 1030. Revision 9 CONFIDENTIALITY AGREEMENT I have information that I wish to provide in confidence to the U.S. Nuclear Regulatory Commission (NRC). ,
as a condition for providing this information to the NRC.I request an express p It is my understanding that consistent with its legal obligations, the NRC, by agreeing to this confidentiality, will adhere to the conditions stated herein.
During the course of an inquiry or investigation, the NRC will make its best of my to effort avoid actions that would clearly be expected to result in disclosure identity. l My identity will be divulged outside the NRC only in the following narrow situations:
(1) When disclosure is necessary because of an overriding safety issue and I agree to this disclosure. If I cannot be reached to obtain my approval or do not agree to disclosure, the NRC staff will contact the Commission for resolution.
(2) When a court orders such disclosure.
(3) When required in NRC adjudicatory proceedings by order of the Commission itsel f, (4) In response to a written Congressional request. While such a request will be handled on a case by case basis, the request must be in writing and the extent NRC will make its best efforts to limit the disclosure to the possible.
(5) When requested by a Federal or State agency in furtherance of its statutory responsibilities and the agency agrees to abide by the terms of this confidentiality agreement, and I agree to the release. If-I do not agree to the release, my identity may be provided to another agency only in an extraordinary case where the Commission itself finds that furtherance of the public interest requires such release.
(6) When the Office of Investigations (01) and the Department of Justice (D0J) are pursuing an investigation or when OI is working with another law enforcement agency, my identity may be disclosed to D0J or the other law enforcement agency without my knowledge or consent.
My identity will be withheld from NRC staff, except on a need to know basis.
Consequently, I acknowledge that if I have further contacts with NRC personnel, I cannot expect that those people will be cognizant of this confidentiality agreement, and it will be my responsibility to bring that Enclosure 3
l l Regional Office Instruction No. 1030. Revision 9 point to their attention if I desire similar treatment for the information provided to them.
I also undt.rstand that the NRC will revoke my grant of confidentiality if I take, or have taken, any action so inconsistent with the grant of confidentiality that the action overrides the purpose behind the confidentiality, such as (1) disclosing publicly information that reveals my l status as a confidential source or (2) intentionally providing false
! information to the NRC. The NRC will attempt to notify me of its intent to i revoke confidentiality and action should not be taken. provide me an opportunity to explain why this '
, Other Conditions: (if any) l l
I have read and fully understand the contents of this agreement. I agree with its provisions.
Date Name Address Agreed to on behalf of the U.S. Nuclear Regulatory Commission.
l
! Date signature Name:
Title:
l I
i Enclosure 3
c Regional Office Instruction No. 1030. Revision 9 .
k
\
l GUIDANCE FOR RECEIPT AND DOCUMENTATION OF ALLEGATIONS OBJECTIVE To gather sufficient information whereby another party can verify the facts and circumstances without recourse to the originator.
ESTABLISH RAPPORT j 1. Introduce yourself, shake hands.
- 2. Maintain professionalism at all times.
- 3. Be a good listener and ask questions.
l l
- 4. Your primary purpose is to gather as much information as possible.
5 1 l j 5. Remember that you are someone's image of the NRC.
! GENERAL INFORMATION j 1. Individual's an_mg, Address, and phong
- 2. Individual's emolover, iob/ title l 3. Facility, (Unit I, II?)
- 4. Date, time (beginning end) of interview WHAT IS THE CONCERN?
i
- 1. Discuss one issue at a time.
l 2. Ask questions that lead back to the issue.
l 3. Use a different interview form for each issue to ensure all
- aspects of each issue are recorded.
i 1
- 4. Specificity is essential.
- 5. General statements need specifics.
- 6. Remember, if you can't define the problem, you can't solve the problem.
WHERE IS IT LOCATED?
- 1. Building, elevation, room, etc.
Enclosure 4 L
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Regional Office Instruction 2 l No. 1030. Revision 9
- 2. Record location as accurately as possible in order for someone else to be able to verify, I
WHAT IS THE REQUIREMENT / VIOLATION?
- 1. Does the individual know the requirement and what is being l
violated? l
- 2. Is the problem being described by the alleger actually a personal opinion related to the way things should be done? )
MEN DIO IT OCCUR?
l
- 1. Saecific dates and times determine the procedures in effect at tlat time.
- 2. Specific time frames can provide support for the circumstances and facts surrounding the issue.
WHO IS INVOLVED / WITNESSED?
- 1. Other individuals lend credibility to information and they should be fully identified.
- 2. The involvement of others becomes a critical factor when dealing with confidentiality.
- 1. The developent of information for this question involves the individual s interpret action of the events.
- 2. This question can indicate wrongdoing, falsification or possible harassment and intimidation.
- 3. Develop the sequence of events / process.
- 4. Often it's not what happened that is a problem but how it happened and how it was done that is the problem.
- 5. What is the alleger's interpretation of the cause of the problem.
WHAT EVIDENCE CAN BE EXAMINED?
- 1. This question should be viewed as if you had to follow up this matter.
Enclosure 4
Regional Office Instruction 3 No. 1030, Revision 9
- 2. Most of the time the inspector receiving the information is not going to perform the follow up activity. Be sensitive to this fact while gathering the initial information.
- 3. The more information you gather the easier the follow up will be.
(i.e., drawings, procedures, codes, FSAR, etc.)
- 4. The need for objective evidence is critical to a successful resolution of the issue. -
DID THE INDIVIDUAL EXPRESS THE CONCERN TO THE LICENSEE?
- 1. If no, why not? l
- 2. Is the licensee's policy to encourage employees to identify concerns? If so, was the individual aware of that policy.
M IS THE STATUS OF THE LICENSEE'S ACTIONS?
- 1. Sometimes individuals just want you to know that they have filed a i
concern. If the individual reported the concern to the licensee l
find out what the individual knows in relation to the licensee's resolution of the concerns.
2.
- ' Advise the individual if he/she is not satisfied with the results of the licensee's action they can contact RII/ SAC.
l E IS THIS AN ISSUE OF7 In your own mind differentiate types of issues during the conversation.
NOTE: If the individual claims employee discrimination as a result of l raising a safety concern, you must advise the individual of the l 180 day reporting requirements for filing a complaint with DOL.
RESPONSIBILITIES l 1. You must speak with an individual who wants to express.a concern.
- 2. You must document the interview on an Allegation Report, and include the name of the alleger, if known.
- 3. You must make a determination as to whether the information represents an immediate threat to the health and safety of the public or a threat to the safe operation of the facility.
- 4. You must contact RII/ SAC and your supervisor.
Enclosure 4 m
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l Regional Office Instruction 4 No. 1030 Revision 9
- 5. You must act in a professional manner.
6.
You must not compromise a potential 01 investigation. Only pursue the technical issues. If you suspect a potential OI issue, contact your supervisor and RII/ SAC.
- 7. You must not reveal the identity of an alle'ger.
- 8. Do not agree to meet with an alleger off site. If such a request is made, call your supervisor and RII/ SAC for guidance.
- 9. Except when an allegation is received during an on site inspection and refers to work in progress, you should contact your supervisor and the RII/ SAC and await ARB review prior to performing follow up actions.
- 10. If an alleger requests confidentiality, inform the alleger that the NRC does not reveal the identity of allegers to their employer. Generally, I this statement will satisfy the alleger. However, if tne alleger !
specifically requests confidentiality, inform the alleger that his/her confidentiality request will be reviewed by staff personnel authorized to grant confidentiality. ,
l 11.
Do not withhold or protect the identity of an alleger who requested to remain anonymous if you know the identity of the alleger.
12.
Advise allegers of the 180 day DOL reporting requirement for employee discrimination complaints.
- 13. Inform allegers that there are limits to their identity and that they are not considered confidential sources. You do not have to read alle NRC'gers the limits, but tell allegers that there are limits on the s ability to protect their identity and that we will also provide a written description of the protection measures NRC takes and the limits of that protection, l
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Enclosure 4
l Regional Office Instruction No. 1030. Revision 9 ALLEGATION ' REPORT CASE NO: RII-1997 A .... FACILITY:
CONCERN NO: (1) DOCKET NO:
ALLEGER:
DFLOYER:
ADORESS: _,
TITLE:
HOE PHONE: ( )
)
WORK PHONE: ( )
DATE RECEIVED:
M IS THE ALLEGATION?
E IS THE REQUIRENENT/ VIOLATION?
WHERE IS IT LOCATED?
)
)(1Q IS INVOLVED / WITNESSED?
HOW/WHY DID IT OCCUR 7 WHAT EVIDENCE CAN BE EXAMINED?
DID THE INDIVIDUA:. EXPRESS A CONCERN TO THE LICENSEE?
E IS THE STATUS OF THE LICENSEE'S ACTIONS?
Alleger informed of NRC identity protection policy?... Y N Did alleger request confidenti ali ty 7. . . . . . . . . . . . . . . . . . Y- N-Did the alleger object to a licensee / state referral?... Y- N-Was the alleger informed of DOL reporting requirements? Y_ N_-
Tyne of Reaulated Activity: (a) Reactor b) - Vendor (c)- Materials (d) Safeguards (e) other:
l Ask all above questions, do not leave any blanks. Complete one sheet for each issue. Forward this form to: i lanta. GA 30301.
RII/ SAC. numbers 5AC phone P.O. B0Xare 845 (d A",04) 562 4424 or 562 4426Do not retain any file ccpies subsequent to receipt by SA PREPARED BY: DATE PREPARED:
Enclosure 5
Regional Office Instruction 2 No. 1030. Revision 9 ALLEGATION REPORT CONTINUATION SHEET CASE FILE NO: l FACILITY:
SUM ARY OF INFORMATION l
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ACTION REQUIRED i
PREPARED'BY: DATE PREPARED:
4 Enclosure 5
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I Regional Office Instruction No. 1030 Revision 9 ALLEGATION ACTION PLAN RII-1997 A-FACILITY: .
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{
DOCKET: LICENSE:
INSPECTION REPORT NO.:
T(PE OF INSPECTION: Special/ Routine / Announced / Unannounced /Back Shift / Normal Shift ALLEGATION TO BE RESOLVED:
1
( ) Inspector is familiar with ROI 1030. Revision 9 [ 4] Yes [ ] No j
( ) Locations / specific sites to be visited: l
( ) Time period to be covered:
( ) Documents / activities to be reviewed:
( ) Persons to be contacted and/or interviewed:
( ) List of questions to be answered / approach to use:
( ) Limitations / areas to be avoided:
( ) Instructions by Branch Chief:
Submitted by: Date:
Accomoanyino Personnel:
Approved by: Date:
Branch Chief Distribution:
EICS ALLEGATION CASE FILE
! . Enclosure o i
Regional Office Instruction No. 1030. Revision 9 ACKNOWLEDGMENT LETTER Alleger's Name Address
SUBJECT:
ALLEGATION NO. RII 1997 A 0000
Dear Mr./ Hrs./Hs. :
This letter refers to your (letter, phone conversation, meeting, interview, etc.) with on/ dated in which you ex related to (name of facility). You were concerned about (pressed concerns brief general description such as security, maintenance, operator qualifications, etc.).
Enclosure 1 to this letter documents your concern (s) as we understand it/them.
We have initiated actions to examine the facts and circumstances of your concern (s). If we have misunderstood or mischaracterized your concern (s) as described in the enclosure, please contact me so that we can assure that (it is/they are) adequately addressed prior to the completion of our review.
FOR REFERRALS TO LICENSEES:
In addition, per your conversation with (NRC employee's name), we understand that you do not object to having your concern (s) referred to the licensee.
Your concern (s) is/are being referred to the licensee, however your identity and position are not being provided. We will review and. evaluate the licensee's activities and response and inform you of the final disposition of this/these matters.
ALTERNATE LANGUAGE:
In addition, we intend to refer your concern (s) to the licensee with your identity and position withheld. We will review and evaluate the licensee's activities and resmnse, and inform you of the final disposition. Ff you have any ob.iection to t11s aooroach you must contact our office witiin it days uoon receiot of this letter so that we'can discuss this matter furt ier .
REFERRALS TO AGREEMENT STATES:
Because the NRC does not have jurisdiction over the activity (ies) in the State of that are discussed in your concern (s), we are referring your concern (s) to the State of .
Because you have requested that your j i
name and address not be provided to the state, we will request that the state respond to the NRC. Upon receipt of the state's response, we will mail you a ;
1 copy.
C ERTIFIE0 4 AIL O. XXX XXX XXX R ETURN R EC EIPT LEQUESTED (Note: Should be on bottom of first page only)
Enclosure 7 l l
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l Regional Office Instruction 2 l
No. 1030, Revision 9 REFERRALS TO AGREEMENT STATES (Alternate Lanouaoe):
Because of the NRC does not have jurisdiction over the activity (ies) in the State that are discussed in your concern (s), we are referring your concern (s) to the State of . Based on your willingness to contact the state directly, we will provide you with a name of a contact person for the State organization assigned your concern in a subsequent letter. Please note that the state may not be able to protect your identity to the same extent the NRC can.
REFERRALS TO AGREEMENT STATES (Alternate Lananeae):
Because the NRC does not have jurisdiction over the activity (ies) in the State of that are discussed in your concern (s), we are referring your concern (s) to the State of .
We would also like to provide your name and address to the state so the state can contact you directly. However, please note that the state may not be able to protect your identity to the same extent the NRC can. If you have any obiect on to us orov dina vour name !'
and address to the state. wu must contact our #fice within it days uoon receiot of this letter so tlat we can discuss t vs matter further. ;
REFERRALS TO OTHER AGENCIES:
We have determined that the matter of your concern does not fall under NRC jurisdiction. The agency with ]
referred your concern to them. For jurisdiction is informationand any further we have on this matter.
j you should contact that agency at (address). (If aoprooriate l Once we j complete our review, we will inform you of the results.) '
FOR LETTERS WITH TECHNICAL CONCERNS WITHIN NRC JURISDICTION:
An evaluation of your technical concern (s) will normally be conducted within 6 months, although complex issues may take longer. You will be informed of the j results of our review. In resolving your concern (s), the NRC intends to take all reasonable efforts not to disclose your identity (as discussed in the i enclosed brochure. if appropriate)
FOR LETTERS INVOLVING DISCRIMINATION Because one of your concerns involves employment discrimination for raising safety concerns, an evaluation without identifying you would be extremely difficult. Therefore, you should be aware that in evaluating your claim of discrimination, your name will be disclosed. Furthermore, the NRC's evaluation of your claim of employment discrimination may take up to 18 months to complete.
Enclosure ,
1 J
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Regional Office Instruction 3 i
! No. 1030. Revision 9 ;
FOR LETTERS TO ALLEGERS W/0 CONFIDENTIALITY Finally.
vou are not considered a confidential source unless an exolicit reouest of confidentiality has been formally cranted in writina.
1$E 11;IS PARAGRAPH IN, PJ. ACE OF "HE PREVIOUS UNDERLINED SEKTENCE IF THE NRC DOES IdAVE A SIGNED C'jf
.DENTIALETY AGREENENT WITH THE All FGER With respect to the Confidentiality Agreement you signed, I assure you that we will honor the Agreement. I would like to point out that licensees can and !
sometimes do surmise the identity of individuals who provide information to us because of the nature of the information or other factors beyond our control. !
In such cases, our policy is to neither confirm nor deny the licensee's assumption.
FOR ALLEGATIONS REGARDING IMPROPER ACTIONS BY THE STAFF With resmet to your concern (s) regarding alleged improper actions by the NRC staff, t1ese matters have been referred to the NRC Office of the Inspector General (0IG), and if you should have any questions or other comments on these matters, you should contact the OIG directly, toll free, at 1 800 233 3497. i 1
USE IF ADDITIONAL INFORMATION IS NEEDED FRON TliE AliFGER In reviewing your concern (s), we have determined that we need additional information from you before we can proceed with our inquiry into your concerns. (If accurate, use-We have attempted to contact you by telephone without success and) I would appreciate your calling me toll free at l as soon as possible so that we can discuss this matter further.
USE IF ADDITIONAL INFORMATION WAS PRONISED BtX NOT RECEIVED:
Based on your telephone conversation with (NRC employee) on (date) it was '
understood that you would provide additional information. I would appreciate your contacting me toll free at (ohone number) at your earliest convenience so !
that we may proceed with our inquiry into this matter. If I am not available ;
at the time of your call, please ask for (NRC employee) or leave a message so '
I can return your call.
FOR GENERIC CONCERNS:
l 1
i I
The staff has determined that the concern (s) you raised may impact a number of facilities and is considered generic. Because the resolution of your concern (s) will require a review of multiple facilities and may require a review of or changes to NRC concern (s) may be extended.However, policy, the time be please necessary assured to resolve that your the NRC will take appropriate and necessary action to maintain public health and safety, i
Enclosure 7 1
Regional Office Instruction 4 No. 1030. Revision 9 ALL LETTERS TO FIRST TIME Al1FGERS:
Enclosure 2 to this letter is the NRC brochure " Reporting Safety Concerns to the NRC". The brochure contains information that you may find helpful in understanding our process for review of safety concerns . It includes an important discussion (on pages 5 7) of our identity protection procedures aruf limitations. Please read that section. It~ also includes a discussion of the right of an individual to fi' e a complaint with the U.S. Department of Labor (DOL) if the individual believes she or he has been discriminatM against for raising safety concerns and the individual desires a personal ra.edy.
The NRC is responsible for enforcement actions against utilities, vendors, or individuals who discriminate against individuals who raise safety concerns.
DOL is responsible for providing personal remedies, such as reinstatement, backpay, etc. The NRC cannot orovide you with personal rc:cdies. This tv of remedy can only cuiis from DOL. For DOL to accept a complaint, it must a x
in writing and it must be submitted to DOL within 180 days of the discriminatory act. (Please see pages 8 10 of the brochure.) The office for processing your DOL complaint, should you decide to file, is as follows:
OSHA address XXXXXXXXXXXX XXXXXXXXXXXX If you file a complaint with DOL, please send a copy to us also.
ALTERNAW LANGUAGE FOR REPEAT AliFGERS:
~
n my earlier letter to you dated , pertaining to your allegation (s) regarding (subject) I provided you an NRC brochure entitled,
" Reporting Safety Concerns to the NRC." It includes information on the allegation process, identity protection, and the processing of claims for discrimination against workers, handled by the Department of Labor. Should you need another copy, please contact me.
ALL LETTERS:
Thank you for notifying us of your concern (s). We will advise you when we have completed our review of this matter. However, should you have any questions or comments, during the interim regarding this matter, please call me toll free at 1 800 577 8510.
Sincerely, Enclosure (s): As stated i l
Enclosure i I
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Regional Office Instruction 5 No. 1030. Revision 9 FORMAT FOR THE ATTACHMENT PAGE Concern 1.
l (Describe the alleger's concern.)
l Concern 2.
l (Describe the alleger's concern.)
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t e
+
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Enclosure 7
o Regional Office Instruction 6 No. 1039, Revision 9
)
STATUS LETTER A11eger's Name and Address I i
SUBJECT:
ALLEGATION NO. RII 1997 A 0000 I l
Dear Hr./Mrs./Ms. :
l i
i ALL LETTERS This letter is in regard to the concern (s) you brought to the NRC in your (letter, conversation with (NRC employee XXX), interview, meeting with the resident inspector, etc.) on (date), regarding . (Use these sentences if the alleger has provided information in addition to that provided in the initial correspondence or contact.) In addition to the information you provided us on (1st date), you also wrote to us on (additional date(s)) and/or l
met with (name) on (date). ,
additional information regardingIn this/these .) letters / conversations you provided i
USE IF ALL CONCERNS ARE STILL OPEN Your concern (s) is/are being reviewed by the NRC,'or has been referred to the licensee for follow up, etc. When we have completed our review of these issues, we will notify you of our findings, actions and the final resolution of your concern (s).
USE IF SOE CONCERNS Clnesn WHILE OTHERS ARE STILL OPEN We have completed our review of XX number of your concerns as noted on the I
attached page(s). (List on a separate attached page each concern and describe !
the resolution or action taken for every issue for which the NRC's efforts i have been completed since the last corres ndence with the alleger.) Your i other concern (s) is/are being reviewed b the NRC, or has been referred with your concurrence to the licensee for foi ow up, etc. When we have completed our review of these issues, we will notify you of our findings, actions and the final resolution of your concern (s). If I can be of further assistance, Please call me toll free at the NRC Safety Hotline at 1 800 695 7403, or the (Regional / Office) toll free number 1 800 577 8510.
Sincerely.
Attachment:
As stated CERTIFID 4 AIL O. XXX XXX XXX RETURN lECEIPT REOUESTIQ (Mte: Use only on first page)
Enclosure i i
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! Regional Office Instructiu. 7 i No. 1030. Revision 9 i l
4 1
CLOSE0lJT LETTER TO THE ALLEGEB
! Alleger's Name I
and Address ;
l l
SUBJECT:
ALLEGATION NO. RII 1997 A 0000 1
Dear Mr./Mrs./Hs. :
GENERAL LETTER This is in reference to my (date), letter which indicated that we would initiate action to review your concerns related to completed its follow up in response to the concern (s(issue (s)). ThetoNRC
) you brought our has attention on .
The attachment to this letter lists your concern (s) and describes how the NRC resolved the concern (s) you raised.
I SUBS 7TUTE 1HE FOLLOWING PARAGRAPH IN CARES WHERE THE AliFGER HA PROVEDE ADDITIONA_ INFORMATION. AS NEEDED OR :D RJE00E51
' This refers to our letter to you dated _ , in which we requested that you contact us to provide additional information regardin your concern (s) ,
related to at (site / facility). (If additiona phone or personal contact was/were conducted, refer to them here.)
Since you have not contacted us to provide the additional information we ;
requested, the NRC plans no further action regarding this matter. We have, i however, alerted our inspectors to your general concerns so that they can pay l particular attention to those areas during their routine inspections. '
USE IF NRC ACTION IS COMPLETE A O INVOLVED 2.790 INFORMATION. IN WHOLE OR IN i PART AND INCLUDE ON ATTACHMENT PAGE (However.) your (other) concern (s) dealt with (physical security matters, proprietary information, personal privacy matters about another individual, '
aedical records, etc.) and the details are exempt from disclosure to either l
,ou or the public, so we are unable to provide you with a copy of our report.
(Make a statement as to whether or not the concern was substantiated, unsubstantiated, or partially substantiated, without providing specific details of the findings.)
l CERTIFI ED MAIL NO. XXX XXX XXX RETURN RECEIPT REQUESTED (NOTE: This should only be on the of first page.)
Enclosure 7
)
I l
Regional Office Instruction 8 l No. 1030, Revision 9 USE IF VIOLATIONS WERE IDENTIFIED i
During the NRC (Inspection / Investigation), violation (s) of NRC requirements i (was/were) identified. The (Licensee) is required to inform us of the corrective action (s) they have taken of plan to take. (Provide inspection l
report, if app opriate.) Our inspectors will continue to monitor the -
licensee's act vities to ensure proper resolution of this matter.
USE 201 EL 01 CAR M In WHICH 01 RETJRNS A POTENTIAL W10NvinIm MSgp "3 STAF : :01 LACK OF HE UnlRCFR OR LOW PtIORITY INCLUDING iEMP 0YEiE DESCRIHL tA" ION Based upon a review of your . concern (s) of (describe wrongdoing concern (s))
and other cases needing investigation by the NRC, the NRC will not be expending further investigatory efforts on the wrongdoing aspects of your concern (s). This is not a finding that your wrongdoing concern (s) does/do not have merit, rather it is a recognition that the NRC must focus its limited investigatory resources on cases of higher priority. Ex I
with the technical aspect of the wrongdoing concern, e(.g. ,
plain "The what staff was done reviewed i the impact on safety of the falsified record and determined.... etc.) (For discrimination cases only.) Accordingly. absent a finding of discrimination by the DOL, or any additional substantial information and/or evidence from you that would support your discrimination concern (s) (T/t)he NRC staff plans no further follow up on the concerns you have provided to the NRC.
ENDING FOR ALL LETTERS l
Thank you for informing us of your concerns. We feel that our actions in this matter have been responsive to those concerns. We take our safety res:ensibilities to the public very seriously and will continue to do 'so j
witain the bounds of our lawful authority.
I we have not supported the alleger's concerns.(Use this sentence in cases where
) Unless the NRC receives additional information that suggests that our conclusions should be altered, we plan no further action on this matter. Should you have any additional questions, or if I can be of further assistance in this matter, please call me on the NRC Safety Hotline at 1-(800) 695 7403.
Sincerely, '
l Enclosure (s): As stated Enclosure 7 ;
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Regional Office Instruction 9 No. 1030, Revision 9 FORMAT FOR THE ATTACHMENT PAGE AliFGATION EVALUATION REPORT ALLEGATION RII-1997-A 0000 ALLEGED FAILURE TO PERFORM RADIATION SURVEYS TURKEY POINT NUCLEAR PLANT I DOCKET NOS. 50 250 AND 50 251 ALLEGATION:
Make a statement of the allegation and the facility associated with the allegation. Example:
The alleger stated that he/she had a concern related to health physics practices at the Turkey Point Nuclear Plant. The alleger was concerned that surveys were not being performed by qualified health physics personnel due to the strike health which caused physics the licensee to use maintenance personnel to perform activities.
DISCUSSION:
What did you verify? Discussions, observations, review of records, etc.
Example: i Through discussions, observations and review of records, the inspector was able to verify that the licensee utilized maintenance personnel to perform some health physics activities. Surveys were performed by maintenance personnel but they received training and were under the direct supervision of senior health physics personnel. 3 CONCLUSION: !
- 1. Based on the information provided we were able to substantiate or unable to substantiate the allegation because-
- 2. There were or were no violations or deviations of regulatory I requirements.
- 3. Allegations can be substantiated and not be a violation of NRC require-ments.
- 4. Do not discredit the alleger because an allegation was not substantiated.
- 5. Remember, you are writing this enclosure to the alleger.
Enclosure 7
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Regional Office Instruction 10 '
No.1030, Revision 9 Based on the information provided this allegation was substantiated; however, there were no violations or deviations from regulatory requirements because the maintenance personnel that performed surveys received appropriate training and were under the direct supervision of senior health physics personnel. This l allegation is considered closed. 1 1
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Enclosure 7
Regional Office Instruction 11 No. 1030, Revision 9 LICENSEE REFERRAL LETTER i
July 14,1997 Florida Power and Light Company ATIN: Mr. T. F. Plunkett President Nuclear Division i P. O. Box 14000 i i
Juno Beach, Fl. 33408 0420 l i
SUBJECT:
ALLEGATION NOS. RII 1997 A 0120 AND RII 1997 A 0121
Dear Mr. Plunkett:
i The Nuclear Regulatory Commission (NRC) recently received information !
l concerning activities at your St. Lucie facility. A description of the concerns is enclosed. I'
. We request that you conduct inspections and/or investigations as appropriate
! to prove or disprove the concerns and that you inform us within XX days of the datecompleted your of this letter ofavailable action the resolution for NRC of this matter and make the records of inspection. :
i i
NRC's evaluation of your response will include a determination that: 1) the l
individual conducting the investigation was independent of the organization affected by the concern, 2) the evaluator was competent in the specific functional area, 3) the evaluation was of sufficient depth and scope to substantively address the concern. 4) appropriate root causes and generic implications were considered if the concerns were substantiated, and 5) the corrective actions, if necessary, were comprehensive.
! Please send your response to Ms. Anne T. Boland. Director, Enforcement and Investigations Coordination Staff, Region II. Please do not submit your response to the Document Control Desk. If your response contains personal privacy, proprietary, or safeguards information, such information shall be !
contained in a separate attachment. appropriately marked, so that it will not be subject to public disclosure. The affidavit required by 10 CFR 2.790(b) must accompany your response if proprietary information is included.
Should you be unable to complete your review within the time requested due to other operational priorities, please contact me so we can discuss the matter and make other appropriate arrangements.
i The enclosure distribution to this limited letter must to personnel be acontrolled with legitimateas sensitive "need information and to know."
1 1
ENCLOSURE CONTAINS INFORMATION NOT FOR PU3LIC DISCLOSURE Enclosure 7 t 1
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Regional Office Instruction 12 No. 1030, Revision 9 Should you have any questions, or if I can be of any further assistance in l
this matter, please feel free to contact me at (404) 562 XXXX.
l Sincerely, Kerry D. Landis, Chief Reactor Projects Branch 3 4 l
Division of Reactor Projects '
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Enclosure:
As stated bec w/ enc 1: Oscar DeMiranda RII 1997 A 0120. 0121 I
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l ENCLOSURE CONTAINS INFORMATION NOT FOR PUBLIC DISCLOSURE Enclosure 7
9 Regional Office Instruction 13 No. 1030 Revision 9 INFORMATION
SUMMARY
FLORIDA POWER AND LIGHT COMPANY ST. LUCIE NUCLEAR PLANT RII 1997 A 0120 RII 1997 A 0121 Region II received information related to practices at the St.
Lucie Nuclear Plant. Allegedly, the O Assistant Nuclear Plant Operator (ANPO)perations suarvisor required an to assume t1e duties of the backup Fire Team ANPO Leader and did not meet the requirements to perform the duties of the Fire team Leader.
Allegedly, the Alternate Fire Team leader on had entered containment to perform work and if a fire were to occur, responding to it properly would be difficult because containment was difficult to get out of.
Allegedly, there once was a Night Order that stated that the Fire Team members could not enter the containment.
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I NOT FOR PUBLIC DISCLOSURE Enclosure 7
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- WARNING ----
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CONFIDENTIAL
! ALLEGATION MATERIAL l
THE ENCLOSED DOCUMENT CONTAINS MATERIAL RELATED TO AN OFFICIAL NRC CONFIDENTIAL ALLEGATION AND IDENTIFIES A CONFIDENTIAL SOURCE WHICH MAY EXEMPT THIS DOCUMENT FROM l PUBLIC DISCLOSURE PURSUANT TO ONE OR MORE PARTS OF TITLE i 10, CODE OF FEDERAL REGULATIONS OFFICIAL USE ONLY l SPECIAL HANDLING REQUIRED l
l RETURN THIS DOCUMENT TO THE SENIOR ALLEGA TION COORDINA TOR WHEN NO LONGER NEEDED l
l THIS DOCUMENT MUST BE SECURED WHEN NOT PERSONALLY l ATTENDED. ACCESS TO INFORMATION CONTAINED HEREIN IS l
LIMITED TO REGION 11 STAFF AS REQUIRED FOR BRIEFING AND RESOLUTION ACTION. DISCLOSURE OF INFORMATION TO UNAUTHORIZED PERSONS IS PROHIBITED Enclosure 8 l
P January 14,1998 DNMS ALLEGATION TIMELINESS REPORT t ;
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>30 >60 >90 >120 >150 >180 I I
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SENSITIVE ALLEGATION MATERIAL 1
THE ATTACHED DOCUMENT CONTAINS MATERIAL WHICH MAY RELATE TO AN OFFICIAL NRC INQUIRY OR INVESTIGATION WHICH MAY BE EXEMPT FROM PUBLIC DISCLOSURE PURSUANT TO ONE OR MORE PARTS OF TITLE 10, CODE OF FEDERAL REGULATIONS l
OFFICIAL USE ON._Y SPECIAL HANDLING REQUIRED SHRED THIS DOCUMENT WHEN NO LONGER NEEDED PLEA SE TAKE THE NECESSARY STEPS TO PRECLUDE UNAUTHORIZED ACCESS TO THIS DOCUMENT. ACCESS TO INFORMATION CONTAINED HEREIN IS LIMITED TO REGION ll STAFF AS REQUIRED FOR BRIEFING AND RESOLUTION ACTION, DISCLOSURE OF INFORMATION TO UNAUTHORIZED PERSONS IS PROHIBITED Enclosure 8
PRINCIPLES OF PERFORMANCE BASED INSPECTION Definition Performance-based inspection connotes a method of comparing an activity, t process, or event with a defined set of performance criteria to determine I acceptable safety performance /results.
l Process i
- a. Planning Phase l -Select safety and reliability measures (indicators) important to performance of a particular activity that is going to be evaluated.
-ldentify acceptance criteria for these measures.
- b. Inspection and Report Phase Compare licensee's performance on these measures with acceptance criteria and assess whether there is reasonable assurance that safety performance is acceptable.
Exoectations durino insoections of Each Phase
- a. During Planning Phase
-Select for inspection, a sample of activities most important to performance and review in order of importance.
l Balance inspection sample to include majority of key activities which will accurately reflect licensee performance.
Develop an inspection plan as a " road map" to keep the mission in focus. Plan must list the indicators to be used to judge performance and criteria to be used to review against.
- b. During the Inspection Phase
-Focus on measures to determine whether performance is acceptable.
-Keep mission in mind (Mission: assure safe and reliable operation).
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-Determine root causes for performance deficiencies (i.e. examine to see that address underlying conditions in addition to acute conditions).
-Follow up on unsafe work practices until it is determined that the licensee has the issue under control.
-Independently verify licensee statements.
-Make direct observation of work in progress as a preferred method of inspecting.
-Communicate findings in terms of impact on safety performance.
-Highlight importance of findings reflecting poor safety performance to liccasee and NRC management.
Support conclusions with findings related to licensee performance, not opinions.
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l June 30, 1997 l
MEMORANDUM TO: Donald A. Cool, Director Division of Industrial and Medical Nuclear Safety, NMSS l FROM: Douglas M. Collins, Acting Director (original signed by Division of Nyclear Materials Safety D M. Collins)
SUBJECT:
LISTING OF LICENSEE EXEMPTION REQUESTS RECEIVED AND DENIED (Your Memo, June 27,1997)
In response to your request, we have records of Region 11 licensee exemptions to 10 CFR requested, granted or denied from January 1,1997 through June 30,1997, as listed below:
- 1. University of Virginia, No. 45 00034-30, was granted a standard 30.35, 30 day exemption from Financial Assurance requirements for source loading of a teletherapy device.
- 2. University of Virginia, No. 45-00034 09, was granted a standard 30.35, 30 day exemption from Financial Assurance requirements for a teletherapy source change.
- 3. Department of Navy, No. 45-23645-01NA was granted a TAR exemption from certain provisions of Part 36 for use of a teletherapy device for blood irradiation.
- 4. Bluefield Regional Medical Center, No. 47-19142-02 was granted a standard 30.35, 30 day exemption from Financial Assurance requirements for a teletherapy source change.
- 5. Hospital Oncologic, No. 52-11832-01, was granted a standard 35.647 exemption to allow five year teletherapy maintenance to be extended for up to two months, since the l vendor was unavailable earlier. They were also granted a standard 30.35, 30 day exemption from Financial Assurance requirements for a teletherapy source change.
j cc: A. Blough, RI R. Caniano, Rlli R. Scarano, RIV 1
l OFFICE RII i RII RIZ f ,p 1 SIGNATURE gg NAME DHeim JPotter TDecker DATE 6/ /97 6/ /37 6/ g {S7 6/ /S7 6/ /37 6/ /97 6/ /37 CwM7 YES NO YES NO YES (NQ/ YES NO YES NO YES NO YES NO l OrrIcIAI, RzcQRo corr oOccurHT NAxz c a sowxS \LIcamMP.MEM 1
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DIVISION OF NUCLEAR MATERIALS SAFETY l FY97 SELF-ASSESSMENT PLAN l
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i DNMS Self-Assessment Plan for Fiscal Year 1997 Objectives:
l l 1. To establish a process by which the Division of Nuclear Materials Safety l (DNMS) conducts its periodic assessment of performance.
l 2. To provide a systematic approach to evaluate strengths and weaknesses in j the programs assigned to DNMS.
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- 3. To provide inpt. . sto decisions where the performance should be modified to l make work better or improve to the expected level.
Process:
l The routine process consists of the following:
- 1. Quarterly evaluations and reporting of results to the Division Director by l each P ..wh, the Agreement State Program Officer, and the Technical l Assistant (for laboratory activities) using the performance indicators and l measures specified in this plan. Some elements and their measures must be l reviewed monthly to effectively correct poor performance. These are indicated by an "*" next to the standard, j
- 2. Annual evaluations at the Division Director level, independent of the Branches, in program areas listed below for Fiscal Year 1996:
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- a. Allegation plan timeliness and implementation (scheduled for March i 1997). f
- b. Inspection report quality (two peer reviews scheduled for December 1996 and June 1997). l
- c. Review of implementation of IMPEP corrective actions (scheduled for l January 1997). l
- d. Review of license exemptions issued (scheduled for February 1997). '
- e. Materials licensing action quality (conformance to SRPs, etc.)
(scheduled for May 1997). i l f. Review of fuel facility security and emergency plan changes (scheduled for November 1996).
- g. Security of Financial Assurance documents (required annually by MD 8.12) i i
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l Performance will be measured in a " windows" format with an overall " roll-up" l indicator for each Branch based on performance indicators for each element. The l
definition for the overall and each element indicators is as follows: I I
For Ratina Overall Performance in Each Branch I GREEN Allindicators in the elements are green.
YELLOW One or more yellow ratings for elements indicators.
RED One or more red ratings for element indicators.
I For Ratina Each Element Indicator in Each Branch GREEN Performance meets or exceeds the expected standard.
l YELLOW Performance generally satisfactory, but needs improvement to j meet or exceed the standard.
RED Performance is unsatisfactory, since it does not generally meet the standard.
PERFORMANCE ELEMENTS AND STANDARDS Proaram Area: On Site
- 1. Performance Element: On site time Standard:
-For the materials program the Branch hours expended on inspections meets 28% of the time allocated for inspection.
-Onsite time in accordance with Regional goals for fuel facilities.
-Backshift inspections performed in accordance with Regional goals.
-Licensing site visits for significant changes to programs.
-lMPEP reviews assigned to the Agreement State Program Officer (ASPO) completed in accordance with assigned schedules.
-Support to Agreement States provided when requested by States and agreed to by Region ll management.
- 2. Performance Element: Use of technically qualified staff Standard: -
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! Staff training completed in accordance with MC 1246 (or MC 1245 l for staff previously qualified).
l -For those staff qualified under MC 1245, completion of courses in MC 1246 in accordance with the Training Plan.
-Staff used are qualified for job assigned.
-Incident response training completed as identified in regional training l procedures. (10/3/95 memo from AEOD)
-Management oversight of staff in field in accordance with ROI and MC.
-Annual IMPEP training completed for IMPEP team members.
- 3. Performance Element: ' Appropriate backup for functions Standard:
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-Qualified backup individuals for each key function performed by Branch.
-Individuals available to perform key functions each day of business (e.g., classified document handling in FFB, safe closure each day, 4 processing license applications, processing reciprocity requests, evaluation of events).
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- 4. Performance Element: Adequate use of budgeted FTE's l Standard:
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-Actual expenditures meet budgeted FTE's in Regional Operating Plan.
l l Procram Area: On Time
- 1. Performance Element: Allegation follow up Standard:
-Allegations timely closed in accordance with MD 8.8 and ROI 1030.
l -180 day total for closure
-plans approved prior to inspection
-referrals to Agreement States within 30 days.
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- 2. Performance Element: Inspections performed i Standard:
-No overdue inspections (in accordance with IMC 2600,2800 and/or 2545). i I
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4 inspections of new materials licenses in accordance with IMC 28bo.
-Inspections of Navy and reciprocity licenses in accordance with IMC.
-Survey meters calibrated and sample analyses completed in accordance with schedules established.
- 3. Performance Element: License reviews Standard:
-New materials licensing cases completed within timeliness specified l in Regional Operating Plan. Effectively reduces backlog of old cases.
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! Security plan reviews for fuel facilities and research reactors completed within the timeframes specified in Regional Operating Plan.
Materials license and security plan change applications processed timely, i
l Reciprocity reviews timely processed. (Within two working days of receipt).
-Acceptance reviews completed within 30 days of receipt. !
- 4. Performance Element: Open items Standard:
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-Unresolved items closed within six months of identification.
-IFI's closed within 12 months of identification in most cases with less than 10 cases over 12 months old and no case over two years old.
- 5. Performance Element: Event Response Events responded to in accordance with safety significance.
-Response to medical events and abandoned sources meets timeframes specified in IMC.
-Abnormal occurrences identified within quarter of occurrence and processed in accordance with timeframes in MD 8.1 and guidance from AEOD.
Coordination of significant events to program office within one working day.
-PNs and Morning Reports meet timeliness goals of ROls.
- 6. Performance Element: Documentation of results l
Standard:
l l -inspection reports issued within timeframes in IMC (max = 30 days for routine).
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-Materials field note inspection reports reviewed and issued within 30 days of end of inspection.
-inspection reports and materials licenses timely filed in docket files, i
-Draft IMPEP reports provided to SP within 30 days of exit (for those l lMPEPs where ASPO is team leader). For those cases where Region 11 i ASPO is a team member, draft inputs to the report in five working days.
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- 7. Performance Element: Enforcement actions Standard:
-Routine enforcement cases delegated to Region completed within 49 days of inspection completion date.
-Routine enforcement cases not delegated to Region - memorandum to OE within 42 days if inspection completion date.
-Exempt cases (less than 100 days total) !
- 8. Performance Element: Action items l
Standard:
Completion of action items (DAFFYs and DAITs) within timeframes established by the requestor.
Procram Area: On Taroet
- 1. Performance Element: Technical quality Standard:
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-Inspection findings well-founded (supported by facts and relationship to regulations clear). .
-Inspection safety issues identified and followed up; generic safety issues addressed.
l -Follow-up inspections address open items from previous inspections. l l -Inspections and license review performed in accordance with guidance in IMC and NMSS P&G Directives.
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-Results and scope of inspections and license reviews are performance-based.
-Licenses address request or communicate difference to applicant.
-Inspection and license review findings reviewed by management.
-lMPEP reviews in accordance with MD 5.6 and IMPEP Manual.
Recommendations to Management Review Board well founded technically and performance-based.
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-Sufficient number of operable survey meters a
! 2. Performance Element: Allegation follow up
! Standard:
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-Closure packages and documentation address allegations and reference inspection reports.
-Inspection plans adequate to address allegations and not disclose alleger.
-Findings reviewed by management.
-Safety significance addressed.
- 3. Performance Element: Completion of planned program Standard:
-Completion of budgeted core and total materials license casework (from C-3).
-Completion of budgeted core and tota) inspections (from C-3 and Due List).
-Maintenance of fuel facility site activities matrix and review for trends.
-Technical assistance to states, state regulation reviews, and l
exchange of information is provided as needed.
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- 4. Performance Element: Inspection report and license documentation Standard:
-Management review and signature in accordance with ROl's.
-Reports and licenses vontain few typographical errors.
-Peer review results indicate reports consistent with IMC.
-Licenses consistent with NMSS P&G Directives and SRP's.
- 5. Performance Element: Enforcement actions Standard:
Final actions taken in accordance with enforcement policy.
l -Violations have basis in requirements and written to have parallelism l between requirement and " contrary to" statement.
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-NCV's issued in accordance with criteria in enforcement policy.
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- 6. Performance Element: Event response l
Standard:
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' Incoming events evaluated and safety significance identified.
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-Safety issues followed up.
-Special inspections (e.g.,~ medical misadministrations, AIT's) follow !
l guidance in MDs and MC's.
l l -Incident response procedures for agency response followed. ,
Generic safety issues addressed. '
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October 20. 1997 ..
NOTE T0: Regio ' Mana ,r.
FROM: s . .Reyes Regiona histrator
SUBJECT:
ION II OPERATING L FOR FISCAL YEAR 1998 l
Attached is a copy of- the Region II Operating Plan for this fiscal year. It is important that you review with your staff and that you and your staff understand how the alanned accomplishments, output / outcome measures and targets relate to tie Agency's Strategic and Performance Plans.
Now that the Operating Plan is issued you'should initiate actions to track i progress toward completing the accomplishments and measures in accordance with !
the targets. In addition, you should incorporate the measures in your next '
.self-assessments and provide input for the program offices' quarterly reports to the Per.formance Review Committee.
If you have any questions, please contact Bruce Hallett or me.
Attachment:
1 Region II Operating Plan -
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A 7G4/403ss- Attachmimt 26a
t UNITED STATES
/p ** "'49'o,, NUCLEAR REGULATORY COMMISSION o M 61 FORS HS S U TE 23785 gg, git /
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ATLANTA. GEORGIA 30303 3415 October 17, 1997 MEMORANDUM T0: Hugh L Thomp Jr.
Dep Exec iv Di tor for Regulatory Programs FROM:
s A. R es. Regio ministrator
SUBJECT:
REGION II OPERA N' PLAN Attached is the Region II Operating Plan, which implements the goals and strategies in the Agency's Strategic and Performance Plans. The planned accomplishments and associated measures are listed for Fiscal Year 1998 and the resources are projected through Fiscal Year 2000.
As indicated in earlier discussions, the Operating Plan incorporates the guidance contained in the August 26, 1997 memorandum from Joe Callan and the guidance contained in documents submitted by the Offices of Nuclear Reactor Regulation and Nuclear Material Safety and Safeguards. We have also had the Plan reviewed by these offices and held discussions with the Office of Enforcement to incorporate their input. The ]lanned accomplishments and output / outcome measures are consistent with tiose in the Operating Plans submitted by)the other Regions.
We appreciate your support in developing this approach to the Operating Plan.
since we believe it provides to all employees a visual linkage between the Agency goals and the Regional planned accomplishments. If you have any questions, please contact Bruce Hallett at (404) 562-4411.
Attachment:
FY 1998 Regional Operating Plan cc w/ encl:
S. Collins. NRR C. Paperiello. NMSS T. Martin. AE00 J. Lieberman. OE R. Bangart. OSP P. Norry. OEDM A. Thadani DEDE H. Miller. RI A. B. Beach. RIII E. Merschoff. RIV A904I40sco--