ML20042C764
| ML20042C764 | |
| Person / Time | |
|---|---|
| Issue date: | 05/20/1983 |
| From: | Dircks W NRC OFFICE OF THE EXECUTIVE DIRECTOR FOR OPERATIONS (EDO) |
| To: | |
| Shared Package | |
| ML20037D485 | List: |
| References | |
| FOIA-92-436, TASK-PINC, TASK-SE SECY-83-198, NUDOCS 8306030364 | |
| Download: ML20042C764 (22) | |
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POLICY ISSUE (NEGATIVE CONSENT)
For:
The Commissioners From:
William J. Dircks
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Executive Director for Operations
Subject:
DIFFERING PROFESSIONAL OPINIONS
Purpose:
To request Commission approval of a revision to NRC Manual Ch?pter 4125, " Differing Professional Opinions."
Discussion:
In September 1980, NRC issued Manual Chapter 4125, " Differ-ing Professional Opinions," establishing procedures to provide for the expression and resolution of ' differing professional opinions ~ concerning matters related to the agency's mission.
Section 4125-03 of the manual chapter requires the ED0 to annually appoint a Special Review Panel to evaluate and report on the functioning of the procedures.
A Special Review Panel was appointed and met on September 10, 1982.
The attached manual chapter reflects changes reconinended by the Panel as well as changes identified by NRC management during its review of the Panelfs proposed changes.
The highlights of these changes are_ discussed below.
The Special Review Panel's recommendations include the follow-ing:
- 1) more emphasis on establishment of timely procedures for the resolution of differing professional opinions; 2) provisions for maintenance of written records to provide accountability for actions taken to resolve DP0's; 3) the addition of responsibility statements for Regional Administrators and the Office of Resource Managemtot con-cerning the processing and resolution of statements of differing professional opinions;.
- 4) ' provision for RM to submit to the Commission an annual, rather than a quarterly, report on DP0's and actions taken to achieve their resolution.
CONTACT: J.11. Clark, PJ1 49-27721 p
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The Commissioners.,
The changes identified by NRC management include the follow-ing:
1) addition of a statement to indicate that RM maintains.a file of all initial and final DPO's handled by NRC; 2) deletion of an itemized list of_ objectives of the proce-dures that are discussed in detail.in the manual chapter and its appendix; 3) addition.of a' requirement for Director of Re:;ource Manage-ment to notify the EDO of'any DPO's that are not being resolved within the prescr.ibed schedule;
- 4) ' addition of a summary and schedule of the DP0 resolution
. process; 5) minor editorial changes to clarify the intent of the pro-cedures; 6) addition of a statement that managers advising employees to file DP0's will inform the employees' management of that action; 7) deletion of " time of other NRC professional personnel in a consulting capacity" from resources to assist origina-tors.of DP0's.
Recommendation:
The Staff recommends that the Commission approve the revised manual chapter for publication.. The Staff-plans to publish the attached manual chapter as revised.
Please indicate within 10 working days if you have any comments on the manual chapter before its publication.
S William. Dircks Executive Director for Operations
Attachment:
Revised Manual Chapter 4125,
" Differing Professional Opinions" l
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- SECY NOTE:
In the absence..of instructions to.the. contrary,.
i SECY'will notify..the staff.on. Tuesday,~ June'7, 1983 that the Commission,-by negative.-consent, assents-to the action proposed ~in-.this'. paper, j
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DISTRIBUTION:
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REGIONAL OFFICES.
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D^" '"^^ED NRC Fr rm 486 U. S. NUCLEAR REGULATORY COMMISSION (4-82)
NRCM 0201 ISSUANCE CLEARANCE AND APPROVAL SHEET 4/8/83 (If more space is needed, use rewree side. Ots item number for identincation.)
(Submit Oripnal and Yellow)
FROM: (Origmating Division or Of!1ce) l TO: OFFICE OF RESOURCE OFFICE OF RESOURCE MANAGUENT MANAGEMENT A. DESCRIPTION OF ISSUANCE
- 1. NUMBER AND TITLE l
CHAPIER NRC4125, "Dmt.tdNG PROFESSIONAL OPINIONS"
- 2. BASIC AUWORITY FOR ISSUANCE (Qte Executive Order. Statua. Manual Chapter, etc.)
Chapte" NRC4125, dated 9/19/80. EIO's Special Review Panel j
l 3, TTFE OF IS3UANCE
- 4. TYPE OF ACTION l
M OIAPTER TALPPENDIX O BULLETIN O NEW g REVISION O CANCELLATICH
- 5. SCHEDULE O ROUTINE O URGENTg,y ',,1,*4,,,= g g 3
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B. COMMENTS AND CONCURRENCES i
- 6. ORGANIZATIONAL COMPONENTS WHICH HAVE COMMENTED, OR HAD THE OPPORTUNITY 'IV COMMENT l
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- 7. CONCURRENCES (!! nonconcurrence, attach copy of nonconcurrence)
Mdh ORGANIZATION SIGNING OFFICER DATE l
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C. APPROVALS
- 8. WIWIN ORIGD4ATING DIVISION OR OFTICE
- c. SIGNAWRE (as required intpally) W CL WRIER (Name. Phone and Mail Station)
- John Clark, RA N {A n
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- b. SIGNATURE (as required internally)
S. Bachrach MAB.DBA.R.
9.
OFFICE OF RESOURCE MANAGKMENT (from standpotnt of Management Directives System)
- a. REMARKS
- b. SIGNAWRE C
Ctor utw1TleO Pars J, D
- c. DATE M-/3-83
- 10. FINAL APPROVAL (Determined by OfSce of Resource Management)
- c. HAME AND TITLE
- b. e
- c. DATE Executive Director for OOei'ations i
i D.
RETURN TO OFFICE OF Rf3OURCE MANAGEMENT 11.
- 12. DATE TO PRINW4G TN NO.
eco see-ese
g Fcrm NRC-489 (1 76)
U. S. NUCLEAR REGULATORY COMMISSION NRC MANUAL TRANSMITTAL NOTICE CHAPTER NRC-4125 DmuuNG PROFESSIOtML OPINIONS SUPERSEDED:
TRANSMITTED:
Number Date Number Date TN 4100-
- Chapter -
NRC-4125 9/19/80 chapter NRC-4125 Page Page NBC-4125 NRC-4125 9/19/80 Appendix Appendix REMARKS:
This revision reflects the evaluation and report of the Special Review Panel as well as requests frce NRC management and includes:
1.
more emchasis on the establishment of timely procedures for the resolution of differing professional opinions (DPO's).
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2.
provision for maintenance of written records to provide accountability for actions taken to resolve DPO's.
3 statements of responsibilities for Regional Administrators and for the Office of Resource Management concerning the processirs and resolution of statements of differing professional opinions.
4.
provision for the Office of Resource Management to submit to the Comission an annual, rather than a quarterly, report on DPO's and actions taken to achieve their resolution.
5 statment indicat$ng that RM maintains a file of all initial and final DFO's handled by NRC; and recuirenent that the Director, RM, will notify the EDO of any DPO.'s that are not being resolved within the prescribed schedule.
6.
statement that managers advising employees to file DP0's will inform the cmployees' management of that action.
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addition of a sunmary and schedule of the DP0 resolution process.
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- U.S. NUCLEAR REGULATORY COMMISSION NRC MANUAL l
l Volume:
4000 Personnel Part. :
4100 Federal RM CHAPTER 4125 DIFFERING PROFESSIONAL OPINIONS-4125-01 COVERAGE This chapter and appendix comprise NRC policy, objectives, procedures, 'respon-sibilities and other basic requirements and definitions established to provide
'for the expression and resolution of differing professional opinions concerning matters related to the agency'sLmission.
4125-02 POLICY AND OBJECTIVES l
021 Policy.. It is the policy'of the Nuclear Regulatory Commission,.and the responsibility of all NRC supervisory and~ managerial personnel, to main-tain a working environment that encourages' employees to'make known their best professional-judgments even though they may differ from a prevailing staff view, disagree with a management decision or policy position, or take issue with proposed or established agency practices.
Each ' differing profes-sional opinion of an NRC employee will be evaluated on its own merit.
Fur-ther, each differing professional opinion will be pursued,to resolution and the employee's statement of differing professional opinion, together with the agen-cy's final response, will be made available to the public to ensure the open-ness of NRC decisions that may affect the public.
It is not only the'right but the duty; of all NRC employees to make known their best professional judgments on any matter relating to the mission of the agency. Moreover, both the general public and the Nuclear Regulatory Com-mission benefit when the agency seriously. considers NRC employees' differing professional opinions that concern matters related to'the agency's mission.
This policy is intended to assure all employees the opportunity to express dif-fering professional. opinions in good faith,.to have these opinions heard and considered by NRC management, and to be protected' against retaliation in any fonn.
022 Objectives. To provide an effective and timely procedure for expres-sing and resolving differing professional opinions.
4125-03 RESPONSIBILITIES AND AUTHORITIES 031 The Executive Director for Operations:
a '.
ensures that differing professional opinions which are not resolved within four calendar months 'after their submission are resolved by the responsible office director as' promptly as is practicable.
1 b.
. annually appoints a Special Review Panel to evaluate and report on j
the-functioning of. the differing professional opinion ' procedures.
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l 032 Directors of Offices and Regional Administrators:.
a.
determine actions to be taken on. statements;of. differing professional opinion.
b.
within;10 days ofLits submission, forward the ' differing-professionale
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opinion either to the appropriate manager within'his or her own of-1 fice or to the director of the' office with basic responsibility, for the-issues raised in the differing professional opinioniwith copies to the EDO and Director, Office.of_ Resource Management..
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q c.
L convene an impartial peer review group to address. the substance ofJ the issues raised either when requested by the originator or when he determines that the complexity of:the issues raised justifies such -
a review.
i d.
inform the. Atomic' Safety.and Licensing Board. Panel-and theLAtomic Safety and Licensing Appeal Panel off any. differing professionalsopin-ion that' relates to -issues pending before.:them or scheduled. for their.
consideration.
assure that every effort is made to expedite the resolution of _ differ-e.
-ing professional-opinions within the time frame specified in Appendix 4125,1l p
Section G.2.a-l f.
' provide the ' originator with a copy of the peer review group's report.
g.
inform EDO of reasons'for delay and submit, for ED0? approval, a pro-posed plan for resolution of DP0's not resolved within-four-calendar months after submission-
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provide the originator with* written notification.of-the resolution of his differing professional opinion with a ccopy to the Director, office' 1 of Resource Management,and EDO, and access.to all documents generated in connection with its resolution.
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provide the Office of Resource Management with an annual Differ.
l ing Professional Opinion Status Report.- (See Appendix 4125, Sec-tion G.4.):
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i-033 The Director, Office-of Resource Management:
a.
provides ; the' Comission with an. annual; report identifying ~ all: differing-l l
professional opinions submitted and specifying-the' actions.that have' i
been taken to achieve.their resolution.
L b.
maintains a file!of all initial.and fina1L DP0's handled bylNRC. c l
c.
advises the immediate-supervisors. of. originators; of. DPO's of. the.
i requirements.to. maintain'a written record :toiprovide accountability'.
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for-all subsequent actions taken to resolveithe. differing professional i
opinions.: (See4125-035h.)
d.
notifies.the.EDO off any DPO.'sL currently under review that are ~not anticipated to:be resolved within 30: days 'after initial: submission.
. 034i Thel Advisory Committee' on1 Reactor' Safecuards::
a..
. appends comments';to all referred statements. of': differing professional.
'l opinion and fomards them forLresolution to theLappropriate office' i
director, if the. differing professional. opinion relates 1to a' potential-l safety issue withih their purv'iew.-
j b.
responds to 'appe'als by_ an'oriOfnator if the differing ' professional
- i opinion concerns matters'of public~ health'or'. safety.
035 Immediate Supervisors:
a.
advise and assist employees;in administratively preparing adequate written statements of differing professional opinion and aid them in identifying related information.
o b.
in consultation with their managers, determine.the' amount of the ori-i L
ginator's work time and. administrative support to be provided..in response' j;
to.the originator's request for assistance.-
l c.
receive signed statements;of differing. professional opinion.from:the L
originator.
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within five working days of receipt acknowledge-receipt of statements of differing. professional opinion by memoranda to ;the originators.- l A copy of the acknowledgment memo andJthe: DP0 statement is fomarded to the EDO ande the Director, Office of. Resource Managenent., f e.
return to the.. originator any statement'. excluded from the definition of a ' differing professional.. opinion together with a memorandum cit-ing the specific exclusion with a copy to' the= EDO and-Director, Office of.
Resource Management.
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. forward statements of differing professional-opinion, via their chain-1 of-comand, to his..or her office director for action with a copy to l
the EDO and Director, Office of Resource Management'.
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g.
assure that statements of differing professional-opinion are incorpo-rated into the receiving organization's -normal _ work. tracking system..
h.
maintain a written record to, provide accountability for. all' subse :
l quent~ actions taken to resolve the differing professional-opinion.
1 036: -All Employees.
- i make known_ their best professional judgments.on any matter relat =
l a.
'ing to the mission 'of the, agency;by. submitting to their-imediate supervisor a signed statement 1of differing' professional' opinion when appropriate.:
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before-. submitting;a statement off differing professional; opinion,.
should consult'with their immediate supervisor who'will aid. them in identifying related information:and assist them, if. requested,-in, clar--
ifying the issues.
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may request an Open Door meeting-with any= manager to discuss 1
-, their views.
d.
may request that their differing professional. opinion be presented to.an impartial ' peer review group for review, evaluation, and coment.
t e.
may comunicate a differing professiona1L opinion concerning.'a poten-tial safety issue directly to the chairman..or any member of the ACRS.
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may appeal the_ resoluf.1on of their differing professional. opinion to a-higher level of NRC management.
4125-04 DEFINITIONS
_041:
Differing-Professional' Opinion., A conscientious expressidn of' pro-i fessional; judgment as. contained in;a written, signed statement' submitted to:
.one's immediate _ supervisor, or submission of san' unsigned anonymousTstatement (l
(see.NRC Appendix.4125, Section H.1): which.on any matter relating to NRC's
- mission or organizational activities, differs'from'.the prevailing-_ staff view-Lwithin'an ' organization,- disagrees with a.' management decision' or policy position, or' takes issue with a proposed or. an' established agency practice.> Differing?
professional! opinions may involve-technica1', management, legal,ior' policy 1
'issuesL and are not limited to the originator's area of expertise.. Matters that are subject to employee grievance in accordance withl Chapter NRC,4157:and matters covered by the negotiated grievance procedure do not. qualify astdif-?
...fering professional' opinions.
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.042 Manager.: An employee who directs the _ work of an organization, is-
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held ' accountable for specific line or staff. programs or activities, and whose
- primary duties are managerial.
t 4125-05 BASIC' REQUIREMENTS-i 051 Applicability.. These procedures for the expression and ~ resolution -
of differing professional' opinions aref for the use of all!NRC employees includ-ing supervisors and managers.- The procedures: supplement ~other. stated rights,; duties,'and safeguards applicable to all: Federal; employees:who make:'
their views / known~ either withinL or outside Ltheir: agencies,; including:: '
.a.
the independent rightrof. free, speech;provided by the First" Amend -
ment to the' U.S. Constitution.
b.
the,right of _ government employees to petition;the Congress L(5 USC 7102).
c.
- the rights of. employees toicommunicate directly with the -Congress as outlined in theLCode of Ethics for Government Service 1(10 CFR-0.735 - Annex A).
d.
provisions of the-1978 Civil Service Reform Act dealing with pro-
,a hibited personnel practices and the regulations of the Merit' System Protection Board.
052 Appendix 4125.
This appendix.provides procedures for the expres-1 sion and resolution of differing professionaliopinions.-
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.e DIFFERING PROFESSIONAL OPINIONS NRC Aopendix 4125 CONTENTS Page A.
Normal Differing Views vs. Differing Professional Opinions.......
1 B.
Primary Channel for Expressing Differing Professional Opinions...
1 C.
Content of a Written Statement of Differing Professional 0 pinion..........................................................
2 D.
Resources to Assist Originators of Differing Professional 0 pinions.................................................*........
2 E.
Acknowledgment of Differing Professional Opinions................
2 F.
Written Record of Actions on Differing Professional Opinions.....
3 G.
Resolution of Differi.ng Professional 0 pinions....................
3 1.
De fi ni ti on of Re solu ti on....................................
3 2.
Resolution Process..........................................
4 3.
Appeal......................................................
6 4.
Reports to the Commission...................................
7 H.
Alteinate Channels for Expressing Differing Professional 0 pinions........................................................
7 1.
Open Door Policy............................................
8 2.
The ACRS....................................................
9 I,
Prevention of Retaliation Against Individuals who Express or Support Differing Professional 0 pinions..........................
9 J.
Prevent Intentional Misuse of Procedures for Differing P ro f e s s i o n al 0 p i ni on s............................................
10 K.
Special' Review Panel for Follow-up on Functioning of Differing Profes sional Opi ni on P rocedures..................................
10 L.
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0 pinions..........ginators of Significant Differing Professional Recognition of 0ri 11 i
i Approved:
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PROCEDURES FOR THE EXPRESSION AND RESOLUTION i
0F DIFFERING PROFESSIONAL OPINIONS A.
Normal Differino Views vs. Differino Professional Opinions A normal differing view, developed in the free and open discussion of work matters, becomes a differing professional opinion only when the originator brings it to NRC management attention in accordance with these procedures.
In the free and open discussion of work matters, professional differences of opinion are common.
Employees may also develop critical views con-cerning matters other than their personal work assignments, such as is-sues under consideration in another part of NRC or relating to an agen-cy practice or position that is neither currently under review nor in the agency's decisionmaking process.
In both these instances employees normally try, and sho'uld be encour-l aged, to resolve their concerns through discussions with their co-l workers and immediate supervisors.
In some cases, such d.iscussions may lead to the submission of a suggestion as part of the NRC sug-i gestion program (Chapter NRC-4154)
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However, these informal discussions may not resolve the matter and an
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employee may be convinced that the agency and the public would be bet-ter served if another opinion prevailed.
To further pursue such con-l cerns using these procedures, an employee should submit a written i
statement of differing professional opinion in accordance with these procedures.
With the submission;of this statement, the employee's dif-fering view becomes a differing professional opinion.
An employee may not use these procedures for differing professional opinions without submitting a written statement.
The employee may, how-ever, express any concerns orally or in writing to the ACRS and may also discuss these concerns with any NRC manager as provided in the l
Open Door Policy (See Section H).
l B.
Primary Channel for Expressing Differing Professional Opinions These procedures are invoked when employees submit to their immediate supervisor a written statement of differing pro,fessional opinion.
As l
indicated in the statement of policy, it is not only the right but the duty of all-NRC employees to make known their best professional judgments l
on any matter relating to the mission of the agency.
3 Before submitting the statement, employees should consult with their im-mediate supervisor who will aid them in~ identifying related infonnation and assist them, if requested, in clarifying the issues.
Originators of differing professional opinions may request agency resources for prepar-ing adequate written statements of differing professional opinion and l
such. requests shall include estimates of the resources required.
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C.
Content of a Written Statement of Differing Professional Opinion A written statement of differing professional opinion, while being brief, should in all cases include the following:
l 1.
a summary of the originator's perception of the prevailing staff view, existing management decision or stated position, or the pro-l posed or established agency practice.
2.
a description of the originator's opinions and how they differ from any items discussed in 1. above.
3.
a statement of the originato'r's assessment of the resulting conse-quences if the differing professional opinion is not adopted by the agency.
D.
Resources to Assist Originators of Differing Professional Opinions To assist originators in preparing adequate written statements of differ-l ing professional opinion, NRC management will allow a reasonable amount of the originator's work time and administrative support.
If called to testify before an ASLAP or ASLBP, the employee shall be entitled to appropriate staff legal assistance.
The originator's immediate supervisor, in consultation with his or her manager, will determine the amount of the originator's work time and administrative support to be provided in response to the originator's request for assistance.
E.
Acknowledgment of Differing Professional Opinions The immediate supervisor shall, 'upon receiving a written statement of differing professional opinion, discuss the statement with the originator if this has not previously been done.
In addition, the immediate supervisor must, within five working days, acknowledge receipt by a memorandum to the originator with a copy to the EDO and a copy to the Director,.0f.fice of Resource Management. This memorandum will also indicate the actions that will be taken to resolve the differing pro-fessional opinion.
Upon receipt, statements of differing professional opinion will be incor-porated into the receiving organization's normal work tracking system.
This tracking should assure that the status of each differing professional opinion is regularly reviewed, aid in its prompt resolution, and provide a systematic basis for keeping the originator informed.
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' Written-Record of ' Actions on Differing Professional Op'inions~
Once a differing professional _ opinion has been submitted,'a written -
a record must be maintained by the11mmediate supervisor;to provide-accountability for all subsequent actions ~ taken to resolve that differing-professional opinion on. its-' merits.
This recordLwill consist of signed 1
notations of all supervisory and managerial determinations and~ actions:
based upon the differing. professional opinion.
Changes in the original-documentation that_ are requested by the originator will-also'be made. a-
-part of. this written record.. Copies of the initialiand the final DPO-
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' documents will be sent to, the Director, Office-of Resource Management,and l
EDO. ; All pertinent documentation will.be;, retained;for. a period of: -
i 10: years.
G.
Resolution of Differing Professional Opinicns
.l.
- Definition ~of Resolution d
- A differing professional opinion ~ is considered resolved by the NRC:
l when:-
1 a.
NRC management adopts.the views expresse'd in'the originator's~
written statement of differing; professional opinion; or
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b.
NRC management adopts;a.part of the judgments expressed in-the originator's written statement of differing professional opinion and informs the originator of the reasons for not l.
adopting the' remainder; or-c.
The-responsible office director determines that evaluation of the differing-professional opinion fails'to justify modification of.
a management decision,. policy position, Lor, a proposed'or an a
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existing agency practice; or
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The-responsible office director determines that ths. impact of the potential consequences sstated"in the differingt professional opinion _ is -insufficient-to justify _a-detailed evaluationLof the differing professional opinion;'.or e.-
The' differi1g professional opinion is withdrawn by the
- originator.J I In'such cases, NRC management may elect to pursue the: matter further based on its merit even though it is no longer considered to be a differing:
-professional opinion.
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In each of the preceding cases, the resolution process is complete only when the originator has been informed of the decision or action of NRC management and, consistent with security classification policy, both the statement of differing professional opinion and the response of NRC management have been placed in NRC's Public Document Room.'
2.
Resolution Process a.
Summary and schedule of resolution process:
Originator submits DP0 to immediate supervisor; (Within five working days of receipt) Immediate sppervisor forwards DP0 to Office Director with comments of all others in chain-of-command appended; (Within 10 working days of submission) Office Director forwards DP0 to appropriate manager for action [If transferred to another office, DP0 must be assigned to responsible program manager within 15 working days after submission by originator.];
(Within 15 days after submission) Office Director informs ASLBP and ASLAP of any DP0 that relates to issues pending before them or scheduled for their consideration; (Within 30 working days after assignment to responsible manager) DP0 normally resolved; (Four calendar months after submission) If DP0 not resolved, responsible Office Director infonns EDO of reasons for delay and submits, for EDO approval, a proposed plan and schedule for completing resolution.
b.
When submitting a differing professional opinion, the originator may request that it be presented to an impartial pee'r review group for review, evaluation, and comment.
If such request is not made by the originator, and if the responsible office director determines that such review is justified by the complexity or the potential significance of the issues raised, he shall convene an impartial peer review group to address the l
substance of the issues raised in the differing professional l
opinion.
In either case, the responsible office director will assure that members of the peer review groups convened for this purpose are specifically selected for their impartiality and professional competence concerning matters discussed in each differing professional opinion.
The responsible office director will carefully consider peer. review group recommendations in the resolution of applicable differing professional opinions and l
will provide the originator with a copy of the peer review i
group's report.
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Upon. receiving a statement of differing professional opinion from the originator, the immediate supervisor will forward it, via the chain-of-command, to his or-her office. director for action with copies to EDO and Office of. Resource Management.
The immediate supervisor and all others in the chain-of-command shall append their views concerning matters.
discussed in the differing ' professional opinion. The differing.
professional opinion, with comments appended, shall be provided to the office director within.five working days after its submission by the originator.
Copies of' these coments,-
together with all other documents generated-in response to the differing professional opinion, shall be made available to the originator as they are generated. At his option, the originator may submit written comments for the record concern-
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ing views expressed by his immediate supervisor or others' in the' chain-of-command, or views expressed by intermediate NRC -
management personnel in the course of resolution of the differing professional opinion.
d.
The. office director will forward the differing professional opinion, within 10 working days of.its submission by the origi-nator, either to the appropriate manager within his or her own office or to the director of the office that has basic responsi-bility for the issues raised in the differing professional opinion with copies to the, EDO and Director, Office of Resource Management.
If transferred to another office for resolution, the differing professional opinion must be assigned to the responsible program manager within 15 working days'after its submission by the originator.
The responsible manager will incorporate the statement of differing professional opinion into the organization's nomal work tracking system and, until l
the differing professional opinion has been resolved, shall provide the originator with brief monthly status reports..
i Copies of these reports shall also be provided to the.
responsible office director.
The responsible manager will also inform.the originator of other differing professional. opinions l
received that are relevant to that submitted by the originator.
l e.
The. responsible' office director will, within 15 working days after its submission by an originator, infom the Atomic Safety and Licensing Board Panel and the~ Atomic Safety and Licensing Appeal Panel of any differing professional opinion thatirelates l
L to issues pending'before them or scheduled for their consideration.
f.
-Every effort shall be made-to expedite the resolution of-differing professional opinions.
Nomally, a differing L
professional opinion should be resolved.by the responsibla office director within 30 working days after its assignment to l
the responsible manager.
An extension of 15 working days will, 5
l however, be automatically granted upon certification by the responsible manager to the originator that:
(1) resolution of the differing professional opinion involves especially complex issues, (2) the workload of managerial personnel involved in resolution of the issues' is temporarily. heavier than nonna1, or (3) that resolution of the differing' professional opinion involves the participation of several levels of NRC management.
Additional. extensions of 15 workin'g days each may be granted only upon application to and approval. by the responsible office director who will consider coments of both the managerial personnel involved and the originator with regard to the proposed extension.
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If a. differing professional opinion is not resolved within four calendar months after its submission, the responsible office director shall inform the Executive Director for Operations (ED0) of the reasons for the delay and shall submit, for EDO
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approval, a proposed plan and schedule for completing. its reso-lution.
The responsible office director shall provide the orig-inator with a copy.of the EDO-approved plan and schedule for i
resolution.. The EDO will ensure that differing professional opinions in this category are resolved by the responsible office director as promptly as is practicable.
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The responsible office director shall provide the originator j
with written notification'of the resolution.of his differing professional opinion 'with a copy to the Director, Office of Resource Management (seeSection 4125-03). and EDO, and access to all documents generated in; connection with its resolution.
3.
Appeal The originator may appeal the resolution of his differing profes-sional opinion to a higher level ~ of NRC management including a l
Comissioner or the Comission.
Nonnally, it would be expected that I
appeals by individuals assigned to Program Offices or to EDO Staff Offices would be submitted to the EDO and that individuals assigned i
to the Comission or to Comission Staff Offices would submit appealst either to a Comissioner or to the Comission. Moreover, if a differing professional' opinion-concerns matters of public health or safety, the appeal may be forwarded through the' ACRS with a request that the ACRS coment on the potential safety implications of the resolution that is being appealed.
l These procedures make no_ provision for further appeal of the reso--
lution by NRC management of a differing professional opinion.
How-l ever, originators who are dissatisfied with either NRC management's resolution of their differing professional-opinion or the results'of their appeal of this resolution may. further pursue their concerns via the Open Door policy or the ACRS as appropriate.
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4.
Reports to the Commission The Office of Resource Management (RM) shall provide the Commis-.
sion with annual reports identifying all differing professional opin-ions submitted and specifying the actions that have been taken to achieve their resolution.
This information shall be provided by the l
responsible office directors who shall, within five working days after i
each calendar year, provide RM with a Differing Professional Opinion l
Status Report that contains:
l a.
A listing and a description of all differing professional opinions I
received together with a brief status report of all; efforts that have been taken to achieve their resolution.
Items shall be reported and summarized in the following three categories:-
(1). Differing professional opinions submitted since the last status report.
(2)
Differing professional opinions :previously received and reported but' not yet resolved.
(3)
Differ'ing-professional opinions previously received and reported that were resolved on the following dates.
L b.
Information obtained from the originator _ of each differing pro-l fessional opinion resolved during the year which indicates the originator's general reactions to these procedures.
As a mini-mum, this information should include the originator's evaluation of the utility of these procedures -for handling.his or. her dif-i fering professional opinion, areas in which these procedures-inhibited rather than aided the achievement of their objectives, and comments or recommendations for improvement of these procedures.
H.
Alternate Channels for Expressing Differing Professional Opinions Two alternate channels are available for employees who prefer not to use i
the primary channel for expressing their differing professional opinions.
Once a differing professional opinion submitted via either of these two channels has been forwarded to the responsible office director, subse-quent procedural steps involved in resolution of the differing professional opinion are essentially identical' with those prescribed-for the primary channel. The basic difference between the primary channel and the two alternatives discussed below is that the alternatives permit the' originator to select the individual manager to whom the differing professional l
opinion will be submitted and, in addition, they _make provision for the L
submission of anonymous differing professional opinions upon request.
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1.
Open Door Policy The Open Door Policy of NRC provides that NRC employees may, on their own initiative, meet with any manager, including a Comissioner or the Chairman of NRC, to discuss any matter.of-concern to the employee.
Employees may request an Open Door meeting directly with the selected manager's secretary or adminis-trative assistant and there is no requirement for the approval of requests for such meetings by intermediate management.
An employee's request for anonymity will be honored by any manager contacted via the Open Door except in two special situa-tions that could occur if the manager contacted is an NRC Comissioner.
Each Co w nsioner is legally required to inform all other Comissioners of any information which he believes to be _
l related to the responsibility or the function of the Comission.
(This requirement for mandatory information sharing applies only to
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the Commissioners and does not extend to others within NRC.)
Subject to this constraint, NRC Comissioners will honor an j
employee's request for anonymity made in connection with comuni-cations via the Open Door.
Therefore, when an employee requests anonymity in an Open Door contact with a Comissioner, no Commis-sioner will disclose to another Comissioner the identity of the employee unless (a) as a practical _ matter it is impossible to convey the substance of the information without making known the identity of the employee, (b) disclosure of the employee's identity to the i
other Commissioners is essential for determination of the accuracy and reliability of the infomation, or (c) the employee's identity is l
required to be released by law.
1 If Open Door discussions disclose that an employee's views constitute a differing professional opinion, the contacted manager should advise the employee to submit a signed, written statement of differing professional opinion in accordance with these procedures and should inform the employee's management that he has been advised to prepare such a statement.
If the employee insists'on remaining anonymous but wishes to have his or her views considered as a differing professional opinion, the employee should submit an unsigned statement of differing professional opinion to the manager contacted via the Open Door and that manager will forward the anonymous statement of differing professional opinion to the office director having programatic responsibility for the issues raised in the' differing professional opinion.
Resolution of the differing professional opinion will then be completed in accordance with these procedures.
To protect the employee's anonymity in such cases, however, it may not be possible to provide the acknowledgment of receipt of the differing professional opinion or the reports on resolution directly to the originator of the differing professional opinion.
In such cases, the manager-originally contacted via the Open Door shall relay ~ to the originator both the acknowledgment of receipt and all reports received by that manager concerning resolution of the differing professional opinion.-
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i Differing opinions not expressed in writing as required by Section-C shall be considered to be normal differing views as discussed in Section B, and may not be-pursued further using the procedures for differing professional opinions.
Openboor'discussionsbetweenemployeesandmanagersmayalso relate to subjects other than nomal differing. views and differing professional opinions.
In theseicases, the managers contacted will work to resolve.an employee's concerns, to answer any questions, and to honor any request for anonymity.
Honoring a request for anonymity may, however, limit a manager's assistance either to dis-cussions with the emp1'oyee or to.providing advice and counsel on matters of concern to the employee..
Managers should advise employees'of the ~ proper channels to be used for the resolution of' concerns ~ that may not be resolved using these procedures for differing professional opinions.
If the contacted manager believes that others should.be notified of. issues raised in-these Open Door discussions, he should notify offices with program-matic responsibility, and others (e.g., the Office of Inspector and Auditor).
2.
The ACRS If the. differing professional opinion relates to a potential safety issue within the purview of the Advisory Comittee on Reactor Safe-guards, an NRC employee may comunicate orally or.in writing.
directly with the Chairman or any member of'the ACRS.
Such com-i munication may be anonymous.
The ACRS will append coments, as-appropriate, to all referred statements of differing professional opinion and will forward these statements'for resolution to the appropriate NRC office director.
An NRC employee may also appear before the ACRS or an ACRS Subcomittee as deemed appropriate by the Comittee. -The ACRS will assure' that all such statements that do not constitute a differing professional opinion are forwarded to the appropriate NRC office director for information. '
I.
Prevention of Retaliation Aoainst Individuals $lho Express or Supoort Differino Professional Opinions Any NRC employee who retaliates against another employee for submitting or supporting a differing professional opinion is subject to disciplinary action in accordance'with Chapter NRC-4171 (Separations.and Adverse Actions).
This applies to-retaliatory actions described in' the following paragraph and to all prohibited personnel practices specified in Section 2302, Title 5, U.S. Code, as amended by the Civil Service Reform Act of 1978.
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Retaliation consists of injurious actions taken against the originator of a differing professional opinion in which a motivating factor for such actions derived from the submission of a differing professional opinion by the originator.
Retaliation may involve transfer;. detail; ostracism; loss of-staff assistance, space, or equipment; physical isolation; the absence of assignments involving substantive work; or the denial of promotion, attendance at professional society meetings, or justified training.
Employees who allege that retaliatory actions have been taken because of their submission or support of a differing professional. opinion may seek redress through the negotiated grievance procedure or through the grievance procedure described in Chapter NRC-4157 (Employee Grievances).
J.
Prevent Intentional Misuse of Procedures for Differing Professional Opinions No NRC employee'should intentionally misuse these procedures.
Examples of intentional misuse would include but not be limited to frivolous use, attempts to treat a personnel-_ grievance type action as a differing profes-sional opinion, and repeated attemptt to use these procedures to obtain a resolution of views that do not satisfy the criteria for differing professional opinions.
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K.
Special Review Panel for Follow-up on Functionino of Differing Professional Opinion Procedures Annually the Executive Director for Operations will appoint a Special Review Panel to evaluate and report on the functioning of these differing professional opinion procedures.
Four members of the Special Review Panel will be NRC employees (two managers and two nonmanagers), and the fifth member will be chosen from outside the NRC.
Two of the NRC-employee. members will be selected from a list of at least five (5) candidates nominated by the National Treasury Employees Union (NTEU).
Membership shal.1 not be limited to scientific or engineering personnel.
All NRC employees will receive a copy of the letter appointing members of the Special Review Panel.
The forwarding memorandum may also solicit employee comments on these procedures to be considered by the Special Review Panel.
Employee recommendations for membership of subsequent Special Review Panels will also be solicited.
The Special Review Panel will study' NRC's experience in handling differing professional opinions, evaluate the functioning of these differing professional opinion procedures by assessing the degree to which.the objectives are accomplished, and make appropriate recomendations for change.
The Special Review Panel may recomend decreasing the frequency of these reviews when evaluations indicate that the NRC procedures for differing professional opinions are functioning effectively.
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'The findings and recommendations of the Special Review-Panel'will-bec
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reported to -the EDO,:the Commissioners, and to all ~ NRC employees and the j
report will be'nade public.-
.L.
Recognition of' Originators of Significant Differing ' Professional Opinions In addition,'the Special Review Panel described in Section X, above, will.
annually. review all ' differing professional opinions: submitted duringlthe prior year to identify employees whose. differing. professional opinions
.made significant contributions to the agency or to public' safety:but who had not been1 recognized:bychis;orL her.. supervisor;for this contribution.
i It is anticipated that employees who provide:significantLeontributions to l
the agency or to.public-health and safety willl be; recommended for appro-l priate. awards by their-immediate supervisors, :Where: award:
recommendations have not been made, they may.be made by-this PanelLin 1
accordance with provisions of.NRC's ' Incentive ~ Awards Program (Chapter NRC-4154).
Copies-of such recommendations for award will; be -included -
in the Special-Review. Panel's written report to~ the'EDO and the Commissioners.
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