ML20057E552
| ML20057E552 | |
| Person / Time | |
|---|---|
| Issue date: | 07/28/1993 |
| From: | Sniezek J NRC OFFICE OF THE EXECUTIVE DIRECTOR FOR OPERATIONS (EDO) |
| To: | |
| References | |
| NUREG-BR-0075, NUREG-BR-0075-9, NUREG-BR-0075-R2, NUREG-BR-75, NUREG-BR-75-9, NUREG-BR-75-R2, NUDOCS 9310120283 | |
| Download: ML20057E552 (10) | |
Text
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,j NUCLEAR REGULATORY COMMISSION WASHINGTON D.C. 20566 4101 July 28, 1993 MEMORANDUM FOR:,See Distribution List (IMX)
FROM:
James H. Sniezek Deputy Executive Director for Nuclear-Reactor Regulation, Regional Operations and Research
SUBJECT:
FIELD POLICY MANUAL (FPM)
Enclosed is Field Policy No.19, " Guidance for Recomending Third Party Assistance to Licensees" which is being issued as an addition to the Field Policy Manual. Any coments or suggestions pertaining to the FPM should be directed to the Chief, Regional Operations Staff, DEDR.
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ames H. Sniezek e uty Executive Director or Nuclear Reactor Regulation, Regional Operations and Research
Enclosure:
Field Policy Manual No. 19 0
9310120283 930728 PDR NUREO BR-0075 R PDR_.
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FIELD POLICY MANUAL Transmittal Superseded Notice _
D.itti Number i
93-01, P.evision 2 July 28, 1993 93-01 4
dated March 22, 1993 l
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FIELD POLICY MANUAL TABLE OF CONTENTS Policy Number Title 1
Coordination with FBI 2
Regional Operating Plans 3
Response to Private Litigants and State or Federal Agencies Seeking Testimony or Documents 4
Board Notification l
5 Counterpart Meetings l
6 Regional Office Management Meetings I
7 Availability of Senior Regional Managers 8
Resident Inspector Relocation Policy 9
NRC Review of INP0 Documents 10 Conduct of Employees 11 Commissioner Travel to Licensee Sites and State Officials 12 Coordination of NRC Activities at Power Reactor Facilities 13 Witnessing Unsafe Situations 14 NRC Interaction with NUMARC 15 Freedom of Information Act (F0IA) -
Release of Senior Management Meeting Information 16 Communications Between the NRC Staff and the Commissioner's Offices 17 Periodic Press Briefings 18 Guidelines for Granting Exceptions to the i
N+1 Policy for Assigning Resident Inspectors i
to Multi-Unit Reactor Sites 19 Guidance for Recommending Third Party Assistance to Licensees l
r Issue Date:
July 26, 1993 NRC FIELD POLICY MANUAL FOREWORD PURPOSE The NRC Field Policy Manual (FPM) provides policy and guidance to Office Directors and Regional Administrators from the EDO. This Manual is a compilation of ED0 policies that are intended to establish the necessary degree of operational consistency among NRC offices and the regions.
CBJECTIVES To aid managers and writers in planning and developing clear, accurate and l
effective field policies.
To ensure consistency in the format and content of field policies.
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DEFINITIONS NRC Field Policy Contains statements of policy, defines responsibilities and authorities and establishes requirements related to managing and implementing the functions of Os Headquarters and Regional Offices.
Each policy also describes office interfaces, coordination and management practices that should be used in i
implementing field policies.
The FPM will not duplicate material in the NRC Management Directives or guidance documents from the NRC Headquarters Offices such as the NRC Inspection Manual.
RESPONSIBILITIES AND AUTHORITIES Deputy Executive Director for Nuclear Reactor Reculation. Recional Operations and Research (DEDR)
A;, proves NRC Field Policies.
Chief. Reoional Operations Staff. DEDR Identifies topics to be addressed in the FPM.
Assigns re:ponsibility for the preparation of NRC field policies on a case-by-case basis.
Administers the NRC FPM system.
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Reaional Administrators e
Adhere to NRC field policies and the guidance of Headquarters Office Directors in implementing those portions of the NRC programs that have been delegated to the Regions.
1 Recommend to the DEDR new NRC field policies or appropriate revisions to existing policies.
Hgadouarters Offices Remain aware of and implement NRC Field Policies that may affect office policy and guidance that apply to regional operations under their purview.
t Recommend to the DEDR new NRC field policies or appropriate revisions to existing policies.
FORMAT AND CONTENT OF NRC FIELD POLICIES NRC Field Policies NRC field policies define policy, provide guidance in implementing the policy, and list references to the NRC directives, memoranda or management decisions that are the basis for the policy.
Each policy will contain the following:
Policy number and title Statement of Policy Issue date Revision number and date Guldance on implementing the policy References Policy numbers will be assigned by the DEDR staff.
PREPARATION, REVISION, DISTRIBUT!D", AND REMOVAL OF NRC FIELD POLICIES Preparation New or revised policies will be circulated for review and comment or discussed with the cognizant headquarters offices and Regions during their development.
Recuests for Guidance. Revisions and New Policies Such requests should be addressed to the DEDR.
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Distribution l
I Approved policies will be printed and distributed by the Office of Administration and the Office of Information Resources Management per l
distribution list 1 MX.
Effective Dates i
Each NRC field policy will become effective on the date of issuance unless otherwise indicated in the policy. The issue date appears on the first page f
of each policy.
j Partial Revisions Revisions will be made by page changes. Hand written changes will not be used for partial changes. Revised material on a page will be indicated by asterisks in the right-hand margin that encompasses the revised material.
Plain Writina Standards Policies will be written in a readable style that can be readily understood.
Requirements for action will be clearly stated 7.nd will include who, when, l
where, how and why.
Chtnaes Notices i
A Change Notice will accompany each change to the NRC FPM. The notice will list the material that is transmitted or superseded and will include an updated Table of Contents.
Each notice will be numbered serially in each 1
calendar year; i.e., 90-01, 90-02.
Removal Field policies may become obsolete, be overtaken by events, or be encompassed by another agency program or procedure.
Field policies removed under these i
circumstances will be so indicated by a Change Notice.
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Issue Date: July 28, 1993 l
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FIELD POLICY MANUAL NO. 19 - GUIDANCE FOR RECOP9 TENDING THIRD PARTY ASSISTANCE TO LICENSEES l
Policy I
On occasion licensees ask agency employees for recomendations for obtaining
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help solving programatic problems. This can create problems inasmuch as agency employees are prohibited from recomending the services of one or more people or organizations for a project under NRC regulatory jurisdiction.
Providing such a recommendation violates 5 C.F.R. 2635.702, which prohibits Federal employees from using public office for endorsement of any product, t
service, or enterprise. However, the agency also has an obligation to provide assistance where possible in helping individual licensees solve problems where the health and safety of the public is involved.
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Guidance The following guidance is provided to assist employees who receive requests for assistance froli licensees. Sperific procedures implementing this guidance should be available in each region, NRR, and NMSS. There are two cases presented. Case #1 is for use when a licensee has a programatic problem.
l This case allows time for the licensee to conduct research in obtaining assistance. Case #2 is for use when an imediate health and safety problem exists.
Case 1: An NRC employee receives a request for third party assistance from a licensee.
1.
The employee shall as soon as practical notify his or her management.
2.
Following consultation with management, the staff member may refer the requestor to any of the following sources:
a.
The current version of the Nuclear News Buyers Guide.
If not otherwise available to the requestor, a copy of the Buyers Guide can be obtained by contacting the American Nuclear Society (Attn:
Accounting Department), 555 N. Kensington Ave., La Grange Park, Illinois 60525.
b.
A licensee that has solved a similar problem (consult with office / regional management prior to providing the name). When providing the name of a licensee who has solved a similar problem, take special care that a perception of conflict of interest is not created and that the licensee is not under an 01 investigation for misconduct.
c.
An appropriate professional society such as the American Society for Mechanical Engineers or the Health Physics Society.
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For materials or medical licenses, the staff member may recommend the following professional groups as a reference source:
(This list is not exhaustive and others may be added after confirming that they are willing to assist in identifying third party sources of assistance.)
American Academy of Health Physics, Secretariat 8000 West Park Drive McLean, Virginia 22102 Telephone:
703-790-1745 American Association of Physicists in Medicine 335 E. 45th Street New York, New York 10017 Telephone:
212-661-9404 (moving to Washington, DC area in late 1993)
Society of Nuclear Medicine /American College of Nuclear Physicians Government Relations 1101 Connecticut Avenue, NW Washington, DC 20036 Telephone: 202-429-5120 American College of Medical Physicists 1891 Preston White Drive Reston, Virginia 22091 Telephone:
703-648-8966 Note: Regions may want to keep a list of local chapters in their regions for referral purposes.
Case 2: An immediate health and safety issue exists and it is not practical to take the action detailed in Case #1.
1.
Refer the licensee to an appropriate equipment manufacturer.
2.
Consult with NRC management (NRR, NMSS, or regional office).
Following management approval the employee may refer the licensee to one or more qualified prompt safety assistance.ponsultants/ contractors who can provide Special care should be taken in connection with providing recomendations concerning consultants with whom the recommending staff has a personal or long standing relationship.
3.
Following the action, document the event and the justification for the action, and provide a copy to the EDO.
'If the issue is so immediate that it would not be practical to consult with NRC management before referring the licensee to someone who could provide the necessary prompt safety assistance, the employee should make the referral first, and then inform NRC management and document the event and justification.
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References 1.
Letter from.1. Taylor to Regional Administrators, NRR, and NMSS dated July 15, 1993, discussing "Recomending Third Party Assistance to Licensees."
2.
SRM dated July 14, 1993, discussing "COMSECY-93-034 - Recomending Third Party Assistance to Licensees (0IG Report 91-72A)."
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