ML20216F365

Staff Requirements Memo Re COMSECY-99-016, Recommendations 2 & 3 of Mirt,Re Witness Credibility & OI Conclusions,Staff Requirements Memo

ML20216F365
Person / Time
Site:	Millstone
Issue date:	07/07/1999
From:	Vietticook A NRC OFFICE OF THE SECRETARY (SECY)
To:	Travers W NRC OFFICE OF THE EXECUTIVE DIRECTOR FOR OPERATIONS (EDO)
Shared Package
ML20216F363	List: ML20216F359 ML20216F365
References
REF-10CFR9.7 NUDOCS 9909210289
Download: ML20216F365 (1)

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y , NUCLEAR REGULATORY COMMISSION l O E WASHINGTON,0.C. 2055W1 SECRETARY MEMORANDUM TO: William D. Travers Executive Director for Operations FROM: Annette L. Vietti-Cook, Secretary jg

SUBJECT:

STAFF REQUIREMENTS - COMSECY-99-016 -

RECOMMENDATIONS 2 AND 3 OF THE MlRT, REGARDING WITNESS CREDIBILITY AND 01 CONCLUSIONS, STAFF REQUIREMENTS MEMORANDUM (SRM)

The Commission has approved the issuance of the proposed memorandum as an immediately effective policy modifying agency procedures to implement the recommendations of the Millstone Independent Review Team (MIRT).

m cc: Chairman Dieus y Commissioner Diaz 9 Commissioner McGaffigan Commissioner Merrifield OGC e CIO O CFO OCA \

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%y,g! April 6,1999 SECFIETARY

' MEMORANDUM TO: William D. Travers l Executive Director of Operations l Karen D. Cyr General Counsel FROM: Annette L. Vietti-Cook gh

SUBJECT:

STAFF REQUIREMENTS MEMORANDUM IN RESPONSE TO THE MILLSTONE INDEPENDENT REVIEW TEAM MARCH 12,1999 REPORT ON ALLEGATIONS OF DISCRIMINATION IN NRC OFFICE OF INVESTIGATIONS CASE NOS. 1-96-002,1-96-007,1-97-007 AND ASSOCIATED LESSONS LEARNED i

This Staff Requirements Memorandum addresses the generic recommendations of the Millstone Independent Review Team (MIRT). Commission determinations related to the individual cases reviewed by the MIRT will be handled separately. The Commission has reviewed the generic recommendations of the review team and directs the following actions regarding the six MlRT recommendations on investigative and enforcement processes:

Recommendation No.1. At its inception, any "special" task force [such as the NRC 1996 task force that evaluated the workforce reduction process at Millstone] formed to investigate or otherwise review circumstances in which agency enforcement action is a possible outcome should have its role within the agency's existing investigative / enforcement processes clearly delineated.

The Commission agrees with Recommendation 1 and directs that it be implemented. The EDO shall establish an appropriate agency-wide mechanism to implement this aspect of the MIRT recommendations and shall report to the Commission on the method developed for implementation.

(EDO) (SECY Suspense: 6/1/99) gg Recommendation No. 2. Particularly with respect to 10 C.F.R. 50.7 e

discrimination cases, to the degree practical, Ci investigator impressions regarding witness credibility and veracity garnered through observation of the

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l witnesses should be communicated to those making the decision on whether I there is sufficient evidence to pursue enforcement action.

The Commission agrees with Recommendation No. 2 and directs that it be implemented. The Commission expects that 01 investigators will record their individual observations and impressions regarding witness credibility and veracity contemporaneously with the interview. Agency procedures should be modified to reflect this. I i

l (EDO) (SECY Suspense: 5/15/99) CA l Recommendation No. 3. Notwithstanding a DOJ request not to transmit an 01 summary and conclusion for a case sent for prosecutorial review, the 01 summary and conclusion should be prepared at the time the Ol case report is assembled and, once the case is returned from DOJ, made a part of the Ol report so as to be available as an aid in determining whether agency j enforcement action is appropriate. '

The Commission agrees with Recommendation No. 3 and directs that it be l implemented. Analyses and conclusions ofinvestigators should be recorded at i the completion of the investigation, and the final Ol report, including 01 analyses and conclusions, should be forwarded to the staff for consideration of enforcement action. Agency procedures should be revised to reflect this, i

(EDO) (SECY Suspense: 5/15/99) o3  !

Recommendation No. 4. Particularly with respect to 10 C.F.R. 9 50.7 discrimination cases, an " articulated analytical process" should be incorporated into the enforcement conference process to the extent practicable.

The Commission agrees with Recommendation No. 4 and directs that the staff i establish a documented standard of review (such as in the MIRT report) for going forward with enforcement and establish a documented analytical process, based on the standard of review, which should be used in arriving at i recommendations conceming enforcement actions in 10 C.F.R. 9 50.7 discrimination cases.. The documentation describing this process shall be included in the enforcement file in any specific discrimination case (s).

(EDO) (SECY Suspense: 6/1/99) oy Recommendation No. 5. Particularly with respect to 10 C.F.R. 9 50.7  ;

discrimination cases, OGC enforcement attorneys should take a more proactive role in the investigative process from its inception, with the expectation that, to

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the extent practicable, the attomey assigned to an 01 case would be responsible i for handling the case if it is adjudicated. l In response to Recommendation No. 5, the Commission notes that OGC has recently conducted a reorganization that has changed some OGC responsibilities and processes for assigning and tracking discrimination cases. l In light of these recent changes, OGC, in consultation with the EDO, should report to the Commission on whether the recommendations of the task force with respect to OGC attomeys' involvement in discrimination cases should be implemented and whether they would result in further changes in how OGC assigns and tracks these investigations, associated enforcement actions and l

associated hearings. OGC should specifically address whether additional actions are needed to preserve the substance of OGC's evaluation of specific ,

discrimination cases.

(OGC) (SECY Suspense: 5/1/99) 05 Recommendation No. 6. Anticipating that electric industry deregulation and enhanced competition will produce other large scale reorganization / downsizing efforts, the agency should endeavor to ensure that the utility retains all relevant documentary information regarding all those whose positions are implicated in l the reorganization / downsizing.

. In response to Recommendation No. 6 the staff should evaluate whether to i

require retention of licensee records relating to reorganization / downsizing efforts with full consideration of the usefulness of such records and the resource implications. The staff should consider methods for achieving a better l documented record. The evaluation should be provided to the Commission.

(EDO) (SECY Suspense: 6/1/99)

OG cc: Chairman Jackson Commissioner Dicus  :

Commissioner Diaz Commissioner McGaffigan i Commissioner Merrifield OGC CIO CFO OCA 1

OlG OPA Office Directors, Regions, ACRS, ACNW, ASLBP (via E-Mail)

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July 13,1999 MEMORANDUM TO: Office of Investigations Personnel FROM: Guy P. Caputo, Director Office of investigations

SUBJECT:

DIRECTOR'S GUIDANCE 99-001: RECOMMENDATIONS OF THE MlRT BACKGROUND This guidance is a result of a Staff Requirements Memorandum in response to recommendations in the Millstone Independent Review Team Report, dated March 12,1999.

GUIDANCE Effective immediately:

1. During the course of investigations, O1 investigator impressions regarding witness credibility and veracity generated through observation of the witnesses will be conveyed orally to those making the decision on whether there is sufficient evidence to pursue enforcement action. Investigators will not be asked to document these impressions in writing.

2. Ol will continue to prepare reports of investigation which include Ol's summaries and

, conclusions for transmission to agency decision-makers. In the event that Of receives a Department of Justice request not to transmit such material for a case sent for prosecutorial review, Of will bring the matter to the Commission's attention. Such requests will be considered on a case-by case basis.

cc: Annette L Vietti-Cook, SECY b0hh -li '