ML20150E584
| ML20150E584 | |
| Person / Time | |
|---|---|
| Issue date: | 03/28/1988 |
| From: | Murley T Office of Nuclear Reactor Regulation |
| To: | Office of Nuclear Reactor Regulation |
| Shared Package | |
| ML20150E588 | List:
|
| References | |
| FOIA-88-355 NRRL-1002, NUDOCS 8804010083 | |
| Download: ML20150E584 (4) | |
Text
, ,.
f o UNITED STATES
! c NUCLEAR REGULATORY COMMISSION
- j we motoes. o. c. 20sss
%,,,,,/ MAR 2 81988 MEMOAANDUM ' 0R: All NRR Employees
, FROM: Thomas E. Murley, Director Office of Nuclear Reactor Regulation
SUBJECT:
NRR OFFICE LETTER NO. 2002 - THE TIMING OF THE DISCLOSURE TO LICENSEES OF PENDING INVESTIGATIONS AND/0R CRIMINAL REFERRALS PURPOSE This Office Letter provides guidance to NRR staff on releasing information to a licensee that could compromise an actual or potential investigation or criminal referral.
BACKGROUND In a March 2, 1987 memorandum to 01: ice Directors and Regional Administrators (enclosed), the Executive Director for Operations (EDO) established the basic policy and procedures to be used in determinations regarding the release of information to a licensee that could compromise an actual or potential O investigation or criminel referral. These procedures are also included in Section 0517-0510 of NkC Manual Chapter 0517; hanr.&nt of Allegations."
R_ESPONSIBILITIES AND AUTHORITIES
- 1. The Director, NRR, is responsible for:
- a. informing the Director, Office of Investigations (01), in advance, when information that may compromise an investigation must be released to a licensee.
- b. informing the Director. 01, and the EDO that information that may compromise an investigation has been released, in an emergency situation, to a licensee.
- 2. The st,aff, NRR:
- a. may, in an emergency situation, release information that may com-promise an investi (See paragraphs 3. and 4.,
on the next page.)gation to a licensee.
i O CONTACT.
R. Brady, PMAS 49 21263
- f o /A -f f- 3 S S, B/2-80kY ..
!p
All NRR Employees -2 MAR 2 o 1988
- b. is responsible for documenting any release of information that may com-promise an investigation, to a licensee, including the preparation of notices e
to the EDO and the Director. 01, for the signature of the Director, NRR.
- c. is responsible for ensuring that determinations to delay informing a 11pensee of issues pertaining to potential safety concerns are reexamined every three months and documented.
BASIC REQUIREMENTS
- 1. When information that =st be released to the licensee presents the risk c.* " ;. ,.iising an investigation, the Director, NRR, shall inform the
,nirector, 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 imediate corrective actions before the invest'igation report is published.
- 2. The Director 01, will review the information to be released and advise the Director, NRR, of the anticipated affect of its release on the course of the investigation. The Director, NRR, will release the information only af ter detenntning that the safety or security concerns are significant enough to justify the risk of compromising the effectiveness of the pending investigation and, pcisibly, subsequent enforcement or prosecution options. Any such release of information should be recorded in the investigation report.
- 3. In the event of an emergency, or a significant safety or security issue that appears to require imediate action, NRR employees, at their discretion, may discuss with, show to, or provide the licensee any pertinent material they believe the circumstances warrant. If time permits, NRR management should be consulted before such action is taken.
An emergency situation is one in which, in the opinion of the senint NRC employee knowing of the situation, a present danger to public h?alth or
, safety or to the comon defense requires the release of investigative information to a licensee without the delay necessary to consult with appropriate 0! personnel. Examples of such types of emergency situations are tiose that involve a potential radiation overexposure to personnel or a potential release of radioactivity to the environment. For example, if an NRC employee knew, through an investigation, that falsified calculations were used to determine the radioactivity of the contents of a tank and there was a clear potential foi the release of the contents to the environment, the NRC emloyee should stop the release immediately, even though such action mig 1t reveal the existence of an investigation. Likewise, if an NRC employee who, solely because of information gained from an investigation, was in a position to prevent a radiation overexposure to someone, the NRC employee would intervene even though the intervention might compromise the inves:1gation, 9
l All NRR Employees M 2 8 1133
(
V
- 4. As soon as practical after a release of investigations information in such an emergency situation, NRR management, including the Director, NRR, the EDO and the Director, 01, shall be informed of the details regarding the information disclosure. In all other instances in which there is not an imediate danger to public health and safety, the staff is required to i consult with 01 before releasing investigations information.
- 5. As previously stated, generally there should be no need to indicate the fact thtt an investigation is underway when information is provided to licensees pertaining to potential safety concerns or to obtain correction of a specific technical issue. However, when, for the reason stated above, the Director, NRR, decides after consultation with OI to delay infortning a licensee of an issue, this decision and the basis on which the delay is found to be consistent with public health and safety should be documented and the decision reexamined every threr mor,ths to ensure its continuing validity. The Project Manager is respoi.f'ble for ensuring that this reexamination takes place and is documented.
- 6. As a general rule, the fact that a particular matter has been or will be referred to the Department of Justice (D0J) should never be disclosed to the licensee. A reply of "I cannot coment on that matter" is appropriate in most cases. However, if the Director, NRR, feels he or she must disclose that a referral has been or will be made to D0J, such disclosure O will be made only with the prior concurrence of the Director 01.
EFFECTIVE DATE This Office Letter is effective imediately.
Thomas E. Murley, D re nv.
Office of Nuclear Reactor Regulation
Enclosure:
Memo for Office Directors, et al.,
fm V. Stello dtd 3/2/87 cc: See next page
4 All NRR Employees cc: V. Stello, EDO MNBB-6209 J. Taylor, EDO MNBB-6209 S. Ebneter, OSP 7-D-4 B. Hayes, 01 3-E-4 J. Lieberman, OE 7-H-5 W. Mcdonald, ARM MNBB-6201 P. Bird, OP W-407 H. Thompson, NMSS 6-A-4 E. Beckjord, RES NL-007 H. Denton, GPA H-1013 S. Connelly, DIA EWS-461 W. Russell R-!
J. Grace R-II A. Davis R-III R. Martin R-IV J. Martin R-V i SECY H-1149 OGC H-1035 i OGC 15-B-18 i NRC POR t
1 l
[
l
us Teo :TATts ENCLOSURE
[*
e~ ' 'N^$
NUCLE AR REGULATORY COMMISSION j
- W A 520 f O N. D. C. 20055 O / March 2, 1987 MEMORANDUM FOR: Office Directors and Recional Administrators i Victor Stello, Jr.
FROM:
Executive Director for Operations
SUBJECT:
THE TIMING OF THE DISCLOSURE TO LICENSEES OF PEhDIN3 INVESTIGATIONS AND/OR CRIMINAL REFERRALS The objective of the NRC in disseminatino infomation to its licensets is to transmit safety-related information promptly to obtain appropriate evaluation ano timely corrective actions while at the same time avoidino the disclosure of information which could reveal the identity of confidential sources or compromise an actual or potential investication or criminal referral. These competino interests must be constantly balanced in makino decisions that best protect the pt.Mic health and safety.
This memorandum deals only with the disclosure of a pendino investication or crir.inal referral. This policy on the disclosure of pendino investications or criminal referrals to the licensee will be ircorporated into an NRC r,anual chapter. It supersedes all previous cuidance on this subject. Comission policy on revealino the identity of confidential sources is presented in the Statement of Policy on Confidentiality, dated November 19,1985.
\
- 1. Comunications with licensees durino the inspection /investication process huclear safety and security concerns rust be addressed by prompt, positive actions. Accordinoly, except as described below, safety or security informa-tion must be promptly and clearly identified to responsible licensee r.anactment to obtain tinely licensee evaluation and, if appropriate, safety related i corrective actions. Similarly, items of noncompliance should be broucht to the attention of a licensee for correction. Clear comunications are necessary '
to reintain required levels of safety and security at licensed facilities.
Generally, there should be no need to disclose the fact that an investication is either contemplated or under way when providing information to a licensee pertainino to safety concerns or to obtain correction of a specific technical issue. However, A. When information cannot be released without risk of compromisino an investication, the Reotonal Administrator shall inform the Director. 01, in advance that information related to an open invest 4 cation is beino considered for release to the licensee because safety or security concerns require initiation of imediate corrective actions before i publication of the investication report. The Director. 01, will review the inforeation to be released and advise the Reedonal Administrator of the anticipated ef fect of its release on the course of the investication.
The Recional Administrator will release the irformation only af ter ceterminino that the safety or security concerns are sionjficant enouch to justify the risk of compromisino the effectiveness of the pendino dnvestication and, possibly, subsequent enforcement or prosecution
{( cptions. Any such release of infomation should be recorded in the investication report.
^
ff.
l 1
In the event of an emeroency, or a sionificant safety or security issue which appear to require irrnediate action, NRC employees, at their discretion, Ny discuss with, show to, or provide the licensee any pertinent uterial they believe the circumstances warrant. If time permits, racional Nnacement should be Consulted first.
An erWrcency situation is one in which, in the opinion of the senior hRC employee knowino of the situation, a present dancer to public health or safety or to the comen defuse requires the release of investicative information to a licensee without the delay necessary to consult with appropriate O! personnel. Examples of such types of emeroency situations are those that involve a potential radiation overexposure to personnel or a potential release cf radioactivity to the environment. For eumple, if an NRC employee knew, throuch an investication, that falsified calculations were used to determine the radioactivity of the contents of a tank and there was a clear potential for the release of the contents to the environment, the NRC employee should stop the release irvnediately, even thouch such action micht reveal the existence of an investication.
Likewise, if an NRC employee who solely because of information cained from an investication was in a position to prevent a radiation overexposure to someone, the NRC employee should intervene even thouah the intervention micht compromise the investication.
As soon as practical after a release of investications information in such an emeroency situation, reoional manacement, the EDO and O! shall be informed of the details recardino the information disclosure. In all other instances in which there is not an irrnediate dancer to public health or safety, the staff is required to consult with 01 before releasino investications information.
l B. As previously stated, centrally there should be no need to link the fact
! that an investication is under way when providino inforntion to licensees pertainino to potential safety concerns or to obtain correction of a I specific technical issue. However, when for the reasons stated above.
l the Recional Administrator decides after consultation with 0! to delay informino a licensee of an issue, this decision and the basis on which .
the delay is found to be consistent with public health and safety should be documented by the appropriate Recional Administrator and the decision reexamined every three months to assure its continuino validity.
- 11. Departrent of Justice As a central rule, the fact that a particular matter has been or will be referred to the Department of Justice (D0J) should never be disclosed to the licenser. A reply of 'l cannot coment on tr.at matter" is appropriate in most cases. However, if a Recional Administrator or Office Director feels he or tra mit disclose that a referral has been or will be made to the Department of Justice, such disclosure will be made only with the prior concurrence of the Director. 01.
c.- --
.n-,,-~ .,
I i . . . . - .
3-
!!!. Enforcemer.t Actions Enforcement actions which could reveal the existence of a pendino investication should be coordinated with the Director. 01. The Director. 01, should be provicew with the 'easons why the enforcement action should proceed durino the pendir.o investication.
Origir.at sipet by victer 5t:110 Victor Stello, Jr.
Executive Director for Operations cc: OGC SECY 01 l
CIA l C n
(
!d
(
1 l
l l
l l
l l
l l
l l
l
. . - - . ._- _ -. . - - ___ _.,_ -_ - _ _ . - _ ___ - - - . _ _ - - - . - - - _ . _ - .