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Advises That Allegation Tracking Sys Will Go Into Effect on 821206.Participation by Commission Ofcs Solicited Via Memo. Internal Procedures Should Be Developed by 821206.First 90-120 Days Will Be Used to Test & Evaluate Procedures
	ML20126H069
Person / Time
Issue date:	11/24/1982
From:	Dircks W; NRC OFFICE OF THE EXECUTIVE DIRECTOR FOR OPERATIONS (EDO)
To:	; NRC OFFICE OF INSPECTION & ENFORCEMENT (IE)
Shared Package
ML20126H018	List: ML20126H015; ML20126H046; ML20126H053; ML20126H069; ML20126H088; ML20126H100; ML20126H131; ML20126H147; ML20126H156; ML20126H187; ML20126H212; ML20126H244;
References
	FOIA-84-601 NUDOCS 8506180238
	Download: ML20126H069 (21)
	v • d • e

NOV 2 41982 MEMORANDUM FOR:

Office Directors & Regional Administrators T.

'FROM:

William J. Dircks

(-

Executive Director for Operations

SUBJECT:

NRC ALLEGATION TRACKING SYSTEN The NRC Allegation Tracking System will go into effect on December 6,1982, for all allegations received on or after that date. We solicit participation by Comission Offices via this memo.

The enclosed procedure and forin have been modified as a result'of your written connents and the November 15th meeting which your representatives attended.

I believe this System meets our short term requirements for management oversight.

The need for and nature of a more comprehensive management infor1 nation system will be assessed separately.

Each office should develop internal procedures as appropriate to fully implement the 1

system by December 6,1982, using the enclosed guidelines and any unique office considerations. A supply of reporting forms will be distributed in advance

(

of that date.

1 The first 90 to 120 days after implemention will be used to test and evaluate the reporting procedures and infor1 nation to determine if the system needs modification.

Following this, we will formalize the procedures in an NRC Manual Chapter.

Your connents and suggestions during the trial period should be forwarded to Dick DeYoung.

William J. Dircks Executive Director for Operations

Enclosures:

As Stated Above cc:

Chairman Palladino Comissioner Gilinsky Comissioner Ahearne Comissioner Roberts Comissioner Asselstine OPE SECY OGC 01 CPA OCA OIA Distribution:

R. C. DeYoung, IE J. H. Sniezek, IE J. A. Axelrad, IE L. I. Cobb, IE B. K. Grimes, IE 8506180238 850419 an, P

A TO 84 601 PDR J. L. Blah (, IE E. F. Fox, I L i

A. J. Burda, IE E. W. Brach, IE C. Kime, IE J. W. Roe, DEDO V. Stello, DED/ROGR W. J. Dircks, EDO SEE PREVIOUS CONCURRENCE T. Rehm, ED0 EDO Reading File M

hib2 NS5 NdN!$a hk$hezek kdboung No$

bircks 5520 11/ /82 p l/lT82 11/ /82 11/ /82 11/ /G2 11/ /82

NRC ALLEGATION TRACKING SYSTEli 4

PURPOSE 1

To track the receipt, disposition, and status of allegations involving NRC licensees or NRC licensed activities and to provide periedic status reports on allegations to NRC management.

OBJECTIVES 1.

To provide a record which demonstrates that allegations are reviewed, acted upon as appropriate, and receive proper NRC management attention.

2.

To provide periodic reports to management on the status of aIlegatio6s and to alert management of allegations that may have an effect on pending major actions such as licensing decisions or escalated enforcement.

DEFINITIONS l.

Action Office.

The NRC office which is responsible for reviewing and taking action, as appropriate, on. allegations involving matters under the purview cf that office.

2.

Action Office Contact.

The staff member in the Action Office who is assigneo the responsibility for the action to be taken on an allegation.

3.

Allegation.

For purposes of the tracking system, an allegation is considered to be any assertion of wrong-doing, lack of compliance, or hazard to public health and safety or national security involving an NRC regulated activity.

This does not include the finding (s) of internal NRC activities such as inspection or licensing review.

D 4

Office Coordinator.

A designated staff member in each ~ office who serves as the principal point of contact for that office regarding the dispositier of allegations.

I 5.

Receiving Office.

The office which initially receives an allegation.

In

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some cases, the Action Office and Receiving Office will be the same if 5

the allegation falls within the functional responsibility of the Receividg Office.

____.9

RESPONSIBILITIE$.-

1.

Each Office Director / Regional Administrator.

The basic requirements of this procedure for implementation and maintenance of the NRC Allegation Tracking System shall be followed by each office.

Each Office Director shall:

{

a.

Develop internal procedures to implement the tracking system.

b.

Designate a staff member to serve as Office Coordinator and point of contact for matters involving the tracking system.

Ensure infomation provided as input and/or updates to the tracking c.

system is accurate and timely.

d.

Provide notification upon request to other program offices of the c

status of significant allegations, Prior to major action such as licersing decisions or escalated e.

enforcement, check on the status of allegaticns reported.in the tracking system.

2.

Office Coordinator.

Is responsible to:

Serve as office point of contact for matters involving the NRC a.

Allegation Track ~ng System.

l i

b.

Ensure completion of the appropriate parts of the Allegation t

Data Fom for all allegations, received within his or her respective office.

l c.

Detemine the appropriate Action Office and coordinate with the Action Office Coordinator on each allegation received by

).

his or her office.

d.

Ccmplete the appropriate parts of the Allegation Data Fom 'or p

all allegations for which his or her office is the Action Office.

e.

Fomard the Allegation Data Fom to the Action Office Coordinatcr ii when his or her office is not the Action Office.

1:

f.

Fomard the completed Allegation Data Fem to IE within 10 working j;

days of receipt of an allegation when his or her office is the l;

Action Office.

l g.

Acquire input and updates on allegations from the staff within his or her office and provide this information to IE on a monthly I

basis.

3.

Office of Inspection and Enforcement (IE).

IE is responsible for managing the tracking system and provicing monthly status reports to each office.

l

SASICREQUIREM5NTS General 1.

For pur~ poses of the Allegation Tracking System the definition provided for an allegation is very general and broad.

The significance or non-significance of an allegation will be judged during the Action Office review and followup of the allegation.

There is to be no screening of allegations prior to entering them into the system (except of course for duplication of entries).

The tracking system should provide a vehicle for collecting all allegations.

The Action Office determines the necessary action to be taken based upon the specifics of the case.

Some allegations may be received and closed out the same day.

2.

The tracking system provides basic descriptive and status information and serves as a referral system.

It identifies the office and staff to contact for more specifics on an allegation.

3.

When an allegation is received, it is not necessary to identify by separate entry into the tracking system every component or subset of the,

allegation.

For example, if an allegation is received that makes 15

~

separate assertions of wrong-doing, the allegation may be entered as one allegatfor. with a brief general description of the types of assertions.

In some cases there may be a distinct grouping of assertions, for example, in two areas such as training and. quality assurance.. In such a case it may be appropriate to enter two allegations.

A main objective is to ensure that the receipt of an allegation is entered and tracked in the system.

An allegation is not completed and closed until an Action Office supervisor determines that appropr.iate action has been taken.

4 Sensitive information such as the names of persons making allegations or about whom allegations are made shall not be entered in the system.

All information entered on the form-shall be unclassified and shall not i

contain any safeguards information or any proprietary or ccmercial (2.790) information.

I l

i 5.

Some allegations may require action by two or more offices.

For purposes of entering the allegation into the tracking system, either separate entries should be made for each Action Office for their assigned action or one entry may be made with the involved Acticn Office Coordinators agreeing on the lead Action Office for followup of the allegation.

If another office is involved in responding to an allegation, it should be so indicated in the " remarks" section.

E 1.

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L Receiving Office" Upon receipt of an allegation involving an fiRC regulated activity, the Receiving Office should:

1.

Complete the appropriate parts of the Allegation Data Form.

Exhibit 1 contains the Allegation Data Form.

Specific instructions for completion of the fem are contained on the reverse side'of the fom.

2.

Determine the appropriate Action Office, coordinate with the Action Office, arJ receive concurrence from the Action Office before transfer of responsibility.

3.

Forward the Allegation Data Form to the Action Office if different from Receiving Office.

The Office Coordinator is responsible for ensuring that these actions are completed.

Action Office 1.

Completes the Allegation Data Form and forwards a copy of the form to IE within 10 working days of the date of receipt of the allegation.

2.

Provides updates to IE on a monthl.y basis by indicating updates on the previous month's status report.

Updates are due to IE by the 25th of each month.

All input to IE for the tracking system should be sent in

" addressee only" envelopes to, " Allegation Tracking System, Program Support Branch (E/W-W 359).

Completion cf. the followup action fcr an allegation will be recorded by updating the monthly status report.

The Office Coordinator is responsible for ensuring that these actions are completed.

.L.

1.

Upon receipt of an Allegation Data Form and updates, IE will input :he information into the tracking system.

2.

IE will issue monthly status reports on or about the first day of each month.

The monthly report will incluoe all new allegations and all updates received by IE as of the 25th of the previous month.

The tcrmat for the status report is provided in Exhibit 2.

I s

s-specific Instritettens For Completion of the Allegation Data Fom The following instructions will also be printed on the reverse side of the Allegation Data Form.

See Exhibit 1.

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The Allegation Data Forin consists basically of two parts; one part that is completed by the Receiving Office (data entries 1-7), a second part that is completed by the Action Office shortly after receipt of the allegation (data entries 8-13).

The following are specific instructions for completion of each of the data entries on the Allegation Data Form:

1.

Facility (ies) Involved:

Identify the facility (fes) or company (ies) involved and docket number, if appropriate.

If more than three facilities are involved or if the allegation is generic, state " generic."

Note, if there is any sensitivity to the identification of the facility or company, then only input the word " sensitive."

L..

2.

Functional Areas Check the appropriate box (es).

Involved in Allegation:

3.

Description of Provide a' brief 1-2 sentence description of Allegation:

allegation.

As appropriate, identify the number of separate allegations included in the description of the al, legation.

Note, if there is any sensitivity to the description of the allegation, then only input the word " sensitive."

4 Source of Allegation:

Describe the person providing the allegation by checking the appropriate block.

Do not identify the name of the individual providing the allegation.

5.

Date Allegation Identify the date the allegation was received.

Received:

month-day-year.

ti.

Name of Person Identify the name of NRC staf' member initially Receiving Allegation:

receivir.g the allegation.

Include first and middle initial and last name of staff member.

7.

Office:

Use the first four letters or less of the j

acronym for the Receiving Office.

1 3

8.

Action Office

Contact:

Ioentify the rame, first and middle initial and last name of the person who is responsible for i'

taking action on the ' allegation.

e

i.

6-FTS Teleph'nr Number:

Identify the seven dig 3t, FTS phone number 9.

o for the Action Office contact for the allegation.

Check the appropriate box.

10.

Status:,

11.

Date Closed:

Identify the date, month-day-year, the followup 4

i action for the allegation was completed ano closed.

12.

Remarks:

Include any additional information deemed pertinent to the allegation, fer example, relation to other allegations or other NRC offices involved in followup of this allegation.

13.

Allegation Number:

A coded number which identifies (1) the Action Office, (2) the year the allegation was received, (3) the item as an allegation, and (4) the sequential number assigned to the allegation by the Action Office.

For example, the twenty-first allegation received in 1982 for which IE has the, Action would be IE-82-A-0021.

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ALLEGATION DATA FQRM gxn g t.

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2. Functional Area (s) Involv.ad:

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Description:==

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Source of Allega 10 i

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NRC employee

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' organization

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wu oo vy E.

Date Allegation 'lectived:

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"ame of Individual Receiving Allegation: <* === -em = = w i 7

Office:

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3.

Action Office

Contact:

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3.

FTS Telephone Numoer:

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10. Status:

Open, if followup actions are pending or in progress l Closed, if followup actions are completed c== eaei VM 30 YY Data Closed:

'2.

Remarks:

N Yer Nurager

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l NRC ALLEGAll0N TRACKING SYSTEN SIA1U5 RLPORI FOR PENDING AND ACIIVE ALLEGATIONS 0AIE FUNCTIONAL ACTION ALLEGATION DESCRIPIl0N OF ALLEGATION AREAS ACIl0N OFFICE KILIIY INVOLVED NUMBER ALLEGAll0N RECEIVE 0 INVOLVED OFFICE CONIACT REMARKS E rted by dock:t & alle-gati:n #

genwric & alle-gatirsi #

name & allega-tion #, if no dock:-t #

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2. Functional Areef si Involved:

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Description:

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4. Source of Allegation:

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5. Date Allegation Received:

6. Name of Individual 176,e: es,. inee a..ne i t n.

Receiving Alle,getion

7. Office:

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8. Action Office Contact smcot sw. enen se one i : nom.i S. PTS Telephone Number:

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10. Status:

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N8JCLEAR REGULATORY COMMISS'AN

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E WASHINGTON, D. C. 20555

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~

HE!10RANDUM FOR:

Office Directors & Regional Administrators FROM:

William J. Dircks Executive Director for Operationsj

SUBJECT:

tiRC ALLEGATION TRACKING SYSTEM The NRC Allegation Tracking System will go into effect on December 6,1982, for all allegations received on or after that date.

We solicit participation by Comission Offices via this memo.

The enclosed procedure and form have been modified as a result of your written coments and the November 15th meeting which your representatives attended.

I believe this System meets our short term requirements for management oversight.

The need for and nature of a more comprehensive management information system will be assessed separately.

Each office should develop internal procedures as appropriate to fully implement the system by December 6,1982, using the enclosed guidelines and any unique office considerations.

A supply of reporting forms will be distributed in advance of that date.

The first 90 to 120 days after implemention will be used to test and evaluate the reporting procedures and information to determine if the system needs modification.

Following this, we will formalize the procedures in an NRC Manual Chapter.

Your coments and suggestions during the trial period should be forwarded to Dick DeYoung.

Espe @ E!iam1. Dircks William J. Dircks Executive Director for Operations

Enclosures:

As Stated Above cc:

Chairman Palladino Commissioner Gilinsky Comissicner Ahearne Comissioner Roberts Comissioner Asselstine OPE SEC b OGC OI OPA OCA OIA

- e 3.;

t

\\

NRC ALLEGATION TRACKING SYSTEM PURPOSE To track the receipt, disposition, and status of allegqtions involving NRC licensees or NRC licensed activities and to provide per.jodic status reports on allegations to NRC management.

OBJECTIVES 1.

To provide a record which demonstrates that allegations are reviewed, acted upon as appropriate, and receive proper NRC management attention.

2.

To provide periodic reports to ranagement on the status of allegations and to alert management of allegations that may have an effect on pending major actions such as licensing decisions or escalated enforcement.

DEFINITIONS 1.

Action Office.

The NRC office which is responsible for reviewing and taking action, as appropriate, on. allegations involving matters under the purview cf that office.

2.

Action Office Contact.

The staff member in the Action Office who is assigneo tne responsibility for the action to be taken on an allegation.

3.

Allegation.

For purposes of the tracking system, an allegation is considered to be any assertion of wrong-doing, lack of compliance, or hazard to public health and safety or national security involving an NRC regulated activity.

This does not include the finding (s) of internal NRC activities such as inspection or licensing review.

4.

Office Coordinator.

A designated staff. member in each office who serves as the principal point of contact for that office regarding the disposition of allegations.

~

5.

Receivino Office.

The office which initially receives an allegation.

In some cases, the Action Office and Receiving Office will be the same if the allegation falls within the functional responsibility of the Receiving Office.

O I

s n

.y a.s., m:..

RESPONSIBILITIES 1.

Each Office Director /Recional Administrator.

The basic requirements of this procedure for implementation and maintenance of the NRC Allegation Tracking System shall be followed by each office.

Each Office Director shall:

a.

Develop internal procedures to implement the tracking system.

b.

Designate a staff member to serve as Oft a.e Coordinator and point of contact for matters involving the tra ting system, c.

Ensure information provided as input and/or ' updates to the tracking system is accurate and timely.

d.

Provide notification upon request to other program of'fices of_ the_

status of significant allegations.

e.

Prior to major action such as licensing decisions or escalated enforcement, check on the status of allegations reported in the tracking system.

2.

Office Coordinator.

Is responsible to:

a.

Serve as office point of contact for matters involving the NRC Allegation Tracking System.

b.

Ensure completion of the appropriate parts of the Allegation Data Form for all allegations. received within his or her respective office.

c.

Determine the appropriate Action Office and coordinate with the Action Office Coordinator on each allegation received by his or her office.

d.

Complete the appropriate parts of the Allegation Data Form for all allegations for which his or her office is the Action Office.

e.

Forward the Allegation Data Fonn to the Action,0ffice Coordinator when his or her office is not the Action Office.

f.

Forward the completed Allegation Data Form to IE within 10 working days of receipt of an allegation whe'n his or her office is the

-Action Office.

g.

Acouire input and updates on allegations from the staff within his or her office and provide this information to IE on a monthly basis.

3.

Office of Inspection and Enforcement (IE).

IE is responsible for managing the tracking system and providing monthly status reports to each office.

t l

.y

- EkSICREOUIREMENTS Genera.1

~

1.

For purposes of the Allegation Tracking System the definition provided for an allegation is very. general and broad.

The significance or non-significan.ce'of an allegation will be judged during the Action Office review and followup of the allegation.

There is to be no screening of allegations prior to entering them into the system (except of course for duplication of entries).

The tracking system should provide a vehicle for collecting all allegations.

The Action Office determines the necessary action to be taken based upon the specifics of the, case.

Some allegations may be received and closed out the same day.

i..

2.

The tracking system provides basic descriptive and status information and serves as a referral system.

It identifies the office and staff to contact for more specifics on an allegation.

3.

When an allegation is received, it is not necessary to identify by separate entry into the tracking system every component or subset of the allegation.

For example, if an allegation is received that makes 15 separate assertions of wrong-doing, the allegation may be entered as one allegation with a brief general description of the types of assertions.

In some cases there may be a distinct grouping of assertions, for example, in two areas such as training and quality assurance.

In such a case it may be appropriate to enter two allegations.

A main objective is to ensure that the receipt of an allegation is entered and tracked in the system.

An allegation is not completed and closed until an Action Office supervisor determines that appropr.iate action has been taken.

4.

Sensitive information such as the names of persons making allegations or about whom allegations are made shall not be entered in the system.

All information entered on the form shall be unclassified and shall not contain any safeguards information or any proprietary or commercial (2.790) information.

5.

Some allegations may require action by two or more offices.

For purposes of ente. ring the allegation into the tracking system, either separate entries should be made for each Action Office for their assigned action or one entry may be made with the involved Action Office Coordinators agreeing on the lead Action Office for followup 'of the allecation.

If another

~

office is involved in responding to an allegation, it should be so indicated in the " remarks" section.

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Receivino Office Upon receipt of an allegation involving an NRC regulated activity, the Receiving Office should:

1.*

Complete the appropriate parts of the Allegation Data Fom.

Exhibit 1 contailis.the Allegation Data Form.

Specific instructions for completion of the fom are contained on the reverse side of the fom.

2.

Determine the appropriate Action Office, coordinate with the Action Office, and receive concurrence from the Action Office before transfer of responsibility.

5 3.

Fonvard the Allegation Data Form to the Acth'on Office if different from Receiving Office.

The Office Coordinator is responsible for ensuring that these actions are completed.

Action Office 1.

Completes the Allegation Data Fom and forwards a copy of the form to IE within 10 working days of the date of receipt of the allegation.

2.

Provides updates to IE on a monthly basis by indicating updates on the g

D_

each month.

All input to IE for the tracking system should be sent in previous month's status report.

Updates are due to IE by the 25th of l

" addressee only" envelopes to, " Allegation Tracking System, Program Support Branch (E/W-W 359).

Completion of. the followup action for an allegation will be recorded by updating the monthly status report.

The Office Coordinator is responsible for ensuring that these actions are completed.

IE

~

I 1.

Upon receipt of an Allegation Data Form and updates, IE will input the

{

information into the tracking system.

2.

.IE will issue monthly status reports on or about the first day of each month.

The monthly report will include all new allegations and all updates received by IE as of the 25th of the previous month.

The format for the status report is provided in Exhibit 2.

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Specific Instructions For Completion of the Allegation Data Forfn The following instructions will also be printed on the reverse side of the Allegation Data Form.

See Exhibit 1.

The Allegation Dita Form consists basically of two parts; one part that is completed by the Receiving Office (data entries 1-7), a second part that is completed by)the Action Office shortly after receipt of the allegation (data entries 8-13.

The following are specific instructions for completionof each of the data entries on the Allegation Data Form:

1.

Facility (ies) Involved:

Identify the. facility (fes) or company (ies)

[

involved and docket number, if appropriate.

If _

more than three facilities are involved or if the allegation is generic, state " generic."

Note, if there is any sensitivity to the identification of the facility or company, then only input the word " sensitive."

2.

Functional Areas Check the appropriate box (es).

l Involved in Allegation:

"3.

Description of Provide a brief 1-2 sentence description of Allegation:

allegation.

f appropriate, identify the number of separate allegations included in the description of the al, legation.

Note, if there is any sensitivity to the description of the allegation, then only input the word " sensitive."

4.

Source of Allegation:

Describe the person providing the allegation by checking the appropriate block.

Do not identify the name of the individual providing the a.llegation.

5.

Date Allegation Identify the date the allegation was received, Received:

month-day-year.

6.

Name of Person Identify the came of NRC staff member initially Receiving Allegation:

receiving the allegation.

Include first and middle initial and last name of staff member.

7.

Office:

Use the first four letters or less of the acronym for the Receiving Office.

. 8..

. Action.0ffice

Contact:

Identify the name, first and middle initial and last name of the person who is responsible for taking action on the allegation.

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9.

FTS Telephone Number:

Identify the seven digit, FTS phone number for the Action Office contact for the allegation.

10.

Status:

Check the appropriate box.

Identify the date, month-day-year, the followup 11.

Date Closed _:,

action for the allegation was completed and closed.

12.

Remarks:

Include any additional information deemed pertinent to the allegatjon, fcr example, relation to other allega't. ions or other NRC offices involved in followup of this allegation.

13. Allegation Number:

A coded number which identifies (1) the Action Office, (2) the year the allegation was received,.

(3) the item as an allegation, and (4) the sequential number assigned to the allegation by the Action Office.

For example, the twenty-first allegation received in 1982 for which IE has the Action would be IE-82-A-0021.

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OnttructIMs e n rewne t'd*

oockit number, if [ppiscabW II I

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l 1.-Facility (i.es) Involved:

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lif more than 3 l*

or if penerse, l

l wnte GENERIC) l il1 i

Functional Area (.s) Involved:

.! operations I onsite health and safety

' " ' * * * " " " " ' ' " ' _ '! construction i of e health and safety isafeguards'

_rgency preparednes's

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! other (bewi [

3.

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Description:==

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4. Source of Allega io con actor employee security guard (Check appropri '.

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j 1censee employee news media

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NRC employee private citizen organization !*:i'v1 other 'h*'

MM DD YY

i. Date Allegation Received:

6.

Name of Individual Receiving Allegation: (First two initials and fast name)

7. Office:

l 1

8.

Action Office

Contact:

(First two initials and test name) 9.

FTS Telephone Number:

1 g

10. Status:

Open, if followup actions are pending or in progress tcheck one)

Closed, if followup actions are completed 21 MM DD YY O!

11. Date Closed:

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12. Remarks:

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Office Year Nurnber l

13. Allegation Number:

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I; NRC ALLEGATION TRhCKING SYSTEM STATUS REPORT FOR PENDING AND ACTIVE ALLEGATIONS i

DATE FUNCTIONAL ACTION All EGATION DESCRIPTION OF ALLEGATION AREAS ACTION OFFICE FACILITY INVOLVED,

NUtiBER ALLEGATION RECEIVED INVOLVED OFFICE CONTACT REMARKS

--sorted by 1.

docket & alle-gation #

2.

generic & alle-gation #

3.

name & allega-tien #, if no d:cket #

e e

e

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C ~, .

e

c. l w i I

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83

RIRC Fosm 307 -

ALLE2ATIEN G!ATA FORM U.S. NUCLEAR REGULATOT.Y COMMISSION (1153 Instructions on reverse side RECEIVING OFFICE Docket Number (if applicable)

1. Facility (les! Involved:

(Nemel (if more than 3. or if genenc, wnte GENERIC)

2. Functional Area (s) Involved:

tcheck appropriate bontes) 1 operations onsite health and safety construction offsite health and safety safeguards emergency preparedness i

other (specifyl 3.

Description:

l l l l l l l l l l l l l l l l l l l l l l l l l l (Lmt to 100 characters) l l l l l l l l l l l l l l l l l l l l l l l l 1II IIIIIIIIIIII IIIIII IIIIl l l l l l l l l l l l l l l l l l l l l l

4. Source of Allegation:

(Check appropriate box) contractor employee security guard licensee employee news media NRC employee private citizen organization ispecifyl other (specify MM DD YY

5. Date Allegation Received:

6. Name of Individual (First two initiais and last namel Receiving Allegation:

7. Office:

ACTION OFFICE

0. Action Office

Contact:

trirst two initials end test nemei

9. FTS Telephone Number:

10. Status:

(Check one)

Open,if followup actions are pending or in progress Closed,if followup actions are completed MM DD YY

11. Date Closed:

l l

12. Remarks:

l l l l l l l l l l l l l l l l l l l l l l l l l l (Limit to 50 characters)

Office Year Number

13. Allegation Number:

O INSTRUCTIONS

'The'follning are specific instructt ns for c:mplating cach of the required items en the Allegation Data Form.

The first part of the form (items 1 - 7) should be completed by the Office receiving the allegation. The remainder of the form (items 8 - 13) should be completed by the Office responsible for reviewing and taking action on the allegation.

1.

Facility (ies) Involved: Give the name of the facility (ies) or company (ies) about whom the allegation is made. Write the docket number, if appropriate, in the boxes to the right.

If the allegation is made about a sDeCific individual or if the information in this item is otherwise sensitive, write SENSITIVE.

If more than three facilities or companies are involved F

write GENERIC.

2.

Functional Area (s)

Check all applicable boxes.

Involved:

3.

==

Description:==

Briefly describe the allegation (1 or 2 sentences). Be concise. If an allegation includes several instances of wrong doing list the assertions separately or group them by type.

NOTE: if the description of the allegation is sensitive, write only SENSITIVE.

4.

Source of Allegation:

Check the box that most clearly describes the affiliation or occupation of the person making the allegation. DO NOT include the name of the individual making the allegation.

5.

Date Allegation Show the month, day, and year on which the allegation was Received:

reported to NRC.

6.

Name of Individual Give the NRC staff member's first and middle initials and Receiving Allegation:

last name.

7.

Office:

Use official NRC abbreviations to indicate the NRC Office receiving the allegation.

8.

Action Office

Contact:

Write the first and middle initials and last name of the NRC staff member responsible for follow-up action on the allega tion.

9.

FTS Telephone Number:

Write the seven-digit FTS telephone number at which the Action Office Contact (see item 8) can be reached.

10. Status:

Check the appropriate box.

11. Date Closed:

Show the month, day, and year on which the follow-up action was completed.

12. Remarks:

Include additional information as appropriate.

EXAMPLES: list other allegations related to this allegation; list other NRC offices responsible for follow-up activities on this allegation.

1 1

13. Allegation Number:

Fill in the boxes to uniquely identify this allegation:

0FFICE -- official NRC office abbreviation for the Office responsible for follow-up activities.

YEAR

-- last two digits of the calendar year in which the allegation wat, reported to NRC.

I A

-- identifies this number as an allegation number, j

i NUMBER -- sequential number assigned by the Office responsible for the follow-up activities.

I EXAMPLE: The 24th allegation received by IE in 1982 would be shown as IE-82-A-0024 1

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@@ Line 18: / Line 18: @@
 =Text=
-{{#Wiki_filter:''                                            NOV 2 41982 MEMORANDUM FOR:        Office Directors & Regional Administrators T.
+{{#Wiki_filter:NOV 2 41982 MEMORANDUM FOR:
+Office Directors & Regional Administrators T.
+'FROM:
 William J. Dircks
-               'FROM:
+(-
-Executive Director for Operations                                         (-
+Executive Director for Operations
 ==SUBJECT:==
-NRC ALLEGATION TRACKING SYSTEN The NRC Allegation Tracking System will go into effect on December 6,1982, for                         I all allegations received on or after that date. We solicit participation by Comission Offices via this memo. The enclosed procedure and forin have been modified as a result'of your written connents and the November 15th meeting which your representatives attended. I believe this System meets our short term requirements for management oversight. The need for and nature of a more                          '
+NRC ALLEGATION TRACKING SYSTEN The NRC Allegation Tracking System will go into effect on December 6,1982, for all allegations received on or after that date. We solicit participation by Comission Offices via this memo.
-comprehensive management infor1 nation system will be assessed separately.              Each            :
+The enclosed procedure and forin have been modified as a result'of your written connents and the November 15th meeting which your representatives attended.
-office should develop internal procedures as appropriate to fully implement the system by December 6,1982, using the enclosed guidelines and any unique office considerations. A supply of reporting forms will be distributed in advance                            (
+I believe this System meets our short term requirements for management oversight.
+The need for and nature of a more comprehensive management infor1 nation system will be assessed separately.
+Each office should develop internal procedures as appropriate to fully implement the 1
+system by December 6,1982, using the enclosed guidelines and any unique office considerations. A supply of reporting forms will be distributed in advance
+(
 of that date.
-              The first 90 to 120 days after implemention will be used to test and evaluate the reporting procedures and infor1 nation to determine if the system needs modification. Following this, we will formalize the procedures in an NRC Manual Chapter. Your connents and suggestions during the trial period should be forwarded to Dick DeYoung.
+The first 90 to 120 days after implemention will be used to test and evaluate the reporting procedures and infor1 nation to determine if the system needs modification.
-William J. Dircks                        .
+Following this, we will formalize the procedures in an NRC Manual Chapter.
-Executive Director for Operations              '     -
+Your connents and suggestions during the trial period should be forwarded to Dick DeYoung.
+William J. Dircks Executive Director for Operations
 ==Enclosures:==
+As Stated Above cc:
+Chairman Palladino Comissioner Gilinsky Comissioner Ahearne Comissioner Roberts Comissioner Asselstine OPE SECY OGC 01 CPA OCA OIA Distribution:
+R. C. DeYoung, IE J. H. Sniezek, IE J. A. Axelrad, IE L. I. Cobb, IE B. K. Grimes, IE 8506180238 850419 an, P
+A TO 84 601 PDR J. L. Blah (, IE E. F. Fox, I L i
+A. J. Burda, IE E. W. Brach, IE C. Kime, IE J. W. Roe, DEDO V. Stello, DED/ROGR W. J. Dircks, EDO SEE PREVIOUS CONCURRENCE T. Rehm, ED0 EDO Reading File M
+hib2 NS5 NdN!$a hk$hezek kdboung No$
+bircks 5520 11/ /82 p l/lT82 11/ /82 11/ /82 11/ /G2 11/ /82
-As Stated Above                               -
+NRC ALLEGATION TRACKING SYSTEli 4
-cc:    Chairman Palladino Comissioner Gilinsky Comissioner Ahearne                      ,
+PURPOSE 1
-Comissioner Roberts Comissioner Asselstine OPE SECY OGC 01 CPA OCA OIA Distribution:
+To track the receipt, disposition, and status of allegations involving NRC licensees or NRC licensed activities and to provide periedic status reports on allegations to NRC management.
-R. C. DeYoung, IE J. H. Sniezek, IE J. A. Axelrad, IE L. I. Cobb, IE B. K. Grimes, IE                 8506180238 850419 an,        .         P A     TO 84 601          PDR J. L. Blah (, IE                                                                               '
+OBJECTIVES 1.
-E. F. Fox, I L i
+To provide a record which demonstrates that allegations are reviewed, acted upon as appropriate, and receive proper NRC management attention.
-A. J. Burda, IE                     E. W. Brach, IE C. Kime, IE                        J. W. Roe, DEDO V. Stello, DED/ROGR                W. J. Dircks, EDO T. Rehm, ED0                                                       SEE PREVIOUS CONCURRENCE EDO Reading File hib2 NS5             NdN!$a            hk$hezek            kdboung M
+.
-         11/ /82 p l/lT82          11/ /82             11/ /82 No$        bircks 11/ /G2   11/ /82
+To provide periodic reports to management on the status of aIlegatio6s and to alert management of allegations that may have an effect on pending major actions such as licensing decisions or escalated enforcement.
+DEFINITIONS l.
-Enclosure 1 NRC ALLEGATION TRACKING SYSTEli 4
+Action Office.
-!                   PURPOSE 1
+The NRC office which is responsible for reviewing and taking action, as appropriate, on. allegations involving matters under the purview cf that office.
-;                   To track the receipt, disposition, and status of allegations involving NRC licensees or NRC licensed activities and to provide periedic status reports on allegations to NRC management.
+.
-OBJECTIVES
+Action Office Contact.
-: 1. To provide a record which demonstrates that allegations are reviewed, acted upon as appropriate, and receive proper NRC management attention.                   ,
+The staff member in the Action Office who is assigneo the responsibility for the action to be taken on an allegation.
-: 2. To provide periodic reports to management on the status of aIlegatio6s              -
+.
-and to alert management of allegations that may have an effect on pending major actions such as licensing decisions or escalated enforcement.
+Allegation.
-DEFINITIONS
+For purposes of the tracking system, an allegation is considered to be any assertion of wrong-doing, lack of compliance, or hazard to public health and safety or national security involving an NRC regulated activity.
-: l. Action Office. The NRC office which is responsible for reviewing and taking action, as appropriate, on . allegations involving matters under the purview cf that office.
+This does not include the finding (s) of internal NRC activities such as inspection or licensing review.
-: 2. Action Office Contact. The staff member in the Action Office who is assigneo the responsibility for the action to be taken on an allegation.
+D 4
-: 3. Allegation. For purposes of the tracking system, an allegation is considered to be any assertion of wrong-doing, lack of compliance, or hazard to public health and safety or national security involving an NRC regulated activity. This does not include the finding (s) of internal NRC activities such as inspection or licensing review.
+Office Coordinator.
-D 4     Office Coordinator. A designated staff member in each ~ office who serves as the principal point of contact for that office regarding the dispositier
+A designated staff member in each ~ office who serves as the principal point of contact for that office regarding the dispositier of allegations.
-  ;                      of allegations.
+I 5.
-I                5. Receiving Office. The office which initially receives an allegation.      In
+Receiving Office.
-{                      some cases, the Action Office and Receiving Office will be the same if 5
+The office which initially receives an allegation.
+In
+{
+some cases, the Action Office and Receiving Office will be the same if 5
 the allegation falls within the functional responsibility of the Receividg Office.
 ____.9
-RESPONSIBILITIE$.-                                            .
+RESPONSIBILITIE$.-
-: 1. Each Office Director / Regional Administrator. The basic requirements of this procedure for implementation and maintenance of the NRC Allegation Tracking System shall be followed by each office. Each Office Director shall:
+.
-{                     a.             Develop internal procedures to implement the tracking system.
+Each Office Director / Regional Administrator.
-: b.             Designate a staff member to serve as Office Coordinator and point of contact for matters involving the tracking system.
+The basic requirements of this procedure for implementation and maintenance of the NRC Allegation Tracking System shall be followed by each office.
-: c.             Ensure infomation provided as input and/or updates to the tracking system is accurate and timely.
+Each Office Director shall:
-: d.            Provide notification upon request to other program offices of the                     c status of significant allegations,
+{
-: e.            Prior to major action such as licersing decisions or escalated enforcement, check on the status of allegaticns reported .in the          -
+a.
-tracking system.                                                  ,
+Develop internal procedures to implement the tracking system.
-: 2. Office Coordinator.              Is responsible to:                      .
+b.
-: a.             Serve as office point of contact for matters involving the NRC i System.
+Designate a staff member to serve as Office Coordinator and point of contact for matters involving the tracking system.
-Allegation Track ~ng l
+Ensure infomation provided as input and/or updates to the tracking c.
-: b.             Ensure completion of the appropriate parts of the Allegation                            t Data Fom for all allegations, received within his or her respective office.
+system is accurate and timely.
-l                    c.            Detemine the appropriate Action Office and coordinate with the Action Office Coordinator on each allegation received by
+d.
-).                                 his or her office.
+Provide notification upon request to other program offices of the c
-: d.            Ccmplete the appropriate parts of the Allegation Data Fom 'or p                               all allegations for which his or her office is the Action Office.
+status of significant allegations, Prior to major action such as licersing decisions or escalated e.
- !                   e.            Fomard the Allegation Data Fom to the Action Office Coordinatcr ii                               when his or her office is not the Action Office.
+enforcement, check on the status of allegaticns reported.in the tracking system.
-:                   f.            Fomard the completed Allegation Data Fem to IE within 10 working j;                                days of receipt of an allegation when his or her office is the l;
+.
+Office Coordinator.
+Is responsible to:
+Serve as office point of contact for matters involving the NRC a.
+Allegation Track ~ng System.
+l i
+b.
+Ensure completion of the appropriate parts of the Allegation t
+Data Fom for all allegations, received within his or her respective office.
+l c.
+Detemine the appropriate Action Office and coordinate with the Action Office Coordinator on each allegation received by
+).
+his or her office.
+d.
+Ccmplete the appropriate parts of the Allegation Data Fom 'or p
+all allegations for which his or her office is the Action Office.
+e.
+Fomard the Allegation Data Fom to the Action Office Coordinatcr ii when his or her office is not the Action Office.
+:
+f.
+Fomard the completed Allegation Data Fem to IE within 10 working j;
+days of receipt of an allegation when his or her office is the l;
 Action Office.
-l                   g.           Acquire input and updates on allegations from the staff within
+l g.
-!'                                his or her office and provide this information to IE on a monthly I                                 basis.
+Acquire input and updates on allegations from the staff within his or her office and provide this information to IE on a monthly I
-: 3. Office of Inspection and Enforcement (IE). IE is responsible for managing the tracking system and provicing monthly status reports to each office.
+basis.
+.
+Office of Inspection and Enforcement (IE).
+IE is responsible for managing the tracking system and provicing monthly status reports to each office.
 l
+* SASICREQUIREM5NTS General 1.
-SASICREQUIREM5NTS                                                       .
+For pur~ poses of the Allegation Tracking System the definition provided for an allegation is very general and broad.
-General
+The significance or non-significance of an allegation will be judged during the Action Office review and followup of the allegation.
-: 1.            For pur~ poses of the Allegation Tracking System the definition provided for an allegation is very general and broad. The significance or non-significance of an allegation will be judged during the Action Office review and followup of the allegation. There is to be no screening of allegations prior to entering them into the system (except of course for duplication of entries). The tracking system should provide a vehicle for collecting all allegations. The Action Office determines the necessary action to be taken based upon the specifics of the case. Some allegations may be received and closed out the same day.
+There is to be no screening of allegations prior to entering them into the system (except of course for duplication of entries).
-: 2.            The tracking system provides basic descriptive and status information and serves as a referral system.
+The tracking system should provide a vehicle for collecting all allegations.
-for more specifics on an allegation. It identifies the office and staff to contact 3.
+The Action Office determines the necessary action to be taken based upon the specifics of the case.
-When an allegation is received, it is not necessary to identify by separate entry into the tracking system every component or subset of the ,
+Some allegations may be received and closed out the same day.
-allegation.                                                                                                            ...
+.
-For example, if an allegation is received that makes 15                                                 ~
+The tracking system provides basic descriptive and status information and serves as a referral system.
+It identifies the office and staff to contact for more specifics on an allegation.
+.
+When an allegation is received, it is not necessary to identify by separate entry into the tracking system every component or subset of the,
+allegation.
+For example, if an allegation is received that makes 15
+~
 separate assertions of wrong-doing, the allegation may be entered as one allegatfor. with a brief general description of the types of assertions.
-In some cases there may be a distinct grouping of assertions, for example, in two areas such as training and. quality assurance. . In such a case it may be appropriate to enter two allegations. A main objective is to
+In some cases there may be a distinct grouping of assertions, for example, in two areas such as training and. quality assurance.. In such a case it may be appropriate to enter two allegations.
-'                           ensure system.
+A main objective is to ensure that the receipt of an allegation is entered and tracked in the system.
-that the receipt of an allegation is entered and tracked in the An allegation is not completed and closed until an Action Office supervisor determines that appropr.iate action has been taken.
+An allegation is not completed and closed until an Action Office supervisor determines that appropr.iate action has been taken.
-;             4 Sensitive information such as the names of persons making allegations or
+Sensitive information such as the names of persons making allegations or about whom allegations are made shall not be entered in the system.
-;                           about whom allegations are made shall not be entered in the system. All i                           information entered on the form- shall be unclassified and shall not contain    any safeguards information or any proprietary or ccmercial (2.790) information.
+All information entered on the form-shall be unclassified and shall not i
+contain any safeguards information or any proprietary or ccmercial (2.790) information.
 I l
-i             5.           Some allegations may require action by two or more offices.
+i 5.
-For purposes of entering the allegation into the tracking system, either separate entries should be made for each Action Office for their assigned action or one entry may be made with the involved Acticn Office Coordinators agreeing
+Some allegations may require action by two or more offices.
-'                          on the lead Action Office for followup of the allegation. If another office is involved in responding to an allegation, it should be so indicated in the " remarks" section.
+For purposes of entering the allegation into the tracking system, either separate entries should be made for each Action Office for their assigned action or one entry may be made with the involved Acticn Office Coordinators agreeing on the lead Action Office for followup of the allegation.
-E           _      . _ . _         .. _      ___   _ _ _ . _ _ _ .       __ _          . . - _ _ - . _ - . _ _ _ _ . . . _ _.._               1.
+If another office is involved in responding to an allegation, it should be so indicated in the " remarks" section.
+E 1.
-.                                                  .        .         v,
+v,
-                                                     . em           w
+. em w
-                                                                                         ~
+~
-L        ,.  .
+L Receiving Office" Upon receipt of an allegation involving an fiRC regulated activity, the Receiving Office should:
-Receiving Office"         .
+.
-Upon receipt of an allegation involving an fiRC regulated activity, the Receiving Office should:
+Complete the appropriate parts of the Allegation Data Form.
-: 1. Complete the appropriate parts of the Allegation Data Form. Exhibit 1 contains the Allegation Data Form. Specific instructions for completion of the fem are contained on the reverse side'of the fom.
+Exhibit 1 contains the Allegation Data Form.
-: 2. Determine the appropriate Action Office, coordinate with the Action Office, arJ receive concurrence from the Action Office before transfer of responsibility.
+Specific instructions for completion of the fem are contained on the reverse side'of the fom.
-: 3. Forward the Allegation Data Form to the Action Office if different from Receiving Office.
+.
+Determine the appropriate Action Office, coordinate with the Action Office, arJ receive concurrence from the Action Office before transfer of responsibility.
+.
+Forward the Allegation Data Form to the Action Office if different from Receiving Office.
 The Office Coordinator is responsible for ensuring that these actions are completed.
-Action Office
+Action Office 1.
-: 1. Completes the Allegation Data Form and forwards a copy of the form to IE within 10 working days of the date of receipt of the allegation.
+Completes the Allegation Data Form and forwards a copy of the form to IE within 10 working days of the date of receipt of the allegation.
-: 2. Provides updates to IE on a monthl.y basis by indicating updates on the previous month's status report. Updates are due to IE by the 25th of each month. All input to IE for the tracking system should be sent in
+.
-              " addressee only" envelopes to, " Allegation Tracking System, Program Support Branch (E/W-W 359). Completion cf. the followup action fcr an allegation will be recorded by updating the monthly status report.
+Provides updates to IE on a monthl.y basis by indicating updates on the previous month's status report.
+Updates are due to IE by the 25th of each month.
+All input to IE for the tracking system should be sent in
+" addressee only" envelopes to, " Allegation Tracking System, Program Support Branch (E/W-W 359).
+Completion cf. the followup action fcr an allegation will be recorded by updating the monthly status report.
 The Office Coordinator is responsible for ensuring that these actions are completed.
-         .L.
+.L.
-: 1. Upon receipt of an Allegation Data Form and updates, IE will input :he information into the tracking system.
+.
-: 2. IE will issue monthly status reports on or about the first day of each month. The monthly report will incluoe all new allegations and all updates received by IE as of the 25th of the previous month. The tcrmat for the status report is provided in Exhibit 2.
+Upon receipt of an Allegation Data Form and updates, IE will input :he information into the tracking system.
+.
+IE will issue monthly status reports on or about the first day of each month.
+The monthly report will incluoe all new allegations and all updates received by IE as of the 25th of the previous month.
+The tcrmat for the status report is provided in Exhibit 2.
 I s
-s-specific Instritettens For Completion                    .
+s-specific Instritettens For Completion of the Allegation Data Fom The following instructions will also be printed on the reverse side of the Allegation Data Form.
-of the Allegation Data Fom The following instructions will also be printed on the reverse side of the                  ,
+See Exhibit 1.
-Allegation Data Form. See Exhibit 1.                                                     {
+{
-The Allegation Data Forin consists basically of two parts; one part that is completed by the Receiving Office (data entries 1-7), a second part that is                  !
+The Allegation Data Forin consists basically of two parts; one part that is completed by the Receiving Office (data entries 1-7), a second part that is completed by the Action Office shortly after receipt of the allegation (data entries 8-13).
-completed by the Action Office shortly after receipt of the allegation (data entries 8-13).
 The following are specific instructions for completion of each of the data entries on the Allegation Data Form:
+.
 Facility (ies) Involved:
-.
+Identify the facility (fes) or company (ies) involved and docket number, if appropriate.
-Identify the facility (fes) or company (ies) involved and docket number, if appropriate. If more than three facilities are involved or if the allegation is generic, state " generic."
+If more than three facilities are involved or if the allegation is generic, state " generic."
-Note, if there is any sensitivity to the identification of the facility or company, then only input the word " sensitive."             *       -
+Note, if there is any sensitivity to the identification of the facility or company, then only input the word " sensitive."
-L. .
+L..
-: 2. Functional Areas           Check the appropriate box (es).
+.
-Involved in Allegation:                                          .
+Functional Areas Check the appropriate box (es).
-: 3. Description of             Provide a' brief 1-2 sentence description of Allegation:                allegation. As appropriate, identify the number of separate allegations included in the description of the al, legation. Note, if there is any sensitivity to the description of the allegation, then only input the word " sensitive."
+Involved in Allegation:
-     Source of Allegation:     Describe the person providing the allegation by checking the appropriate block. Do not identify the name of the individual providing the allegation.
+.
-: 5.      Date Allegation            Identify the date the allegation was received.
+Description of Provide a' brief 1-2 sentence description of Allegation:
-Received:                 month-day-year.
+allegation.
-ti . Name of Person Receiving Allegation:     Identify the name of NRC staf' member initially receivir.g the allegation. Include first and middle initial and last name of staff member.
+As appropriate, identify the number of separate allegations included in the description of the al, legation.
-,                 7. Office:            -
+Note, if there is any sensitivity to the description of the allegation, then only input the word " sensitive."
-Use the first four letters or less of the j                                                   acronym for the Receiving Office.
+Source of Allegation:
-                                                                                                             -
+Describe the person providing the allegation by checking the appropriate block.
-                 8. Action Office
+Do not identify the name of the individual providing the allegation.
+.
+Date Allegation Identify the date the allegation was received.
+Received:
+month-day-year.
+ti.
+Name of Person Identify the name of NRC staf' member initially Receiving Allegation:
+receivir.g the allegation.
+Include first and middle initial and last name of staff member.
+.
+Office:
+Use the first four letters or less of the j
+acronym for the Receiving Office.
+3
+.
+Action Office
 ==Contact:==
-Ioentify the rame, first and middle initial and i
+Ioentify the rame, first and middle initial and last name of the person who is responsible for i'
-last name of the person who is responsible for taking action on the ' allegation.
+taking action on the ' allegation.
 e
 i.
--
+-FTS Teleph'nr Number:
-: 9. FTS Teleph'nr o Number: Identify the seven dig 3t, FTS phone number for the Action Office contact for the allegation.
+Identify the seven dig 3t, FTS phone number 9.
-: 10. Status: ,            Check the appropriate box.
+o for the Action Office contact for the allegation.
+Check the appropriate box.
-: 11. Date Closed:         Identify the date, month-day-year, the followup i
+.
-action for the allegation was completed ano
+Status:,
-  !                                        closed.
+.
-:               12. Remarks:             Include any additional information deemed
+Date Closed:
-:                                          pertinent to the allegation, fer example, relation to other allegations or other NRC offices involved in followup of this allegation.
+Identify the date, month-day-year, the followup 4
-: 13. Allegation Number:   A coded number which identifies (1) the Action Office, (2) the year the allegation was received, (3) the item as an allegation, and (4) the sequential number assigned to the allegation by the Action Office. For example, the twenty-first allegation received in 1982 for which IE has the,
+i action for the allegation was completed ano closed.
-                                                                                           ~
+.
-Action would be IE-82-A-0021.                             -
+Remarks:
+Include any additional information deemed pertinent to the allegation, fer example, relation to other allegations or other NRC offices involved in followup of this allegation.
+.
+Allegation Number:
+A coded number which identifies (1) the Action Office, (2) the year the allegation was received, (3) the item as an allegation, and (4) the sequential number assigned to the allegation by the Action Office.
+For example, the twenty-first allegation received in 1982 for which IE has the, Action would be IE-82-A-0021.
+~
 f 4
 b
 i
-ALLEGATION DATA FQRM                                                     gxn g t .
+ALLEGATION DATA FQRM gxn g t.
-i3 RPut*'089 Sa "t wree ties osses aumeer, ., e , ,,,,        ]
+i3 RPut*'089 Sa "t wree ties osses aumeer,., e,,,,,
-             Facility (fes) Involved: 'W                                                                                       I    '        I  II ut me, = 3.                                                                             8 i                           i
+]
-                                                         ".,Mer                                                                      -
+Facility (fes) Involved: 'W I
-                                                                                                                                                             ---=====
+I II ut me, = 3.
-y ,
+i
-: 2. Functional Area (s) Involv.ad:                                             operations                           l onsite health and safety construction                            of      d health and safety safeguards agrgencypreparedness l          otheris.= ~i /                               \                                            ,
+i
-;                                                        3.
+".,Mer
+---=====
+y
+: 2. Functional Area (s) Involv.ad:
+operations l
+onsite health and safety construction of d health and safety safeguards agrgencypreparedness l
+otheris.= ~i /
+\\
+\\
+.
-== Description:==
+==
-N                             \
+Description:==
-m               \\ \                               /                                         j
+N m
-                                                                                 \/ ) F\\                                         /                                                 1
+\\\\
-                                                                                   \T                          \          '
+\\
-                                                                                                                             /                                                      j i
+/
-n 9
+j
-N             /                                                                 1 J. Source of Allega 10                  i           con         actor employee                        ; security guard
+\\/
-                                                           " " ~ ~        ''                                                                                              '
+)
-consee employee                               ' news mediit           *        -
+F\\\\
-NRC employee                                      ' private citizen                           <
+/
-i         ' organization                    's.=isi                                                       I
-                                                                             !           other vs ~i                                                                                 j wu               oo            vy E.                Date Allegation 'lectived:                           l       l                   l
+\\T
-: 5.     "ame of Individual Receiving Allegation: <* = == -em = = w i 7   Office:                    l      !       ,
+\\
-l
+/
-: 3. Action Office
+j i
+n N
+/
+9
+J.
+Source of Allega 10 i
+con actor employee
+; security guard
+" " ~ ~
+consee employee
+' news mediit 5
+NRC employee
+' private citizen i
+' organization
+'s.=isi other vs
+~i j
+wu oo vy E.
+Date Allegation 'lectived:
+l l
+l 5.
+"ame of Individual Receiving Allegation: <* === -em = = w i 7
+Office:
+l l
+.
+Action Office
 ==Contact:==
-< F * 'we ama = == -,
+< F * 'we ama === -,
-: 3.          FTS Telephone Numoer:                 '       '
+.
-l --                !
+FTS Telephone Numoer:
-: 10. Status:            I Open, if followup actions are pending or in progress c== eaei            l Closed, if followup actions are completed
+l --
-                                                     ,,                           VM               30            YY Data Closed:                                  '
+I
-                                                            '2. Remarks:
+: 10. Status:
-l l
+Open, if followup actions are pending or in progress l Closed, if followup actions are completed c== eaei VM 30 YY Data Closed:
-N            Yer            Nurager
+'2.
+Remarks:
+N Yer Nurager
+~
+~~'^ ^^
-,                                                                                                                  . . 7 I
+I
-l NRC ALLEGAll0N TRACKING SYSTEN SIA1U5 RLPORI FOR PENDING AND ACIIVE ALLEGATIONS 0AIE            FUNCTIONAL          ACTION ALLEGATION   DESCRIPIl0N OF    ALLEGATION      AREAS        ACIl0N OFFICE KILIIY INVOLVED            NUMBER       ALLEGAll0N        RECEIVE 0       INVOLVED     OFFICE CONIACT    REMARKS E rted by                  '                                                                       '
+l NRC ALLEGAll0N TRACKING SYSTEN SIA1U5 RLPORI FOR PENDING AND ACIIVE ALLEGATIONS 0AIE FUNCTIONAL ACTION ALLEGATION DESCRIPIl0N OF ALLEGATION AREAS ACIl0N OFFICE KILIIY INVOLVED NUMBER ALLEGAll0N RECEIVE 0 INVOLVED OFFICE CONIACT REMARKS E rted by dock:t & alle-gati:n #
-dock:t & alle-gati:n #
 genwric & alle-gatirsi #
 name & allega-tion #, if no dock:-t #
 I e
-                                                                       .                                            i rt
+i rt N
-   .                                                                                                                N p                   %                                                 ,k u
+,k p
+u
-f
+f'
-          .-                                                                          .                           Enclosure 2 u.a. muci.saa neoui.Arany %.
+* ins se,.m ALL33ATNNE DATA P0ftM u.a. muci.saa neoui.Arany %.
-      . ins se,.m                                          ALL33ATNNE DATA P0ftM
+m.au wwwe=== ma -==
-        ' .      m.au                                                  wwwe=== ma - ==                                                      '
 t l
 MCWWWIS OFRCE Docket Number (if oppseabiel
-               '1. Posilityilers) Involved: ' ,-
+'1. Posilityilers) Involved: '
 lessnel I
-sw mee em 3. er d                                                                                                        i genens, wee osnen C1                                                                                                     )
+sw mee em 3. er d i
-l     !                    l
+genens, wee osnen C1
-                                                      -                                     ~
+)
+l
+~
 : 2. Functional Areef si Involved:
-sen   ,,,,en    e      e                  operetions                          onsite health and sefoty construeden                       _ offelte health and eefety safeguarde                     _    omorgency preparedness other sesosavi 3.
+sen
+,,,,en e
+e operetions onsite health and sefoty construeden offelte health and eefety safeguarde omorgency preparedness other sesosavi 3.
 == Description:==
-l I I I l l l l l l l l l l l l l l l l l l l l l l II IIIIIIIIIl l l l l l l l l l l l l l 1 I I II II II I IIl l l l 1 IIII II I II I II IIIll I l l l l l l l l                              l l l l l l l l l l
+l I I I l l l l l l l l l l l l l l l l l l l l l l II IIIIIIIIIl l l l l l l l l l l l l l 1 I I II II II I IIl l l l 1 IIII II I II I II IIIll I l l l l l l l l l l l l l l l l l l
 : 4. Source of Allegation:
-icaeca eso,conee eeni              _      contractor employee                  security guard
+icaeca eso,conee eeni contractor employee security guard licensee employee news medie NRC wnployee private citizen orgatslaation ise.edvi other er,eeedys MM on vy
-_      licensee employee                    news medie          .
-NRC wnployee                        private citizen
-_      orgatslaation ise.edvi
-_    other er,eeedys MM        on      vy
 : 5. Date Allegation Received:
-: 6. Name of Individual                 176,e: es,. inee a. .ne i t n. :
+: 6. Name of Individual 176,e: es,. inee a..ne i t n.
 Receiving Alle,getion
-: 7. Office:                                                                                                                   '
+: 7. Office:
 acno omC.
-: 8. Action Office Contact               smcot sw. enen se one i : nom.i S. PTS Telephone Number:                                .,
+: 8. Action Office Contact smcot sw. enen se one i : nom.i S. PTS Telephone Number:
-: 10. Status:                           .
+: 10. Status:
-,                 ,%        ,                                Open,if followup actions are pending or in progrees
+Open,if followup actions are pending or in progrees Closed, if followup actione are completed new oc vy
-_      Closed, if followup actione are completed                                ,
-new      oc       vy
 : 11. oe s Cio d:
 [
-             '8 "*"".
+'8 "*"". "m*: a.,.ci IIIIIIII IIIIIIII l l l l l l l l l l io c
-io "m*: ca.,.ci IIIIIIII                       IIIIIIII l l l l l l l l l l IIIIIIII                       IIIIIIIIIIIIIII!II Omee           v,            seisme ,
+IIIIIIII IIIIIIIIIIIIIII!II Omee v,
-                                                                                                                   -A-l
+seisme,
+-A-l
-g(               f                           UNITED STATES
+g(
-       , g'., . , .,
+f UNITED STATES g'.,.,.,
-         *#gyh                             N8JCLEAR REGULATORY COMMISS'AN                      .
+N8JCLEAR REGULATORY COMMISS'AN
-   's                 F      E                      WASHINGTON, D. C. 20555
+*#gyh
-         % %> dk I X.'.Uf' ...
+'s F
-NOV 2 41932
+E WASHINGTON, D. C. 20555
-                           ~
+% %> dk I X.'.Uf' NOV 2 41932
- ~
+~
-HE!10RANDUM FOR:         Office Directors & Regional Administrators FROM:                    William J. Dircks Executive Director for Operationsj
+~
+HE!10RANDUM FOR:
+Office Directors & Regional Administrators FROM:
+William J. Dircks Executive Director for Operationsj
 ==SUBJECT:==
-tiRC ALLEGATION TRACKING SYSTEM                                        ,
+tiRC ALLEGATION TRACKING SYSTEM The NRC Allegation Tracking System will go into effect on December 6,1982, for all allegations received on or after that date.
-The NRC Allegation Tracking System will go into effect on December 6,1982, for                  ',
+We solicit participation by Comission Offices via this memo.
-all allegations received on or after that date.               We solicit participation by Comission Offices via this memo.          The enclosed       procedure  and form have been modified as a result of your written coments and the November 15th meeting which your representatives attended. I believe this System meets our short                    -
+The enclosed procedure and form have been modified as a result of your written coments and the November 15th meeting which your representatives attended.
-term requirements for management oversight. The need for and nature of a more                ,
+I believe this System meets our short term requirements for management oversight.
-comprehensive management information system will be assessed separately.                Each office should develop internal procedures as appropriate to fully implement the                    '
+The need for and nature of a more comprehensive management information system will be assessed separately.
-system by December 6,1982, using the enclosed guidelines and any unique office considerations. A supply of reporting forms will be distributed in advance of that date.                                                                                     ."
+Each office should develop internal procedures as appropriate to fully implement the system by December 6,1982, using the enclosed guidelines and any unique office considerations.
-The first 90 to 120 days after implemention will be used to test and evaluate the reporting procedures and information to determine if the system needs modification. Following this, we will formalize the procedures in an NRC Manual Chapter. Your coments and suggestions during the trial period should be forwarded to Dick DeYoung.
+A supply of reporting forms will be distributed in advance of that date.
+The first 90 to 120 days after implemention will be used to test and evaluate the reporting procedures and information to determine if the system needs modification.
+Following this, we will formalize the procedures in an NRC Manual Chapter.
+Your coments and suggestions during the trial period should be forwarded to Dick DeYoung.
 Espe @ E!iam1. Dircks William J. Dircks Executive Director for Operations
 ==Enclosures:==
+As Stated Above cc:
+Chairman Palladino Commissioner Gilinsky Comissicner Ahearne Comissioner Roberts Comissioner Asselstine OPE SEC b OGC OI OPA OCA OIA
-As Stated Above                                      -
+- e 3.;
-cc:      Chairman Palladino Commissioner Gilinsky Comissicner Ahearne Comissioner Roberts Comissioner Asselstine OPE SEC b OGC OI                                 ,
+t
-OPA OCA OIA                   -
+\\
+NRC ALLEGATION TRACKING SYSTEM PURPOSE To track the receipt, disposition, and status of allegqtions involving NRC licensees or NRC licensed activities and to provide per.jodic status reports on allegations to NRC management.
-              -                                                                                      l
+OBJECTIVES 1.
-      .,        e 3 .;                                                      ,
+To provide a record which demonstrates that allegations are reviewed, acted upon as appropriate, and receive proper NRC management attention.
-l t
+.
-l
+To provide periodic reports to ranagement on the status of allegations and to alert management of allegations that may have an effect on pending major actions such as licensing decisions or escalated enforcement.
-                                                                                                     \
+DEFINITIONS 1.
-Enclosure 1 NRC ALLEGATION TRACKING SYSTEM PURPOSE                                                       -
+Action Office.
-To track the receipt, disposition, and status of allegqtions involving NRC licensees or NRC licensed activities and to provide per.jodic status reports on allegations to NRC management.                          '-
+The NRC office which is responsible for reviewing and taking action, as appropriate, on. allegations involving matters under the purview cf that office.
-OBJECTIVES
+.
-: 1. To provide a record which demonstrates that allegations are reviewed, acted upon as appropriate, and receive proper NRC management attention.
+Action Office Contact.
-: 2. To provide periodic reports to ranagement on the status of allegations and to alert management of allegations that may have an effect on pending major actions such as licensing decisions or escalated enforcement.
+The staff member in the Action Office who is assigneo tne responsibility for the action to be taken on an allegation.
-DEFINITIONS                          -
+.
-: 1. Action Office. The NRC office which is responsible for reviewing and taking action, as appropriate, on . allegations involving matters under the purview cf that office.
+Allegation.
-: 2. Action Office Contact. The staff member in the Action Office who is assigneo tne responsibility for the action to be taken on an allegation.
+For purposes of the tracking system, an allegation is considered to be any assertion of wrong-doing, lack of compliance, or hazard to public health and safety or national security involving an NRC regulated activity.
-: 3. Allegation. For purposes of the tracking system, an allegation is considered to be any assertion of wrong-doing, lack of compliance, or hazard to public health and safety or national security involving an NRC regulated activity. This does not include the finding (s) of internal NRC activities such as inspection or licensing review.
+This does not include the finding (s) of internal NRC activities such as inspection or licensing review.
-: 4. Office Coordinator. A designated staff. member in each office who serves as the principal point of contact for that office regarding the disposition of allegations.                           -
+.
-                                                                     ' *~ -
+Office Coordinator.
-: 5. Receivino Office. The office which initially receives an allegation. In some cases, the Action Office and Receiving Office will be the same if the allegation falls within the functional responsibility of the Receiving Office.    .
+A designated staff. member in each office who serves as the principal point of contact for that office regarding the disposition of allegations.
+*~
+.
+Receivino Office.
+The office which initially receives an allegation.
+In some cases, the Action Office and Receiving Office will be the same if the allegation falls within the functional responsibility of the Receiving Office.
 O I
 s n
-y a.s., m:.                                                                 .
+.y a.s., m:..
-RESPONSIBILITIES                                                -
+RESPONSIBILITIES 1.
-: 1. Each Office Director /Recional Administrator. The basic requirements of this procedure for implementation and maintenance of the NRC Allegation Tracking System shall be followed by each office. Each Office Director shall:           _, .
+Each Office Director /Recional Administrator.
-: a.      Develop internal procedures to implement the tracking system.
+The basic requirements of this procedure for implementation and maintenance of the NRC Allegation Tracking System shall be followed by each office.
-: b.      Designate a staff member to serve as Oft a.e Coordinator and point of contact for matters involving the tra ting system,
+Each Office Director shall:
-: c.      Ensure information provided as input and/or ' updates to the tracking system is accurate and timely.
+a.
-: d.      Provide notification upon request to other program of'fices of_ the_    _
+Develop internal procedures to implement the tracking system.
+b.
+Designate a staff member to serve as Oft a.e Coordinator and point of contact for matters involving the tra ting system, c.
+Ensure information provided as input and/or ' updates to the tracking system is accurate and timely.
+d.
+Provide notification upon request to other program of'fices of_ the_
 status of significant allegations.
-: e.      Prior to major action such as licensing decisions or escalated enforcement, check on the status of allegations reported in the tracking system.
+e.
-: 2. Office Coordinator.       Is responsible to:
+Prior to major action such as licensing decisions or escalated enforcement, check on the status of allegations reported in the tracking system.
-: a.      Serve as office point of contact for matters involving the NRC Allegation Tracking System.
+.
-: b. Ensure completion of the appropriate parts of the Allegation Data Form for all allegations. received within his or her respective office.
+Office Coordinator.
- ,                  c. Determine the appropriate Action Office and coordinate with the Action Office Coordinator on each allegation received by his or her office.
+Is responsible to:
-: d. Complete the appropriate parts of the Allegation Data Form for all allegations for which his or her office is the Action Office.
+a.
-: e. Forward the Allegation Data Fonn to the Action,0ffice Coordinator
+Serve as office point of contact for matters involving the NRC Allegation Tracking System.
-                      ,    when his or her office is not the Action Office.
+b.
-: f. Forward the completed Allegation Data Form to IE within 10 working days of receipt of an allegation whe'n his or her office is the
+Ensure completion of the appropriate parts of the Allegation Data Form for all allegations. received within his or her respective office.
-                          -Action Office.
+c.
-: g. Acouire input and updates on allegations from the staff within his or her office and provide this information to IE on a monthly
+Determine the appropriate Action Office and coordinate with the Action Office Coordinator on each allegation received by his or her office.
-                 >         basis.
+d.
-  !           3. Office of Inspection and Enforcement (IE). IE is responsible for managing the tracking system and providing monthly status reports to each office.
+Complete the appropriate parts of the Allegation Data Form for all allegations for which his or her office is the Action Office.
-t l                               .                                                 .
+e.
+Forward the Allegation Data Fonn to the Action,0ffice Coordinator when his or her office is not the Action Office.
+f.
+Forward the completed Allegation Data Form to IE within 10 working days of receipt of an allegation whe'n his or her office is the
+-Action Office.
+g.
+Acouire input and updates on allegations from the staff within his or her office and provide this information to IE on a monthly basis.
+.
+Office of Inspection and Enforcement (IE).
+IE is responsible for managing the tracking system and providing monthly status reports to each office.
+t l
-  .y      .-,         -                                       '
+.y
-EkSICREOUIREMENTS                                               .
+- EkSICREOUIREMENTS Genera.1
-Genera.1
+~
-  ~
+.
-: 1. For purposes of the Allegation Tracking System the definition provided for an allegation is very . general and broad. The significance or non-significan.ce'of an allegation will be judged during the Action Office review and followup of the allegation. There is to be no screening of allegations prior to entering them into the system (except of course for duplication of entries). The tracking system should provide a vehicle for collecting all allegations.      The Action Office determines the necessary action to be taken based upon the specifics of the, case. Some allegations may be received and closed out the same day.         i..
+For purposes of the Allegation Tracking System the definition provided for an allegation is very. general and broad.
-: 2. The tracking system provides basic descriptive and status information and serves as a referral system. It identifies the office and staff to contact for more specifics on an allegation.
+The significance or non-significan.ce'of an allegation will be judged during the Action Office review and followup of the allegation.
-: 3. When an allegation is received, it is not necessary to identify by separate entry into the tracking system every component or subset of the allegation. For example, if an allegation is received that makes 15 separate assertions of wrong-doing, the allegation may be entered as one allegation with a brief general description of the types of assertions.
+There is to be no screening of allegations prior to entering them into the system (except of course for duplication of entries).
-In some cases there may be a distinct grouping of assertions, for example, in two areas such as training and quality assurance. In such a case it may be appropriate to enter two allegations. A main objective is to ensure that the receipt of an allegation is entered and tracked in the system. An allegation is not completed and closed until an Action Office supervisor determines that appropr.iate action has been taken.
+The tracking system should provide a vehicle for collecting all allegations.
-: 4. Sensitive information such as the names of persons making allegations or about whom allegations are made shall not be entered in the system. All information entered on the form shall be unclassified and shall not contain any safeguards information or any proprietary or commercial (2.790) information.
+The Action Office determines the necessary action to be taken based upon the specifics of the, case.
-: 5. Some allegations may require action by two or more offices. For purposes of ente. ring the allegation into the tracking system, either separate entries should be made for each Action Office for their assigned action or one entry may be made with the involved Action Office Coordinators agreeing on the lead Action Office for followup 'of the allecation. If another
+Some allegations may be received and closed out the same day.
-                                                                              ~
+i..
-office is involved in responding to an allegation, it should be so indicated in the " remarks" section.      . u ;A                                     j e                                                 *
+.
-                                                                                                      ,,-v
+The tracking system provides basic descriptive and status information and serves as a referral system.
+It identifies the office and staff to contact for more specifics on an allegation.
+.
+When an allegation is received, it is not necessary to identify by separate entry into the tracking system every component or subset of the allegation.
+For example, if an allegation is received that makes 15 separate assertions of wrong-doing, the allegation may be entered as one allegation with a brief general description of the types of assertions.
+In some cases there may be a distinct grouping of assertions, for example, in two areas such as training and quality assurance.
+In such a case it may be appropriate to enter two allegations.
+A main objective is to ensure that the receipt of an allegation is entered and tracked in the system.
+An allegation is not completed and closed until an Action Office supervisor determines that appropr.iate action has been taken.
+.
+Sensitive information such as the names of persons making allegations or about whom allegations are made shall not be entered in the system.
+All information entered on the form shall be unclassified and shall not contain any safeguards information or any proprietary or commercial (2.790) information.
+.
+Some allegations may require action by two or more offices.
+For purposes of ente. ring the allegation into the tracking system, either separate entries should be made for each Action Office for their assigned action or one entry may be made with the involved Action Office Coordinators agreeing on the lead Action Office for followup 'of the allecation.
+If another
+~
+office is involved in responding to an allegation, it should be so indicated in the " remarks" section.
+. u ;A j
+e
+,,-v
-u       .
+u v-4-
-v-        g                                              l;       .
+l; g
-Receivino Office                                                             .
+Receivino Office Upon receipt of an allegation involving an NRC regulated activity, the Receiving Office should:
-Upon receipt of an allegation involving an NRC regulated activity, the
+.*
-        .              Receiving Office should:
+Complete the appropriate parts of the Allegation Data Fom.
-.*   Complete the appropriate parts of the Allegation Data Fom. Exhibit 1 contailis .the Allegation Data Form. Specific instructions for completion of the fom are contained on the reverse side of the fom.
+Exhibit 1 contailis.the Allegation Data Form.
-: 2. Determine the appropriate Action Office, coordinate with the Action Office, and receive concurrence from the Action Office before transfer of responsibility.                                     -
+Specific instructions for completion of the fom are contained on the reverse side of the fom.
-                         3. Fonvard the Allegation Data Form to the Acth'on Office if different from Receiving Office.
+.
-    .                  The Office Coordinator is responsible for ensuring that these actions are
+Determine the appropriate Action Office, coordinate with the Action Office, and receive concurrence from the Action Office before transfer of responsibility.
-     ;                 completed.
+3.
-Action Office
+Fonvard the Allegation Data Form to the Acth'on Office if different from Receiving Office.
-: 1. Completes the Allegation Data Fom and forwards a copy of the form to
+The Office Coordinator is responsible for ensuring that these actions are completed.
-   ;                            IE within 10 working days of the date of receipt of the allegation.
+Action Office 1.
-g                       2.      Provides updates to IE on a monthly basis by indicating updates on the D_              .,              previous month's status report. Updates are due to IE by the 25th of each month. All input to IE for the tracking system should be sent in l
+Completes the Allegation Data Fom and forwards a copy of the form to IE within 10 working days of the date of receipt of the allegation.
-                                " addressee only" envelopes to, " Allegation Tracking System, Program Support Branch (E/W-W 359).      Completion of. the followup action for an allegation
+.
-    ,                          will be recorded by updating the monthly status report.
+Provides updates to IE on a monthly basis by indicating updates on the g
+D_
+each month.
+All input to IE for the tracking system should be sent in previous month's status report.
+Updates are due to IE by the 25th of l
+" addressee only" envelopes to, " Allegation Tracking System, Program Support Branch (E/W-W 359).
+Completion of. the followup action for an allegation will be recorded by updating the monthly status report.
 The Office Coordinator is responsible for ensuring that these actions are completed.
-                       ~
+IE
-IE I
+~
-: 1.      Upon receipt of an Allegation Data Form and updates, IE will input the                                           {
+I 1.
+Upon receipt of an Allegation Data Form and updates, IE will input the
+{
 information into the tracking system.
-  .                     2.     .IE will issue monthly status reports on or about the first day of each month. The monthly report will include all new allegations and all updates received by IE as of the 25th of the previous month.                                          The format for the status report is provided in Exhibit 2.
+.
-4 e                    +
+.IE will issue monthly status reports on or about the first day of each month.
-  /
+The monthly report will include all new allegations and all updates received by IE as of the 25th of the previous month.
-e i                                                                              =
+The format for the status report is provided in Exhibit 2.
+4 e
++
+/
+e i
+=
 u
-                           ~
+~
-                                               ,        =
+=
-p -k' g                                                               .
+p -k' g.
-Specific Instructions For Completion                                  -
+Specific Instructions For Completion of the Allegation Data Forfn The following instructions will also be printed on the reverse side of the Allegation Data Form.
-of the Allegation Data Forfn The following instructions will also be printed on the reverse side of the Allegation Data Form.        See Exhibit 1.
+See Exhibit 1.
-The Allegation Dita Form consists basically of two parts; one part that is completed by the Receiving Office (data entries 1-7), a second part that is completed entries 8-13by)the
+The Allegation Dita Form consists basically of two parts; one part that is completed by the Receiving Office (data entries 1-7), a second part that is completed by)the Action Office shortly after receipt of the allegation (data entries 8-13.
-                                 . Action Office shortly after receipt of the allegation (data The following are specific instructions for completion''of each of the data entries on the Allegation Data Form:                          ;-
+The following are specific instructions for completion''of each of the data entries on the Allegation Data Form:
-: 1. Facility (ies) Involved:   Identify the . facility (fes) or company (ies)
+.
+Facility (ies) Involved:
+Identify the. facility (fes) or company (ies)
 [
-          .                               .        involved and docket number, if appropriate. If _
+involved and docket number, if appropriate.
+If _
 more than three facilities are involved or if the allegation is generic, state " generic."
 Note, if there is any sensitivity to the identification of the facility or company, then only input the word " sensitive."
-l                2. Functional Areas           Check the appropriate box (es).
+.
-Involved in Allegation:
+Functional Areas Check the appropriate box (es).
-              "3.       Description of             Provide a brief 1-2 sentence description of Allegation:                allegation. f appropriate, identify the number of separate allegations included in the description of the al, legation. Note, if there is any sensitivity to the description of the allegation, then only input the word " sensitive."
+l Involved in Allegation:
-: 4. Source of Allegation:      Describe the person providing the allegation by checking the appropriate block. Do not identify              ,
+"3.
-the name of the individual providing the a.llegation.
+Description of Provide a brief 1-2 sentence description of Allegation:
-: 5. Date Allegation            Identify the date the allegation was received,            '
+allegation.
-Received:                  month-day-year.
+f appropriate, identify the number of separate allegations included in the description of the al, legation.
-: 6. Name of Person             Identify the came of NRC staff member initially Receiving Allegation:      receiving the allegation. Include first and middle initial and last name of staff member.
+Note, if there is any sensitivity to the description of the allegation, then only input the word " sensitive."
-: 7. Office:                    Use the first four letters or less of the acronym for the Receiving Office.
+.
-            . 8..   . Action.0ffice
+Source of Allegation:
+Describe the person providing the allegation by checking the appropriate block.
+Do not identify the name of the individual providing the a.llegation.
+.
+Date Allegation Identify the date the allegation was received, Received:
+month-day-year.
+.
+Name of Person Identify the came of NRC staff member initially Receiving Allegation:
+receiving the allegation.
+Include first and middle initial and last name of staff member.
+.
+Office:
+Use the first four letters or less of the acronym for the Receiving Office.
+. 8..
+. Action.0ffice
 ==Contact:==
 Identify the name, first and middle initial and last name of the person who is responsible for taking action on the allegation.
+: k..
-                                                                                                     ~
+,7, -
-   ,7 , - k. .                                              -                 -   -                  -                                            .
+. - ~
-: 9.       FTS Telephone Number: Identify the seven digit, FTS phone number for the Action Office contact for the allegation.
+.
-: 10.      Status:               Check the appropriate box.
+FTS Telephone Number:
-: 11.      Date Closed _:,       Identify the date, month-day-year, the followup
+Identify the seven digit, FTS phone number for the Action Office contact for the allegation.
-                            .             -      action for the allegation was completed and closed.
+.
-: 12.      Remarks:              Include any additional information deemed pertinent to the allegatjon, fcr example, relation to other allega't. ions or other NRC offices involved in followup of this allegation.
+Status:
-: 13. Allegation Number:         A coded number which identifies (1) the Action Office, (2) the year the allegation was received, .
+Check the appropriate box.
-(3) the item as an allegation, and (4) the
+Identify the date, month-day-year, the followup 11.
- ;                                               sequential number assigned to the allegation by the Action Office. For example, the twenty-first allegation received in 1982 for which IE has the Action would be IE-82-A-0021.
+Date Closed _:,
-Mm O
+action for the allegation was completed and closed.
+.
+Remarks:
+Include any additional information deemed pertinent to the allegatjon, fcr example, relation to other allega't. ions or other NRC offices involved in followup of this allegation.
+: 13. Allegation Number:
+A coded number which identifies (1) the Action Office, (2) the year the allegation was received,.
+(3) the item as an allegation, and (4) the sequential number assigned to the allegation by the Action Office.
+For example, the twenty-first allegation received in 1982 for which IE has the Action would be IE-82-A-0021.
+M m O
 f s
-f
+f e
-* e e
+e e
-e                                              e
+e
 OnttructIMs e n rewne t'd*
-oockit number, if [ppiscabW 1.-Facility (i.es) Involved:                "a "* '                                                 II       I           I
+oockit number, if [ppiscabW II I
-                                                                                                                                     !                      i l !
+I i
-lif more than 3 or if penerse,                                                                   l*
+l 1.-Facility (i.es) Involved:
-l   l wnte GENERIC)                                                                    ,
+"a "* '
-il1 i   l Functional Area (.s) Involved:                      .! operations                    I onsite health and safety
+lif more than 3 l*
-                  ' " ' * * * " " " " ' ' " ' _ !' construction i of         e health and safety isafeguards'
+or if penerse, l
-                                                                                                                     ~
+l wnte GENERIC) l il1 i
+Functional Area (.s) Involved:
+.! operations I onsite health and safety
+' " ' * * * " " " " ' ' " ' _ '! construction i of e health and safety isafeguards'
 _rgency preparednes's
-                                                       ! other (bewi [
+~
+! other (bewi [
 .
-== Description:==
+==
-N                                  #
+Description:==
-n             \i \,                           /
+N n
-                                                   \l J              YN\
+\\i \\,
-                                                                                \
+\\
-                                                                                         /                                                                             l W                 \      ?/                                                                                          -
+/
-: 4. Source of Allega io
+l
-                                                     $\                  /                                                                                            b con actor employee                             security guard                                                 %
+\\l J
-(Check appropri '. al         ,
+YN\\
-                                                                                                ~
+/
-j       1censee employee                            news media
+W
-                                             /          NRC employee organization !*:i'v1 private citizen other 'h*'
+\\
-MM         DD       YY
+?/
+$\\
+/
+b
+: 4. Source of Allega io con actor employee security guard (Check appropri '.
+al
+~
+j 1censee employee news media
+/
+NRC employee private citizen organization !*:i'v1 other 'h*'
+MM DD YY
 : i. Date Allegation Received:
-: 6. Name of Individual Receiving Allegation: (First two initials and fast name)
+.
-: 7. Office:          l                                            ,
+Name of Individual Receiving Allegation: (First two initials and fast name)
+: 7. Office:
-: 8. Action Office
+l 1
+.
+Action Office
 ==Contact:==
-(First two initials and test name)
+(First two initials and test name) 9.
-: 9. FTS Telephone Number:                                   -
+FTS Telephone Number:
 g
-: 10. Status:            Open, if followup actions are pending or in progress tcheck one)
+: 10. Status:
-Closed, if followup actions are completed                                                                   @
+Open, if followup actions are pending or in progress tcheck one)
-MM         DD       YY                                                                                          21 O!
+Closed, if followup actions are completed 21 MM DD YY O!
 : 11. Date Closed:
 {
-: 12. Remarks:                                                                                                                          '
+: 12. Remarks:
 N l
-Office         Year               Nurnber l
+Office Year Nurnber l
-: 13. Allegation Number:                                -
+: 13. Allegation Number:
-hA=  -
+hA=
-l     ),
+l
-                                                                                                                                                                    ,1
+),
+,1
-                                                                                                                                    '.             I; NRC ALLEGATION TRhCKING SYSTEM                                                                  -
+I; NRC ALLEGATION TRhCKING SYSTEM STATUS REPORT FOR PENDING AND ACTIVE ALLEGATIONS i
-STATUS REPORT FOR PENDING AND ACTIVE ALLEGATIONS                                                        i DATE            FUNCTIONAL                 ACTION                                         <
+DATE FUNCTIONAL ACTION All EGATION DESCRIPTION OF ALLEGATION AREAS ACTION OFFICE FACILITY INVOLVED,
-All EGATION          DESCRIPTION OF    ALLEGATION      AREAS        ACTION        OFFICE                                       -
+NUtiBER ALLEGATION RECEIVED INVOLVED OFFICE CONTACT REMARKS
-FACILITY INVOLVED ,   NUtiBER              ALLEGATION        RECEIVED        INVOLVED     OFFICE        CONTACT      REMARKS
+--sorted by 1.
---sorted by
+docket & alle-gation #
-: 1. docket & alle-                                                                                                                            -
+.
-gation #
+generic & alle-gation #
-: 2. generic & alle-gation #
+.
-: 3. name & allega-tien #, if no d:cket #
+name & allega-tien #, if no d:cket #
-                                                             .        e e
+e e
+e
+%+
+C ~, ''.
 e
-                                 %+
+: c. l w i I
-C ~ , ''.
+r j
-e c.
-w i l
-I                                                                                                              r 83
-RIRC Fosm 307 -                                   ALLE2ATIEN G!ATA FORM                                U.S. NUCLEAR REGULATOT.Y COMMISSION (1153                                               Instructions on reverse side RECEIVING OFFICE Docket Number (if applicable)
+RIRC Fosm 307 -
-: 1. Facility (les! Involved:        (Nemel (if more than 3. or if genenc, wnte GENERIC)
+ALLE2ATIEN G!ATA FORM U.S. NUCLEAR REGULATOT.Y COMMISSION (1153 Instructions on reverse side RECEIVING OFFICE Docket Number (if applicable)
+: 1. Facility (les! Involved:
+(Nemel (if more than 3. or if genenc, wnte GENERIC)
 : 2. Functional Area (s) Involved:
-tcheck appropriate bontes) 1    _        operations                            _       onsite health and safety
+tcheck appropriate bontes) 1 operations onsite health and safety construction offsite health and safety safeguards emergency preparedness i
-__       construction                          _       offsite health and safety
+other (specifyl 3.
-_        safeguards                                    emergency preparedness i
-_        other (specifyl 3.
 == Description:==
-l l l l l l l l l l l l l l l l l l l l l l l l l l (Lmt to 100 characters) l            l l l l l l l l l l l                         l l l l l l l l l l l l 1II IIIIIIIIIIII IIIIII IIIIl l l l l l l l l l l l l l l l l l l l l l
+l l l l l l l l l l l l l l l l l l l l l l l l l l (Lmt to 100 characters) l l l l l l l l l l l l l l l l l l l l l l l l 1II IIIIIIIIIIII IIIIII IIIIl l l l l l l l l l l l l l l l l l l l l l
 : 4. Source of Allegation:
-(Check appropriate box)        _        contractor employee                   _._     security guard
+(Check appropriate box) contractor employee security guard licensee employee news media NRC employee private citizen organization ispecifyl other (specify MM DD YY
-_        licensee employee                             news media
-_        NRC employee                                  private citizen
-_        organization ispecifyl
-_        other (specify MM      DD         YY
 : 5. Date Allegation Received:
-: 6. Name of Individual              (First two initiais and last namel Receiving Allegation:
+: 6. Name of Individual (First two initiais and last namel Receiving Allegation:
 : 7. Office:
 ACTION OFFICE
@@ Line 493: / Line 709: @@
 ==Contact:==
 trirst two initials end test nemei
-: 9. FTS Telephone Number:                            .
+: 9. FTS Telephone Number:
 : 10. Status:
 (Check one)
-                                              -        Open,if followup actions are pending or in progress Closed,if followup actions are completed MM      DD         YY
+Open,if followup actions are pending or in progress Closed,if followup actions are completed MM DD YY
 : 11. Date Closed:
-l         l
+l l
 : 12. Remarks:
-(Limit to 50 characters) l l l l l l l l l l l l l l l l l l l l l l l l l l Office           Year             Number
+l l l l l l l l l l l l l l l l l l l l l l l l l l (Limit to 50 characters)
-: 13. Allegation Number:                                                                             ,           ,
+Office Year Number
+: 13. Allegation Number:
-O                                                       INSTRUCTIONS
+O INSTRUCTIONS
-               'The'follning are specific instructt ns for c:mplating cach of the required items en the Allegation Data Form.
+'The'follning are specific instructt ns for c:mplating cach of the required items en the Allegation Data Form.
 The first part of the form (items 1 - 7) should be completed by the Office receiving the allegation. The remainder of the form (items 8 - 13) should be completed by the Office responsible for reviewing and taking action on the allegation.
-: 1. Facility (ies) Involved: Give the name of the facility (ies) or company (ies) about whom the allegation is made. Write the docket number, if appropriate, in the boxes to the right.
+.
+Facility (ies) Involved: Give the name of the facility (ies) or company (ies) about whom the allegation is made. Write the docket number, if appropriate, in the boxes to the right.
 If the allegation is made about a sDeCific individual or if the information in this item is otherwise sensitive, write SENSITIVE.
-F                                                If more than three facilities or companies are involved write GENERIC.
+If more than three facilities or companies are involved F
-: 2. Functional Area (s)       Check all applicable boxes.
+write GENERIC.
+.
+Functional Area (s)
+Check all applicable boxes.
 Involved:
-: 3.
+.
-== Description:==
+==
+Description:==
 Briefly describe the allegation (1 or 2 sentences). Be concise. If an allegation includes several instances of wrong doing list the assertions separately or group them by type.
 NOTE: if the description of the allegation is sensitive, write only SENSITIVE.
-: 4. Source of Allegation:       Check the box that most clearly describes the affiliation or occupation of the person making the allegation. DO NOT include the name of the individual making the allegation.
+.
-: 5. Date Allegation           Show the month, day, and year on which the allegation was Received:                 reported to NRC.
+Source of Allegation:
-: 6. Name of Individual        Give the NRC staff member's first and middle initials and
+Check the box that most clearly describes the affiliation or occupation of the person making the allegation. DO NOT include the name of the individual making the allegation.
-.                     Receiving Allegation:     last name.
+.
-: 7. Office:                   Use official NRC abbreviations to indicate the NRC Office receiving the allegation.
+Date Allegation Show the month, day, and year on which the allegation was Received:
-: 8. Action Office
+reported to NRC.
+.
+Name of Individual Give the NRC staff member's first and middle initials and Receiving Allegation:
+last name.
+.
+Office:
+Use official NRC abbreviations to indicate the NRC Office receiving the allegation.
+.
+Action Office
 ==Contact:==
 Write the first and middle initials and last name of the NRC staff member responsible for follow-up action on the allega tion.
-: 9. FTS Telephone Number:     Write the seven-digit FTS telephone number at which the Action Office Contact (see item 8) can be reached.
+.
-: 10. Status:                     Check the appropriate box.
+FTS Telephone Number:
-: 11. Date Closed:                 Show the month, day, and year on which the follow-up action was completed.
+Write the seven-digit FTS telephone number at which the Action Office Contact (see item 8) can be reached.
-: 12. Remarks:                     Include additional information as appropriate.
+: 10. Status:
-EXAMPLES: list other allegations related to this allegation; list other NRC offices responsible for follow-up activities on this allegation.                                                               ,
+Check the appropriate box.
+: 11. Date Closed:
-: 13. Allegation Number:           Fill in the boxes to uniquely identify this allegation:                          1 0FFICE -- official NRC office abbreviation for the Office responsible for follow-up activities.
+Show the month, day, and year on which the follow-up action was completed.
--.                                              YEAR      -- last two digits of the calendar year in which the allegation wat, reported to NRC.
+: 12. Remarks:
-I A         -- identifies this number as an allegation number,                      j i
+Include additional information as appropriate.
-NUMBER -- sequential number assigned by the Office responsible                    ;
+EXAMPLES: list other allegations related to this allegation; list other NRC offices responsible for follow-up activities on this allegation.
-for the follow-up activities.                                       I EXAMPLE: The 24th allegation received by IE in 1982 would be shown as      IE-82-A-0024
+1
-;                                                                                                                                 1}}
+: 13. Allegation Number:
+Fill in the boxes to uniquely identify this allegation:
+FFICE -- official NRC office abbreviation for the Office responsible for follow-up activities.
+YEAR
+-- last two digits of the calendar year in which the allegation wat, reported to NRC.
+I A
+-- identifies this number as an allegation number, j
+i NUMBER -- sequential number assigned by the Office responsible for the follow-up activities.
+I EXAMPLE: The 24th allegation received by IE in 1982 would be shown as IE-82-A-0024 1}}

ML20126H069: Difference between revisions

Latest revision as of 18:42, 12 December 2024

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SUBJECT:

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