ML20199G522
| ML20199G522 | |
| Person / Time | |
|---|---|
| Issue date: | 01/29/1998 |
| From: | Callan L NRC OFFICE OF THE EXECUTIVE DIRECTOR FOR OPERATIONS (EDO) |
| To: | Collins S, Lieberman J, Paperiello C NRC (Affiliation Not Assigned), NRC OFFICE OF ENFORCEMENT (OE), NRC OFFICE OF NUCLEAR MATERIAL SAFETY & SAFEGUARDS (NMSS) |
| Shared Package | |
| ML20199G527 | List: |
| References | |
| NUDOCS 9802040292 | |
| Download: ML20199G522 (4) | |
Text
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pe ct:
p g UNITE] STATES NUCLEAR REGULATORY COMMISSION
- 'f WASHINGTON, D.C. 3084H001
%Q. . .!..l January 29, 1998 MEMORANDUM TO: Samusi J. Collins, Director, NRR Carl J. Papriello, Director, NMSS James Lieberman, Director, OE Guy P, Caputo, Director,01 Richard L. Bangart, Director, OSP Hubert J. Miller, Regional Administrator, RI Luis A. Reyes, Regional Administrator, Ril A. Bill Beach, Regional Administrator, Rlll Ellis W. Morschoff, Regio al Administrator, RIV FROM: L. Joseph Callan O Executive Director for perations SUBMCT: ALLEGATION GUIDANCE MEMORANDUM 98 INFORMING ALLEGERS AND LICENSEES OF COMPLETION OF INVESTIGATIONS BY THE OFFICE OF INVESTIGATIONS The purpose of this Allegation Guidance Memorandum (AGM) is to provide additional guidance on informing allegers and licensees' of the completion of investigations by the NRC's Office of Investigations (01). This AGM also provides guidance on the release of synopses of 01 reports to parties to a Department of Labor (DOL) proceeding before an Adminis'.rative Law Judge. This j subject was the topic of a memorandum from the Director, Office of Enforcement (OE), dated July 14,1997, and a discussion topic at the recent Allegation Coordinators Counterpart Meeting.
Part II, Section (D)(3)(b), of Handbook 8.8 in Management Directive 8.8 (MD 8.8),
' Management of Allegations,' states that if an 01 report m the primary document relied on in the
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resolution of an allegation, the alleger or confidential source should be provided with the j synopsis of the report after NRC enforcement or Department of Justice (DOJ) action has been l completed. MD 6.8 does not address who should provide the synopsis to the alleger or mnfidential source. MD 8.8 also does not address releasing synopses of Ol reports to parties (f
to a DOL proceeding prior to completion of NRC's enforcement action. j I
During the recent review of the allegation process by the General Accounting Office, ' Industry DUN Cor,cerns With Federal Whistleb!ower Protection System," GAO/HEHS97-162, the industry 1
The term Scensee as used in this AGM includes licensees, applicants, contractors, and certificate holders. _ --
Contact:
TW-l%G Edward T. Baker, Ill, NRR i, ,b (! !,!
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- b 2 l commented that licensee employees often don't know when an investigation has ended.
Therefore, this AGM also provides guidance on notifying licensees of the completion of an 01 investigation. Once notified, the licensee is responsible for notifying appropriate employees j that the investigation has been completed.
NOTIFICATION WHdN NO ENFORCEMENT ACTION IS INTENDED 4
Following the issuance of an 01 report, ths staff determines whether enforcement is warranted.
- in those cases where enforcement is not warranted, the Office of Enforcement issues a ;
memorandum stating that it does not appear that enforcement is warranted and provides three
" weeks for the staff to review the report and provide dissenting views. When OE issues the
-*three-week' memorandum stating that it does not appear that enforcement is warranted, the region or office responsible for the allegation will prepare letters informing the alleger and the licensee that the investigation has been closed and provide the results of the investigation. The l 01 synopsis will be provided as an attachment to the letters.8 At the end of the three week period, the letters can be sent, provided the approving official of the 01 report and the Director, OE, concur in the letter to the licensee. Their concurrence indicates no dissenting views were received or the dissenting views were resolved, DOJ declined the mse or completed its action, and the NRC does not intend to take enforcement action on the wrongdoing issue. Copies of both letters are to be placed in the allegation file and a copy of the letter to the licensee is to be
. placed in the public document room, i
- hlQ,TIFICATION WHEN AN ENFORCEMENT ACTION IS PENDING When an enforcement action is pending, the alleger canr'ot normally be informed of the results
- of the investigation until the licensee is informed. The licensee is informed of the results through the issuance of a letter informing them that the NRC is considering an issue for escalated enforcement and inviting them to an enforcement conference or offering them the choice of responding in writing. A copy of the letter to the licensee and the synopsis of the 01
- report shall be sent to the alleger at the time it is sent to the licensee. The concurrences on the
- letter to the licensee are those required by the enforcement process and they also serve as the -
approval to provide the synopsis to the alleger,8 Copies of both letters ure to be placed in the allegation file hnd a copy of the letter to the licensee is to be placed in the public document room.
i
. RELEASE OF 01 SYNOPSES CONCERNING INVESTIGATIONS OF DISCRIMINATIOl TO PARTIES TO DOL PROCEEDINGS In those instances where 01 completes its investigat!on of a discrimination conoom with a finding on the merits and issues the report to the staff prior to completion of a hearing before a -
2 i .
If the region or offlee believes the rebr3e of the 01 synopsis may reveal the identity of the alleger, it is soceptable to paraphrase the 01 synopsis in the letter to the licensee or contractor rather than attach the synopsis, 5 3 If the enforcement action is against an individual, without an accompanying action against a license <. or contractor, OE should be contacted before providing the synopsis to the alleger.
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3 DOL Administrative Law Judge on the same discrimination concern, the str.ff may inform the parties to the DOL proceeding of Ol's conclusion after coordinating with OE. After coordinating with DOJ, OE will determine when the parties to the DOL proceeding will be informed of the Ol's conclusion. OE willinform the responsible region or office of its decision during the weekly conference call or in th a stee week memorandum. Once OE has approved releasing Ol's findings to the parties to the hearing, the responsible region or office will prepare the transmittal letters. The letters willinform both parties of Ol's conclusion and note that the conclusion is under review by the staff and is not the final agency positio1. The synopsis will be included as an attachment.' The letter should also inform both parties that the complete report may be requested under the Freedom of Information Act.
The letter to the licensee or contractor will be concurred in by the Director, OE and the approving official of the Ol report. A copy of the letters will be placed in the allegation and eriforcement files.
l TRAINING The allegation coordinators in each region and office are requested to discuss this guidance v/th staff members currently wo.ning on allegations. In addition, future training sessions should cover this guidance.
REVISION OF OFFICE LETTERS AND REGIONAL INSTRUCTIONS
, Office letters and regionalinstructions should be revised to reflect this guidance. Attematively, j this AGM may be forwarded to the staff as interim guidance pending revision of MD 8.8.
IMPLEMENTATION This AGM la effective as of the date of issuance and will be fully implemented within 30 days, d
if a predecisional enforcement conference is to be held for a oiscrimination concem, the Director, OE will decide whether the licensee will be provided a redacted copy of the Ol report rather than the synopsis. If the redacted report is provided to the licensee, the redacted report will be placed in the PDR and the alleger will also be provided a copy of the redacted report.
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January 29, 1998 I
DISTRIBUTION:
File Center /PUBLIC l EBaker DHolody, R1 DVito RI ABoland, Ril ODaMiranda, RIl l
BClayton, Rlli JHopkins, Rill GSanborn, RIV RWise,_RIV JLee, NRR RO'Connell, NMSS JCallan E00 DOCUMENT NAME: p:AGM97 01,WPD
- see previous concurrence 4
$6 kg >
To r ceive e copy of thle document, Indicate ki the tion: *C' = Copst withouAenclosures *E' = Copy with enclosures *N* = No copy t
OFFICE NRR . C DDa & )MB(J D:01 D:0E NAME EBaker*{2$'74p FHig)bFla V@C5$/hs GCaputo* JLieberr:an*
DATE 12/8/97 1// k/97 _ /' 1/7/(197 12/11/97 12/8/97
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OFFICE- OGC - 46 V EDO / E00 /}f EDO , C NAME SBurns NA 0 HThdphp- AThadani LJE$tian DATE 1&//9/97 1!?/M/( 1)?/7h97 12//T797 0FFICIAI. RECORD COPY i
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