ML20197G584
| ML20197G584 | |
| Person / Time | |
|---|---|
| Issue date: | 01/06/1984 |
| From: | Dircks W NRC OFFICE OF THE EXECUTIVE DIRECTOR FOR OPERATIONS (EDO) |
| To: | NRC |
| Shared Package | |
| ML20197G396 | List: |
| References | |
| NUDOCS 8406150326 | |
| Download: ML20197G584 (7) | |
Text
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2 WASHINGTON, D. C. 20885 k.....
January 6, 1984 i
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MEMORANDUM FOR:
Office Directors Regional Administrators FROM:
William J. Dircks
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Executive Director for Operations
SUBJECT:
POLICY IN REGARD TO DEALING WITH THOSE WHO PROVIDE INFORMATIO.N TO THE NRC Our policies in dealing with persons bringing irregularities and deficiencies in safety perfonnance to our attention require clarification and emphasis in order to assure that they are dealt with properly and the issues they raise are correctly treated.
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NRC resources must be utilizeil in ways which maximize our ability to key on safety related problems.
Citizens who voluntarily step forward with information regarding safety matters must be looked on as a valuable adjunct to our programs. Moreover, a part of NRC's effectiveness and
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credibility with the public is a fo'nction.of our relationships with these people.
In this regard we should be professionally. courteous in-our interfaces, complete in our technical reviews of issues they raise and observant of procedures which recognize the special problems faced by persons who come to us with allegations regarding improper safety conditiens and practices.
I I am asking IE to take the enclosure of this memo and translate it into Manual Chapter fomat.
I will expect them.to coordinate the MCM with you once more, although I am awa.t many of your comments have been incorporated.
In the meantime, it will serve as interim guidance with one exception; before directing that citizens must be advised of their privilege of anonymity I wish to clear this point with the Comission and will do so when IE provides me the MCM for approval.,
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William. Dircks Executive Director l
for Operations l
Enclosure:
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l POLICY IN REGARD TO DEALING WITH THOSE WHO PROVIDE INFORMATION TO THE NRC i
General Issues 1.
Those who provide allegations to NRC staff must be treated with respect, consideration and tact. Under no circumstances should they be dealt with brusquely or under an atmosphere of interrogation.
2.
When a number of allegations point to or reinforce indications of a 1
broader problem it is appropriate to assume that such a problem may exist.
Prompt action to. broaden the scope of our inquiry should then be taken to determine whether or not such is the case.
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3.
While the safety significance of-an-allegation is-an important factor in detemining the extent and promptness of staff resources comitment, l
it should not affect the staff treatment of the person making the allegation as given in Item 1 above.
NRC Procedural Practices 1.
When allegations are received in writing, a prompt attempt to make personal contact must ordinarily be made in each case. When received E
telephonically, complete details should be acquired along with availability of the person making the allegation to meet with NRC.
If documents are involved, they should be identified and acquired by NRC i
-- the person making the allegation should not normally be required to
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obtain them.
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. 2.
Contact, when made, should draw an interested and professional response from NRC.
I am directing IE to prepare a simple package that can be provided to individuals making allegations and will make clear to them
,l how NRC deals with allegations.
3.
Follow-up on allegations, whether they are general or specific, should focus not only on the specific allegation but on the overall area of concern, including the potential for generic implications.
4.
Allegations should be screened for importance and the more serious addressed first.
Serious or not, all allegations should be addressed as promptly as resources will allow.
5.
When a plant visit with a person making the allegation is necessary to find the exact location of a problem and the individual is willing to make such a visit, it should be made.
Access issues should be addressed on a case by case basis. Travel costs for the individual can be offered if necessary.
Care should be taken to avoid embarrassment or abuse of the individual, e.g., visit can be scheduled for an off-shift / weekend, licensee accompaniment prohibited, etc.
6.
When responsibility for the handling of an allegation is transferred from one organizational unit to another the person making the allegation should be notified 'by the individual who is relieved as contact in order to assure continuity. A single point of contact should be the rule.
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. 7.
Follow-up of allegations should be professional in scope and depth.
If I
it is appropriate that an inspection be made, it should be made.
8.
Without exception, the individual making the allegation should be promptly advised of the results of inspection follow-up action so that they are aware that their problems were addressed.
If for some reason there is unusual delay in providin'g the results, the person should be advised so that he does not feel his allegations are being ignored.
9.
An " audit trail" - to include personal interview records - should be established so that NRC actions can be properly justified if necessary.
All allegations should be entered in the allegation tracking system.
- 10. The final report should set forth the facts clearly, dispositively, and in a style that does not belittle or disparage the person who brought a safety matter to our attention.
Licensee Actions 1.
Licensees should be encouraged to take allegations seriously.
Programs sucts as interviews of all employees who terminate should be encouraged.
Such programs should be monitored by NRC.
Licensee actions do not relieve us of our responsibilities,' but effective licensee actions may
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reduce somewhat the number of allegations we receive.
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. i 2.
It should be advantageous under some circumstances to have the lic.ensee address the validity of allegations to the NRC.
If so, confidentiality must not be breached.
Licensees can be asked to address the validity of allegations only if in so doing the person making the allegation is not exposed. One vehicle for accomplishing this is a 50.54(f) letter.
The person making the allegation must be informed that this is not handing the issue over to the licensee, but that NRC will review the licensee's t-report.
Such a review should, of course, not be peremptory.
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Confidentiality i
1.
Staff should recognize that in many cases individuals making allegations f
feel that they lay their' jobs on the line when they approach the NRC.
All our activities must be sensitive to this, even when no explicit confidentiality agreement has been executed.
Identities of sources will not be voluntarily exposed by the NRC unless it is clehr that the individual concerned has no objection.
As a general rule, the 'need to know' approach should be used when dealing with the protection of an person's identity.
2.
Staff shoul,d assure that it is clear to all concerned if and on what terms anonymity of a person making an allegation is to be protected.
In every case the individual shall be asked if anonymity is desired. A clear record should be maintained for the files to preclude later mis-understandings. AdonfidentialityAgreement(seeattachment)shouTdbe executed with the individual, if necessary and possible.
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I.f at any time for any reason confidentiality is breached or jeopardized, the person should be so advised, the reason explained and remedial measures taker if possible.
Attachment:
Confidentiality Agreement 1
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'[l CONFIDENTIALITY AGREEMENT
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I have information that I wish to' provide in confidence to the U.S. Nuclear Regulatory Cor:nission (HRC9 I_requesti an express pledge of confidentiality 4
as a condition of providing' triis :information to the NRC.
I will not provide this information voluntarily to the NRC without such confidentiality being extended to me.
It is ey understanding, consistent. with its legal obligations, the NRC, by acreeino to this confidentiality. will adhere to the following conditions:
(1) The iGC will not identify me by name or pers.onal identifier in any HRC initiated document, conversation, or communication released,to the public which 1'
relates directly to the information provided by me.
I unkrstand the. term "public release" to encompass any distribution outside of the NRC with the exception of ether public agencies which may require this information in futherance of their,
i responsibilities under law or publiq trust.
(2) The NRC will disclose my identity within the NRC only 'to the extent re-ouired for the conduct of NRC related activities.
(3)
During the course of the inquiry or investigation the NRC will also make every effort consistent with the investigative needs of the Co=nission to avojd actions which wculd clearly be expected' to result in the disc 1csure of my ident-ity to persons subseouently contacted by the NRC.
At a later stage I understand that even though the NRC will make every reasonable effort to protect my identity, i
cy identification co~uld be compelled by orders or subpoenas issued by courts of itu, hearing boards, or similar legal entitites.
In sucy cases, the basis for granting this promise of confidentiility and any other relevant facts will be comunicated to the authority ordering the. disclosure in an effort to maintain.
my cc.nfidentiality.
If this effort proves unsuccessful, a representative of the NRC will attempt to inform me of any such action before ' disclosing my identity'.
I I also understand that the HRC will consider me to have waived my right to con-fi'dentiality if 1 take any action that may be reasonably expected to disclose my*
l identity.
I further understand that the HRC will consider me to have waived my rights to confidentiality if I provide (or have previously provided) information to ar.y cther party that centradicts the information that 1 prccided to the URC
- - " circu. stances incicate that I am intentienhily provicing faise information t~ the URt.
Mher Cencitions:- (ij, any) 4 I'have read and fully ur.derstand the contents of this agreement.
I agree with i s'previsiens.
Datt
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Address:
A; reed to on behalf of the US Huclear Regulatory Commission.
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Late Signature Name:
T,itle:
ENcLcSURE w
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