ML20212E624

Forwards Wj Dircks 821124 Memo Re Procedures for Allegation Tracking Sys.Procedures Effective on 821206.Sys Intended to Assure That Charges of Noncompliance or Hazards Acted Upon Promptly.Announcement 85 Encl

ML20212E624
Person / Time
Issue date:	12/08/1982
From:	Jennifer Davis NRC OFFICE OF NUCLEAR MATERIAL SAFETY & SAFEGUARDS (NMSS)
To:	NRC OFFICE OF NUCLEAR MATERIAL SAFETY & SAFEGUARDS (NMSS)
Shared Package
ML20209C229	List: IA-86-183, Forwards Commission Statement of Policy on Handling of Late Allegations,For Info & Immediate Implementation.Policy Will Be Incorporated in Future Rev to Manual Chapter 0517, Mgt of Allegations ML20209C226 ML20212E558 ML20212E571 ML20212E574 ML20212E590 ML20212E601 ML20212E610 ML20212E624
References
FOIA-86-183 NUDOCS 8608130112
Download: ML20212E624 (4)

Text

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DEC 8 1982 MEMORANDUM FOR: NMSS Staff FROM:

John G. Davis, Director Office of Nuclear Material Safety and Safeguards

SUBJECT:

NMSS INTERIM PROCEDURES FOR NRC ALLEGATION TRACKING SYSTEM The attached memorandum from the Executive Director for Operations specifies procedures for the Allegation Tracking System ( ATS) which will be in effect throughout the agency on December 6,1982 and will be followed by all NMSS staff members.

These interim NMSS procedures supplement those promulgated by the EDO for the operation of the Allegation Tracking System within NMSS.

The Allegation Tracking System is intended to assure that charges received by NRC of wrongdoing, non-compliance, or hazards to public health and safety or the common defense and security involving an NRC-regulated activity are acted upon promptly and are subject to management oversight and accountability.

Comencing on December 6,1982, any NMSS staff member receiving an allegation.oncerning any NRC-regulated activity shall fill out the appropriate parts of the Allegation Data Form (NRC Form 307) and forward it via the staff member's branch chief to the NMSS ATS Coordinator, Robert O'Connell, in the Division of Fuel Cycle and Material Safety (mail stop 396-S5, phone 74211), within two days of receipt of the allegation.

Blank forms may be obtained from the ATS Coordinator.

Upon receipt of an allegation, the receiving branch should determine the appropriate Action Office (if not NMSS), coordinate with the Action Office, and obtain the concurrence of the Action Office before transfer of responsibility. The NMSS Coordinator should be consulted if there are any problems. The receiving staff should provide all Action Office transfer information to the NMSS ATS Coordinator with the Allegation Data Form. The ATS Coordinator will assign an allegation number and will forward the form to the appropriate office.

The monthly IE Status Report for Pending and Active Allegations will be distributed to Division Directors, who will ensure that appropriate I

licensing staff are notified of allegations that concern licensees under their cognizance. Division Directors will also cause license files of any licensee identified with an allegation to be flagged, in order to ensure that no licensing action is taken as to that licensee until the j

status of pending allegations is checked use 8608130112 860806 PDR FOIA GARDE 86-183 PDR

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_2-NMSS staff members who are assigned as Action Office Contacts for particular allegations will provide updates to the NMSS ATS Coordinator by the 20th of each month for inclusion in the update of the monthly IE Status Report. NMSS Action Office Contacts and supervisors will provide information to other offices on the status of allegations upon request.

Before -taking licensing actions, NMSS staff will check on the status of allegations reported in the tracking system, and check for the existence of any new allegations since the last monthly IE Status Report.

Questions, comments, and suggestions concerning the Allegation Tracking System should be directed to the RMSS ATS Coordinator.

1 J hn is. Director Office of Nuclear Material Safety and Safeguards

Enclosures:

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ANNO'UNCEMENT NO. 85 DATE: September 10, 1984 TO:

ALL EMPLOYEES

SUBJECT:

CLARIFICATION OF PROCEDURES FOR ADDRESSING ALLEGATIONS OF HARASSMENT, INTIMIDATION OR OTHER FORMS OF -

DISCRIMINATION BY LICENSEES AND APPLICANTS OR THEIR CONTRACTORS OR SUBCONTRACTORS A licensee or. applicant, or a contractor or subcontractor of a NRC licensee or applicant, is prohibited by Section 210 of the Energy Reorganization Act of 1974 from discriminating against any employee with respect to his or her compensation, terms, conditions or privileges of employment because J

the employee assisted or participated, or is about to assist or participate, in any manner, to carry out the purposes of either the Energy Reorganization Act or the Atomic Energy Act of 1954, as amended.

Discrimination has been interpreted broadly by the courts and may include acts of'the employer resulting fr'om an employee reporting non-conformances, raising safety concerns to the employer or to the NRC, or testifying in NRC hearings or otherwise assisting the NRC in identifying violations of requirements.

Both the NRC and the Department of Labor (DOL) have complementary responsibilities under Section 210 in the area of employee protection.

DOL has the responsibility to investigate employee complaints of discrimination and may, after an investigation and hearing, order an employer to take affirmative action to abate the violation, reinstate the employee to his~~ or her former position with backpay, and award compensatory damages, including attorney fees.

The NRC is concerned about discrimination because of the potential chilling effect it may have on the willingness of employees to raise safety issues or identify non-conformi~n~g conditions. The NRC has independent authority to take appropriate enforcement action against Comission licensees that violate Section 210 of the Energy Reorganization Act, the Atomic Energy Act, or Comission requirements. The Commission's regulations contain provisions which prohibit discrimination.

See 10 CFR Part 19, and 10 CFR 30.7, 40.7, 50.7 and 70.7.

The Office of Investigations (01) is authorized to investigate allegations of discriminatory acts which may have resulted in violations of NRC statutes or regulations.

01, in determining whether to cond0ct an investigation, may wait until any D0L investigation is completed or may initiate an investigation immediately if warranted.

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You should be sensitive to the NRC's responsibilities in this area and make sure that those who bring discrimination complaints to your attention understand that the NRC is concerned about their complaints.

You should assure them that even though they must go to DOL to protect their personal employee rights, the NRC will closely follow DOL actions and will take action against their employer, if appropriate.

To assure that complaints of discrimination by employees of NRC licensees, applicants or their contractors are addressed properly, the following procedures should be followed:

1.

If an employee of a licensee or applicant or a contractor or subcontractor of a licensee or applicant brings to your attention an allegation that he or she has been harassed, intimidated, fired or otherwise discriminated against because of raising safety concerns to the employer or to the NRC, you should inform the alleger that:

a) the NRC will evaluate the discrimination complaint and any safety concerns raised by the alleger, and may investigate and take appropriate enforcement actions against their employer ~if the allegation is substantiated; and b) the NRC does not have authority to order backpay, reinstatement or compensatory damages; therefore, to protect his or her personal employee rights, e.g., backpay, reinstatement, or job

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position, the alleger must file a complaint with DOL within 30 days of the occurrence of the discrimination.

The complaint must be filed with the Office of the Administrator, Wage and Hour Division, Employment Standards ' Administration, U.S. Department of Labor, Room 53502, 200 Constitution Avenue, N.W., Washington, D.C. 20210. The complaint must describe the firing or discrimination.

2.

You should promptly transmit a report of the allegation of discrimination through your management to your Regional Administrator or Office Director.

3.

After you report the allegation to your management, you should treat 4

the allegation of discrimination the same as other allegations.

An NRC Form 307, Allegation Data Form, should be completed. A copy should be sent to your Region or Office Allegation Coordinator who will initiate-the review of the allegation and transmit a copy to j

NRR for placement into the Allegation Tracking System.

These procedures will be incorporated into draft NRC Manual Chapter 0517 which is being prepared.

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MEM RANDUM FOR:

Office Directors & Regional Acministrators FROM:

William J. Dircks Executive Director for Operations

SUBJECT:

NRC ALLEGATION TRACKING SYSTEM i

l 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 requirernents 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 3

sys, tem 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 determing if the system needs modification.

Following this, we will formalize the procedures' in an NRC Manual Chapter. Your comments and suggestions during the trial period should be fontarded to Dick DeYoung.

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b lillia'. J. Dircks Executive Director for Operations

Enclosures:

As Stated Above cc: Chairman Palladino Ccmissioner Gilinsky Comissioner Ahearne Comissioner Roberts Comissioner Asselstine OPE SECY OGC 01 OPA OCA 01A 8.%;+eese-cy.-

NRC ALLEGATION TRACKING SYSTEli PURPOSE To track the receipt, disposition, and status of allegations involving NRC licensees or NRC licensed activities and to provide periodic 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 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 tne principal point of contact for that office regarding the disposition of allegations.

5.

Receiving Office.

The office which initially receives an allegation.

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

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BASIC REQUIREMENTS General 1.

For purposes 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 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 entil an Action Office supervisor determines that appropriate action ha,s 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.

S.

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 Action 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.

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

See Exhibit 1.

The Allegation Data Fonn 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 (ies) 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).

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 t'he allegation. Note, if there is any l

sensithity to the descr.iption of.the allegation, j

then only input the word " sensitive."

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Source of. Allegation:

Describe the person providing the allegation by checking the appropriate block. Do not identify t

the name of the individual providing the allegation.

5.

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

month-day-year.

6.

Name of Person Identify the name 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 Office

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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RECEIVING OFFICE Docket Number (if applicable)

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Description:

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4. Source of Allegation:

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Receiving Allegation:

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ACTION OFFICE

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Open, if followup actions are pending or in progress Closed, if followup actions are completed MM 00 YY S1. Date Closed:

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13. Allegation Number:

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NRC ALLEGATION TRACKING SYSTEM STATUS REPORT FOR PENDING AND ACTIVE ALLEGATIONS i.

DATE FUNCTIONAL ACTION ALLEGATION DESCRIPTION OF ALLEGATION AREAS ACTION OFFICE FACILITY INVOLVED NUMBER ALLEGATION RECEIVED INVOLVED OFFICE CONTACT REMARKS

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docket & alle-l gation #

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generic & alle-i gation #

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name & allega-tion #, if no docket #

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