ML20035B259
| ML20035B259 | |
| Person / Time | |
|---|---|
| Issue date: | 02/26/1993 |
| From: | Murley T Office of Nuclear Reactor Regulation |
| To: | Office of Nuclear Reactor Regulation |
| References | |
| NRRL-1004, NUDOCS 9304010095 | |
| Download: ML20035B259 (10) | |
Text
4 4)pmung#c UNITED STATES
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NUCLEAR REGULATORY COMMISSION 3,-
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s, February 26, 1993
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MEMORANDUM FOR:
All NRR Employees FROM:
Thomas E. Murley, Director Office of Nuclear Reactor Regulation
SUBJECT:
NRR OFFICE LETTER NO. 1004, "NRR HANDLING OF ALLEGATIONS OF IMPROPER ACTIONS BY NRC STAFF INVOLVED IN LICENSE OR INSPECTION ACTIVITIES" PURPOSE This office letter informs the NRR staff of procedures to be followed on receipt of an allegation of improper action by an NRC staff member involved in license activities or inspections of licensees or vendors. Such an allegation might be made by either a licensee, vendor, another NRC staff member, the news media, a member of a local, state or Federal government, or any other member of the public.
NRR hereby establishes the procedures by which NRR staff will receive, act on, resolve or forward to other authorities, such as the Office of the Inspector 1
General (0IG), allegations of improper actions by a member of the NRC staff while engaged in license activities or inspection activities only.
The regulations referenced in the Policy discussion below contain additional information regarding the handling of allegations of employee impropriety, including waste, fraud, abuse, and corruption.
This procedure is designed to be equitable to the staff member against whom the allegation is made; to the individual or organization making the allegation; and to the legitimate needs of NRC to assure its functions are carried out approoriately.
NOTHING IN THESE PROCEDURES IS INTENDED TO LIMIT ANY LICENSEE OR NRC EMPLOYEE FROM CONTACTING THE NRC INSPECTOR GENERAL (IG) DIRECTLY WITH HIS OR HER CONCERN.
i BACKGROUND In a memorandum of May 28, 1992, to the Regional Administrators, the Deputy Executive Director for Nuclear Reactor Regulation, Regional Operations and CONTACT:
J. Lee 504-2918 g
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Research, gave guidance to the regional offices on the handling of allegations of improper staff actions received during inspections or other license activities. The procedures herein are consistent with that guidance.
POLICY Standards of conduct regulations issued by the Office of Government Ethics which govern NRC employees require employees to disclose waste, fraud, abuse, i
and corruption to appropriate authorities (5 CFR 2635.10l[b]). All employees should be familiar with the requirements in 5 CFR Part 2635, Management Directive (MD) 7.4 (formerly Manual Chapter (MC) 0702), MD 1098 (formerly MC 4124), and Inspection Manual 1201, and the policies in the chapters that apply to them. All employees shall comply with these applicable regulations and policies and are expected to execute the duties entrusted to them in a professional manner.
RESPONSIBILITIES The NRR Deputy Director is designated to implement this process.
The Associate Director for Projects is designated to implement this process in the absence of the Deputy Director and may assist the Deputy Director in administering the process specified in this guidance.
t All allegations of improper actions by NRC employees will be handled in a i
prompt manner. Time is of the essence in such matters because of the effect i
on the staff member and because the agency may need to act. Although time i
goals are not established, these matters are to be given high priority and i
resolved quickly.
l Any staff member approached by an individual who provides an allegation of improper actions by an NRC staff member should inform the alleger that he or she has the right to contact the IG directly. The staff member should give the alleger the IG Hotline phone number (800-233-3456).
If the alleger decides to make the allegation to the NRR staff member, the following procedures are to be followed:
1.
The individual receiving the allegation should inform the alleger that the NRR Deputy Director is the preferred coordinator for all matters.
l It is preferable for the alleger to contact the NRR Deputy Director directly. However, it is recognized that certain individuals may bc reluctant to do so.
In those instances, the staff member should advise the alleger that the NRR Deputy Director will be informed and the alleger will be contacted by the NRR Deputy Director shortly.
If the allegation involves the NRR Deputy Director, the NRR Director shall I
coordinate the actions to resolve the matter and shall perform the NRR Deputy Director's functions specified in this office letter.
2.
If the alleger is reluctant to contact the NRR Deputy Director, the individual receiving the allegation should attempt to elicit as much of j
the following information as the alleger is willing to provide and give it to the NRR Deputy Director. Obtain the name, mailing address and
o t
All NRR Employees telephone number of the alleger, if possible.
If the alleger refuses to disclose his or her identity, details of the alleged impropriety should still be provided to the NRR Deputy Director.
Request specific details about the alleged impropriety, including the names of other individuals who could provide additional or corroborating information. This information should be documented, including the circumstances under which the allegation was received, and forwarded to the Deputy Director.
Although the recipient of the allegation should gain all aviilable information from the alleger, no direct investigative or fo410w-up actions are to be initiated until the Deputy Director and r/IG discuss the allegation and agree that the matter should be pursue /. by the staff.
Inform the alleger that while his or her concerns will ba handled discreetly, subsequent personnel or investigative actions may make it necessary to involve the alleger further.
Inform the alleger that if the investigation results in adverse action against the accused, the accused ! s the right to ask the Agency to give him/her the details of the allegation, including the identity of the alleger.
3.
The individual receiving the allegation should inform the Deputy Director as soon as possible.
If the staff member receives the allegation during a site visit or inspection, the individual receivirg the allegation may telephone his or her management of the issue from the site, if necessary.
4.
Although the individual may inform his or her management of the topic of the issue, the identity of the individual (s) who is (are) the subject of the allegation and the substance of the allegation should not be provided to any other person except as defined in this Office Letter.
Therefore, summaries prepared for item 2 above should be personally prepared whenever possible and may be handwritten or orally delivered.
5.
The NRR Deputy Director will open a file on the allegation and assign it a number in a manner similar to that used for allegations again:.t licensees and vendors. This filing system will not be organized by employee name. The Office Allegations Coordinator will maintain this file in a secure storage cabinet.
If the allegation pertains to an NRC employee from another office, the NRR Deputy Director will inform the Deputy Director or Deputy Regional Administrator of that office.
6.
The NRR Deputy Director will promptly attempt to contact the alleger to state that the allegation was received and to confirm the details provided by the alleger.
If the alleger is reached, the NRR Deputy i
Director will document a summary of the telephone conversation with the alleger as soon as possible.
If the alleger is willing, the Deputy Director will obtain a written allegation from the alleger.
7.
Upon receiving the information, the NRR Deputy Director will (a)
Make a preliminary determination as to whether the allegation is within one of the following categories:
All NRR Employees,
(I) wrongdoing, i.e.. willful act of misconduct or impropriety
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(normally handle by OIG)
(2) matters of conduct or performance of duties exclusive of wrongdoing (normally handled by NRR)
(b)
Contact the Assistant Inspector General for Investigations to l
discuss the allegation, and decide whether the matter should be handled by the DIG or the NRR staff. The NRR Deputy Director should recommend to the OIG the staff's preference but the IG's decision on the matter is final. The Deputy Executive Director for Nuclear Reactor Regulation, Regional Operations and Research should be contacted for guidance if the NRR Deputy Director does not agree with the IG's decision.
8.
If the allegation is referred to the OIG, the matter will be handled in accordance with HD 7.4 (formerly MC 0702), " Notification and Investigation of Misconduct". The NRR Deputy Director will document the referral in the file and the file will be closed. The Deputy Director will ask the OIG whether the employee and additional line management can be infi ~. d of the allegation and its referral to the OIG. The informamon will be disseminated in accordance with the desires of the OIG. The Deputy Director will document in the file the OIG's position on informing the employee and line management, and will indicate whether this information was provided and to whom.
9.
If NRR is to resolve the allegation (a)
The NRR Director will decide whether the nature of the allegation i
is such that the accused employee should be precluded from participating in any activities related to the licensee or vendor or work activity described in the allegation.
l (b)
The NRR Deputy Director will inform the Division Director (DD) of i
the individual (s) listed in the allegation and authorize release of information contained in the file to the DD.
(c)
The DD will inform the affected employee of the issue (s) and obtain the employee's written statement of the events. This will help to prevent distortion of information. The source of the allegation will not be revealed to the employee at this time.
(d)
The DD will advise the affected employee not to contact any involved or suspected licensee or vendor directly or to attempt
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to resolve the allegation independently.
(e)
After receiving the employee's written statement of the issue, the DD will inform the NRR Deputy Director of the following:
(I) further follow-up actions to ascertain additional facts and i
to evaluate significance, such as to interview alleger, other licensees, vendors, or co-workers or to evaluate work patterns j
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All NRR Employees !
(2) recommendations, as appropriate, for remedial actions (3) the plan, including a schedule for implementation, to l
execute any of the above j
(f)
After reviewing all information presented, the NRR Deputy Direct 9r will recommend a course of action to the NRR Director who will approve it. The DD is responsible for implementing the approved action plan in a timely manner with frequent status reports to the NRR Deputy Director.
(g)
If the allegation is found to be without merit, the DD will inform the employee, in writing, of that conclusion after obtaining the approval of the NRR Deputy Director.
(h)
If the allegation is substantiated, the DD will consult with the cognizant Associate Director and the Office of Personnel on what appropriate actions should be taken and will advise the NRR Deputy Director.
The DD will inform the employee that the allegation was substantiated.
Before any action is taken against an employee based on an allegation, the employee has the right to be informed of all the facts surrounding the allegation, including the identity of the alleger.
(i)
The NRR Deputy Director will notify the alleger in writing noting NRC has addressed the concern and stating whether or not the allegation wos substantiated. No details of any personnel action should be included. A copy of the correspondence will be placed in the file. The NRR Deputy Director will begin any appropriate remedial action.
EFFECTIVE DATE This office letter is effective immediately.
Thomas E. Murley, Direc or Office of Nuclen.- Reactor Regulation cc:
J. Taylor J. Sniezek D. Williams P. Bird T. Martin, RI S. Ebneter, RII A. Davis, RIII J. Milhoan, RIV J. Martin, RV OGC SECY NRC PDR
j February 26,'1993
-l i
All NRR Employees :i (2) recommendations, as appropriate, for remedial actions (3) the plan, including a schedule for implementation, to i
execute any of the above (f)
After reviewing all information presented, the NRR Deputy Director i
will recommend a course of action to the NRR Director who will l
approve it. The DD is responsible for implementing the approved i
action plan in a timely manner with frequent status reports to the i
NRR Deputy Director.
(g)
If the allegation is found to be without nerit, the-DD will inform 1
the employee, in writing, of that conclusion after obtaining the 4
approval of the NRR Deputy Director.
l t
(h)
If the allegation is substantiated, the DD will consult with the cognizant Associate Director and the Office of Personnel on what appropriate action.s should be taken and will advise the NRR Deputy j
Director. The DD will infora the employee that the allegation was i
substantiated.
Before any action is taken against an employee 1
based on an allegation, the employee has the right to be informed of all the facts surrounding the allegation, including the i
identity of the alleger.
3 1
(i)
The NRR Deputy Director will notify. the alleger in writing noting NRC has addressed the concern and stating whether.or not the
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allegation was substantiated. No details of any personnel action l
should be included. A copy of the correspondence will_ be placed in the file. The NRR Deputy Director will begin any appropriate remedial action.'
i EFFECTIVE DATE l
This office letter is effective immediately.
(original signed by)
Thomas E. Hurley, Director Office of Nuclear Reactor Regulation cc:
J. Taylor J. Sniezek D. Williams l
P. Bird l
T. Martin, RI S. Ebneter, RII A. Davis, RIII
't J. Milhoan, RIV 4
J. Martin, RV OGC SECY I
Distribution and Concurrence:
see next page i
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i
February 26, 1993 i
All NRR Employees (OL 1004) l Dist ribution:
Central Files PMAS:NRR -
RIngram (Orig + 5)
RIngraml^
2/6/93 i
- See previous concurrence i
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OFC:
AC:NRR TECH EDITOR DD:DRIL:NRR D:DRIL:NRR PMAS NAME:
JLee:cm*
JMain*
RZimmerman*
CERossi*
FGillespie*
DATE:
12/02/92 11/06/92 12/02/92 2/05/93 12/14/92 l
0FFICE OGC ADAR:NRR ADT:NRR ADPR:NRRO DD:A'Rf(
l HAME JGoldberg*
DMCrutchfield WTRussell*
JPartlowi[
FMirkt a
DATE 2/01/93 2/02/93 2/4/93 2fN'/93 2#h/93
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COPY YES NO YES NO YES NO NO YES i NO V
0FFICE 4rtAP/
'iEMurley NAME DATE 2MS/93 i
COPY YES NO YES NO YES NO YES NO YES NO OFFICE RECORD COPY DOCUMENT NAME: 0L1004 i
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- See previous concurrence OFC:
AC:NRR TECH EDITOR DD:DRIL:NRR D:DRll:NRR__
PMAS NAME:
JLee:cm*
JMain*
RZimmerman*
CEkos[8C FGillespie*
DATE:
12/02/92 11/06/92 12/02/92 Y$5f3$/-N73 12/14/92 r, li i
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NO NO YES NO 0FFICE D:NRR NAME TEMurley DATE 12/ /92 COPY YES NO YES NO YES NO YES NO YES NO OFFICE RECORD COPY DOCUMENT NAME: OL1004 i
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j All NRR Employees (f)
After reviewing all information presented, the NRR Deputy Director will recommend a course of action to the NRR Director who will approve it. The DD is responsible for implementing the approved action plan in a timely manner with frequent status reports to the NRR Deputy Director.
l (g)
If the allegation is found to be without merit, the DD will inform i
the employee, in writing, of that conclusion after obtaining the i
approval of the NRR Deputy Director.
(h)
If the allegation is substantiated, the DD will consult with the cognizant Associate Director and the Office of Personnel on what appropriate actions should be taken and will advise the NRR Deputy l
Director. The DD will inform the employee that the allegation was i
substantiated. Before any action is taken against an employee i
based on an allegation, the employee has the right to be informed l
of all the facts surrounding the allegation, including the j
identity of the alleger.
(i)
The NRR Deputy Director will notify the alleger in writing noting NRC has addressed the concern and stating whether or not the allegation was substantiated.
No details of any personnel action should be included. A copy of the correspondence will be placed in the file. The NRR Deputy Director will begin any appropriate remedial action.
EFFECTIVE DATE This office letter is effective immediately.
Thomas E. Murley, Director Office of Nuclear Reactor Regulation-cc:
J. Taylor OP OGC J. Sniezek MFox 12/ N-i D. Williams
- See previous concurrence 12/14/92 e.) lah Rlli P. Bird 4
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0FC:
AC:NRR TECH EDITOR DD:DRll:hRR D:DRIL:NRR
/
NAME:
JLee:cm
- JMain
- RZimmerman'*
CERossi
- brig.
DATE:
12/ p/92 11/06/92 12/ 2 /92I 12/ 3 /92 h2hk f
0FC:
ADAR:NRR /
ADT:NRR ADPR:NRR$
DD:NRR D:NRR NAME:
DMCrutchfield WTRussell JPartlow l FMiraglia TEMurley l
DATE:
12/ /92 12/ /92
'12/ /92l 12/ /92 12/ /92
)
0FFICIAL RECORD COPY f
i
~
I All NRR Employees >
(f)
After reviewing all information presented, the NRR Deputy Director will recommend a course of action to the NRR Director who will approve it. The DD is responsible for implementing'the approved action plan in a timely manner with frequent status reports to the i
NRR Deputy Director.
(g)
If the allegation is found to be without merit, the' DD wil. inform r
the employee, in writing, of that conclusion after obtaining the approval of the NRR Deputy Director.
(h)
If the allegation is substantiated, the DD will consult with the i
cognizant Associate Director on what appropriate actions should be taken and will advise the NRR Deputy Director. The DD will inform the employee that the allegation was substantiated.
Before any i
action is taken against an employee based on an allegation, the employee has the right to be informed of all the facts surrounding the allegation, including the identity of the alleger.
l (i)
The NRR Deputy. Director will notify the alleger in writing noting NRC has addressed the concern and stating whether or not the allegation was substantiated. No details of any personnel action t
should be included. A copy of the correspondence will be placed in the file. The NRR Deputy Director will begin any appropriate remedial action.
EFFECTIVE DATE j
This office letter is effective immediately.
l i
Thomas E. Murley, Director I
Office of Nuclear Reactor Regulation cc:
J. Taylor i
J. Sniezek OP MFox
'j D. Williams
-P. Bird
/
12/1g2d M [
0FC:
AC:"4RR TECH EDITOR DD:DRIL:NRR DIDRJL:NRR PMAS f
NAME:
b:cm JMain RZimherman bdb l
DATE:
12N/92 11/06/92 12/R/92 12/ 3 /92 12f
/92--
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OFC:
ADAR:NRR ADT:NRR ADPR:NRR DD:NRR D:NRR
_NAME:
DMCrutchfield WTRussell JPartlow FMiraglia TEMurley f
DATE:
12/ /92 12/ /92 12[ /92 12/ /92 12/ /92 I
0FFICIAL RECORD COPY
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Document Name: OL1004
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