ML20297A595

National Organization for Test, Research and Training Reactors 2020 Annual Conference Presentations Made by NRC Staff, Willis Keefe

ML20297A595
Person / Time
Issue date:	09/30/2020
From:	Keefe M, Dori Willis NRC/NRR/DRO/IRAB, NRC/OE
To:
Montgomery C
Shared Package
ML20297A599	List: ML20297A453 ML20297A470 ML20297A486 ML20297A531 ML20297A595
References
Download: ML20297A595 (18)

Text

NRC Allegation Program and SCWE Policy Dori Willis, Team Lead, Headquarters Allegation Team Molly Keefe, Human Factors Specialist

2 Overview

• Allegation Program Description

• Areas of Licensee Involvement

- Requests for Information (RFIs)

- FOIA Requests

- Early ADR and OI Investigations

• Employee Protection

• SCWE & Safety Culture

• Allegation Trend Data

Allegation Program 3

• NRC program that receives, evaluates, and provides responses to concerns from external sources about issues associated with NRC-regulated activity

• Allegation Definition - Declaration, statement, or assertion of impropriety or inadequacy associated with NRC-regulated activity, the validity of which has not been established

- Low threshold; doesnt need to be a potential violation

• There are exclusions to the definition - including items provided to NRC by licensee employees acting in their official capacity

- Exception: licensee-identified wrongdoing

4 Allegation received Allegation coordinator Allegation Review Board Inspection or Tech Review Request Licensee (RFI)

Referral to Another Agency Early ADR Investigation Acknowledgment Letter Results to Alleger Licensee informed of OI investigation results or if a violation is identified Enforcement Concern closed?

No Yes Allegation Program - Basic Process

5

• Allegation Requests for Information (RFI) to the Licensee

• Provide detail, while protecting alleger identity

• Include additional questions, as appropriate

• Request licensee to contact NRC before evaluation

• Request licensee to limit information access - need to know

• Requests 30-day response

• Licensee Response to RFI

• Focus on the concern, not the alleger

• Describe evaluator independence/proficiency

• If substantiated, identify root/contributing causes and corrective actions, as appropriate

• Even if not substantiated, discuss any response actions taken

• Provide basis for determining number/cross-section of individuals interviewed and describe content of interview questions Allegation Program - Areas of Licensee Involvement (RFI)

6

• Bracket privacy/proprietary information for public withholding

• Documents in NRC possession are subject to potential release if requested under the Freedom of Information Act (FOIA)

• RFIs request licensees to identify proprietary/privacy information in the RFI response to ensure proper redaction by NRC if a FOIA request is submitted Allegation Program - Areas of Licensee Involvement (FOIA)

7

• NRC Review of Licensee Response

- Review assigned to responsible NRC technical staff

• Independent verification/validation of information provided

- NRC follow-up of inadequate response may include:

• Telephone discussion(s)

• Supplemental RFI

• Inspection/Investigation

- Adequacy of licensee responses factored into future allegation handling determinations Allegation Program - Areas of Licensee Involvement (RFI)

8 Allegation Program - Areas of Licensee Involvement (ADR and OI)

• Early Alternative Dispute Resolution (Early ADR) of Discrimination Concerns

- Voluntary

- Confidential; confidentiality does not restrict reporting safety concerns

- Settlements agreeable to the NRC will constitute final NRC action

- Success rate: ~ 70% of negotiated cases reached settlement

• Discrimination/Wrongdoing Concerns Investigated by NRC Office of Investigations (OI)

- Licensee staff may be asked to participate in interviews

- Licensee may be asked to provide copies of documents

- Licensee will be notified of investigation conclusion whether substantiated or unsubstantiated if anyone other than the alleger is contacted by OI

9 Allegation Trends - Total Received 0

2 4

6 8

2016 2017 2018 2019 2020 RTR ALLEGATIONS RECEIVED BY CALENDAR YEAR

10 Allegation Trends - 2019 RTR Concerns Chilling Effect/Chilled Work Environment Fitness-for-Duty Security Operations Falsification

Allegation Program Discrimination 10 CFR 50.7, Employee Protection

• Freedom of employees in the nuclear industry to raise nuclear safety concerns without fear of:

- Discrimination

- Harassment

- Intimidation

- Retaliation 11

Allegation Program - Safety Culture

• 2011 Safety Culture Policy Statement defines safety culture as:

Core Values and Behaviors Resulting from a Collective Commitment by Leaders and Individuals to Emphasize Safety over Competing Goals to Ensure Protection of People and the Environment.

• Safety Culture traits are described in the ROP framework cross-cutting areas, one of which is SCWE.

• SCWE is an attribute of Safety Culture 12

Allegation Program - Safety Conscious Work Environment Policy

• 1996 SCWE Policy Statement - Freedom of Employees in the Nuclear Industry to Raise Safety Concerns Without Fear of Retaliation

- A work environment where:

• Employees are encouraged to raise safety concerns without fear of retaliation

• Concerns are promptly reviewed

• Concerns are given the proper priority based on their potential safety significance, and

• Concerns are appropriately resolved with timely feedback

• Regulatory Issues Summary 2005-18, Guidance for Establishing and Maintaining a Safety Conscious Work Environment 13

14 Allegation Program - Allegation Trends/SCWE Assessment

• Allegation Trend/SCWE Review

- Allegation concerns with SCWE implications (chilling effect, anonymous, discrimination, ineffective CAP )

- History of discrimination allegations

- Impacted avenues for raising concerns

- Discipline trends

- Issue trends

- Receipt rate

- Problem Identification & Resolution inspection SCWE insights

- Licensee trends

• Potential Agency Actions

- Routine oversight (e.g., baseline inspections)

- Increased SCWE oversight (e.g., inspection, mgmt. interface)

- Chilling Effect Letter

15 Allegation Program - Chilling Effect Letter Guidance

• NRC Allegation Manual (ML15147A700)

- discusses circumstances prompting consideration of a CEL for allegations and other indications of a chilled work environment

- includes consideration of licensee actions to address known problems

• The NRC issued CELs in 2016 and 2020

- March 2016 NRC issued a CEL to TVA re: Watts Bar Unit 1 (ML16083A479)

- March 2020 NRC issued a CEL to AFRRI (ML20070K841)

16 Resources - Website

• NRC Website re: Allegations/SCWE http://www.nrc.gov/about-nrc/regulatory/allegations/safety-concern.html

- FAQs

- Statistics

- Annual Reports

- Allegation Manual

- SCWE Guidance

Resources - Website 17

18 Resources - Allegation Program Personnel Agency Allegation Advisor (800-368-5642)

Lisamarie Jarriel Tamara Powell NRR/NRO/NSIR/NMSS/OIP (800-368-5642)

Dori Willis Carleen Parker Sara Bernal-Taylor Stella Opara Sarenee Hawkins Region I (800-432-1156)

Nicole Warnek Region II (800-577-8510)

Melanie Checkle Sandra Mendez-Gonzalez Region III (800-522-3025)

Jim Heller Paul Pelke Region IV (800-952-9677)

Jesse Rollins Judith Weaver