ML20237L579
| ML20237L579 | |
| Person / Time | |
|---|---|
| Issue date: | 03/24/1987 |
| From: | Murley T NRC OFFICE OF INSPECTION & ENFORCEMENT (IE REGION I) |
| To: | |
| Shared Package | |
| ML20237L241 | List: |
| References | |
| FOIA-87-450 1380.1, NUDOCS 8708280161 | |
| Download: ML20237L579 (9) | |
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[saasaQ UNITED STATES
.8 NUCLEAR REGULATORY COMMISSION o
REGION l C,%
,d, KINO OF PRUSSIA, PENNSYLVANIA 19406 4
631 PARK AVENUE 9 *****
MAR 2 41987 RI 1380.1/1 Page 1 of 5 REGION I INSTRUCTION 1380.1, Revision 1 l
INTERFACES WITH OTHER AGENCIES ON ENFORCEMENT MATTERS A.
Purpose To set forth the regional procedure for regional interface with other i
agencies on enforcement matters.
References Memorandum of Understanding (MOU) between NRC and DOL Working Arrangements for Implementing the MOU Memorandum, dated February 25, 1987 from Director of Enforcement to Region Cover sheet for DOL documents subject to nondisclosure.
B.
Discussion k
During the processing and issuance of an enforcement action, the NRC may need to interface with other federal and state agencies. While such interface could involve any government agency, such interface on enforcement matters is generally limited to three specific agencies, namely:
1.
U.S. Department of Labor (DOL) l 2.
U.S. Department of Justice (D0J) 3.
States (or Commonwealths)
This instruction serves to identify the normal interface that the Region may have with these agencies on enforcement matters, and the responsibilities of regicnal personnel involved in such interface.
CONTACT:
Enforcement Officer Revision Responsibility:
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INTERFACES WITH OTHER AGENCIES ON RI 1380.1/1 ENFORCEMENT MATTERS Page 2 of 5 4
C.
Procedure Implementation l
1.
Interface with D0L on enforcement mattere I
a.
NRC interface with DOL on enforcement matters is normally limited to matters involving the investigation of "whistleblower complaints", that is complaints made by individuals who claim that they were discriminated against for raising perceived safety concerns to the NRC or their employer while engaged in an NRC licensed activity.
In this regard, the NRC and DOL have complementary responsibilities.
DOL has the responsibility under Section 210 of the Energy Reorganization Act to i
investigate employee complaints of discrimination and may, after an investigation and hearing, order a violator to take l
affirmative action to abate the violation, reinstate the complaint to his or her former position with backpay, and award compensatory damages, including attorney fees.
NRC, though j
without direct authority to provide a remedy to an employee, has independent authority under the Atomic Energy Act to take i
appropriate enforcement action against Commission licensees that violate the Atomic Energy Act, the Reorganization Act, or 1
Commission requirements.
I b.
As an aid for each agency to assist each other in carrying out
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their mission, the NRC and 00L entered into a Memorandum of 1
Understanding (M00) in 1982 (copy attached).
Further, on 1
June 22, 1983, IE issued working arrangements (copy attached) for implementing this MOU.
The specific responsibilities of each agency in assisting each other are set forth in the MOU and the working arrangements.
The Enforcement Officer is the point of contact for regional interface with DOL personnel as needed, i
and for assuring that the regional responsibilities set forth in the MOU and working arrangements are carried out, c.
Whenever DOL makes a final determination that discrimination has i
occurred, the Region shall evaluate all appropriate DOL 1
l documents, and shall initiate enforcement action, as appropriate, in accordance with Regional Instructions 1360.'1 and/or 1370.1.
d.
Certain documents obtained from DOL are publicly available, such l
as issued decisions and/or recommendations of the Secretary of J
Labor, Administrative Law Judges, and Area Directors, as well as records of open 00L hearings. However, other documents, such as the D0L Compliance Officer's reports and case files, are not publicly available, and the DOL has allowed the NRC to photocopy these materials only with the understanding that these' mater.ials not be disclosed outside the NRC without the prior approval of 00L.
To ensure that the Compliance Officer's reports and cases files received from DOL are properly protected, the Enforcement l
INTERFACES WITH OTHER AGENCIES ON RI 1380.1/1 ENFORCEMENT MATTERS Page 3 of 5 Officer, as the Region's principal point of contact with DOL, shall:
(1) Obtain a clear determination from the appropriate DOL official as to whether a document obtained from the DOL may be released outside the NRC, unless the document is clearly a publicly available document; (2) Conspicuously mark any document subject to nondisclosure with a coversheet (copy enclosed) which indicates that the information was obtained from the Department of Labor under a special arrangement with the NRC, and the information may not be reproduced or disclosed outside the NRC without prior DOL approval; (3)
Inform the Regional Freedom of Information Act (FOIA)
Coordinator whenever a F0IA request is obtained concerning documents which the Region received from DOL under a j
nondisclosure agreement.
The Regional FOIA Coordinator in i
turn will inform the Headquarters Freedom of Information and Privacy Branch which will refer the records to DOL for a disclosure decision; and (4) Refer disclosure requests outside the F0IA process to the
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Director, Enforcement Staff, IE, for coordination with the DOL Wage and Hour Administrator.
2.
Interface with DOJ on enforcement matters a.
NRC interface with 00J on enforcement matters is generally limited to instances where the NRC has developed evidence of wrongdoing (e.g., deliberate violation of NRC requirements, deliberate material false statements, falsification of records etc.) which may subject a licensee to civil enforcement action by the NRC, and which may subject the licensee and/or specific licensee employees to criminal enforcement action by DOJ.
b.
Such wrongdoing issues are, in most cases, initially identified by an NRC inspector or via an allegation.
Upon such identification, the matter is brought to the attention of the NRC Office of Investigation (01) in accordance with Regional Instruction 1110.1 " Referrals to the Office of Investigation."
If 01 conducts an investigation and documents findings of wrongdoing in their report, 01 will refer the matter to D0J and provide them a copy of their report. Although the Region is responsible for preparing and transmitting to IE any proposed civil enforcement action within six weeks of any 01 issuance of their report, the NRC will not normally proceed with civil enforcement action until DOJ informs 01 that issuance of the enforcement action is not likely to compromise the D0J criminal case and 00J has no objection to NRC proceeding with civil J
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INTERFACES WITH OTHER AGENCIES ON RI 1380.1/1 ENFORCEMENT MATTERS' Page 4 of 5 i'
i enforcement actions.
However, if an immediate health and safety l
1ssues exists, the NRC will proceed with the civil enforcement' l
action without awaiting DOJ approval.
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l NRC contact with DOJ is handled through 01.
If a need arises i
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for the region to interface directly with DOJ, that interface l
will be ha'ndled by the Regional Counsel via OI.
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3.
Interface with States on enforcement matters NRC fnterface with States on enforcement matters is normally a.
limited to the following:
(1) Providing notification to a State of a significant event that is described in a Preliminary Notifiution (PN) and may subsequently become an enforcement issue.
This notification shall be made by the State Liaison Officer.
(2) Providing the State a copy of an inspection report that may form the basis for an enforcement action or an enforcement conference.
This distribution shall be made by the responsible Division.
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(3) Notifying a State of a scheduled enforcement conference, in
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accordance with an agreement made with that State.
This notification shall be made by the State Liaison Officer.
(4) Providing the State a copy of any enforceme'nt action involving a civil penalty or Order.
This distribution shall be made by the Enforcement Officer.
(5) Providing telephonic notification to the appropriate State contact on the date a civil penalty or Order is issued.
l This notification shall be made by the State Liaison Officer.
(6) Providing a response to.a state request for specific information regarding enforcement matters..This information shall be compiled by the Enforcement-Officer and provided to the State Liaison Officer who in turn will provide the information to the State.
4.
Interface with other agencies a.
NRC interface with other agencies on enforcement matters should be handled on an ad hoc basis and shall be coordinated with the Enforcement Officer.
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INTERFACES WITH OTHER AGENCIES ON RI 1380.1/1 ENFORCEMENT MATTERS Page 5 of 5
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D, Effective Date l
This regional instruction is effective upon receipt and will remain-in effect until superseded.
j APPROVED: Thomas E. Murley Regional Administrator l
DATED:
1 NN f
Enclosure:
1 1.
Memorandum of Understanding (MOV) between the NRC and DOL 2.
Working Arrangement for Implementing the MOU with DOL Distribution:
Office of Regional Administrator Division Directors Chief, Administrative Management Branch (original)
Resident Offices
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4 MEMORANDUM OF UNDERSTANDING BETWEEN NRC AND DEPAR 1
1 1.
PURPOSE The U. S. Nuclear Regulatory Comission (NRC) and the Department of Labor (
enter into this agreement to facilitate coordination and cooperation concerning I
the employee protection provisions of Section 210 of the Energy Reorganization Act of 1974 (Reorganiza' tion Act), as amended, 42 lj.S.C. 5851.
1 2.
BACXGROUND l
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iaction 210 of the Reorganization Act prohibits any employer, [ncluding a Nucle Regulatory Consission licensee, applicant or a contractor or subcontractor of a i
Comission licensee or applicant, from discriminating against any employee with 1
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resoect to his or her compensation, terms, conditions or privileges of employmer oecause the emoloyee assistec or participated, or is about to assist or partici:.
1 in any manner in any action to carry out the purposes of either the Reorga'nizati' Act or the Atcmic Energy Act of Ic54 ( Atomic Energy Act), as amended, A2 U.S.C.
2011 yt,see.
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The NRC and 00L have complementary responsibilities in the area of employee protection.
DOL has the responsibility unoer Section 210 of the Reorganization 1
- t to investigate employee comolaints of discrimination and may, after an I
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investigation and hearing, order a violator to take affirmative action to abate !
the violation, reinstate the complainant to his or her former position with 1
backpay, and award compensatory damages, including attorney fees.
NRC, though i
l without direct authority to provide a remedy to an employee, has independent authority under the Atomic Energy Act to take appropriate enforcement action against Comission licensees that violate the Atomic Energy Act, the Reorgani-i zation Act, or Commission requirements.
Enforcement ' action may include license
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denial, suspension or revocation or the imposition of civil penalties.
Although each agency will carry out its statutory responsibilities independent'.y the agencies agree that administrative efficiency and sound enforcement policies
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dill be maximized by cooperation and the timely exchange of infonnation in areas of mutual interest.
3.
AREAS OF C00PERAT:0N I
DOL agrees to promotly notify NRC of any complaint filed with 00L alleging a.
discrimination within the meaning of Section 210 of the Energy Reorganizatic:
Act.
00L will promptly provide NRC a copy of the complaint, decisions and orders associated with the investigation and any hearing on the complaint,
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00L will also keep NRC currently informed on the' status of any judicial proceedings seeking review of an order of the Secretary of Labor issued pursuant to Section 210 of the Reorganization Act.
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b.
NRC and DOL agree to cooperate with each other to the fullest extent possib in every case of alleged discrimination involving employees of Commission l
licensees, applicants, or contractors or subcontractors of Connission licen' sees or applicants.
NRC will take all reasonable steps to assist DOL in obtaining access to licensed facilities and any necessary security clearanc i Each agency agrees to share and promote access to all information it obtain; concerning a particular allegation and, to the extant permitted by law, wil' k
protect the confidentiality of information identified as sensitive that has been supplied to it by the other agency.
4 IMPL.ENTATION The NRC official responsible for implementation of this agreement is the Executive Director for Operations; the 00L official responsible for implemer-tation of this agreement is the Administrator, Wage and Hour Division.
Working level point of contacts shall be established and identified within 10 days after the effective date of this agreement for both headquarters and field operations.
-4.
5.
AMENDMENT AND TERMINATION i
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This Agreement may be amended or modified upon written agreement by boi parties to the Agreement.
The Agreement may be terminated upon ninety (90)
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days written notice by either party.
6.
EFFECTIVE DATE 1
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This agreeement is effective when signed by both parties.
/
i l O William J. Dircks Executive Director for Operations l
i Nuclear Regulatory Comission I
Dated: July 29,1982 1
/N dilliam M. Otter, Administrator Uage and Hour Division partment of Labor i
Dated:
October 25, 19.82 O
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UNITED STATES
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NUCLEAR REGULATORY COMMISSION-n E,
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l JUN 2 2123 EGM 83-02 MEMORANDUM FOR:
T. E. Murley, Regional Administrator, RI J. P. O'Reilly, Regional Administrator RII J. G. Keppler, Regional Administrator, RIII J. T. Collins, Regional Administrator, RIV J. B. Martin, Regional Administrate jr RV THRU:
Richard C. DeYoung Directo.h hb i
Office of Inspection and En c
FROM:
Jane A. Axelrad. Director Enfo'rcement Staff, IE
SUBJECT:
WORKING ARRANGEMENTS FOR IMPLEMENTING THE MEMORANDUM OF UNDERSTANDING WITH THE DEPARTMENT OF LABOR On October 25, 1982, a Memorandum of Understanding (M0U) was signed by NRC and the Department of Labor to facilitate coordination and cooperation between the
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agencies in the processing of violations of the employee protection provisions of Section 210(a of the Energy Reorganization Act (Enclosure 1).
Subsequently, working arrangeme)nts were developed and points of contact were e
, the regional and headquarters levels for each agency (Enclosure 2).
The working arrangements establish certain commitments that must be carried out by the regional contacts for the NRC.
The working arrangements provide that NRC will refer complainants to DOL edvise DOL of complaints received concerning employee discrimination, inform DOL of investigations that NRC is conducting into these matters, facilitate DOL's investigations by assisting in gaining access to NRC-licensed facilities, and decide whether NRC should conduct an independent investigation.
Once the NRC has received the Secretary of Labor's decision on facts uncovered during a 00L investigation, and if that decision determines that a violation of Section 210(a) occurred, the Region must detennine whether there has been a violation of HRC's rules.
Based on that detennination, enforcement action should be pursued consistent with the NRC Enforcement Policy and should be coordinated with headquarters.
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' Jane A. Axelrad, Director Enforcement Staff, IE
Enclosures:
As stated i
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J.H. Sniezek IE J. Lieberman, ELD D. Holody, RI M. Puckett, RII j
W. Schultz, RIII E. Johnson, RIV A. Johnson, RV E. Flack, IE J. Craig, IE j
G. Klingler, IE..,^
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WORKING ARRANGEMENTS FOR IMPLEMENTATION OF MEMORANDUM OF UNDERSTANDING I
BETWEEN THE NUCLEAR REGULATORY COMMISSION 3
AND i
THE DEPARTMENT OF LABOR i
CONTENTS Section Title I
Background and Purpose II Investigations and Processing of Complaints
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III Enforcement Appendices A
NRC/ DOL Memorandum of Understanding B
NRC Points of Contact I
C DOL Points of Contact d
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i Procecures for Implementing MCU betweer NRC and 00L 1.
Background and Purpose 4
I On July 29, 1982, the Executive Director for Operations pf the Nuclear Regulatory Comission signed the " Memorandum of Und'erstanding Between l
NRC and Department of Labor."
The. Administrator of the Wage and Hour Division of the Department of Labor signed the document on October 25, l
1982.
The MOU set forth the responsibilities of the NRC and DOL in protecting the rights of employees as specified in Section 210(a) of the Energy Reorganization Act of 1974, as amendeo.
Section 3 of the MOU pro-vides that the two agencies will "... cooperate with each other to the I
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fullest, extent possible in every case of alleged discrimination involving employees of Comission licensees, applicants, or contractors or subcon-tractors of Commission licensees or applicants."
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Sections 19.2C, 30.7(a)(1)(i), 40.7(a)(1)(i), 50.7(a)(1)(i), 60.9(a)(1)(i),
l 70.7(a)(1)(i), and 72.10(a)(1)(i) of Title 10 of the Code of Federal l
Regulations implement Section 210(a) of the AEA and specify employee protection requirements for activities licensed by the NRC.
The purpose of this document is to formalize working arrangements betwoen the NRC and DOL to ensure prompt notification, investigation, and followup of complaints involving alleged discrimination against employees who have
,c contacted, or have attempted to contact, the NRC.
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2 II.
Investigation and Processing of Complaints A.
If the NRC receives a complaint concerning a possible violation of Section 210(a), it will refer the complainant to DOL and will promptly notify DOL to ensure that DOL is aware of the complaint and to determine if DOL is investigating the. incident.
The NRC will not normally initiate an investigation of a complaint if DOL is conducting, or has completed an investigation, and found no violations.
(If DOL concludes that a violation occurred, NRC may initiate an investigation where necessary to develop additional information for its enforcement f
l action).
DOL will notify the NRC of the decision of the Administrator, 1
Wage and Hour Division, at the conclusion of the investigation and of the results of the Secretary of Labor's review of that decision.
i B.
If 00L receives a complaint concerning a possible violation of Section 210(a), it will promptly notify the NRC and inform the NRC of whether DOL intends to conduct an investigation into the matte".
If DOL does not l
intend to conduct an investigation, the NRC will consider whether to initiate its own investigation.
C.
The NRC will facilitate DOL's investigations by taking all reasonable steps to assist DOL in obtaining access to licensed facilities ano any necessary security clearances.
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D.
Each agency shall designate, and maintain as current, points of contact within its headquarters and regional offices for purposes of implementation of the MOU.
Matters affecting program and policy issues will be handled by the headquarters offices of the agencies.
Ill. Enforcement A.
00L's enforcement actions are primarily directed at restoring benefits or employment status unfairly oenied an employee.
If DOL finds that no violations of Section 210(a) occurred, NRC normally will not initiate enforcement action.
If, however, DOL finds that a violation has occurred, the NRC may take enforcement action under its Enforcement Policy,10 CFR Part 2, Appendix C, including issuance of a Notice of Violation, imposition of civil penalties, or issuance of orders sus-pending, modifying, or revoking licenses, but will normally consider the effect of the action taken by DOL before deciding on its action.
B.
The regional offices of each agency will nonnally develop the initial recommendations on enforcement action for their agency and will forward them to headquarters for review.
Each organizational elemert (regional office and headquarters) will consult with the appropriate level of the other agency in processing enforcement actions.
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This document shall be reviewed and updated periodically.
Approved:
Approved:
James H. Sniezek Date William M. Otter Date Deputy Director Administrator Office of Inspection and Enforcement Wage and Hour Division U.S. Nuclear Regulatory Comission U.S. Department of Labor l
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l NRC POINTS OF CONTACT Headquarters:
Jane Axelrad, Acting Director of Enforcement i
492-4909 (FTS); (301) 492-4909 (Comercial)
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I Region I (Maine, New Hampshire, Vermont, New York, Massachusetts, j
Rhode Island, Connecticut, Pennsylvania, New Jersey, Delaware,
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Ma ryland)
Daniel Holody, Enforcement Specialist i
488-1312 (FTS); (215) 337-5312 (Comercial) i Region II (Virginia, West Virginia, Kentucky, Tennessee, North Carolina, I
South Carolina, Georgia, Alabama, Mississippi, Florida)
Carl Alderson, Director of Program Support Staff 242-5507 (FTS); (404) 221-5507 (comercial) i 1
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's Region III (Michigan, Ohio, Indiana, Illinois, Wisconsin, Minnesota, Iowa, Missouri)
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A. Bert Davis, Deputy Regional Administrator 384-2681 (FTS); (312) 932-2681 (Comercial)
Region IV (North Dakota, South Dakota, Nebraska. Vansas, Oklahoma, Texas, New Mexico Colorado, Utah, Wyoming, Idaho, Montana)
Eric Johnson, Director of Enforcement 728-8141 (FTS); (817) 860-8141 (Comercial) i Region V
( Arizona, California, Nevada, Oregon, Washington, Hawaii, Alaska )
Allen Johnson, Director of Enforcement
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463-3739 (FTS); (415) 943-3739 k
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.l DOL POINTS OF CONTACT Headquarters:
James L. Valin, Assistant Administrator Wage and Hour Division 523-7043 (FTS); (202) 523-7043 (Comercial)
Region ]
(Maine, New Hampshire, Vermont, Massachusetts, Connecticut, I
Rhode Island) i k
William L. Smith 1
Assistant Regional Administrator e
I 223-5565 (FTS); (617) 223-0995 (Comercial)
-s Region 11 (New York, New Jersey)
Raymond G. Cordelli Assistant Regional. Administrator 265-3348 (FTS); (212) 944-3348 (Commercial)
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i Region III (Pennsylvania, Delaware, Maryland, Virginia, West Virginia) f,l John A. Craven Assistant Regional Administrator 596-1194 (FTS); (215) 596-1194 (Commercial)
Region IV (South Carolina, Georgia, Florida)
Richard Robinette Assistant Regional Administrator
. 5 257-4801 (FTS); (404) 881-4801 (Connercial) l
( Alabama, Mississippi, Tennessee, Kentucky, North Carolina)
Sterling B. Williams Assistant Regional Administrator 229-1301 (FTS); (404) 254-1301 (Connercial)
Region V (Minnesota, Wisconsin, Michigan, Ohio, Indiana, Illinois)
Richard A. McMahon Assistant Regional Administrator I
353-8845 (FTS);. (312) 353-7250 (Commercial) b i
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Region VI (Louisiana, Arkansas, Oklahoma, Texas, New Mexico)
Alfred A. Ramsey Ass'stant Regional Administrator 729-6891 (FTS); (214) 767-6891 (Connercial)
Region VII (Iowa, Missouri, Nebraska, Kansas)
M. J. Vallarreal Assistant Regional Administrator 758-5386 (FTS): (816) 374-5386 (comercial)
Region VIII (North Dakota, South Dakota, Montana, Wyoming, Utah, Colorado)
Loren E. Gilbert Assistant Regional Administrator 327-4613 (FTS); (303) 837-4613 (Commercial)
Region IX (California, Nevada, Arizona, Hawaii)
Herbert Goldstein Assistant Regional. Administrator 556-3592 (FTS); (415) 556-3592 (Commercial) 1
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Region X (Washington, Oregon. Idaho, Alaska) 1 Wilbur J. Olson j
Assistant Regional Administrator 390-1914 (FTS); (206) 442-1914 (Commercial) l
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