ML20324A658
| ML20324A658 | |
| Person / Time | |
|---|---|
| Issue date: | 12/30/2020 |
| From: | Margaret Doane NRC/OE |
| To: | Laura Dudes, Jack Giessner, Brian Holian, David Lew, John Lubinski, Nader Mamish, Scott(Ois) Morris, Ho Nieh, Shuttleworth A, George Wilson Office of Nuclear Material Safety and Safeguards, Office of Nuclear Reactor Regulation, Office of Nuclear Security and Incident Response, NRC/OE, NRC/OIP, NRC Region 1, NRC/RGN-II, NRC/RGN-III, NRC Region 4 |
| Jarriel J | |
| References | |
| AGM-2020-001 | |
| Download: ML20324A658 (5) | |
Text
UNITED STATES NUCLEAR REGULATORY COMMISSION WASHINGTON, D.C. 20555-0001 December 30, 2020 MEMORANDUM TO: David C. Lew, Regional Administrator, Region I Laura A. Dudes, Regional Administrator, Region II John Giessner, Regional Administrator, Region III Scott A. Morris, Regional Administrator, Region IV George A. Wilson, Director, Office of Enforcement Ho K. Nieh, Director, Office of Nuclear Reactor Regulation Brian E. Holian, Director, Office of Nuclear Security and Incident Response John W. Lubinski, Director, Office of Nuclear Material Safety and Safeguards Nader L. Mamish, Director, Office of International Programs Andy A. Shuttleworth, Director, Office of Investigations Roberts, Darrell signing on behalf FROM: Margaret M. Doane of Doane, Margaret on 12/30/20 Executive Director for Operations
SUBJECT:
ALLEGATION GUIDANCE MEMORANDUM 2020-001, ELECTRONIC ALLEGATION FILES AND SELF-ASSESSMENTS The purpose of this allegation guidance memorandum (AGM) is to provide guidance to the U.S. Nuclear Regulatory Commission (NRC) staff responsible for handling allegations.
Management Directive (MD) 8.8, Management of Allegations, dated January 29, 2016, AGMs issued since that date, and the Allegation Manual, dated December 22, 2016, provide current staff guidance. The updated guidance in this AGM is effective immediately and will remain in effect until otherwise directed. The staff will incorporate this guidance into the Allegation Manual (Agencywide Documents Access and Management System Accession No. ML17003A227) and the next revision of MD 8.8.
BACKGROUND:
It has been the policy of the NRC, as dictated in MD 8.8, that official agency records associated with the receipt, evaluation, and closure of allegations, be maintained in hard-copy files. This position was taken to control distribution of sensitive documents that contained alleger identifying information. With advancements in information technology and in response to the Executive Director for Operations Strategies on a Page initiative, the Office of Enforcement (OE) committed to work with the program offices and regions to transition to the electronic format and storage of allegation-related records.
CONTACT: Lisamarie L. Jarriel 301-287-9006
D. Lew et al. 2 Allegation case files in an electronic format will improve data retrieval, inform decision-making, and facilitate collaboration, while continuing to control distribution of sensitive allegation materials to only those with a need to know.
In its continued efforts to improve the Allegation Programs effectiveness and efficiency, OE reviewed the use of Allegation Program self-assessments. Between 1990 and 2006, the Agency Allegation Advisor (AAA) performed an annual assessment of how each region and program office implemented NRC allegation program guidance. In February 2006, recognizing the maturity of the program and consistent high performance by the offices and regions, the periodicity of the assessments was changed to biennially. However, during the years in which a program office or region assessment was not conducted by the AAA, the office or region was required to conduct a self-assessment by personnel independent of the files being reviewed and submit the results of that self-assessment to the AAA for review.
Although senior management has stated that it found the AAA assessment often provided useful feedback, senior management did not find the self-assessments as beneficial.
Recognizing that the program offices and regions continue to monitor their own performance through several means (e.g., metrics monitoring, periodic status assessment of open allegation files, quality reviews of closed allegation files, and lessons-learned documentation related to identified problems), it was suggested that the self-assessments be discontinued. In recognition that the program offices and regions consistently meet or exceed the performance and quality requirements of MD 8.8; program management agrees that biennial self-assessments need not be conducted going forward.
Special assessments will continue to be conducted as requested by the Office of Inspector General, senior management, or as OE deems necessary. If at any time the results of an assessment indicate a notable decline in performance, OE reserves the right to resume annual on-site assessments for any or all of the program offices and regions.
CHANGES TO MANAGEMENT DIRECTIVE 8.8,MANAGEMENT OF ALLEGATIONS II. OBJECTIVES Ensure that each action office, as defined in Section VI, Glossary, of this handbook
- Maintains current and accurate information on assigned allegations in the official agency record (the hard-copy allegation file) and through the AMS [Allegation Management System].
III. ORGANIZATIONAL RESPONSIBILITIES AND DELEGATIONS OF AUTHORITY K. Office Directors and Regional Administrators
- 17. Ensure that a program self-assessment is performed in alternate years when the AAA is not performing an allegation program assessment at the regional or headquarters office.
(Note: OI, OE, OGC, and RES are not required to perform biennial self-assessments as they are not considered action offices for the purposes of this MD.)
D. Lew et al. 3 L. Agency Allegation Advisor
- 11. Conducts an Office Allegation Coordinator (OAC) counterpart meeting at least annually, which will include in its agenda a discussion of the results of the most recent AAA assessments and regional or headquarters office self-assessments related to the conduct of the allegation program.
M. Office Allegation Coordinator
- 5. Ensures that the allegation file contains all documentation provided by the alleger and all documents used in making decisions regarding the allegation. The OAC may exclude from the hard-copy allegation file documentation that would be too cumbersome to include if it is referenced and easily retrievable. If the documentation that is too cumbersome to include in the file has been recorded on electronic media (e.g., disk, flash drive), it may be retained in the allegation file in that form.
CHANGES TO MD 8.8 DIRECTIVE HANDBOOK II. ALLEGATION PROCESS H. Processing the Received Allegation
- 3. Allegation Documentation (b) The OAC creates a hard copy an electronic file for each allegation to contain all allegation-related documentation. The allegation files are to be retrievable only by allegation number (i.e., there must be no alleger identifying information in the electronic file name or, if a paper file is created, on the outside of the allegation file folder).
- 4. Storage of Official Agency Allegation Files and Documents (Official Agency Record)
(b) Electronic allegation files shall be controlled in accordance with MD 12.5, NRC Cybersecurity Program requirements. Keycard access to NRC buildings provides adequate security for hard-copy allegation files and documents containing the identity of an alleger. However, caution should be taken to place the information in an inconspicuous location if non-NRC personnel or NRC personnel without a need-to-know are to be in a particular work area. Allegation files and documents containing the identity of an alleger who has been granted confidential source status shall be clearly marked to ensure protections granted by the Confidentiality Agreement are maintained. Allegation documents containing SGI [Safeguards Information] shall be stored in accordance with MD 12.7, NRC Safeguards Information Security Program or SGI shall be stored in a container approved for such information and shall not be stored with allegation files that do not contain such information.
VI. GLOSSARY Allegation File A file that contains the documentation concerning an allegation, including, but not limited to, correspondence, memoranda to the file, interview records, inspection reports, summaries of telephone conversations, discussions, and meetings, and pertinent information from related
D. Lew et al. 4 Office of Investigations activities. For files created subsequent to calendar year 2020, the electronic The hard-copy allegation file is the official agency record. For older files, the hard-copy allegation file may serve as the official agency record.
Any questions about this guidance should be directed to Lisamarie Jarriel, the Agency Allegation Advisor. Ms. Jarriel can be reached at (301) 287-9006 or by e-mail to Lisamarie.Jarriel@nrc.gov.
ML20324A658 OFFICE RI RII RIII RIV NRR NAME /RA/ by NWarnek JMunday KOBrien JMonniger MGavrilas
/for/ RLorson DATE 11/30/2020 11/20/2020 12/14/2020 12/01/2020 12/14/2020 OFFICE NMSS OIP OI OGC NSIR NAME MLombard RLewis DSkeen THiggs PMoulding DATE 11/19/2020 11/24/2020 11/20/2020 11/20/2020 11/24/2020 OFFICE OE OE OE DEDM EDO NAME TPowell LJarriel FPeduzzi DRoberts DRoberts for MDoane DATE 11/09/2020 12/14/2020 11/20/2020 12/30/2020 12/30/2020