ML20057B082
| ML20057B082 | |
| Person / Time | |
|---|---|
| Issue date: | 06/17/1993 |
| From: | Rossi C Office of Nuclear Reactor Regulation |
| To: | Lieberman J NRC OFFICE OF ENFORCEMENT (OE) |
| Shared Package | |
| ML20057B067 | List: |
| References | |
| FRN-58FR33042, RULE-PR-150, RULE-PR-19, RULE-PR-30, RULE-PR-40, RULE-PR-50, RULE-PR-60, RULE-PR-61, RULE-PR-70, RULE-PR-72 AE50-1-005, AE50-1-5, NUDOCS 9309170139 | |
| Download: ML20057B082 (1) | |
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UNITED STATES NUCLEAR REGULATORY COMMISSION k @ -/ oef o
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WASHINGTON, D. C 20555 N
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June 17, 1993 I
MEMORANDUM FOR:
James Lieberman, Director Office of Enforcement FROM:
Charles E. Rossi, Director Division of Reactor Inspection and Licensee Performance Office of Nuclear Reactor Regulation
SUBJECT:
PUBLICATION OF PROPOSED RULEMAKING IN FEDERAL REGISTER i
This is in response to your memorandum of June 9, 1993, regarding proposed rulemaking concerning whistleblower protection, and relevant modifications to Manual Chapter 0517'to reflect the new Energy Policy Act.
Manual Chapter 0517 will not need to be modified because the Manual Chapter is being converted. into Directive 8.8,
' Management of Allegations.
All the changes of the Energy Policy Act relevant to.
the Manual Chapter will be incorporated into the new Directive.
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M i
Charles E./ ossi, Director R
Division of Reactor Inspection.
and Licensee Performance Office of Nuclear Reactor Regulation cc:
D.
Rosano i;
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93o9170139 930817 j
s fESD~~)
BN PDR c
Anoroved for Publication The Commission has delegated to the EDO (10 CFR 1.31(c)) the authority to develop and promulgate rules as defined in the APA (5 U.S.C.
551(4)) subject to the limitations in NRC Management Directive 9.17, Organization and Functions, Office of the Executive Director for Operations, paragraphs 0213, 038, 039, and 0310.
The enclosed proposed rule would amend 10 CFR 19.11, 30.7, 40.7, 50.7, 60.9, 61.9, 70.7, and 72.10 to conform these provisions to the Energy Policy Act of 1992.
This proposed rule does not constitute a significant question of policy, nor does it amend regulations contained in 10 CFR Parts 7,
8, or 9 Subpart C concerning matters of policy.
I, therefore, find that this proposed rule is within the scope of my rulemaking authority and am proceeding to issue it.
Ddte J'mes M.gfaylor _
xecutive Director for Operations po7!]Ojf3
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2 Copies of comments received and NRC Form 3 may be examined at the NRC Public Document Room, 2120 L Street, NW. (Lower Level), Washington, DC.
FOR FURTHER INFORMATION CONTACT:
James Lieberman, Office of Enforcement, U.
S.
Nuclear Regulatory Commission, Washington, DC 20555, Telephone: 301-504-2741 SUPPLEMENTARY INFORMATION:
BACKGROUND On October 24, 1992, the President signed into law the Energy Policy Act of 1992.
Section 2902, " Employee Protection for Nuclear Whistleblowers," includes provisions amending Section 210 of the Energy Reorganization Act (ERA) of 1974, as amended.
The changes pertinent to this rulemaking include the j
following:
(1) Because the ERA contained two Sections 210, the legislation has renumbered the whistleblower protection provisions as Section 211.
(2) The new legislation extends the period in which a whistleblower complaint may be filed with the Department of Labor (DOL) from 30 days to 180 days.
C 3
(3).The new legislation extends and/or clarifies protection to new classes of employees and employers to include:
(a) employees who bring or are about to bring concerns directly to their employers; (b) employees who have " refused to engage in" an unlawful practice, provided that the employee has identified the illegality to the employer; (c) employees who have testified, or are about to testify, before Congress or in any Federal or State proceeding regarding any provision (or proposed provision) of the ERA or the Atomic Energy Act (AEA).
As a result of thase legislative changes, the NRC has concluded that its regulations in 10 CFR Parts 19, 30, 40, 50, 60, 61, 70, 72, and 150 should be updated to reflect the changes.
Currently, S 19.11(c) requires that the June 1982 version or later revision of the NRC Form 3,
" Notice to Employees," be posted.
This section is being changed to eliminate uncertainty and to ensure that the most recent version of NRC Form 3 is posted.
The language is modified so that the date of publication for NRC Form 3 is inserted in the revision to 10 CFR Part 19.
In
)
the future, if NRC Form 3 is changed, 10 CFR Part 19 will also be changed.
This change to 10 CFR Part 19 will revise and reissue NRC Form 3 (6/93).
The revised NRC Form 3, in addition to addressing the 180 day time period that employees have to file a complaint, describes protection for employees who: (1) bring
4 4
safety complaints to their employers; (2) refuse to engage in an unlawful practice, provided that the employee has identified the illegality to the employer; and (3) have testified or are about to testify before Congress or in any Federal or State proceeding regarding any provision (or proposed provision) of the ERA or the AEA.
In addition, 10 CFR Parts 30, 40 and 70 are modified to require posting of NRC Form 3 by general licensees subject to 10 CFR part 19.
Section 211 requires that the provisions of that section be posted.
The Department of Labor (DOL) is implementing procedures to require all employers to post the provisions of Section 211.
Accordingly, given that the DOL action will require posting by a class of employers that includes all NRC licensees, the NRC is not separately requiring the posting of the provisions.
- However, NRC licensees will be subject to the DOL rule of implementing the posting provision of Section 211 and will also be required by this rule to post NRC Form 3 which summarizes protected activities, defines discrimination, and explains how to file a complaint with the DOL.
In 10 CFR 30.7, 40.7, 50.7, 60.9, 61.9, 70.7, and 72.10,
" Employee Protection," the following changes are being made to reflect the new legislation:
o 5
(1)
The applicable Section 210 is renumbered as Section 211.
(2)
The definition of protected activities is modified to reflect the provisions of the Energy Policy Act of 1992.
(3)
The period in which a complaint can be filed with DOL is changed from 30 days to 180 days.
(4)
References in certain sections of the regulations to
" compensation, terms, conditions, and privileges of employment" are being changed to " compensation, terms, conditions, or privileges of employment."
This change is necessary to correct earlier language to conform to the language in the ERA of 1974, as amended.
(5)
The exemption in SS 30.7, 40.7, and 70.7, formally exempting general licensees from the requirement to post NRC Form 3, is being deleted because some general licensees are subject to Part 19.
(6)
The Part 150 NRC general license, recognizing Agreement State licenses, would be amended to conform to the changes to SS 30.7, 40.7, and 70.7.
(7)
These sections are being amended to advise-licensees and applicants that they are expected to notify their contractors of the prohibition against discrimination for engaging in protected activities.
The purpose of
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i l
6 this notification is to ensure that contractors j
understand their obligations under the ERA to avoid discrimination against employees for raising safety issues.
i As provided in 10 CFR 30.7(c), 40.7(c), 50.7(c), 60.9(c),
61.9(c), 70.7(c), and 72.10(c) of these regulations, licensees and applicants may be subject to enforcement action for discrimination caused by their contractors or subcontractors.
Environmental Impact:
Categorical Exclusion The NRC has determined that this proposed rule is the type of action described in categorical exclusion 10 CFR 51.22 (c) (2).
Therefore, neither an environmental impact statement nor an environmental assessment has been prepared for this proposed rule.
I Paperwork Reduction Act Statement This proposed rule does not contain a new or amended information collection requirement subject to the Paperwork Reduction Act of 1980 (44 U.S.C.
3501 et seq.).
Existing requirements were approved by the office of Management and Budget, approval numbers 3150-0044, -0017, -0020, -0011, -0127,
-0135, -0009, and -0132.
7 Regulatory Analysis The Commission finds that there is no alternative to amending the regulations because the amendments are statutorily mandated as required by the Energy Policy Act of 1992.
The proposed rule is necessary to conform the commission's regulations to the language of the nuclear whistleblower provisions of the Energy Policy Act of 1992.
The proposed rule would extend and clarify protection to new classes of employees and employers and extend the period in which an employee may file a whistleblower complaint.
The foregoing constitutes the regulatory analysis for this proposed rule.
Regulatory Flexibility Certification As required by the Regulatory Flexibility Act of 1980 (5 U.S.C.
605(b)), the Commission certifies that this rule does not have a significant economic impact on a substantial number of small entities.
The proposed rule is necessary to conform the Commission's regulations to the language of the nuclear l
l whistleblower provisions of the Energy Policy Act of 1992.
l Backfit Analysis The Nuclear Regulatory Commission has determined that the I
l backfit rule, 10 CFR 50.109, does not apply to this proposed rule l
8 and that a backfit analysis is not required for this proposed rule because these amendments are required by law and do not involve any provisions which would impose backfits as defined in 10 CFR 50.109 (a) (1),
i 9
0
9 List of Subjects 10 CFR Part 19 - Criminal penalties, Environmental protection, Nuclear materials, Nuclear power plants and reactors, occupational safety and health, Radiation protection, Reporting and recordkeeping requirements, Sex discrimination.
10 CFR Part 30 - Byproduct material, Criminal penalties, Government contracts, Intergovernmental relations, Isotopes, Nuclear materials, Occupational safety and health, Radiation protection, Reporting and recordkeeping requirements.
10 CFR Part 40 - Criminal penalties, Government contracts, Hazardous materials - transportation, Nuclear materials, Reporting and recordkeeping requirements, Source material, Uranium.
10 CFR Part 50 - Antitrust, Classified information, Criminal penalties, Fire protection, Incorporation by reference, Intergovernmental relations, Nuclear power plants and reactors, Radiation protection, Reactor siting criteria, Reporting and recordkeeping requirements.
i i
10 CFR Part 60 - Criminal penalties, High-level waste, i
Nuclear power plants and reactors, Nuclear materials, Reporting and recordkeeping requirements, Waste treatment and disposal.
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10 i
l 10 CFR Part 61 - Criminal penalties, Low-level waste, Nuclear materials, Reporting and recordkeeping requirements, Waste treatment and disposal.
)
10 CFR Part 70 - Criminal penalties, Hazardous materials -
transportation, Nuclear materials, Packing and containers, i
Radiation protection, Reporting and recordkeeping requirements, Scientific equipment, Security measures, Special nuclear material.
10 CFR Part 72 - Criminal penalties, Manpower training programs, Nuclear materials, Occupational safety and health, Reporting and recordkeeping requirements, Security measures, Spent fuel.
10 CFR Part 150 - Criminal penalties, Hazardous materials -
transportation, Intergovernmental relations, Nuclear materials, Reporting and recordkeeping requirements, Security measures, Source material, Special nuclear material.
For the reasons set out in the preamble and under the authority of the Atomic Energy Act of 1954, as amended, the Energy Reorganization Act of 1974, as amended, and 5 U.S.C.
- 553, the NRC is proposing to adopt the following amendments to 10 CFR Parts 19, 30, 40, 50, 60, 61, 70, and 72.
11 PART 19 -
NOTICES, INSTRUCTIONS, AND REPORTS TO WORKERS:
INSPECTION AND INVESTIGATIONS 1.
The authority citation for Part 19 is revised to read as follows:
AUTHORITY:
Secs. 53, 63, 81, 103, 104, 161, 186, 68 Stat.
930, 933, 935, 936, 937, 948, 955, as amended, sec. 234, 83 Stat.
444, as amended (42 U.S.C.
2073, 2093, 2111, 2133, 2134, 2201, 2236, 2282); sec. 201, 88 Stat. 1242, as amended (42 U.S.C.
5841).
Pub.
L.95-601, sec. 10, 92 Stat. 2951 as amended by Pub.
L.
102-486, sec. 2902, 106 Stat. 3123, (42 U.S.C.
5851) 2.
In S 19.11, paragraph (c) is revised to read as follows:
S 19.11 Posting of notices to workers.
(c) Each licensee and each applicant for a specific license shall prominently post NRC Form 3, (Revision dated [ insert date of newly published NRC Form 3)), " Notice to Employees."
Note - Copies of NRC Form 3 may be obtained by writing to the Regional Administrator of the appropriate U.S. Nuclear Regulatory Commission Regional office listed in Appendix D to Part 20 of this chapter or by contacting the NRC Information and Records Management Branch (telephone no. 301-492-8138).
12 I
PART 30 -
RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL 3.
The authority citation for Part 30 is revised to read as follows:
AUTHORITY:
Secs. 81, 82, 161, 182, 183, 186, 68 Stat. 935, 948, 953, 954, 955, as amended, sec. 234, 83, Stat. 444, as amended (42 U.S.C.
2111, 2112, 2201, 2232, 2233, 2236, 2282);
secs. 201 as amended, 202, 206, 88 Stat. 1242, as amended, 1244, 1246 (42 U.S.C.
5841, 5842, 5846).
Section 30.7 also issued under Pub. L.95-601, sec. 10, 92 Stat. 2951 as amended by Pub.
L.
102-486, sec. 2902, 106 Stat.
3123, (42 U.S.C. 5851).
Section 30.34(b) also issued under sec. 184, 68 Stat. 954, as amended (42 U.S.C. 2234).
Section 30.61 also issued under sec. 187, 68 Stat. 955 (42 U.S.C. 2237).
4.
Section 30.7 is revised to read as follows:
5 30.7 Employee protection.
(a)
Discrimination by a Commission licensee, an applicant for a Commission license, or a contractor or subcontractor of a
13 Commission licensee or applicant against an employee for engaging in certain protected activities is prohibited.
Discrimination includes discharge and other actions that relate to compensation, terms, conditions, or privileges of employment.
The protected activities are established in section 211 of the Energy Reorganization Act of 1974, as amended, and in general are related to the administration or enforcement of a requirement imposed under the Atomic Energy Act or the Energy Reorganization Act.
(1) The protected activities include but are not limited to:
(i) Providing the Commission or his or her employer information about alleged violations of either of the above statutes or possible violations of requirements imposed under either of the above statutes; (ii) Refusing to engage in any practice made unlawful under either of the above statutes or under these requirements if the employee has identified the alleged illegality to the employer; (iii) Requesting the Commission to institute action against his or her employer for the administration or enforcement of these requirements;
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14 (iv) Testifying in any commission proceeding, or before Congress, or at any Federal or State proceeding regarding any provision (or proposed provision) of either of the above statutes.
(v)
Assisting or participating in, or is about to assist or participate in, these activities.
i (2) These activities are protected even if no formal proceeding is actually initiated as a result of the employee assistance or participation.
(3) This section has no application to any employee alleging discrimination prohibited by this section who, acting without direction from his or her employer (or the employer's agent),
{
deliberately causes a violation of any requirement of the Energy Reorganization Act of 1974, as amended, or the Atomic Energy Act of 1954, as amended.
)
(b)
Any employee who believes that he or she has been discharged or otherwise discriminated against by any person for engaging in protected activities specified in paragraph (a) (1) of this section may seek a remedy for the discharge or discrimination through an administrative proceeding in the J
Department of Labor.
The administrative proceeding must be initiated within 180 days after an alleged violation occurs.
The 1
15 I
employee may do this by filing a complaint alleging the violation
)
1 with the Department of Labor, Employment Standards Administration, Wage and Hour Division.
The Department of Labor 1
may order reinstatement, back pay, and compensatory damages.
)
l 1
(c)
A violation of paragraphs (a), (e), or (f) of this i
section by a Commission licensee, an applicant for a Commission 1
l license, or a contractor or subcontractor of a Commission licensee or applicant may be grounds for -
(1)
Denial, revocation, or suspension of the license.
(2)
Imposition of a civil penalty on the licensee or applicant.
(3)
Other enforcement action.
(d)
Actions taken by an employer, or others, which adversely affect an employee may be predicated upon nondiscriminatory grounds.
The prohibition applies when the adverse action occurs because the employee has engaged in protected activities.
An employee's engagement in protected activities does not automatically render him or her immune from discharge or discipline for legitimate reasons or from adverse i
i action dictated by nonprohibited considerations.
l 16 (e) (1) Each specific licensee, each applicant for a specific license, and each general licensee subject to Part 19 shall prominently post the revision of NRC Form 3,
" Notice to Employees," referenced in 10 CFR 19.11(c).
(2) All licensees and applicants are expected to notify their contractors of the prohibition against discrimination for engaging in protected activities.
(3) The posting of NRC Form 3 must be at locations sufficient to permit employees protected by this section to observe a copy on the way to or from their place of work.
Premises must be posted not later than 30 days after an application is docketed and remain posted while the application is pending before the Commission, during the term of the license, l
and for 30 days following license termination.
)
Note - Copies of NRC Form 3 may be obtained by writing to the Regional l
Administrator of the appropriate U.S. Nuclear Regulatory Commission Regional office listed in Appendix D to Part 20 of this chapter or by contacting the NRC Information and Records Management Branch (telephone no. 301-492-8138).
l (f)
No agreement affecting the compensation, terms, conditions, or privileges of employment, including an agreement to settle a complaint filed by an employee with the Department of Labor pursuant to section 211 of the Energy Reorganization Act of 1974, as amended, may contain any provision which would prohibit,
18 Section 40.71 also issued under sec. 187, 68 Stat. 955 (42 U.S.C.
2237).
6.
Section 40.7 is revised to read as follows:
S 40.7 Employee protectiva.
(a)
Discrimination by a Commission licensee, an applicant for a Commission license, or a contractor or subcontractor of a Commission licensee or applicant against an employee for engaging in certain protected activities is prohibited.
Discrimination includes discharge and other actions that relate to compensation, terms, conditions, or privileges of employment.
The protected activities are established in section 211 of the Energy Reorganization Act of 1974, as amended, and in general are related to the administration or enforcement of a requirement imposed under the Atomic Energy Act or the Energy Reorganization Act.
(1) The protected activities include but are not limited to:
(i) Providing the Commission or his or her employer information about alleged violations of either of the above statutes or possible violations of requirements imposed under either of the above statutes; 1
20 (b)
Any employee who believes that he or she has been discharged or otherwise discriminated against by any person for engaging in protected activities specified in paragraph (a) (1) of this section may seek a remedy for the discharge or discrimination through an administrative proceeding in the Department of Labor.
The administrative proceeding must be initiated within 180 days after an alleged violation occurs.
The employee may do this by filing a complaint alleging the violation with the Department of Labor, Employment Standards Administration, Wage and Hour Division.
The Department of Labor may order reinstatement, back pay, and compensatory damages.
(c)
A violation of paragraphs (a), (e), or (f) of this section by a commission licensee, an applicant for a commission license, or a contractor or subcontractor of a Commission licensee or applicant may be grounds for -
(1)
Denial, revocation, or suspension of the license.
(2)
Imposition of a civil penalty on the licensee or applicant.
(3)
Other enforcement action.
(d)
Actions taken by an employer, or others, which adversely affect an employee may be predicated upon
4 22 office listed in Appendix D to Part 20 of this chapter or by contacting the NRC Information and Records Management Branch (telephone no. 301-492-8138).
(f)
No agreement affecting the compensation, terms, conditions, or privileges of employment, including an agreement to settle a complaint filed by an employee with the Department of Labor pursuant to section 211 of the Energy Reorganization Act of 1974, may contain any provision which would prohibit, restrict, or otherwise discourage an employee from participating in protected activity as defined in paragraph (a) (1) of this section including, but not limited to, providing information to the NRC or to his or her employer on potential violations or other matters within NRC's regulatory responsibilities.
PART 50 -
DOMESTIC LICE.NSfiG OF PRODUCTION AND UTILIZATION FACILITIES i
7.
The authority citation for Part 50 is revised to read as follows:
AUTHORITY:
Secs. 102, 103, 104, 105, 161, 182, 183, 186, 189, 68 Stat. 936, 937, 938, 948, 953, 954, 955, 956, as amended, sec. 234, 83 Stat. 1244, as amended (42 U.S.C.
2132, 2133, 2134, 2135, 2201, 2232, 2233, 2236, 2239, 2282); secs. 201, as amended, 202, 206, 88 Stat. 1242, as amended, 1244, 1246 (42 U.S.C.
- 5841,
)
)
5842, 5846).
24 includes discharge and other actions that relate to compensation, terms conditions, or privileges of employment.
The protected activities are established in section 211 of the Energy Reorganization Act of 1974, as amended, and in general are related to the administration or enforcement of a requirement imposed under the Atomic Energy Act or the Energy Reorganization Act.
(1) The protected activities include but are not limited to:
(1) Providing the Commission or his or her employer information about alleged violations of either of the above statutes or possible violations of requirements imposed under either of the above statutes; (ii) Refusing to engage in any practice made unlawful under either of the above statutes or under these requirements if the employee has identified the alleged illegality to the employer; (iii) Requesting the Commission to institute action against his or her employer for the administration or enforcement of these requirements; (iv) Testifying in any Commission proceeding, or before Congress, or at any Federal or State proceeding regarding any l
o i
I
-- - m
- -----m....-.
26 Administration, Wage and Hour Division.
The Department of Labor may order reinstatement, back pay, and compensatory damages.
(c)
A violation of paragraph (a), (e), or (f) of this section by a commission licensee, an applicant for a commission license, or a contractor or subcontractor of a Commission licensee or applicant may be grounds for -
(1)
Denial, revocation, or suspension of the license.
(2)
Imposition of a civil penalty on the licensee or applicant.
4 I
(3)
Other enforcement action.
I (d)
Actions taken by an employer, or others, which j
adversely affect an employee may be predicated upon nondiscriminatory grounds.
The prohibition applies when the 1
adverse action occurs because the employee has engaged in protected activities.
An employee's engagement in protected activities does not automatically render him or her immune from discharge or discipline for legitimate reasons.or from. adverse action dictated by nonprohibited considerations.
(e) (1) Each licensee and each applicant for a license shall
\\
prominently post the revision of NRC Form 3,
" Notice to i
27 Employees," referenced in 10 CFR 19.11(c).
This form shall be posted at locations sufficient to permit employees protected by this section to observe a copy on the way to or from their place of work.
Premises must be posted not later than 30 days after an application is docketed and remain posted while the application is pending before the Commission, during the term of the license, and for 30 days following license termination.
(2) All licensees and applicants are expected to notify their contractors of the prohibition against discrimination for i
engaging in protected activities.
Note - Copies of NRC Form 3 may be obtained by writing to the Regional Administrator of the appropriate U.S. Nuclear Regulatory Commission Regional Office listed in Appendix D to Part 20 of this chapter or by contacting the NRC Information and Records Management Branch (telephone no. 301-492-8138).
(f)
No agreement affecting the compensation, terms, conditions, or privileges of employment, including an agreement to settle a complaint filed by an employee with the Department of Labor pursuant to section 211 of the Energy Reorganization Act of 1974, as amended, may contain any provision which would prohibit, restrict, or otherwise discourage an employee from~ participating in protected activity as defined in paragraph (a)(1) of this section including, but not limited to, providing information to the NRC or to his or her employer on potential violations or other matters within NRC's regulatory responsibilities.
28 PART 60 -
DISPOSAL OF HIGH-LEVEL RADIOACTIVE WASTES IN GEOLOGIC REPOSITORIES 9.
The authority citation for Part 60 is revised to read as follows:
AUTHORITY:
Secs. 51, 53, 62, 63, 65, 81, 161, 182, 183, 68 Stat. 929, 930, 932, 933, 935, 948, 953, 954, as amended (42 U.S.C.
2071, 2073, 2092, 2093, 2095, 2111, 2201, 2232, 2233);
secs. 202, 206, 88 Stat. 1244, 1246 (42 U.S.C.
5842, 5846); secs.
10 and 14, Pub.
L.95-601, 92 Stat. 2951 (42 U.S.C.
2021a and 5851); sec. 102, Pub.
L.91-190, 83 Stat. 853 (42 U.S.C.
4332);
secs. 114, 121, Pub.
L.97-425, 96 Stat. 2213(g), 2228 as amended (42 U.S.C.
10134, 10141) and Pub.
L.
102-486, sec. 2902, 106 Stat. 3123, (42 U.S.C. 5851).
10.
Section 60.9 is revised to read as follows:
S 60.9 Employee protection.
(a)
Discrimination by a Commission licensee, an applicant for a Commission license, or a contractor or subcontractor of a Commission licensee or applicant against an employee for engaging in certain protected activities is prohibited.
Discrimination includes discharge and other actions that relate to compensation, terms, conditions, or privileges of employment.
The protected
e
+
29 activities are established in section 211 of the Energy Reorganization Act of 1974, as amended, and in general are related to the administration or enforcement of a requirement imposed under the Atomic Energy Act or the Energy Reorganization Act.
(1) The protected activities include but are not limited to:
(i) Providing the Commission or his or her employer information about alleged violations of either of the above statutes or possible violations of requirements imposed under either of the above statutes; (ii) Refusing to engage in any practice made unlawful under either of the above statutes or under these requirements if the employee has identified the alleged illegality to the employer; P
(iii) Requesting the Commission to institute action against his or her employer for the administration or enforcement of these requirements; (iv) Testifying in any Commission proceeding, or before Congress, or at any Federal or State proceeding regarding any provision (or proposed provision) of either of the above l
statutes.
e 30 (v)
Assisting or participating in, or is about to assist or l
participate in, these activities.
t (2) These activities are protected even if no formal proceeding is actually initiated as a result of the employee assistance or participation.
(3) This section has no application to any employee alleging discrimination prohibited by this section who, acting without direction from his or her employer (or the employer's agent),
deliberately causes a violation of any requirement of the Energy Reorganization Act of 1974, as amended, or the Atomic Energy Act of 1954, as amended.
(b)
Any employee who believes that he or she has been discharged or otherwise discriminated against by any person for
)
i engaging in protected activities specified in paragraph (a) (1) of this section may seek a remedy for the discharge or discrimination through an administrative proceeding in the Department of Labor.
The administrative proceeding must be initiated within 180 days after an alleged violation occurs.
The i
employee may do this by filing a complaint alleging the violation with the Department of Labor, Employment Standards Administration, Wage and Hour Division.
The Department of Labor may order reinstatement, back pay, and compensatory damages.
31 (c)
A violation of paragraph (a), (e), or (f) of this section by a Commission licensee, an applicant for a Commission license, or a contractor or subcontractor of a Commission licensee or applicant may be grounds for -
(1)
Denial, revocation, or suspension of the license.
(2)
Imposition of a civil penalty on the licensee or applicant.
(3)
Other enforcement action.
(d)
Actions taken by an employer, or others, which adversely affect an employee may be predicated upon nondiscriminatory grounds.
The prohibition applies when the adverse action occurs because the employee has engaged in protected activities.
An employce's engagement in protected activities does not automatically render him or her immune from discharge or discipline for legitimate reasons or from adverse action dictated by nonprohibited considerations.
(e) (1) Each licensee and each applicant for a license shall prominently post the revision of NRC Form 3,
" Notice to Employees," referenced in 10 CFR 19.11(c).
This form shall be posted at locations sufficient to permit employees protected by this section to observe a copy on the way to or from their place
32 of work.
Premises must be posted not later than 30 days after an application is docketed and remain posted while the application is pending before the Commission, during the term of the license, and for 30 days following license termination.
(2) All licensees and applicants are expected to notify their contractors of the prohibition against discrimination for engaging in protected activities.
Note - Copies of NRC Form 3 may be obtained by writing to the Regional Administrator of the appropriate U.S. Nuclear Regulatory Commission Regional office listed in Appendix D to Part 20 of this chapter or by contacting the NRC Information and Records Management Branch (telephone no. 301-492-8138).
(f)
No agreement affecting the compensation, terms, conditions, or privileges of employment, including an agreement 1
to settle a complaint filed by an employee with the Department of Labor pursuant to section 211 of the Energy Reorganization Act of 1974, as amended, may contain any provision which would prohibit, restrict, or otherwise discourage an employee from participating in protected activity as defined in paragraph (a) (1) of this section including, but not limited to, providing information to the NRC or to his or her employer on potential violations or other matters within NRC's regulatory responsibilities.
PART 61 -
LICENSING REQUIREMENTS FOR LAND DISPOSAL OF RADIOACTIVE WASTE
33 11.
The authority citation for Part 61 is revised to-read as follows:
AUTHORITY:
Secs. 53, 57, 62, 63, 65, 81, 161, 182, 183, 68 Stat. 930, 932, 933, 935, 948, 953, 954, as amended (42 U.S.C.
2073, 2077, 2092,2093, 2095, 2111, 2201, 2232, 2233); secs. 202,206, 88 Stat. 1244, 1246, (42 U.S.C.
5842, 5846); secs. 10 and 14, Pub.
L.95-601, 92 Stat. 2951 (42 U.S.C. 2021a and 5851) and Pub.
L.
102-486, sec. 2902, 106 Stat. 3123, (42 U.S.C. 5851).
12.
Section 61.9 is revised to read as follows:
S 61.9 Employee protection.
(a)
Discrimination by a Commission licensee, an applicant for a Commission license, or a contractor or subcontractor of a Commission licensee or applicant against an employee for engaging in certain protected activities is prohibited.
Discrimination includes discharge and other actions that relate to compensation, terms, conditions, or privileges of employment.
The protected activities are established in section 211 of the Energy Reorganization Act of 1974, as amended, and in general are related to the administration or enforcement of a requirement-imposed under the Atomic Energy Act or the Energy Reorganization Act.
l m
~
i l
34 1
(1) The protected activities include but are not limited to:
(i) Providing the Commission or his or her employer information about alleged violations of either of the above statutes or possible violations of requirements imposed under either of the above statutes; (ii) Refusing to engage in any practice made unlawful under either of the above statutes or under these requirements if the employee has identified the alleged illegality to the employer; (iii) Requesting the Commission to institute action against his or her employer for the administration or enforcement of these requirements; (iv) Testifying in any Commission proceeding, or before Congress, or at any Federal or State proceeding regarding any provision (or proposed provision) of either of the above statutes.
(v)
Assisting or participating in, or is about to assist or participate in, these activities.
(2) These activities are protected even if no formal proceeding is actually initiated as a result of the employee assistance or participation.
35 (3) This section has no application to any employee alleging discrimination prohibited by this section who, acting without direction from his or her employer (or the employer's agent),
deliberately causes a violation of any requirement of the Energy Reorganization Act of 1974, as amended, or the Atomic Energy Act of 1954, as amended.
(b)
Any employee who believes that he or she has been discharged or otherwise discriminated against by any person for engaging in protected activities specified in paragraph (a) (1) of this section may seek a remedy for the discharge or discrimination through an administrative proceeding in the Department of Labor.
The administrative proceeding must be initiated within 180 days after an alleged violation occurs.
The employee may do this by filing a complaint alleging the violation with the Department of Labor, Employment Standards Administration, Wage and Hour Division.
The Department of Labor may order reinstatement, back pay, and compensatory damages.
(c)
A violation of paragraph (a), (e), or (f) of this section by a Conmission licensee, an applicant for a Commission license, or a contractor or subcontractor of a Commission licensee or applicant may be grounds for -
(1)
Denial, revocation, or suspension of the license.
i 36 (2)
Imposition of a civil penalty on the licensee or applicant.
1 (3)
Other enforcement action.
i l
(d)
Actions taken by an employer, or others, which adversely affect an employee may be predicated upon nondiscriminatory grounds.
The prohibition applies when the adverse action occurs because the employee has engaged in protected activities.
An employee's engagement in protected activities does not automatically render him or her immune from discharge or discipline for legitimate reasons or from adverse action dictated by nonprohibited considerations.
(e) (1) Each licensee and each applicant for a license shall prominently post the revision of NRC Form 3,
" Notice to Employees," referenced in 10 CFR 19.11(c).
This form shall be posted at locations sufficient to permit employees protected by this section to observe a copy on the way to or from their place of work.
Premises must be posted not later than 30 days after an application is docketed and remain posted while the application is pending before the Commission, during the term of the license, and for 30 days following license termination.
37 (2) All licensees and applicants are expected to notify their contractors of the prohibition against discrimination for engaging in protected activities.
Note - Copies of NRC Form 3 may be obtained by writing to the Regional Administrator of the appropriate U.S. Nuclear Regulatory Commission Regional office listed in Appendix D to Part 20 of this chapter or by contacting the NRC Information and Records Management Branch (telephone no. 301-492-8138).
(f)
No agreement affecting the compensation, terms, conditions, or privileges of employment, including an agreement to settle a complaint filed by an employee with the Department of Labor pursuant to section 211 of the Energy Reorganization Act of 1974, as amended, may contain any provision which would prohibit, restrict, or otherwise discourage an employee from participating in protected activity as defined in paragraph (a) (1) of this section including, but not limited to, providing information to the NRC or to his or her employer on potential violations or other matters within NRC's regulatory responsibilities.
PART 70 -
DOMESTIC LICENSING OF SPECIAL NUCLEAR MATERIAL 13.
The authority citation for Part 70 is revised to read as follows:
i AUTHORITY: Secs. 51, 53, 161, 182, 183, 68 Stat. 929, 930, B
948, 953, 954 as amended, secs. 234, 83 Stat. 444, as amended (42
1 38
)
U.S.C.
2071, 2073, 2201, 2232, 2233, 2282); Secs. 201, as amended., 202, 204,206, 88 Stat. 1242, as amended, 1244, 1245, 1246, ( 42 U.S.C.
5841, 5842, 5845, 5846).
Sections 70.1(c) and 70.20a(b) also issued under secs. 135, 141, Pub.L.97-425, 96 Stat. 2232, 2241 (42 U.S.C.10155, 10161).
Section 70.7 also issued under Pub.
L.
5-601, sec.10, 92 Stat.
2951 as amended by Pub.
L.
102-486, sec. 2902, 106 Stat. 3123, (42 U.S.C.
5851).
Section 70.21(g) also issued under sec. 122, 68 Stat. 939 (42 U.S.C.
2152).
Section 70.31 also issued under sec. 57d, Pub.
L.93-377, 88 Stat. 475 (42 U.S.C. 2077).
Sections 70.36 and 70.44 also issued under sec. 184, 68 Stat.
954, as amended (42 U.S.C. 2234). Section 70.61 also issued under secs. 186, 187, 68 Stat. 955 (42 U.S.C.
2236, 2237).
Section 70.62 also issued under sec. 108, 68 Stat. 939, as amended (42 U.S.C. 2138).
14.
Section 70.7 is revised to read as follows:
5 70.7 Employee protection.
(a)
Discrimination by a Commission licensee, an applicant for a Commission license, or a contractor or subcontractor of a Commission licensee or applicant against an employee for engaging 1
in certain protected activities is prohibited.
Discrimination includes discharge and other actions that relate to compensation, terms, conditions, or privileges of employment.
The protected
l 39 activities are established in section 211 of the Energy Reorganization Act of 1974, as amended, and in general are related to the administration or enforcement of a requirement imposed under the Atomic Energy Act or the Energy Reorganization Act.
(1) The protected activities include but are not limited to:
(i) Providing the Commission or his or her employer information about alleged violations of either of the above statutes or possible violations of requirements imposed under either of the above statutes; (ii) Refusing to engage in any practice made unlawful under either of the above statutes or under these requirements if the employee has identified the alleged illegality to the employer; (iii) Requesting the Commission to institute action against i
his or her employer for the administration or enforcement of these requirements; (iv) Testifying in any Commission proceeding, or before Congress, or at any Federal or State proceeding regarding any provision (or proposed provision) of either of the above statutes.
40 (v)
Assisting or participating in, or is about to assist or participate in, these activities.
(2) These activities are protected even if no formal proceeding is actually initiated as a result of the employee assistance or participation.
(3) This section has no application to any employee alleging discrimination prohibited by this section who, acting without direction from his or her employer (or the employer's agent),
deliberately causes a violation of any requirement of the Energy Reorganization Act of 1974, as amended, or the Atomic Energy Act of 1954, as amended.
(b)
Any employee who believes that he or she has been discharged or otherwise discriminated against by any person for engaging in protected activities specified in paragraph (a) (1) of this section may seek a remedy for the discharge or discrimination through an administrative proceeding in the Department of Labor.
The administrative proceeding must be initiated within 180 days after an alleged violation occurs.
The employee may do this by filing a complaint alleging the violation with the Department of Labor, Employment Standards Administration, Wage and Hour Division.
The Department of Labor may order reinstatement, back pay, and compensatory damages.
1 41 1
(c)
A violation of paragraphs (a), (e), or (f) of this section by a Commission licensee, an applicant for a Commission license, or a contractor or subcontractor of a Commission licensee or applicant may be grounds for -
(1)
Denial, revocation, or suspension of the license.
(2)
Imposition of a civil penalty on the licensee or applicant.
(3)
Other enforcement action.
(d)
Actions taken by an employer, or others, which adversely affect an employee may be predicated upon nondiscriminatory grounds.
The prohibition applies when the adverse action occurs because the employee has engaged in protected activities.
An. employee's engagement in protected activities does not automatically render him or her immune from discharge or discipline for legitimate-reasons or from adverse action dictated by nonprohibited considerations.
(e) (1) Each specific licensee, each applicant for a specific license, and each general licensee subject to Part 19 shall prominently post the revision of NRC Form 3,
" Notice to Employees," referenced in 10 CFR 19.11(c).
s 42 (2) All licensees and applicants are expected to notify their contractors of the prohibition against discrimination for engaging in protected activities.
(3) The posting of NRC Form 3 must be_at locations sufficient to permit employees protected by this section to observe a copy on the way to or from their place of_ work.
Premises must be posted not later than 30 days after an application is docketed and remain posted while the application is pending before the Commission, during the term of the license, and for 30 days following license termination.
Note - Copies of NRC Form 3 may be obtained by writing to the Regional Administrator of the appropriate U.S. Nuclear Regulatory Commission Regional office listed in Appendix D to Part 20 of this chapter or by contacting the 1
NRC Information and Records Management Branch (telephone no. 301-492-8138).
(f)
No agreement affecting the compensation, terms, conditions, or privileges of employment, including an agreement to settle a complaint filed by an employee with the Department of Labor pursuant to section 211 of the Energy Reorganization Act of 1974, as amended, may contain any provision which would prohibit, restrict, or otherwise discourage an employee from participating in protected activity as defined in paragraph (a) (1) of this section including, but not limited to, providing information to the NRC or to his or her employer on potential violations or other matters within NRC's regulatory responsibilities.
43 PART 72 LICENSING REQUIREMENTS FOR THE INDEPENDENT STORAGE OF SPENT NUCLEAR FUEL AND HIGH-LEVEL RADIOACTIVE WASTE 15.
The authority citation for Part 72 is revised to read as follows:
AUTHORITY:
Secs. 51, 53, 57, 62, 63, 65, 69, 81, 161, 182, 183, 184, 186, 187, 189, 68 Stat. 929, 930, 932, 933, 934, 935, 948, 953, 954, 955, as amended, sec. 234, 83 Stat. 444, as amended (42 U.S.C.
2071, 2073, 2077, 2092, 2093, 2095, 2099, 2111, 2201, 2232, 2233, 2234, 2236, 2237, 2238, 2282), sec. 274 Pub.
L.86-373, 73 Stat. 688, as amended (42 U.S.C.
2021); sec. 201, as amended, 202, 206, 88 Stat. 1242, as amended, 1244, 1246 (42 U.S.C.
5841, 5842, 5846) ; Pub.
L.95-601, sec. 10, 92 Stat.
2951 as amended by Pub. L.
102-486, sec. 2902, 106 Stat. 3123, (42 U.S.C.
5851); sec. 102, Pub.
L.91-190, 83 Stat. 853 )42 U.S.C.
4332); secs. 131, 132, 133, 135, 137, 141, Pub. L.97-425, 96 Stat. 2229, 2230, 2232, 2241, sec. 148, Pub.
L.
100-203, 101 Stat. 1330-235 (42 U.S.C.
10151, 10152, 10153, 10155, 10157, l
10161, 10168).
Section 72.44(g) also issued under secs. 142(b) and 148(c),
(d), Pub.
L.
100-203, 101 Stat. 1330-232, 1330-236 (42 U.S.C.
10162(b), 10168(c), (d).
Section 72.46 also issued under sec. 189, 68 Stat. 955 (42 U.S.C.
2239); sec. 134, Pub.
L.97-425, 96 Stat. 2230 (42 U.S.C.
10154).
Section 72.96(d) also issued under
1 44 sec. 145(g), Pub.
L.
100-203, 101 Stat. 1330-235 (42 U.S.C.
10165(g)).
Subpart J also issued under secs. 2(2), 2(15), 2(19),
117(a), 141(h), Pub.
L.97-425, 96 Stat. 2202, 2203, 2204, 2222, 2244, (42 U.S.C.
10101, 10137(a), 10161(h).
Subparts K and L are also issued under sec. 133, 96 Stat. 2230 (42 U.S.C.
10153) and sec. 218(a), 96 Stat. 2252 (42 U.S.C. 10198).
16.
Section 72.10 is revised to read as follows:
5 72.10 Employee protection.
(a)
Discrimination by a Commission licensee, an applicant for a Commission license, or a contractor or subcontractor of a Commission licensee or applicant against an employee for engaging in certain protected activities is prohibited.
Discrimination includes discharge and other actions that relate to compensation, terms, conditions, or privileges of employment.
The protected activities are established in section 211 of the Energy Reorganization Act of 1974, as amended, and in general are related to the administration or enforcement of a requirement imposed under the Atomic Energy Act or the Energy Reorganization Act.
(1) The protected activities include but are not limited to:
45 (i) Providing the Commission or his or her employer information about alleged violations of either of the above statutes or possible violations of requirements imposed under either of the above statutes; (ii) Refusing to engage in any practice made unlawful under either of the above statutes or under these requirements if the employee has identified the alleged illegality to the employer; (iii) Requesting the Commission to institute action against his or her employer for the administration or enforcement of these requirements; (iv) Testifying in any Commission proceeding, or before Congress, or at any Federal or State proceeding regarding any provision (or proposed provision) of either of the above statutes.
+
(v)
Assisting or participating in, or is about to assist or participate in, these activities.
(2) These activities are protected even if no formal proceeding is actually initiated as a result of the employee assistance or participation.
46 (3) This section has no application to any employee alleging discrimination prohibited by this section who, acting without direction from his or her employer (or the employer's agent),
deliberately causes a violation of any requirement of the Energy Reorganization Act of 1974, as amended, or the Atomic Energy Act of 1954, as amended.
(b)
Any employee who believes that he or she has been discharged or otherwise discriminated against by any person for engaging in protected activities specified in paragraph (a) (1) of this section may seek a remedy for the discharge or discrimination through an administrative proceeding in the Department of Labor.
The administrative proceeding must be initiated within 180 days after an alleged violation occurs.
The employee may do this by filing a complaint alleging the violation with the Department of Labor, Employment Standards Administration, Wage and Hour Division.
The Department of Labor may order reinstatement, back pay, and compensatory damages.
(c)
A violation of paragraphs (a), (e), or (f) of this section by a commission licensee, an applicant for a commission licensee, or a contractor or subcontractor of a Commission licensee or applicant may be grounds for -
(1)
Denial, revocation, or suspension of the license.
47 (2)
Imposition of a civil penalty on the licensee or applicant.
(3)
Other enforcement action.
(d)
Actions taken by an employer, or others, which adversely affect an employee may be predicated upon nondiscriminatory grounds.
The prohibition applies when the adverso action occurs because the employee has engaged in protected activities.
An employee's engagement in protected activities does not automatically render him or her immune from discharge or discipline for legitimate reasons or from adverse action dictated by nonprohibited considerations.
(e) (1) Each licensee and each applicant for a license shall prominently post the revision of NRC Form 3,
" Notice to Employees," referenced in 10 CFR 19.11(c).
This form shall be posted at locations sufficient to permit employees protected by this section to observe a copy on the way to or from their place of work.
Premises must be posted not later than 30 days after an application is docketed and remain posted while the application is pending before the Commission, during the term of the license, and for 30 days following license termination.
48 (2) All licensees and applicants are expected to notify their contractors of the prohibition against discrimination for engaging in protected activities.
l l
(3) Copies of NRC Form 3 may be obtained by writing to the Regional Administrator of the appropriate U.S.
Nuclear Regulatory Commission Regional Office listed in Appendix D to l
Part 20 of this chapter or by contacting the NRC Information and Records Management Branch (telephone no. 301-492-8138).
(f)
No agreement affecting the compensation, terms, conditions, or privileges of employment, including an agreement to settle a complaint filed by an employee with the Department of Labor pursuant to section 211 of the Energy Reorganization Act of 1974, as amended, may contain any provision which would prohibit, restrict, or otherwise discourage an employee from participating in protected activity as defined in paragraph (a) (1) of this section including, but not limited to, providing information to the NRC or to his or her employer on potential violations or other matters within NRC's regulatory responsibilities.
PART 150 - EXEMPTIONS AND CONTINUED REGULATORY AUTHORITY IN I
i AGREEMENT STATES AND IN OFFSHORE WATERS UNDER SECTION 274 18.
The authority citation for Part 150 is revised to read as follows:
49 AUTHORITY: Sec. 161, 68 Stat. 948, as amended, sec. 274, 73-Stat. 688 (42 U.S.C.
2201, 2021); sec. 201, 88 Stat. 1242, as amended (42 U.S.C. 5841).
Sections 150.3, 150.15, 150.15a, 150.31, 150.32 also issued under secs. 11e(2), 81, 68 Stat. 923, 935, as amended, secs. 83, 84, 92 Stat. 3033, 3039 (42 U.S.C.
2014e(2), 2111, 2113, 2114).
Section 150.14 also issued under sec. 53, 68 Stat. 930, as amended (42 U.S.C. 2073). Section 150.15 also issued under secs. 135, 141, Pub.
L.97-425, 96 Stat. 2232, 2241 (42 U.S.C.
- 10155, 10161).
Section 150.17a also issued under sec. 122, 68 Stat. 939 (42 U.S.C. 2152).
Section 150.30 also issued under sec. 234, 83 Stat. 444 (42 U.S.C.
2282).
19.
In S 150.20, paragraph (b) is revised to read as follows:
S 150.20 Recognition of Agreement State licenses.
(b) Notwithstanding any provision to the contrary in any specific license issued by an Agreement State to a person engaging in activities in a non-Agreement State or in offshore waters under the general licenses provided in this section, the general licenses provided in this section are subject to the provisions of SS 30.7(a) through (f), 30.9, 30.10, 30.14(d),
30.34, 30.41, 30.51 to 30.63, inclusive, of part 30 of this 4
O 50 chapter; SS 40.7(a) through (f), 40.9, 40.10, 40.41, 40.51, 40.61, 40.63 inclusive, 40.71 and 40.81 of part 40 of this chapter; SS 70.7(a) through (f), 70.9, 70.10, 70.32, 70.42, 70.51 to 70.56, inclusive, 70.60 to 70.62, inclusive, and to the provisions of 10 CFR parts 19, 20 and 71 and subpart B of part 34, SS 39.15 and 39.31 through 39.77, inclusive, of part 39 of this chapter.
In addition, any person engaging in activities in non-Agreement States or in offshore waters under the general licenses provided in this section:
Datedatpockville, \\._,yland Mar this day of
, 1993.
(
For the Nuclear Regulatory Commission.
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L K! '
Taylgf J
s e
tive Director for Operations.
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