ML20238C409
Text
- _ ,
. +
, , , ,ig UNITED STATES A n NUCLEAR REGULATORY COMMISSION
'i. E WASHINGTON, D.C 7(455 o * ,
i g .... / l FEB 111986 ESM 86 -02 i
! MEMORANDUM FOR:
I Toynas E. Murley, Regional Administrator, Region I !
, E. Nelson Grace, Regional Administrate _or, Region II
, James;G. Keppler, Regional-Administrator, Region III j i
l Tc,be rt ' D Martin, Regional Administrator, Region IV Joh. o. Martin, Regional Administrator, Region V i FRtW: James M. Taylor, Director Office of Inspection and Enforcement-SUNECT:
INITIA110N OF ENFORCEMENT ACTIONS WHILE AN 01 !
INVESTIGATION IS PENDING i l' ' As a result of an ir.cident involving a recent enforcement case I must reiterate the approprute course of action to be.taken when violations ;
are identified which may be willful. l In the recent case, potentially willful violations were identified. The matter was referred to 01 for investigation. After completion of the interviews by 01, but prior to issuance ofJ the O! report ad prior to a formal determination of the willfulness of the action, the.Regian issued a Notice of Violation for the violation which was the subject of the investQaticn and categorized it as a Severity Level IV violation, despite the. fact.that the interviews appeared to ;
i indicate that it was willful. When 01 ' issued its report, it concluded that knowing and willful violations of NRC requirements:had occurred and referred the case to the Department of Justice (D0J). '00J ultirtately declined to i i
prosecute, in part because. of the availability of' administrative remedies which it encouraged the;NRC to vigorously pursue in this instance. However, becm;e a Notice of Violation had already been i6 sued categorizing the violation as a Severity Level IV, escalated enforcement action would require withdrawal of the original M V.
owkward positka. This raises major policy isshes and places the agency in an l Therefore, you are reminded that except undr the circumstances described below, enforcement action should not be initiated'by the Regions on a violation that has been referred to 01 for investigation until 01 has issued its report on the matter. The exceptions to this rule are 1) when irrrnediate action is required to protect the public health and safety, enforcement action may be taken despite the pendency of the investigation and 2) even if there is no irranadiate public health and safety concern, technical issues should be addressed apart frod formal enforcement if they can be addressed without I
cc;mpromising the pending 01 investigatics. ir circumstances in which addressing the issue might irvo)ve release of inforntion that could compromise the OI investigation, is ye' leased.
tha. Director. 01 should.be cons'ulted before the information
- f there are as'sociated ' sic)ations arising from the inspection Fo n - ??-456 e7aanosn e71224 l
l PDH GUILea7430 -
. "T( A ppg C/IT
\ >
l
-2 which can be separated from those 01 is investigating, you may go forward with an enforcement action for those violations before issuance of the 0! report but only after consultation with IE.
Enclosed for your information is a report on the timing of the disclosure to 1 licensees of possible investigations or criminal referrals. The report, which was prepared by IE at the Commission's direction, summarizes the i existing policy guidance pertaining to the area of compromise of pending i investigations. As the report notes, the guidance will be incorporated into a manual chapter af ter the Conunission approves it.
If you have any questions on this matter, please contact me or Jane Axelrad.
/
W J es M. Tay , Director l
l l ,9ffice of In pection and Enforcement i
Enclosure:
As stated /
1 1
1 e_ .________-_____A
l Distribution (
JAxelrad, IE JLieberman, ELD Enforcement Coordinators 1 RI, RII, RIII, RIV, RV IE:ES Enforcement Staff, IE w, & .
, A .,
EFlack JLieberman J'Axelrad RV 1 mei JI ylor 2/s /86 2/.s- /86 2//p /86 2/ /86 '2/ /86
Enclosure 1 The Timing of the Disclosure to Licensees of Possible Investigations or Criminal Referrals A recognized objective of the NRC is to disseminate safety-related information to a licensee promptly to obtain appropriate evaluation and subsequent corrective action on the part of the licensee. Adherence to this principal objective is complicated by two competing concerns. These are the need to protect the identity of confidential sources and the need to avoid comprom,ising an investigation, especially if wrongdoing is involved. As a result, Regional Administrators and Office Directors must constantly balance these competing interests to arrive at decisions that will best serve protection of the public health and safety and the corrrnon defense and security when considering the disclosure to a licensee of infonnation pertaining to a possible investigation cr criminal referral.
0GC recently analyzed an 01A report of one region's handling of a case involving 1 these issues (See SECY-85-93). That analysis pointed out the need for establishing guidelines to help in striking the balance noted above. This paper discusses existing guidelines and what additional guidance is necessary.
Guidante Contained in Existing Policy Memoranda There are four policy statements issued by the ED0 which touch on the issue of disclosing information to licensees regarding possible investigation matters.
As these policy statements were developed subsequent to the incident reported on by OIA and were not included in the material analyzed by OGC, they were not reflected in the analysis by 0GC. They are:
Memorandum for Director, IE and Regional Administrators from William J. Dircks, EDO, dated October 7,1983,
Subject:
Policy on the Distribution of Draft Inspection and Investigation Reports. j Memorandum for Office Directors and Regional Administrators from William J.
Dircks, EDO, dated January 6,1984,
Subject:
Policy In Regard to Those Who Provide Information to the NRC.
Memorandum for Office Directors and Regional Administrators from William J. Dircks, EDO, dated April 24, 1984,
Subject:
Release of Information to Licensees.
Memorandum for Office Directors and Regional Administrators from William J.
Dircks, EDO, dated December 3, 1984,
Subject:
Policy on Control of NRC Reports and Other Documents. (Copies of the documents are attached.)
The above cited policy memoranda contain much of the guidance needed by Office Directors and Regional Administrators regarding the timing of the disclosure i to licensees of information to licensees regarding possible investigations.
The following are excerpts from the policy memoranda.
)
I l
l
! 2 From October 7,1983 memorandum.
"NRC policy recognizes that nuclear safety and security concerns must be addressed by prompt, positive actions. Accordingly, safety or security information must be promptly and clearly identified to responsible licensee management to obtain prompt licensee evaluation and, if appropriate, safety-related corrective actions. Such clear communications )
j are necessary to maintaining required levels of safety and security at J licensed facilities. When such communications are made as a result of concerns that arise during the course of an inspection / investigation, the fact of the communication should be noted in the inspection /
investigation report, and a copy of any written communication should be included in the report."
- l
"[0ne of the objectives of the E00 policy is to assure] that sufficient flexibility is provided to the Regional Administrators so that they and their staffs will not hesitate to disseminate safety-related information to licensees during the inspection / investigation process, prior to distribution of the final report." (Also in the Dec. 3, 1984 Memo)
I It is important to realize that OI is required by Comission directives i to inform Regional Administrators of safety and security issues as they are developed in the course of an investigation. Regional Administrators shall act on this information in accordance with the policies set forth i above for the prompt communication of safety and security issues, ar.d in addition shall observe the following procedure."
The Regional Administrators shall inform the Director, 01, in advance that information related to an open investigation is being considered for release to the licensee because safety or security concerns require initiation of corrective actions before publication of the investigation report. The Director 01, should review the infonnation' to be released and advise the Regional Administrator of the anticipated effect of its.
release on the course of the investigation. The Regional Administrator will release the information only after determining that the safety or ;
security concerns are significant enough to justify the risk of !
compromising the effectiveness of the investigation and, possibly, subsequent enforcement or prosecution options. Any such release of information should be recorded in the investigation report.
"In the case of an emergency appearing to require immediate action, NRC personnel shall provide the licensee with any information they judge the circumstances warrant. If time permits, regional management should be consulted first." l From December 3,1984 Memorandum. l
" Draft documents, or information contained therein, are not to be discussed with, given to, or shown to any licensee or the public by NRC staff without prior approval.
3
{
- 1 "In the event there is an emergency, or a significant safety or safeguards '
issue appears to require immediate action, NRC personnel, at their discretion, may discuss with, show to, or provide the licensee with any pertinent material they believe the circumstances warrant."
"In the normal course of conducting regulatory activities, communications with licensees, vendors, industry representatives and other Government agencies are at times necessary regarding initial NRC staff positions, license conditions, confirmation of action letters, inspection findings, ;
i preparation of bulletins and information notices, events at other facilities, etc.
Such communications can be held in advance of the final )
NRC documents for the purpose of (1) gaining factual information, i (2) assessing the cost, feasibility and benefit of, or alternatives to, proposed actions, or (3) alerting licensees to initial staff positions or safety findings in order that corrective actions can be initiated promptly. This policy statement is not intended to impede such exchanges of information. Any written communications provided by the staff to licensees or the public shall, however, be placed in the PDR." ,
1 From January 6,1984 Memorandum.
"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 {
j handing the issue over to the licensee, but that NRC Still review the licensee's report. Such a review should, of course, not be pre-emptory."
From April 24, 1984 Memorandum.
"The principal guidance on this point [ Release of information to licensees] I is that the licensee / 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 cf concern and will be requested to l
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 sufficier.t 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 [the ED0] should be consulted in any case where it appears !
s/
b
'e b*s /
h#' e6 f +,e#
g e-6' 9,h!!
p5!*d!!d ! #
/uc5;/ef s, w*~
~
ef $~ s e,' f * * - .
~ #
.hA** b t:4,sfleck*l***0hhVy
~*:
s A it 9$$ sepp,s'*:#wlij d!!%if)'F sd!!I! iM#
.gd;;: i'%j ieP;MV
$^4<5.,%m e' s>'e
... s. ts+
s
-e.
I 1
)
4 )
I I
a neea to release 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 responsible i for the inspections should make the decision of whether or not to release j the information to avoid compromising NRC action."
The theme of these various policy statements is consistent and can be summarized as follows:
Licensees should be advised of potential safety concerns as soon as feasible so that appropriate review and subsequent action can be taken to protect the public health and safety. Generally, there should be no need to disclose the fact that an investigation is either contemplated or 3 I
underwy when providing infonnation to a licensee pertaining to safety conce rns. However,
- 1 when information cannot be released without likely compromising the I identity of a confidential source, the EDO is to be consulted prior l to release in these cases 1/, or where information cannot be released without compromising an inspection or investigation, the Regional Administrator in the case i l
of inspections end the Director 01 in the case of investigations I should be consulted prior to release in these cases.
In the case of an emergency or where a safety or safeguards issue appears to require imediate action, any NRC personnel may, at his or her discretion, release whatever information he or she believes necessary but should consult regional management if time permits.
Guidance Not Clearly Stated in Existing Policy Memoranda As a general rule, the fact that a particular matter has been referred to the Department of Justice (D0J) should never be disclosed to the licensee. A reply of "I cannot coment on that matter," if asked is appropriate in most cases. However, if a situation develops where a Regional Administrator or Office Director feels he or she must disclose that a referral to 00J has been made, such disclosure should be made ;
only with the prior concurrence of the Director, 01. I I
1/ This approach is consistent with the Comission's Policy 5tatement on Confidentiality (SECY-85-34B) in that the matter will have been coordinated with the EDO and the NRC will have made its best efforts to preserve confidentiality given the agency's preeminent concern for public health and safety.
)
i i
i 5
Enforcement actions initiated against a licensee who is the subject of a pending investigation should be coordinated with the Director, OI. The Director, 01 should be provided with the reasons why immediate processing of the enforcement action is necessary.
Summary The timing of the disclosure to licensees of concerns that present a danger to the public health and safety or the comon defense should be as soon as feasible provided information adversely affecting an inspection or investigation or exposing a confidential source is not disclosed. This is to assure that the concern is quickly resolved and corrective action taken if necessary.
In cases in which disclosure of the information could adversely affect an inspection or investigation or expose a confidential source, the information should be disclosed only after consultation with the Regional Administrator, the Director OI or the EDO as previously indicated. If the matter is an emergency where a safety or safeguards issue appears to require imediate action to prevent danger to the public health and safety, the staff l may cisclose the information but should consult regional management if time permits. The fact that a particular matter has been referred to DOJ should never be disclosed without the prior concurrence of the Director, 01.
The EDO has directed the staff to incorporate the information in the policy memoranda into appropriate Office or NRC Manual Chapters. Some has already been incorporated into these official documents. For example, the information in the October 7, 1983 Memorandum has been incorporated into IE Manual Chapters 0610 and 0611. The information in the December 3,1984 memorandum is in IE Office procedure 0550 and is addressed in a draft Office of Administration Bulletin. Information addressing disclosure of allegations and confidentiality associated with allegations is contained in the proposed final version of NRC Manual Chapter 0517. The pro:ess of incorporation is continuing.
Action Existing policy on the disclosure of inspection and investigation matters to licensees will be incorporated into a single manual chapter for dissemination to staff.
The policy stated above - that the referral of a matter to DOJ should not be disclosed and that enforcement actions initiated during the pendency of an guidance. investigation should be coordinated with O! - will also be added to existing
\ .
\
i
,. .m/myn UNITED states I
a s , NUCLEAR REGULATORY COMMISSION i naamweton, o. c.a l t !
I MEMORANDUM FOR: Richard C. DeYoun Thomas E. Murley,g. Director, Regional IE Administrator, RI James p. O'Reilly Regional Administrator, RI!
James G. Keppler,, Regional Administrator, RIII t John T. Collins, Regional Administrator. RIV John B. Martin, Regional Administrator, RV FROM:
William J. Dircks Executive Director for Operations
$UBJECT:
POLICY ON THE DISTRIBUTION Or DRAFT INSPECTION AND INVESTIGATION REPORTS 1
I have reviewed your connents with regard to the policy on distribution of draft inspection reports stated in my memoranda of March 24 and30,July 1982.
with the Directors of O! and 01A.I have also discussed our policy on releas '
The primary motivation of this policy statement is to ensure that official NRC documents, and their inspection and investigative conclusions, are b11shed without regulate.any taint, either real or perceived, of improper influence those we of the NRC field staff to comment freely on safety issue stages of. fact collection and evaluation. The basic problem to be addressed by this policy is the fact that licensees shall not be afforded opportunities to modify NRC documents to their advantage outside the public arena, j
In order to give suitable consideration to these issues, the policies stated in my memoranda of March 24 and July 30, 1982 are superseded by the following: !
A. Objectives i
n,e following statements reflect the basic objectives of this policy statement:
i
- 1. '
To encure that sufficient flexibility is provided to the Regional Administrators so that they and their staffs will not hesitate to i
disseminate reports, and safety-related information to licensees !
) l i
2.
To ensure that inspection / investigation findings accurately i 06/24/85 NRC staff, without improper influences by licensee VIII-20 EKHIBIT 4 m p e g ,. _............._J
~
2 l
on the content and/or conclusions of NRC reports of inspections or investigations.
B. Safety and Security Issue Communications NRC policy recognizes that nuclear safety and security concerns must be addressed by prompt, positive actions. Accordingly, safety or security infomation must be promptly and clearly identified to responsible licensee management to obtain prompt licensee evaluation and, if appro-pHate, safety-related corrective actions.
Such clear communications are necessary to maintaining required levels of safety and secuHty at licensed facilities. When such connunications are made as a result of l concerns that arise during the course of an inspection / investigation, the fact of the communication should be noted in the inspection / investigation' report, and a copy of any wHtten connunication should be included in the report.
Where approved by regional management, inspectors may, in preparation for exit interviews or enforcement meetings, provide to the licensee a listing of significant issues developed in the course of an inspection, in order to action.
corrective facilitate However, communication of inspection findings which require notes draft reports, draft evaluations, draft notices of violations or non, compliance, or other mat'erial containing preliminary inspection conc 1,psions, findings and recommendations are not to be provided to the lidensee, except as required by safety or security concerns, as noted above.
Briefing materials prepared by the staff for use in meetings with licenseesoccasionedbyinspectionactivitiesshouldberevie regional management the inspection report. prior to distribution at a meeting, and appende o C. Release of Draft Inspection Reports Under no circumstances should draft inspection reports, either in their entirety or excerpts from them, be released to licensees or their agents, or to any source external to the NRC without the express permission of the EDO. 4 For the purposes of this policy, a draft inspection report is the preliminary draft of the document which will provide the account and conclusions of an official NRC inspection. It is to be considered a l draft inspection report from its initial development, and throughout the period of supervisory and management review, until final publication and distribution in accordance with IF Manual Chapter 1025.
In the event any draft inspection report is inadvertently or otherwise released contrary to this policy, the EDO shculd be promptly advised in writing. The EDO will take or recomena action as appropriate.
06/24/85 VIII-21 - ~ ~ . - .
3 -
Do Release of Draft Investigation Reports For the purposes of this policy, a draft investigation report is the preliminary draft of the document which will provide the account and findings of an official NRC inquiry or investigation. It is to be considered a draft investigation report from its initial development, and throughout the period of supervisory and management review, until final publication.
It is important to realize that 01 is required by Commission directives to inform Regional Administrators of safety and security issues as they !
are developed in the course of an investigation. Regional l
Administrators shall act on this information in accordance with the !
policies set forth above for the prompt communication of safety and ;
security issues, and in addition shall observe the following procedure. i The Regional Administrator shall inform the Director. 01, in advance that information related to an open investigation is being considered for release to the licensee because safety or security concerns require initiation report.
of corrective actions befort publication of the investigation The Director. 01, should review the information to be released i and advise the Regional Administrator of the anticipated effect of its I release on the course of the investigation. The Regional Administrator 1
will release the information only after determining that the safety or i security concerms are significant enough to justify the risk of compromising the effectiveness of the investigation and, possibly, subsequent enforcement or prosecution options. Any such release of information should be recorded in the investigation report.
Pursuant to Commission approved OI policy, draft 0! reports of investigation will not be circulated outside the NRC without the i specific approval of the Chairman. (OIA draft reports of investigation will under no circumstances be reviewed with or given to licensees, their agents, or to any source external to NRC, without the express permissionoftheDirector,DIA.) Requests for such permission should be made through the EDO.
In the case of an emergency appearing to require immediate action, NRC personnel shall provide the licensee with any information they judge the circumstances warrant. If time permits, regional management should be consulted first.
06/24/85 VIII-22 EXHIBIT 4
9 4
The foregoing policies are effective inanediately. The EDO following an appropriate )
policy into theevaluation period for this policy, will incorpo, rate this NRC Manual.
Also, the ED0 is reviewing existing procedures and practices related to other types of communications under the cognizance of other NRC Offices and will issue policy guidance where deemed appropriate.
3 Willi J. Dircks !
Executive Director {
for Operations cc: H. Denton J. Davis R. Minogue 1 E. Messenger B. Hayes 4
1
\
06/24/85 VIII-23 EXHIBIT 4
DEC 8 8 84 MEMORANDir FOR: Office Directors Regional Administrators FROM: William J. Dircks Executive Director for Operations
SUBJECT:
POLICT ON CONTROL 0F NRC REPORTS AND OTHER DOClMENTS On October 7,1983, I issued a policy statement regarding the distribution of draft inspection and investigation reports. Since that time, other events have occurred that indicate the need for a general policy statement that addresses the release of all NRC reports and other documents, either in their draft or final form. That policy statement is enclosed. The major premise of the enclosed policy statement is that documents will not be provided to one licensee or member of the public unless they can be made available (generally through thePublicDocumentRoom)toall.
Noth'ing in the enclosed policy statement should be construed as a relaxation of my Cctober 1983 policy statement. Rather, it is av intent that the procedures developed in response to the enclosed policy statement be consistent with the specific directions in ny October 1983 policy statement. As an aglification of sy October 1983 policy, you should also establish procedures to ensure that 0! is promptly informed whenever a material false statement is suspected. -
Additionally, matters being referred to OI should be coordinated with O! prior to advising a licensee of the potential referral. To assure overall consistency and completeness your procedures should be forwarded to DEDROGR for review and Coement.
By copy of this memo. I am directing the Office of Administration to incorporate these policies into appropriate NRC Manual Chapters.
SlgnedWEaa LDinks William J. Dircks Executive Director for Operations
Enclosure:
As stated cc: Chaiman Palladino Commissioner Roberts Consissioner Asselstine Commissioner Bernthal Consissioner Zech V. Ste110. DEDROGR SLC1 OPE OGC .
06/24/85 VIII-24 EXHIBIT 4 3 9 y : g ..: g y -
i l POLICY ON CONTROL 0F NRC REPORTS AND QINER D0CtMENTS INTRODUCTION NRC amist act promptly and positively on huclear safety and safeguards concerns.
Such concerns must be identified promptly, documented and made known to respo sible licensee management to obtain prompt evaluction and appropriate cor-rective action. At the same time, NRC documents must be developed and issued without improper licensee or public influence, or the appearance thereof, and must be made available to the public in a timely manner, consistent with NRC regulations, policies and procedures.
OBJECTIVES The objectives of this policy statement with regard to both plant-specific and generic NRC reports and other documents (referred to hereinafter as " documents")
are:
- 1. To provide NRC staff with general policy guidance on the release and distribution of draft and final documents.
2.
To assure that staff documents are developed and issued without improper influences, real or perceived, by the public or by applicants, licensees, pruittees or their subcontractors.or agents (referred to hereinafter as licensees") and are made ava11ab1s' promptly to the public.
- 3. To assure that sufficient flexibility is provided to Offi.:e Directors and Regional Administrators so that they and their staffs will not hesitate to disseminate appropHate safety or safeguards infomation to licensees, before distribution of final documents.
POLICY For the purpose of this policy, the term " documents" encom mateHal considered to be NRC records under 10 CFR part 9. passes all written A draft document is to be considered a draft from its initial development throughout the period of review until its issuance as a finat document. A final document is one that has been signed or otherwise approved for publication and distribution. Final documents will be distributed in a manner that will ensure that the public, the licensees. NRC contractors and Government agencies have access to information they need to fulfill their responsibilities. Finsi documents provided to licensees will be placed in the Public Document Room (PDR).
Any decision under this policy to place documents in the POR sust also be con-sistent with NRC regulations, policies and procedures regarding confidentiality, security, safeguards, proprietary, and Privacy Act Information and investigative matters.
06/24/85 VIII-25 EXHIBIT 4
-t.
s (
Draft documents, or information contained therein, are not to be discussed j with, given to, or shown to any licrasee or the public by MRC staff without prior approval.
predecisional provided interagency to licensees or orthe intrangency memoranda and letters shall not be management approval.
public or placed in the pDR without prior In the event any document is inadvertently or otherwise released by the NRC, ,
its contractors or other Government agencies contrary to this 1,o11cy, the ED0 i should be advised promptly in writing of the occurrence and the corrective I action to be taken by the responsible Office to avoid recurrence of such release.inNomally, placed the pDR. under such circumstances, the released document should be l
DCEPTI0lts In the event there is an emergency, or a significant safety or safeguards issue appears to requim ismediate action NRC personnel, at their discretion, may discuss with, show to, or provide the licensee with any pertinent material they believe the circumstances warrant. '
1 In the nomal licensees, course of conducting regulatory activities, communt, cations with vendors industry representatives and other Government agencies are at times necessary,regarding initial MRC staff positions, license conditions, confirustion of action letters, inspection' findings, preparation of bulletins and infomation notices, events at other facilities, etc. Such casuunications can ba held in advance of the final NRC documents for the purpose of (1) vaining factual infomation, (2 assessing the cost feasibility and benefit of, or alternatives to, prop)osed actions, or (3) , alerting licensee initial staff positions or safety findings in order that corrective actions can be initiated promptly. This policy statement ~1s not intended to impede such exchanges of information. Any written communications provided by the staff to licensees or the public shall, however, be placed in the pDR.
Draft research reports, studies, data or other documentation based on infomation obtained from a licensee or vendor, which say be discussed or exchanged with those parties and other participants in a study or research program, are not subject to restraint under this policy statement.
Draft proposed and final rules, policy statements and other documents pertaining to materials regulated by the Agreement States may be sent to the Agreement policy. States for cassent and are not subject to restraint under this Nothing in the policy statement shall automatically preclude the release of agency records pursuant to a formal request under the Freedom of Information Act.
06/24/85 VIII-26 EXHIBIT 4
IMPLEMENTATION Program and Regional Offices are expected to develop and implement procedures that reflect this policy. IE, IMSS and NRR, in coordination with Regional Offices, should develop generic procedures for use by the Regional Offices regarding inspection, fuels and materials licensing and reactor licensing, respectively.
1 i
1 1
l l
l l
1 I
i i
06/24/85 I VIII-27 EXHIBIT 4 '
s
- g UNITID STATES f
s NUCLEAR REGULATORY COMMISSION
- on c e n.c.smaus
,k January 6,1984 l
MDiORANDLM FOR: l Office Directors Regional Administrators FROM:
William J. Dircks Executive Director for Operations
SUBJECT:
POLICY INFORMATION INTDREGARD THE NRC TO DEALING WITH THOSE W - 1 Our policies in dealing with persons bringing irregularities and de!
in safety performance to our attenth require clarification and emp order are to assure correctly treated.that they are dealt with properly and the issues the NRC resources safety related must be utilized in ways which maximize probleas. our abili information rega Citizens who voluntarily step forwaN with i to our programs.rding safety as1l1iers must be looked on as a valuable adjunc "
Moreover, a part of NRC's effectiveness and credibility these people.with the public is a fnnetion of our relationships with '
In this regard we should be professional interfaces, complete in our technical reviews of issues, they yraise courteous and in ou'r observant of procedures which recognize the special problems fa persons and who practices. come to us with allegations regarding improper safety co Manual Chapter format.I as asking IE to take the enclosure of this m once acre, although I an aware marqy of your comments have incorporated.
In the meantime, it will serve as interim guida~nce with one exception; before directing that citizens must be advised of their of when anonymity I wish IE provides me the MCMto clear this point with the Consission and will d for approval.
7 William . Dircks
. Executive Director for Operations
Enclosure:
As stated 06/24/85 VIII-28 4Lyil_& $ $ ]5,{y. EXHIBIT 5
POLICY IN REGARD TO DEALING WITH THOSE WHO P INFORMATION TO THE NRC l
General Issues q
1.
Those who provide allegations to NRC staff must be treated w ,
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 broader problem it is appropriate to assume that such a prob exist.
Prompt action to. broaden the scope of our inquiry should th taken to detetisine whether or not such is the case.
~
3.
While the safety significance of an allegation is an impobat fa in determining the extent and promptness of staff resources ,
it should not affect the staff treatment of the person making th allegation as given in Item 1 above.
NRC Procedural Practices 1.
When allegations are received in writing, a prompt attempt to m personal contact must ordinarily be made in each case.
When received I
' telephonically, complete details should be acquired along with I I availability of the person making the allegation to meet with NR If documents are involved, they should be identified and!
~ the person making the allegation should not normally be requ obtain them.
06/24/85 vlit-79
2.
Contact, when made, should draw an interested and professional res ,
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 i
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 alleg'ations shoold 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 j 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, 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.
06/24/85 VIII-30 EXHIBIT 5
I 7.
Follow-up of allegations should be professional in scope . If a
1 it is appropriate that an inspection be made, it should be made .. s 8.
Without exception, the individual making the allegation p y sh advised of the results of inspection follow-up action so that aware that their problems were addressed.
If for scoe reason there is unusual delay in providing the results the person should be adv that he does not feel his allegations are being ignored.
. i g.
An " audit trail" - to include personal interview records - should b I i
) established se that NRC actions can be properly justified if n All allegations should be entered in the allegation trackjng syst 10.
The final report should set forth the facts clearly, dispositively ,
in a style that does not belittle or disparage the person who safety matter to our attention.
_ Licensee Actions 1.
Licensees should be encouraged to take allegations seriously. Programs such as interviews of all employees who terminate should be en such programs should be monitored by HRC .
Licensee actions do not relieve us of our responsibilities, but effective licensee actions reduce somewhat the number of allegations we receive.
06/24/85 Viif u - - ^ ~ - ~
4 2.
It should be advantageous under some circumstances to have the lice .
address the validity of allegations to the NRC.
If so, confidentiality sust not be breached.
Licensees can be asked to address the validity of allegations only if in so d61ng 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 n 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 allegati 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 indivi 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 ide i 2.
Staff should assure that it is clear to all concerned if and on terms anonymity of a person making an allegation is to be protected . In every case the individual shall be asked if anonymity is desired.A clea'r record should be maintained for the files to preclude later m understandings.
A Confidentiality Agreement (see attachment) should te executed with the individual, if necessary and possible.
l 1
5-l 3.
If at any time for any reason confidentiality is breached or jeop the person should be so advised, the reason explained and rem taken if possible. ,
Attachment:
Confidentiality Agreement -
1 l
l I
l
)
l 06/24/85 u --
CONFIDENTIALITY AGREEMENT Regulatory Comission (NRC).I have infonnation. .that Nuclear I with te provide as a condition of providing thisI request informationantoexpress pledge of confidentiality the NRC.
I this information extended to me. voluntarily to the NRC without such econfidentiality ng bi It is g understanding, consistent with its legal obligations, .b the NRC agreeing to this confidentiality will adhere to the following conditions:y 1 (1)
The NRC will not identify me by name or personal identifier in any N
.relates initiated document, directly conversation, to the information or communication released to th provided by me.
release" to encompass any distribution outside of the NRC with the other publicunder responsibilities agencies which law or public may require this information in furthera trust.
(2) quired for the conduct of NRC related activities.The NRC will d -
(3)
During tM course of the inquiry or investigation the NRC will also as actions ity to persons whichsubsequently would contactedclearly by the NRC. be expected to result -
l that even though the NRC.will make diery reasonable effort to proti entity, g identification could be compellsid law, hearing boards, or similar legal entities. by orders or subpoenas issued granting this prturise of confidentiality and any other relevant facts jwill cocaunicated g confidentiality. to the authority ordering the disclosure in an effort to ma If this effort proves unsuccessful, a representative of the NRC will attagt to inform me of any such action before n y.
distlosing m fidentiality if I take any action that may identity. be reason con-c ose g I further understand that the NRC will consider me to have w rights to confidentiality if I provide (or have previously provided) in to any other party that contradicts the infonation that I eprovided to th or if circumstances indicate that I am intentionally providing false info to the NRC. NRC Other Conditions: (if any)
I have it: read and fully understand the contents of this agreement provisions. . I agree with Date Name:
Address:
) Agreed to on behalf of the US Nuclear Regulatory Comission .
Da te ' ~
Signature Name:
Title:
06/24/85 34 l rv...... ,
R i
, / 1
!' a UNtTeD STATES j- I NUCLEAR REGULATORY COMMISSION
\..../ wAseawoTow.o.c.aoses APR 24 E84 MEMORANDUM FOR: .
EDO Office Directors Regional Administrators FROM: i William J. Dircks Executive Director for Operations
SUBJECT:
RELEASE OF INFORMATION TO LICENSEES
REFERENCE:
Meso. Dircks to Office Directors and Regional Administrators, " Policy in Regard to Dealing with Those6,1984 January who Provide Information to the NRC." dated i
i I The reference above deals with'dhe ge'neral issue o' f dealin efficient aanner with information provided to MRC with due regardi confidentiality of those who provide such information.
and l
deals licenseeswith the narrower issue of release of such inforestion toThis mem
/ vendors. -
issue related to safety, recent experience has shown resources are being used to deal with allegations for NT0L plants policy set forth in the meno is intended to improve this situation .
The advised of potential safety concerns raised by u e !
feasible to protect the inhealth order andthat appropriate review and subsequent safety. actio I expect that once information from a en allegers is received, and the Office / Region understands the info that the licensee will be advised specifically by letterrea ofofthe a concern and will be requested to address it, subject to further au f:RC. However the anonymity of se,urces should be protected and the effectiveness,of investigations / inspections should , i.e.,
not be con premature problems or appearrelease to do so.should not allow licensees the opportunity to There are two exceptions to this guidance.
cannot release the information with sufficient detail to be of use to licensee source. / vendor without compromising the identity of the confid In such a case release should normally not be made unless the
) release is necessary to prevent an imminent threatealth safety. to and the public h I should be consulted in any case where it appears a need DtD$tt;t/ftEh-Xb ?
06/24/85 " " "
-2 the identity of a confidential source.
The second exception is where a knowledge gained from the release of informatio involved. g is Office of Investigations for investigations eshould or not to release the information to avoid compromising NRC action. er m
l as has occurred with several plants as they appro difficulties in executing this policy are enhanced. , the However, at such a high.
time, the requirement for a licensee stoalsoknow whe these particular situations.
I am requesting Chapter. that IE incorporate this policy in an appropriate Man
- R ed C
- m ! t!
- 'a William J. Dircks '
1 -
Executive Director for Operations I
I
. \
i'
)
06/24/85 VIII-36 EXHIBIT 5