ML081690502

NRC Allegation Process - Region I Regional Utilities Group Workshop - Slides (June 4, 2008)

ML081690502
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Site:	Peach Bottom
Issue date:	06/17/2008
From:	NRC Region 1
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June 17, 2008

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

NRC ALLEGATION PROCESS June 4, 2008 Region I Regional Utilities Group Workshop King of Prussia, Pennsylvania 2 AGENDA*NRC Allegation Process*Peach Bottom Lessons Learned

• Alternative Dispute Resolution Process 3A. DISCRIMINATION ALLEGATION PROCESSING (WITH DOL PROCESS STEPS, IF APPLICABLE

)Receipt of potential allegationPotential immediate public health and safety concern exists?Conduct Ad- Hoc/Special NRC ARBYes NoProvide allegation receipt info to manager and OAC5 daysConduct NRC ARB

- discuss allegation concerns

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

- articulate safety significance

- consider if specific evidence of potential wrongdoing exists (for a wrongdoing allegation)- discuss options for evaluating a discrimination allegation (see flowchart A)

- consider if additional info is needed- determine NRC follow-up actions- assign responsibilities and action dateswithin 30 days of receiptResponsible staff review to: clarify concerns; consider re-contacting alleger for more info, if appropriate; evaluate for any immediate public health and safety issues; propose follow up actions; draft potential violations (for wrongdoing concerns); prepare briefing info for NRC ARBAllegation Evaluation:- inspection/technical review- RFI from licensee

- transfer to another agency (e.g. FEMA)

- wrongdoing investigation - discrimination investigation or Early ADR (see flowchart A)Send acknowledgement letter to alleger Send closure letter addressing concerns to alleger for open t ec h n i ca l concerns, ARB is reconvened at 6 months from last ARB and every 4 months thereafter, until closed ASAPNRC Review of Allegation Evaluation Results:- inspection results

- licensee response to RFI (NRC review includes effort to verify and validate aspects of licensee response)- response from external agency

- OI investigation report and exhibits

- Early ADR settlementDocument NRC Allegation Evaluation and NRC Conclusions

- describe means of evaluation- describe NRC review of evaluation results, and efforts to verify and validate, as appropriate

- articulate a conclusion regarding each concern (e.g., substantiated, unsubstantiated, in whole or in part, including whether aspects of concern were found to be valid)NRC Enforcement Process (including licensee notification)[Note: If substantiated concern relates to a wrongdoing matter, and DOJ considers the matter for criminal prosecution, NRC enforcement will be coordinated with DOJ.]Did tech review, inspection, investigation, licensee/external agency response address concerns?Determine action to obtain needed info:- additional inspection- additional investigation- additional RFI from licensee(determination made by responsible staff or at follow up NRC ARB, depending on nature of required additional action)Re-contact alleger for additional information Are substantiated concerns violations?Yes NoAdditional info needed from allegerNew information or concerns?Discrimination concernAllegationfiled w/NRC DOL complaint filedPrima faciearticulated?Copy of DOL complaintsent to NRCEarly ADRoffer accepted?Close/Await DOLCloseOffer Early ADR - see Early ADR Process flowchart NoYesYes OIinvestigation OI finding?CloseReferral to DOJ?Enforcement to be taken?Enforcement Conference -Enforcement Action - Post Investigation ADRClose w/Enf.

Action or Order via Post Investigation ADR settlementCloseDOL/OSHA Decision?LicenseeAppeal?NRC Chilling Effect Letter?Alleger Appeal?CloseDOL ALJ RDO?NRC Chilling Effect Letter?NRC EnforcementAction? - pending DOLLicenseeAppeal?DOL ARB FinalDecisionAlleger a ppeal?Case closed with resolutionCloseCloseNRC Enforcement Coordinated with DOJ Licensee non-appeal of DOL finding considered in NRC enf. decisionNo DiscriminationYesYesYesYesYesYesYesYesYes No No No No NoNo DiscriminationNo DiscriminationNo DiscriminationDecline A cce p tOAC - Office Allegation CoordinatorRFI - Request for InformationNRC ARB - NRC Allegation Review Board ADR - Alternative Dispute ResolutionOI - NRC Office of investigations DOL - Department of Labor DOL ALJ - DOL Administrative Law Judge RDO - Recommended Decision and Order DOL ARB - DOL Administrative Review Board DOJ - De partment of Justice NoYes NoYesDoes alleger object to NRC providing the licensee a written RFI related to the allegation?(document alleger's response for discussion at NRC ARB)Early ADR successful?

NoYes Standard Allegation Evaluation Process 4 PEACH BOTTOM INATTENTIVE SECURITY OFFICER ALLEGATIONS*Background*Internal NRC Lessons-Learned Reviews

• Lessons-Learned Recommendations

• NRC Follow-up/Oversight 5 NRC PEACH BOTTOM LESSONS-LEARNED RECOMMENDATIONS*3 Key Areas-Process for forwarding allegations to a licensee/Evaluating responses/Documenting

evaluations-Communications/interactions with concerned individuals-Inspection process for detecting inattentiveness and inspector awareness of allegations 6 NRC PEACH BOTTOM FOLLOW-UP Augmented Inspection Team (AIT) Inspection Confirmatory Action Letter (CAL)/Other correspondence AIT Follow-up InspectionDeviation Memorandum (ROP) Issuance of White FindingSafety Conscious Work Environment (SCWE) Inspection Other Inspections Public Meetings 7NRC'sALTERNATIVE DISPUTE RESOLUTION PROGRAM*Two part program-Early ADR-Post-Investigation ADR*Voluntary*Administered by Cornell University's Institute on Conflict Resolution 8NRC'sALTERNATIVE DISPUTE RESOLUTION PROGRAM*Early ADR-Offered prior to start of OI investigation-NRC is not a party

-For allegations of discrimination only*Post-Investigation ADR-Offered after the issuance of the OI report

-NRC is a party

-For allegations of discrimination and other suspected wrongdoing