ML20195G824

Submits Rev 1 to Ofc Ltr 1000 Re Procedures for Requesting Ofc of Investigations to Conduct Investigations Into Matters Involving Wrongdoing by Licensee Employees or Contractors & Notifying Ofc of Potential Wrongdoing

ML20195G824
Person / Time
Issue date:	12/07/1987
From:	Murley T Office of Nuclear Reactor Regulation
To:	Office of Nuclear Reactor Regulation
Shared Package
ML20150E588	List: IA-88-349, Final Response to FOIA Request for Documents.Forwards App B Documents.App a & B Documents Available in Pdr.Addl Records May Be Found in PDR Under FOIA-88-349 IA-88-355, Submits Rev 1 to Ofc Ltr 1000 Re Procedures for Requesting Ofc of Investigations to Conduct Investigations Into Matters Involving Wrongdoing by Licensee Employees or Contractors & Notifying Ofc of Potential Wrongdoing ML20150E584 ML20154A426 ML20154A437 ML20154A441 ML20154A461 ML20195F765 ML20195G824
References
FOIA-88-355 NRRL-1000, NUDOCS 8712100369
Download: ML20195G824 (3)

Text

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/  %, UNITED STATES

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g NUCLEAR REGULATORY COMMISSION j, e wAsHwomn, o. c. mes Decemb]r 7, 1987 k......

. MEMORANDUM FOR: All NRR Employees

. FRCH: Thomas E. Murley, Director Office of Nuclear Reacter Regulation

SUBJECT:

HRR OFFICE '.ETTER NO.1000, REYlSION 1 REQUESTINC 01 INVESTIGATIONS AND NOTIFICATION TO O! 0F POTENTIAL WRONGDOING PURPOSE .,

This effice lettar.sstablishes NRR procedures for (1) requesting the Office of Investigations (01) to conduct investigations into matters involving wrongdoing on the part of employees of licensees or licensee contractors, and (2) notifying 01 when staff is aware of a matter involving potential wrongdoing. This revision supersedes NRR Office Letter No. 1000, dated August 20, 1987.

DEFINITION Wrongdoing. Intentional violations of regulatory requirements and those violations that result froci careless disregard of or reckless indifference to regulatory requirements amounting to intent.

RESPONS!BILITIES AND AUTHORITIES l 1. The Executive Director for Operations (E00) is responsible for approving all requests to 01 for investigations originating in NRR.

2. The Director, NRR, authorizes all 01 investigation requests being forwarded to the EDO for final approval.

3. Division Directors NRR, are responsible for:

a. Ensuring that all requests for 01 investigations are prepared in accordance with the guidance in this revised office letter.

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' b. Ensuring that the priority assigned to 01 investigation requests is in accordance with the Comission-approved guidance. (See Basic Requirements.)

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c. Ensuring that there is a regulatory need for the 01 investigation.

CONTACT:

, g R. Brady, PMS 49-2097?

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December 7, 1987

All NRR Erployees 4. The NRR Office Allegation Coordinator (OAC) is responsible for:

a. Reviewing all requests to O! for investigations before they are

' submitted to the Director, NRR, for approval,

b. Making recomendations to the Director, NRR, concerning the regulatory need, priority assignment and other aspects of requests for O! investigations.

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c. Maintaining a system for tracking all O! investigation requests, and maintaining a comprehensive file of all such requests originating in NRR.

All hRR employees who are involved with matters of potential wrongdoing 5.

by licensee or licensee contractor employees are responsible for ensuring that such matters are brought to the attention of 01, consistent with the guidance contained in the memorandum (Enclosure 1) dated August 11, 1987, fron. V. Stello to Office Directors and Regional Administrators, subject:

"Notification to 01 of Potential Wrongdoing.'

BASIC REQUIREMENTS O A. Ra - tia9 m ia m tisat uas NRC Hanual Chapter 0517, 'Hanagement of Allegations ' dated June 20, 1987, provides agency policy with regard to initiating, prioritiZing and terminating 01 investigations. HRC Appendix 0517, Part Ill, provides, at Exhibit 3, a standt,rd form for requesting investigations. A copy of this form is Enclosure 2 to this revised office letter; the form will be used for all O! investigation requests.

As required by NRC Hanual Chapter 0517, requests to 01 for investigation of wrongdoing should be initiated when (1) there is a reasonable basis to believe that wrongdoing is involved; and, (2) staff determines an investigation is necessary for it to decide wheEer enforcement or other regulatory action is required. The Comissien, in its response to SECY 65-369, "Threshold and j Priorities for Conducting Investigations," stated, "A reasonable basis for belief of wrongdoing exists when, from the circumstances surrcunding it, a violation of a regulatory requirement appears more likely to have been intentional or to have resulted from careless disregard or reckless indifference than from error or oversight."

All requests for investigation will be assigned a priority by the originating organization, and the basis for that priority will be clearly stated.

Enclosure 3 is an excerpt from NRC Appendix 0517, Part !!!. This enclosure provides examples of the three priority levels and must be used in determining the priority cf all requests for investigation.

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December 7, 1987 All NRR Employees All requests to O! will be submitted on the standard form (Enclosure 2) which will be prepared for the signature of the EDO. A transmittal memorandum, sumarizing the request and recommending EDO approval, shall be prepared for a

the signature of the Director, NRR. The NRR OAC will be placed on the concurrence list for this memorandum.

• If the EDO approves the 01 request, the signed form will be returned to NRR

, for dispatch to 01 Headquarters.

All Of requests will receive limited distribution. Access to the infomation shet.1d be on a need-to-know basis. The NRR OAC will maintain one complete copy and the originating branch member shall maintain one copy. No copies are i

to be to (1)placed the appropriate in the docket file, the Regional Administrator, DCS, PDR or (2)I.PDR. Copies the EDO, shall (3) OE, andbe(4) provided OGC,

' I' No other distribution should be made. All copies will be dispatched in sealec envelopes marked "addressee only."

8. Notification to O! of Potential Wrongdoing The reecrandum from the EDO (Enclosure 1) requires that 01 be notified when staff is aware of a matter involving potential wrongdoing. This notification is to be made independent of and should not await a subsequent decision by staff to make a formal request to 01 for an investigation. Under the NRC's O "open door policy,' employees are free to contact 01 directly when they feel the need exists to do so. However, in rnost situations the matter should be raised to the Branch Chief or Project Director level for O! notification.

I Oral notifications to 0! are permitted, but care should be taken to document that such notification took place.

! EFFECTIVE DATE This office letter is effective imediately.

Au .

( Thomas E. Murley, l Office of Nuclear Reactor Regulation

(

Enclosures:

i , As stated (3) l cc: V. Stello, ELO

8. Hayes, 01 l

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g Enclosure 1 O 'e, UNITED STATES D*  !  % NUCLE AR REGULATORY COMMISSION 2 W A $HING TO N. D. C. 20555 AUG 111987 MEMORANDW1 FOR: Office Directors

, Regional Administrators FRON: Victor Stello, Jr.

Executive Director for Operations

SUBJECT:

NOTIFICATION TO 01 0F POTENTIAL WRONGD0ING In our recent senior unagement meeting I directed that the Office of Investigations (01) be promptly notified when the staff is aware of a matter which could potentially involve wrongdoing on the part of the licensees or their contractors. This is consistent with O! Policy No. 26 which was approved by the Com91ssion. The purpose of this memorandum is to provide guidance concerning this notification.

All NRC employees should be alert for matters which could potentially involve wrongdoing. Potential wrongdoing involves matters where regulatory violations appear to have occurred with some intent or purpose to violate requirements in O contrast to violations involving error or oversight. For purposes of this notification to 01, the ters wrongdoing should be applied as defined in MC 0517. ~*/

Examples of actions by a licensee or licensee contractor which are indicative of potential wrongdoing are record falsificationst material false statements; cheating on examinations; intimidation, harassment and retaliation; and other such utters, especially when it appears management is involved with or is knowledgeable of the wrongdoing.

Notice to 01 should be made as soon as it is determined that the potential exists for wrongdoing, and should be made independent of and not await a subsequent decision by staff to make a formal request to O! for an investi-gation. Oral notifications to 0! Field Offices are acceptable. Normally, such matters should be addressed thru the management chaint however, the NRC's "open door poliev" provides for NRC employees contacting 01 directly when

• circumstances make that appropriate.

• / Wrongdoing is defined in MC 0517, Section 0517-0415 to consist of both Tntentional violations of regulatory requirements and violations resulting from careless disregard of or reckless indifference to regulatory requirements.

- A reasonable basis for belief of wrongdoing exists when, from the circumstances surrounding it, a violation of a regulatory requirement appears more likely to have been intentional or to have resulted from careless disregard or reckless indifference than from error or eversight.

O spt 2 l0 SCLW pp.

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, O 2-In sumary, it is necessary to keep 01 fully infonned of those matters which come to the staff's attention which potentially involve wrongdoing. Please insure that your staff is aware of this requirement. .

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ctor S 10 f

Executive Director for Operations cc: 8. Hayes O!

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ENCLOSURE 2 NRC Appendix 0517 O MANAGEMENT OF ALLEGATIONS Part lil, Exhibit 3 LIMITED DISTRIBUTION - NOT FOR PUBLIC DISCLOSURE Request No.

R egion/ Office-year-No. )

, Allegation No.

TO:

FROM: L REQUEST FOR INVESTIGATION Licensee /Vencor/ Applicant Docket No.

Facility or Site Location Regional Administrator / Office Date A. Rect est What is the matter that is being requested for investigation (be as 1

specific as possible regarding the underlying incident).

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l LIMITED DISTRIBUTION - NOT FOR PUBLIC DISCLOSURE W/O 01 APPROVAL l

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35 Approved: June 20,198i  ;

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NRC Appendix 0517 Part 111, Exhibit 3 MANAGEMENT OF ALLEGATIONS LIMITED DISTRIBUTION - NOT FOR PUBLIC DISCLOSURE 2-

. B. Purpose of Investigation

1. What is the basis for the belief that the violation of a regulatory

. requirement is more likely to have been intentional or to have resulted from careless disregard or reckless indifference than fer.

error or oversight? (be as specific as possible).

2. t tat are the potential regulatory requirements that may have been violated?

3. If no violation is suspected, what is the specific regulatory concern?

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) 4. Why is an investigation needed for regulatory action and what is the l regulatory impact of this matter, if true?

I C. Requester's Pelority

1. Is the priority of the investigation high, normal, or low?

l 2. What is the estimated date when the results of the investigation are I

needed? )

3. What is the basis for the date and the impact of not meeting this e date? (For example, is there an immediate safety issue that must be addressed or are the results necessary to resolve any ongoing regulatory issue and if so, what actions are dependent on the out-

. come of the investigation?)

LIMITED DISTRIBUTION - NOT FOR PUBLIC DISCLOSURE W/O Of APPROVAL O

1 Approved: June 20,1987 36 l

l - __ - -______ - . __ _ . .. -. . _ _ . . . _ _ _ _ _ _ _ _ . .

,p _ _ - - - - - - - - - - - - - - _ _ _ _ . _ _

NRC Appendix 0517 MANAGEMENT OF ALLEGATIONS Part 111, Exhibit 3

. LIMITED DISTRIBUTION NOT FOR PUBLIC DISCLOSURE 3

D. Contact

1. Staff members:

2. Allegers identification with address and telephone number if not confidential. (Indicate If any confidential sources are involved and who may be contacted for the identifying details.)

F. Other Relevant information O

Signature cc: Ol */

E06 NRR/NMSS/OSP as appropriate */

OGC i Regional Administrator **/

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• / If generated by region.

3/ If generated by NRR/NMSS/OSP LIMITED DISTRIBUTION NOT FOR PUBLIC DISCLOSURE W/O Of APPROVAL O

37 Approved: June 20.1987

ENCLOSURE 3 NRC Appendix 0517

( Part 111 MANAGEMENT OF At. LEGATIONS

a. M (1) Current manager, licensed operator or other employee

• . involved safety in deliberate violation of requirements having high significance, n, continulng potential for unnecessary radiation exposure to employees or members of the public.

- (2) Suspected reactor.

tampering with vital equipment at a power (3) Allegations of falsification of records available for NRC inspection or submittals to the NRC or deliberate withholding of information required to be reported to the I NRC, where the situation involved presents an immediate and continuing health and safety concern, m, (a) falsification Icance, of records having high safety signif-such as falsifications which conceal a repeated failure to perform a required test; (b) pileged withlioiding of significant design flaw or seismic criteria information for an operating facility; or O (c) level of Individual' involved in the alleged withholding of Information or falsification is such that a serious question of the willingness of management to conduct safe operations is raised.

(4) Allegations of falsification of records available for NRC inspection or deliberate violations of NRC requirements concerning an area of significant safety concern for licensing.

(5) Allegations necessary of wrongdoing where immediate investigation is to ensure preservation and availability of evidence or which are in some other way time perishable.

b. Normal (1) Allegations or of intimidation or harassment of QC inspectors workers on safety related equipment at a facility under construction.

• * (2) Allegations of dellberate violations of NRC requirements where there is no indication the violation is recurring or causing immediate and direct health and safety impact on the general pub!!c or employees.

(3) Allegations of falsification of records available for NRC O inspection or deliberate violation of NRC requirements of safety concern in the licensing process.

Approved: June 20,1987 30

NRC Appendix 0517 MAN AGEMENT OF ALLEGATIONS Part Hi C. Low (1) Allegations of deliberate violations of NRC requirements, falsification of records or submittats to NRC, or harassment or intimidation of workers where the licensee is aware of the allegation and has already undertaken corrective action.

(2) Allegations of dellberate violation of NRC requirements at an operating facility where there is no near; term safety concern; Q, the reactor is in long term shutdown.

4. Program offices are responsible to the EDO for assuring that within their areas of responsibilities necessary investigations are conducted.

If the program office believes that a priority for a matter should be different than that requested by the Region, the Region should be contacted immediately to resolve the matter.

5. Once a matter has been accepted by 01 for investigation, if the requestor of the investigation determines that the need for or priority of an investigation has changed, that information will be provided to the Director, 01, for his/her consideration.

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