ML20212E601
| ML20212E601 | |
| Person / Time | |
|---|---|
| Issue date: | 04/30/1984 |
| 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 8608130096 | |
| Download: ML20212E601 (2) | |
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.t APR 30 i384 MEMORANDUM FOR: Division Directors, Deputy Directors and Branch Chiefs, NMSS FROM:
R. S. Brown, Jr.
Assistant to the Director and Chief, Pnagram Support Branch
SUBJECT:
9tSS POLICY AND PROCEDURES LETTER 1-27 (REVISED)
POLICY IN REGARD TO DEALING WITH THOSE WHO PROVIDE INFORMATION TO THE NRC AND RELEASE OF INFORMATION TO LICENSEES The attached revised Policy and Procedures letter with enclosed memo-randums from Mr. Dircks is provided for your infonnation and retention.
With the exception of the section in enclosure 1 dealing with citizens priviledge of anonymity, the policy statements transmitted with Mr.
Dircks memorandums are to serve as interim guidance, pending completion of the NRC Manual Chapter on this subject.
Original signed by R. S. GROWN. 3R-R. S. Brown, Jr.
Assistant to the Director and Chief, Prog.Lm Support Branch
Enclosure:
NMSS Policy and Procedures Letter 1-27 DISTRIBUTION:
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NMSS Policy and Procedures Letter 1-27 April 30,1984*
.t POLICY IN REGARD TO DEALING WITH THOSE WHO PROVIDE INFORMATION TO THE NRC AND RELEASE OF INFORMATION TO LICENSEES
Purpose:
To establish a formal policy for dealing with those who provide information to the NRC regarding irregularities and deficiencies in safety performance or other safety related matters and the release of information to licensees.
Policy:
The attached memorandums and enclosures from William J. Dircks, EDO, will serve as interim guidance on this subject, with the exception of the state-ments on page 4 Enclosure 1, regarding confidentiality. This point must be cleared with the Cannission before it becomes part of NRC policy.
This interim guidance shall remain in effect until superseded by the NRC Manual Chapter on this subject.
l Jhh hn G. Davis, Director Office of Nuclear Material Safety and Safeguards
Enclosures:
1.
Memo and attachment from EDO to Office Director, dtd 1/6/24 2.
Memo and attachment from EDO to Office Director, dtd 4/24/84
- Supersedes NMSS Policy and Procedures Letter 1-27, dated January 27, 1964.
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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 perfomance 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 resourcas must be utilized 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 credibility with tx pudic 1.s a function of our relationships with these people.
In th O regard we should be professionally courteous in our interfaces, complete in our technicaT reviews of issues they raise and observant of procedures which recognize the special problems faced by p;rsons 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 femat.
I will expect them to coordinate the MCM with you once more, although I am aware many of your coments have been incorporated.
In the meantime, it will serve as interim guidance with one exception; before directing that citize.ns must be advised of their privilege of anonymity I wish to clear this point with the Commission and will do so when IE pr_cvides me the MCM for approval.
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Enclosure:
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As stated
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49 ENCLOSURE 1 (NMSS P&P LETTER 1-27) 940@].E@$c &
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POLICY IN REGARD TO DEALING WITH THOSE WHO PROVIDE INFORMATION TO THE NRC
.1 General Issues i
i 1.
Those who provide allegations to NRC staff must be treated with respect, consideration and tact. Un'~er no circumstances should they be dealt with brusquely or under
. 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 be taken to determine whether or not such is the case.
Wh'le the safety significance of an allegation is an important factor i
3.
in determining the extent and promptness of staff resources commitment, 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 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 b'e identified and acquired by NRC
-- the person making the allegation should not normally be required to 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 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 generi.c 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 /waekend, licensee accompaniment prohibited, etc.
6.
When responsibility for the handling of an allegation is transferred from one organizational unit to another the person msking 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 it is appropriate that an inspection be made, it should be made.
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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 providing the results, the person should be advised so that he does not feel his allegations are being ignored.
9.
An " audit trai.1" - 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 ths person who brought a safety matter to our attention.
Licer.see Actions 1.
Licensees should be encouraged to take allegations seriously.
Programs 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.
4.
2.
It should de advantageous under some circumstances to have the licensee address the validity of allegations to the NRC.
If so, confidentiality must not be breached.
Licensecs 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 I
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 l
confidentiality agreement has been executed.
Identities of sources will j
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.
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 j
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.
A Confidentiality Agreement (see attachment) should be executed with the individual, if necessary and possible.
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3.
If at :ay time for any reason confidentiality is breached or jeopardized,
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the person should be so advised, the reason explained and remedial measures taken, if possible.
Attachment:
Confidentiality Agreement 6
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i CONFIDENTIALITY AGRIEMENT s
I have information that I wish to provide in confidence to the U.S. Nuclear Regulatory Coc:.ission (NRC-).
I._ request! an express pledge cf confidentiality a conditicn of providing this information to the NRC.
I will not provide
.is information voluntarily to the NRC without such confidentiality being extenced to me.
It is my understanding, consistent with its legal cbligations, the NRC', by agreeing to this confidentiality, will adhere to the following conditions:
(1)
The NRC will not identify me by name or pers,onal identifier in any NRC initiated document, conversation, or communicaticn released,to the public which relatos directly to the information provided by me.
I uncarstand the term "public release" to encompass any distribution outside of the NRC with the exception of ther public agencies which may require this information in futherance of their r0spensibilities under law or public trust.
.(E)
The NRC will discicse my identity within the NRC only 'to the extent re-
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cuired for the conduct of NRC rel-ated activities.
(3)
During the course of the inquiry or investigation the NRC will also make cvary effort consistent with the investigative needs of the Ccmission to avoid i
acticns which wculd clearly be expected' to result in the discicsure of my ident-ity to persons subsecu'ently contacted by the NRC.
At a later stage I understand i
- na even though the NRC will make every reasonable effort to protect my identity, my id?.ntificatien could be compelled by orders or subpoenas issued by courts of
~ =w, hearing beards, or similar legal enthites.
In sucy cases, the basis for antir.; this promise of confidentiality and any other relevant facts will be
~ ~c:=.unicated to the authority' ordering the disclosure in an effort to maintain.
my ccnficentiality.
If this effort proves unsucces'sful, a representative of the NRC will attecp: to inform me of any such action before disclosing cy identity.
I als: understand tha: the NRC will consider me tc have waived my right to con-fidentiality if I take any action that may be reasenabiy expected to discicsa my' icentity.
I further understand that the NRC will consider ce to have waived my rights to conficentiality if I provide (or have previcusly provided) information i
ary c;he" ;ar:y that centradicts the infc* ration -hat I :r:.ide: :: the ::RC ci' u sta"Ces ir.ciCate that I am intentiCP. ally OrcVi ing "a" ~e i-for".atic.
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I have reac and fully ur.derstand the centents cf this agreemen.
I agree with J
its' revisi ns.
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Adcress:
Agreed to en behalf cf the L'S Nuclear Eegulatory Cecmissicn.
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APR 3 41984 MEMORANDUM FOR:
E00 Office Directors Regional Administrators FROM:
William J. Dircks Executive Director for Operations
SUBJECT:
RELEASE OF INFORMATION TO LICENSEES
REFERENCE:
Memo, Dircks to Office Directors and Regional Administrators, " Policy in Regard to Dealing with Those who Provide Information to the NRC," dated January 6, 1984 The reference above deals with the general issue of dealing in a prompt and efficient manner with information provided to NRC with due regard for confidentiality of those who provide such information. This memorandum deals with the narrcwer issue of release of such information to licensees / vendors.
In addition to the need for expeditiously resolving any issue related to safety, recent experience has shown that considerable resources are baing used to deal with allegations for NTOL plants. The policy set forth in the memo is intended to improve this situation.
The principal guidance on this point is that the licen'see/ vendor should be advised of potential safety concerns raised by allegations as soon as feasible in order that appropriate review and subsequent action can be taken to protect the health and safety.
I expect that once information from allegers is received, and the Office / Region understands the information, that the licensee will be advised specifically by letter of the area of concern and will be requested to address it, subject to further audit by NRC. However, the anonymity of sources should be protected and the effectiveness of investigations / inspections should not be compromised, i.e.,
premature release should not allow licensees the opportunity to cover up problems or appear to do so.
There are two exceptions to this guidance. The first exception is where we cannot release the information with sufficient detail to be of use to the licensee / vendor without compromising the identity of the confidential source.
In such a case release should normally not be made unless the release is necessary to prevent an imminent threat to the public health and safety.
I should be consulted in any case where it appears a need to release Y
ENCLOSURE 2 (NMSS P&P LETTER l-27) d'%SJ QQ.Y.SS 2<pf-
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2 the identity of a confidential source. The second exception is where a licensee / vendor could compromise an investigation or inspection because of knowledge gained from-the release of information especially if wrongdoing is involved. The Regional Administrator for inspections and the Director of the Office of Investigations for investigations should make the decision of whether or not to release the information to avoid compromising NRC action.
I recognize that when a large number of issues are raised at the same time, as has occurred with several plants as thev approach issuance of an OL, the difficulties in executing this policy are (nhanced. However, at such a time, the requirement for a licensee to kncw where his problems lie is also high. We should concentrate on organizing the process in order to deal with these particular situations.
I am requesting that IE incorporate this policy in an appropriate Manual Chapter.
k WilliamJ.Dircks EIecutive Director for Operations G
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