ML20212E590
| ML20212E590 | |
| Person / Time | |
|---|---|
| Issue date: | 01/27/1984 |
| From: | Brown R NRC OFFICE OF NUCLEAR MATERIAL SAFETY & SAFEGUARDS (NMSS) |
| To: | NRC OFFICE OF NUCLEAR MATERIAL SAFETY & SAFEGUARDS (NMSS) |
| Shared Package | |
| ML20209C229 | List: |
| References | |
| FOIA-86-183 NUDOCS 8608130092 | |
| Download: ML20212E590 (2) | |
Text
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$AW2.]1984 i
MEMORANDUM FOR:
Division Directors, Deputy Directors and Branch Chiefs, NMSS FROM:
R. S. Brown, Jr., Assistant to the Director and Chief, Program Support Branch, NMSS i
SUBJECT:
M SS POLICY AND PROCEDURES LETTER l POLICY IN l
REGARD TO DEALING WITH THOSE WHO PROVIDE INFORMATION I
TO THE NRC The attached Pol. icy and Procedures letter with enclosed memorandum from i
Mr. Dircks is provided for your information and retention. With the exception l
of the section dealing with citizens' priviledge of anonymity, the policy state-ment transmitted with Mr. Dircks memo is to serve as interim guidance, pending completion of the NRC Manual Chapter on this subject.
Ort;'nal s < engc.,,,
R. E.3rc:2, J:,
R. S. Brown, Jr., Assistant to the
' Director and Chief, Program Support Branch, WSS
Enclosure:
NMSS Policy and i
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t NMSS Policy and Procedures Letter 1-27 POLICY IN REGARD TO DEALING WITH THOSE WHO PROVIDE INFORMATION TO THE NRC
Purpose:
To establish a formal policy for dealing with those who provide information to the NRC regarcing irregularities and deficiencies in safety performance or other safety related matters.
Policy:
The attached memorandum and enclosure of January 6,1984 from William J. Dircks, EDO, will serve as interim guidance on this subject, with the exception of the statements on page 4 regarding confidentiality. Thi.t point must be cleared with the Commission before it becomes a part of NRC 9o11cy.
This interim guidance sh'all remain in effect until superseded by the NRC Manual Chapter on this subject.
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/ John G. Davis, Director Office of Nuclear Material Safety and Safeguards
Enclosure:
Memo and attachment from EDO to Office Director, dtd 1/6/84
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UNITED STATES
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January 6, 1984 MEMORANDUM FOR:
Office Directors Regional Administrators FROM:
William J. Dircks Executive Director for Operations
SUBJECT:
POLICY IN REGARD TO DEALING WITH THOSE WHO PROVIDE INFORMATION TO THE NRC Our policies in dealing with persons bringing irregularities and deficiencies in safety performance 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.
NRC resources 'must be utilized in ways which maximize our ability to key on safety related problems. Citizens who voluntarily step fomard with information regarding safety matters must be looked on as a valuable adjunct to our programs. Moreover, a part of NRC's effectiveness and credibility with the public 1.s a function of our relationships with these people.
In this regard we should be professionally courteous in our interfaces, complete in our techn.ical 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 conditions and practices.
I am asking IE to take the enclosure of this memo and translate it into Manual Chapter format.
I will expect them to coordinate the MCM with you once more, although I am aware 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 Commission and will do so when IE provides me the MCM for approval.
7 William. Dircks Executive Director for Operations
Enclosure:
As stated l
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i POLICY IN REGARD TO DEALING WITH THOSE WHO PROVIDE INFORMATION TO THE NRC
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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 broader problem it is appropriate to assume that such a problem may exist. Prompt action to broaden the scope of our inquiry should then t,e taken to determine whether or not such is the case.
3.
While the safety significance of an allegation is an important factor in determining the extent and promptness of staff resources comitment, it should not affect the staff treatment of the' person making the allegation as given in Item 1 above.
i NRC Procedural Practices 1.
When allegations are received in writing, a prompt attempt to make j
personal contact must ordinarily be made in each case. When received 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 f
-- the person making the allegation should not nonnally be required to f
obtain them.
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2.
Contac't, 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 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, l
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.
Followiup of allegations should be professional in scope and depth. If it is appropriate that an inspection be made, it should be made.
8.
Without exception, the individual making the allegation should be promptly I
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 providing 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. Program:;
such 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 reduce somewhat the number of allegations we receive.
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1 2.
It should be advantageous under some circumstances to have the licensee 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 report. Such a review should, of course, not be peremptory.
Confidentiality 1.
Staff should recognize that in many cases individuals making allegations 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 clear 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.
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2.
Staff should assure that it is clear to all concerned if and on what tenns anonymity of a person making an allegation is to be protected.
In every case the incividual shall be asked if ar.onymity is desired. A clear record should be maintained for the files to preclude later mis-understandings. A Confidentiality Agreement (see attachment) should be executed with the individual, if necessary and possible.
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3.
If at any time for any reason confidentiality is breached or jeopardized, the person should be so advised, the reason explained and remedial measures taken, if possible.
Attachment:
Confidentiality Agreement e
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i4 g CONFIDENTIALITYAGREEMENT(f I have infornction that I wish to provide in c'onfidence to the U.S. Nuclear Regulatory Comission (NRC-).
I_requesti an express pledge cf confidentiality as a condition of providing tiiis information to the NRC.
I will not provide this infer:.ation voluntarily to the NRC without such confidentiality being extenced to me.
It is my understanding, consistent with its legal obligations, the NRC, by agreeing 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 communicaticn released,to the public which relates directly to the information provided by me.
I unr.erstand the. term "public release" to encompass any distribution outside of the NRC with the exception of cther public agencies which may require this information in futherance of their respcnsibilities under law or public trust.
(2) The NRC will disclose my identity within the HRC only 'to the extent re-cu1 rec Tor the conduct of NRC related activities.
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(3) During the course of the inquiry or investigation the NRC will also make every effort consistent with the investigative needs of the Cc raission to avok actiens which wculd clearly be expected to result in the discitsure of my ident-ity to ::ersons subsecuently contacted by the NRC.
At a later stage I understand tnat even Inough the NRC will make every reasonable effort to protect my identity, my identificatien could be compelled by orders or subpoenas issued by courts of law, hearing beards, or similar legal entitites.
In sucy cases, the basis for grantir.; -his promise of confidentiality and any other relevant-fac s will be cc=unicated to the authority ordering the disclosure in an effort o maintain.
my ccnfidentiality.
If this effort proves unsuccessful, a representative of the NEC will attempt to inform me of any such action before disclosing my identity.
I also understand that the NRC will consider me to have waived my right to con-fidentiality if I take any action that may be reasonably expected to disclose my identity.
I further understand that the NRC will consider me to have waived my rights to confidentiality if I provide (or have previcusly provided) information tc ary cther ;ar y that centridicts the infereation that I ;rc.ide: tc the l:EC
" circ.; stseces ir.cicate that I am inten-icnally ;:rovicing #a?.re irfor.atien
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Mrer Cc.citiens:
(if:any)
I'have reac and fully understand the centents cf this agreement.
I agree with i.s previsicns.
,a e Name:
Address:
- greed to en behalf of the US Nuclear Regulatory Ccmmission.
Cate Signature Name:
Title:
D scME i
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