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{{#Wiki_filter:June 17, 2008  
{{#Wiki_filter:June 17, 2008 This document contains slides shown at the Region I Regional Utilities Group Workshop (RUG)
June 2008 Meeting on June 4, 2008. These slides are publicly available.


This document contains slides shown at the Region I Regional Utilities Group Workshop (RUG) June 2008 Meeting on June 4, 2008. These slides are publicly available.
NRC ALLEGATION PROCESS June 4, 2008 Region I Regional Utilities Group Workshop King of Prussia, Pennsylvania
NRC ALLEGATION PROCESS June 4, 2008 Region I Regional Utilities Group Workshop King of Prussia, Pennsylvania 2 AGENDA*NRC Allegation Process*Peach Bottom Lessons Learned
*Alternative Dispute Resolution Process 3A. DISCRIMINATION ALLEGATION PROCESSING (WITH DOL PROCESS STEPS, IF APPLICABLE
)Receipt of potential allegationPotential immediate public health and safety concern exists?Conduct Ad- Hoc/Special  NRC ARBYes NoProvide allegation receipt info to manager and OAC5 daysConduct NRC ARB
- discuss allegation concerns
- involve appropriate staff (tech staff, OI, OGC)
- articulate safety significance
- consider if specific evidence of potential wrongdoing exists (for a wrongdoing allegation)- discuss options for evaluating a discrimination allegation (see flowchart A)
- consider if additional info is needed- determine NRC follow-up actions- assign responsibilities and action dateswithin 30 days of receiptResponsible staff review to: clarify concerns; consider re-contacting alleger for more info, if appropriate; evaluate for any immediate public health and safety issues; propose follow up actions; draft potential violations (for wrongdoing concerns); prepare briefing info for NRC ARBAllegation Evaluation:- inspection/technical review- RFI from licensee
- transfer to another agency (e.g. FEMA)
- wrongdoing investigation - discrimination investigation or Early ADR (see flowchart A)Send acknowledgement letter to alleger Send closure letter addressing concerns to alleger for open t ec h n i ca l concerns, ARB is reconvened at 6 months from last ARB and every 4 months thereafter, until closed ASAPNRC Review of Allegation Evaluation Results:- inspection results
- licensee response to RFI (NRC review includes effort to verify and validate aspects of licensee response)- response from external agency
- OI investigation report and exhibits
- Early ADR settlementDocument NRC Allegation Evaluation and NRC Conclusions
- describe means of evaluation- describe NRC review of evaluation results, and efforts to verify and validate, as appropriate
- articulate a conclusion regarding each concern (e.g., substantiated, unsubstantiated, in whole or in part, including whether aspects of concern were found to be valid)NRC Enforcement Process (including licensee notification)[Note: If substantiated concern relates to a wrongdoing matter, and DOJ considers the matter for criminal prosecution, NRC enforcement will be coordinated with DOJ.]Did tech review, inspection, investigation, licensee/external agency response address concerns?Determine action to obtain needed info:- additional inspection- additional investigation- additional RFI from licensee(determination made by responsible staff or at follow up NRC ARB, depending on nature of required additional action)Re-contact alleger for additional information Are substantiated concerns violations?Yes NoAdditional info needed from allegerNew information or concerns?Discrimination concernAllegationfiled w/NRC DOL complaint filedPrima faciearticulated?Copy of DOL complaintsent to NRCEarly ADRoffer accepted?Close/Await DOLCloseOffer Early ADR - see Early ADR Process flowchart NoYesYes OIinvestigation OI finding?CloseReferral to DOJ?Enforcement to be taken?Enforcement Conference -Enforcement Action - Post Investigation ADRClose w/Enf.
Action or Order via Post Investigation ADR settlementCloseDOL/OSHA Decision?LicenseeAppeal?NRC Chilling Effect Letter?Alleger Appeal?CloseDOL ALJ RDO?NRC Chilling Effect Letter?NRC EnforcementAction? - pending  DOLLicenseeAppeal?DOL ARB FinalDecisionAlleger a ppeal?Case closed with resolutionCloseCloseNRC Enforcement Coordinated with DOJ Licensee non-appeal of DOL finding considered in NRC enf. decisionNo DiscriminationYesYesYesYesYesYesYesYesYes No No No No NoNo DiscriminationNo DiscriminationNo DiscriminationDecline A cce p tOAC  -  Office Allegation CoordinatorRFI - Request for InformationNRC ARB - NRC Allegation Review Board ADR - Alternative Dispute ResolutionOI - NRC Office of investigations DOL - Department of Labor DOL ALJ - DOL Administrative Law Judge RDO - Recommended Decision and Order DOL ARB - DOL Administrative Review Board DOJ - De partment of Justice NoYes NoYesDoes alleger object to NRC providing the licensee a written RFI related to the allegation?(document alleger's response for discussion at NRC ARB)Early ADR successful?
NoYes Standard Allegation Evaluation Process 4 PEACH BOTTOM INATTENTIVE SECURITY OFFICER ALLEGATIONS*Background*Internal NRC Lessons-Learned Reviews
*Lessons-Learned Recommendations
*NRC Follow-up/Oversight 5 NRC PEACH BOTTOM LESSONS-LEARNED RECOMMENDATIONS*3 Key Areas-Process for forwarding allegations to a licensee/Evaluating responses/Documenting


evaluations-Communications/interactions with concerned individuals-Inspection process for detecting inattentiveness and inspector awareness of allegations 6 NRC PEACH BOTTOM FOLLOW-UP Augmented Inspection Team (AIT) Inspection Confirmatory Action Letter (CAL)/Other correspondence AIT Follow-up InspectionDeviation Memorandum (ROP) Issuance of White FindingSafety Conscious Work Environment (SCWE) Inspection Other Inspections Public Meetings 7NRC'sALTERNATIVE DISPUTE RESOLUTION PROGRAM*Two part program-Early ADR-Post-Investigation ADR*Voluntary*Administered by Cornell University's Institute on Conflict Resolution 8NRC'sALTERNATIVE DISPUTE RESOLUTION PROGRAM*Early ADR-Offered prior to start of OI investigation-NRC is not a party
AGENDA
-For allegations of discrimination only*Post-Investigation ADR-Offered after the issuance of the OI report
* NRC Allegation Process
-NRC is a party
* Peach Bottom Lessons Learned
-For allegations of discrimination and other suspected wrongdoing}}
* Alternative Dispute Resolution Process 2
 
Standard Allegation Evaluation Process                                                                                                                                                                                                                        for open technical concerns, ARB is reconvened at 6 months from Additional                                                                                                                                                                    last ARB and every 4 months Re-contact alleger for                                                                                                                                                                                                                                        thereafter, until closed info needed additional information from alleger Responsible staff review to:                                                      Conduct NRC ARB Allegation Evaluation:
clarify concerns; consider re-                                                      - discuss allegation concerns contacting alleger for more                                                                                                                                                                  - inspection/technical review
                                                                                                                                                    - involve appropriate staff (tech staff, OI, OGC)
Provide                            info, if appropriate; evaluate                                                                                                                                                                - RFI from licensee Potential                - articulate safety significance Receipt of                allegation                          for any immediate public                                                                                                                                                                    - transfer to another agency (e.g. FEMA) immediate public          No - consider if specific evidence of potential                        Send acknowledgement potential                receipt info to                      health and safety issues;                              health and                                                                                                                          - wrongdoing investigation wrongdoing exists (for a wrongdoing allegation)                      letter to alleger allegation      5 days  manager and propose follow up actions;                          safety concern                                                                                                                          - discrimination investigation or Early ADR (see draft potential violations (for                                                    - discuss options for evaluating a discrimination OAC                                                                                          exists?    within 30                                                                                                              flowchart A) wrongdoing concerns);                                                            allegation (see flowchart A) days of prepare briefing info for NRC                                          receipt      - consider if additional info is needed ARB                                                                  - determine NRC follow-up actions Yes Does alleger object to                                                                                                          ASAP              - assign responsibilities and action dates NRC Review of Allegation Evaluation Results:
NRC providing the                                                                                                      Conduct Ad-
                                                                                                                                                                                                                                                              - inspection results Hoc/Special licensee a written RFI                                                                                                                                                                                                                                        - licensee response to RFI (NRC review includes NRC ARB                                                                                          New related to the allegation?                                                                                                                                                                                                                                    effort to verify and validate aspects of licensee (document alleger's                                                                                                                                                                                                    information                            response)
Yes            or concerns?
response for discussion at                                                                                                                                                                                                                                    - response from external agency NRC ARB)                                                                                                                                                                                                                                                      - OI investigation report and exhibits No
                                                                                                                                                                                                                                                              - Early ADR settlement Determine action to obtain A. DISCRIMINATION ALLEGATION PROCESSING (WITH DOL PROCESS STEPS, IF APPLICABLE)                                                                                                                                                            Did tech review, needed info:
                                                                                                                                                                                                                                                                                              - additional inspection inspection,              No
                                                                                                                                                                                                                                                                                              - additional investigation Close/Await DOL                                                      Close                                Close                                                                                                      investigation, Close                                                                                                            - additional RFI from licensee licensee/external (determination made by Yes                                                                                                                                    agency response responsible staff or at follow up address concerns?
NRC ARB, depending on nature Offer Early ADR -                            Early ADR                                                                                                                                                                                of required additional action) see Early ADR                                successful?
No                                            Yes                                                                                                                                                              Yes Process flowchart                                                        No                                                                Enforcement No Discrimination                              Conference -
Enforcement Allegation                  Prima facie                                  Early ADR            No    OI                                                                                                                  Document NRC Allegation Evaluation and OI                                                    Action - Post filed w/NRC                  articulated?                                offer                        investigation finding?                                              Investigation ADR                  NRC Conclusions Yes                    accepted?                                                                                                                                        - describe means of evaluation Yes                                                                                                                                                    Are No                                                          - describe NRC review of evaluation substantiated Close w/Enf.                      results, and efforts to verify and validate,                        concerns Yes      Action or Enforcement                                                  as appropriate                                                    violations?
Referral                                              Order via Post to DOJ?                    to be taken?                                                - articulate a conclusion regarding each Investigation ADR Copy of DOL                                                                                                                      Decline settlement                        concern (e.g., substantiated, Discrimination        complaint                                                                                                                                                                                                    unsubstantiated, in whole or in part,                                      Yes concern              sent to NRC                                                                                                                Accept NRC Chilling                                                                                                                                                                including whether aspects of concern Effect Letter?                                                                      NRC Enforcement Coordinated with DOJ                                                    were found to be valid)
NRC Enforcement Process No            Licensee non-appeal of DOL finding considered in NRC enf. decision                                                                                                                (including licensee notification)
DOL                            DOL/OSHA                        Licensee complaint filed                Decision?                                                                                                                                                                                                                                        [Note: If substantiated concern Yes          Appeal?                  No                                                                            Case closed with resolution                                                      Send closure letter                      relates to a wrongdoing matter, Yes              Licensee        Yes                                                                                                                                          addressing                        and DOJ considers the matter for No Discrimination                          Appeal?                                                                                                                                                concerns to alleger                      criminal prosecution, NRC NRC Enforcement                                                                                                                                                            enforcement will be coordinated Action? - pending                          Yes DOL                                                                                                                                                                                                              with DOJ.]
Alleger                        ALJ                                  DOL Appeal?                        RDO?            Yes Yes                                                                                DOL                                                                        OAC - Office Allegation Coordinator ARB Final                                            Close                RFI - Request for Information No                            No Discrimination                                                Decision            No Discrimination NRC Chilling                                                                                                NRC ARB - NRC Allegation Review Board Effect Letter?                                                                                              ADR - Alternative Dispute Resolution OI - NRC Office of investigations Alleger appeal?                                                                                                                        DOL - Department of Labor Yes                                                                                                            DOL ALJ - DOL Administrative Law Judge No                                                                                                                        RDO - Recommended Decision and Order DOL ARB - DOL Administrative Review Board 3
Close                                            Close                                                                                                                          DOJ - Department of Justice
 
PEACH BOTTOM INATTENTIVE SECURITY OFFICER ALLEGATIONS
* Background
* Internal NRC Lessons-Learned Reviews
* Lessons-Learned Recommendations
* NRC Follow-up/Oversight 4
 
NRC PEACH BOTTOM LESSONS-LEARNED RECOMMENDATIONS
* 3 Key Areas
    - Process for forwarding allegations to a licensee/Evaluating responses/Documenting evaluations
    - Communications/interactions with concerned individuals
    - Inspection process for detecting inattentiveness and inspector awareness of allegations 5
 
NRC PEACH BOTTOM FOLLOW-UP y Augmented Inspection Team (AIT) Inspection y Confirmatory Action Letter (CAL)/Other correspondence y AIT Follow-up Inspection y Deviation Memorandum (ROP) y Issuance of White Finding y Safety Conscious Work Environment (SCWE) Inspection y Other Inspections y Public Meetings 6
 
NRCs ALTERNATIVE DISPUTE RESOLUTION PROGRAM
* Two part program
  - Early ADR
  - Post-Investigation ADR
* Voluntary
* Administered by Cornell Universitys Institute on Conflict Resolution 7
 
NRCs ALTERNATIVE DISPUTE RESOLUTION PROGRAM
* Early ADR
  - Offered prior to start of OI investigation
  - NRC is not a party
  - For allegations of discrimination only
* Post-Investigation ADR
  - Offered after the issuance of the OI report
  - NRC is a party
  - For allegations of discrimination and other suspected wrongdoing 8}}

Latest revision as of 16:45, 14 November 2019

NRC Allegation Process - Region I Regional Utilities Group Workshop - Slides (June 4, 2008)
ML081690502
Person / Time
Site: Peach Bottom  Constellation icon.png
Issue date: 06/17/2008
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NRC Region 1
To:
References
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June 17, 2008 This document contains slides shown at the Region I Regional Utilities Group Workshop (RUG)

June 2008 Meeting on June 4, 2008. These slides are publicly available.

NRC ALLEGATION PROCESS June 4, 2008 Region I Regional Utilities Group Workshop King of Prussia, Pennsylvania

AGENDA

  • NRC Allegation Process
  • Peach Bottom Lessons Learned
  • Alternative Dispute Resolution Process 2

Standard Allegation Evaluation Process for open technical concerns, ARB is reconvened at 6 months from Additional last ARB and every 4 months Re-contact alleger for thereafter, until closed info needed additional information from alleger Responsible staff review to: Conduct NRC ARB Allegation Evaluation:

clarify concerns; consider re- - discuss allegation concerns contacting alleger for more - inspection/technical review

- involve appropriate staff (tech staff, OI, OGC)

Provide info, if appropriate; evaluate - RFI from licensee Potential - articulate safety significance Receipt of allegation for any immediate public - transfer to another agency (e.g. FEMA) immediate public No - consider if specific evidence of potential Send acknowledgement potential receipt info to health and safety issues; health and - wrongdoing investigation wrongdoing exists (for a wrongdoing allegation) letter to alleger allegation 5 days manager and propose follow up actions; safety concern - discrimination investigation or Early ADR (see draft potential violations (for - discuss options for evaluating a discrimination OAC exists? within 30 flowchart A) wrongdoing concerns); allegation (see flowchart A) days of prepare briefing info for NRC receipt - consider if additional info is needed ARB - determine NRC follow-up actions Yes Does alleger object to ASAP - assign responsibilities and action dates NRC Review of Allegation Evaluation Results:

NRC providing the Conduct Ad-

- inspection results Hoc/Special licensee a written RFI - licensee response to RFI (NRC review includes NRC ARB New related to the allegation? effort to verify and validate aspects of licensee (document alleger's information response)

Yes or concerns?

response for discussion at - response from external agency NRC ARB) - OI investigation report and exhibits No

- Early ADR settlement Determine action to obtain A. DISCRIMINATION ALLEGATION PROCESSING (WITH DOL PROCESS STEPS, IF APPLICABLE) Did tech review, needed info:

- additional inspection inspection, No

- additional investigation Close/Await DOL Close Close investigation, Close - additional RFI from licensee licensee/external (determination made by Yes agency response responsible staff or at follow up address concerns?

NRC ARB, depending on nature Offer Early ADR - Early ADR of required additional action) see Early ADR successful?

No Yes Yes Process flowchart No Enforcement No Discrimination Conference -

Enforcement Allegation Prima facie Early ADR No OI Document NRC Allegation Evaluation and OI Action - Post filed w/NRC articulated? offer investigation finding? Investigation ADR NRC Conclusions Yes accepted? - describe means of evaluation Yes Are No - describe NRC review of evaluation substantiated Close w/Enf. results, and efforts to verify and validate, concerns Yes Action or Enforcement as appropriate violations?

Referral Order via Post to DOJ? to be taken? - articulate a conclusion regarding each Investigation ADR Copy of DOL Decline settlement concern (e.g., substantiated, Discrimination complaint unsubstantiated, in whole or in part, Yes concern sent to NRC Accept NRC Chilling including whether aspects of concern Effect Letter? NRC Enforcement Coordinated with DOJ were found to be valid)

NRC Enforcement Process No Licensee non-appeal of DOL finding considered in NRC enf. decision (including licensee notification)

DOL DOL/OSHA Licensee complaint filed Decision? [Note: If substantiated concern Yes Appeal? No Case closed with resolution Send closure letter relates to a wrongdoing matter, Yes Licensee Yes addressing and DOJ considers the matter for No Discrimination Appeal? concerns to alleger criminal prosecution, NRC NRC Enforcement enforcement will be coordinated Action? - pending Yes DOL with DOJ.]

Alleger ALJ DOL Appeal? RDO? Yes Yes DOL OAC - Office Allegation Coordinator ARB Final Close RFI - Request for Information No No Discrimination Decision No Discrimination NRC Chilling NRC ARB - NRC Allegation Review Board Effect Letter? ADR - Alternative Dispute Resolution OI - NRC Office of investigations Alleger appeal? DOL - Department of Labor Yes DOL ALJ - DOL Administrative Law Judge No RDO - Recommended Decision and Order DOL ARB - DOL Administrative Review Board 3

Close Close DOJ - Department of Justice

PEACH BOTTOM INATTENTIVE SECURITY OFFICER ALLEGATIONS

  • Background
  • Internal NRC Lessons-Learned Reviews
  • Lessons-Learned Recommendations
  • NRC Follow-up/Oversight 4

NRC PEACH BOTTOM LESSONS-LEARNED RECOMMENDATIONS

  • 3 Key Areas

- Process for forwarding allegations to a licensee/Evaluating responses/Documenting evaluations

- Communications/interactions with concerned individuals

- Inspection process for detecting inattentiveness and inspector awareness of allegations 5

NRC PEACH BOTTOM FOLLOW-UP y Augmented Inspection Team (AIT) Inspection y Confirmatory Action Letter (CAL)/Other correspondence y AIT Follow-up Inspection y Deviation Memorandum (ROP) y Issuance of White Finding y Safety Conscious Work Environment (SCWE) Inspection y Other Inspections y Public Meetings 6

NRCs ALTERNATIVE DISPUTE RESOLUTION PROGRAM

  • Two part program

- Early ADR

- Post-Investigation ADR

  • Voluntary
  • Administered by Cornell Universitys Institute on Conflict Resolution 7

NRCs ALTERNATIVE DISPUTE RESOLUTION PROGRAM

- Offered prior to start of OI investigation

- NRC is not a party

- For allegations of discrimination only

  • Post-Investigation ADR

- Offered after the issuance of the OI report

- NRC is a party

- For allegations of discrimination and other suspected wrongdoing 8

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