ML20134G191

Rev 0 to Guidance for Review of Twrs Privatization Contractor Employee Concerns Mgt Sys

ML20134G191
Person / Time
Site:	07003091
Issue date:	10/31/1996
From:	ENERGY, DEPT. OF
To:
Shared Package
ML20134G080	List: ML20134G076 ML20134G191 ML20134G209
References
RL-REG-96-03, RL-REG-96-3, NUDOCS 9611130083
Download: ML20134G191 (12)

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PREFACE a

iThe t'-

^ofBasr as the Peticy) and haplesmented thsough tia docusment enkled (RI.) himed ec 7wR$,gy's (DOE) Richland Oposedens Offlee

.'" AsemanJhr (ItPP).

Aimessendws q( Agreenwar Jbr ske E.wcasies

"'N for Hmmfasd Tank Wasse Ramsdent6ae Syseess.

) Mveslas.

1. mcisar, andhucess apety Aarh gfAr Prfwmasass

- ges in 1996. Offesess wese seemessed so sabant t'

i-(soferred to as the MOA). The Policy is '

by for stie - ' posseems of she smuk wasur at the Under Secsetary of

the Managw. RI.

de 1

of this redsmaseve weses has been sessed in moder.

~ Secsetary for Enverensmont, and Hr,ekh (AStuf); ased the

- gesand,esosape tombs at the Hanford sies aimes 1944.

Assisesnt Seenstory for Enwhensnontal Monspseset (ASEM).

y $6udass gemens of weses ennemining

The MOA is signed by the Manager, RL; the ASBH; and the '

'us"suly 340,g00 asserie esas of peceaseed shonnicals 250 ASEM. The assuse and cherecesruncs of this segulation are also s

msgs.cerles of ase tsing sessed in 177 tasks.

specified is these documents. The Mb details senais inscree.

' Tbsse caustic weseos est la lhe fann of

' shuries, ochcakes, suas ausang RI. the ASEH, and the ASEM as well as their to..

Jand

. The wesses sessed in the ase estmed as high..

specates sales and seepuasilmhnes for ' /

of this lewi

' weses (10 Ogt Put 50, Appendha F) and bag.

segulatina ardens weste (Resouses Casservasies and Recon J Act).

The eenhorky of she RU to suspdsee she 1WRS Pdvasiannon Ces.

Under the --t

. ceasept, DOE wel eransers is derived solely isoen the tersus of the TWR$ Privatias.

..E freen a consreceer-ownedpencheme waste treet.

. contractor-ope esed lion Onetraces. ks asahority to segulate she Ctatmcsors on behalf

. docilky trador a Raed-prios essesect. DOE will provide the weses of DOEis derimd fross she Puhey, lhe assess and scope of shis a;,<

feedseWs to be pseceased but samissain ownership of the waste.

agesh[ segulation (in the asase that k is based on terms of a coe.

l Thmagnoser smet a) provide pdvens Anancing; b) design the tract ralber them fonnel sep h=)is debasesed in the MOA, the and incany;c)apy:y forand receive seguised pennies =

TWRS Privesiassius Centraces, and the four doceaneens (hsend

~ and

d) eensomst the inallity and ~ it as time;e) oper.

one lhe fadliry to tsest the weste eersedlag to

. below), which ase N,

f hao the Commacts This agardal

. seguinion by the RU is ao way replaces any estabhshed

. and f) donctivese the facility.

emessual reguissory manhority to seguisne la acc with their i didy gated segulanons mer seheves the Comeractors from its TWR8 Privatises6en Psegessa is divided Ames two phasas i any as to comply with such seguistions or to be subject to Phans I and Phase R.. phase I is a Psoof of - ~.,

the enforcessus practices casessmed therois.

dommessmaine easle eNest she shisatives of wisch ese to a) dem-ensames she testassel and h wishliny of esing privatiand

. The hiicy.the MOA,she TWRS Privmessation Contraces, and the.

m w tsee Messmed task wens; b) deans and maiseen four documsats ='

f in the Conweas define the eseemuel adegnses levels af =ma.pw.a amensar, psesses, and occupa,

elemmens of the which wdl be esecuted by tiemmi esisty; c)==i=mde envissemamel passensies and compli-the RU and to the Priv=a*=W Comanceors must amas; and d) emhaemmisby seduce Ilse-cysie esses and tisse re+

confona.1he four documsmes __

'in the Contraces (and guised en seest the tank weses. The Phans I asset censues of two' pens: Part A and Past B.

~

also ' --,

Iin the MOA)an '

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' Peut A seashu of a twentyamsash developesma perind_ to outshbeh t

Wpeopdsee.md - 9.ch.io.i.

mgeds-y.

c.ar, m. DOM - #

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>=h== and Amandal aisam This include idesmacsaion l by the TWRS Priveemmise Osmesenters and appseval by DOE of DOE Psecess for C

' - 1 Nuclear, appsopshes senadsuds, femamiselon by me Centracters and

. and Process for TWR$ Privati ation Contrac-syysovel by of inasmand aussey smanagnosas and-tors, DOMtt, by me Osamasses and evehuman by of inielal

. Of the twenty mensh posted, sinness ananshs Top-Level m "

'--i Nuclear, and Process Safety we need by me t-to envile, no Pan A su deses sud Pnne'spiu for 1WRS P vanzaban Con-

. and leur useaths mill be used by DOE to ovoimase die

' tractors DOMtL-p6 0006, med '

- Past 3 eensists of a pened to tank weses Process for h a Set of P"' J 2 Nu-

'aussmusst serviese by one er summe of she Pdvesiannon clear, and Pmeens

$sandards and Requisentra:

Commassers who sessemefugy sempises Past A. ri==aamation for TWRS Privekah 96 M i will addsses a rasse of weseos supsessmusive of those la the Han.

feed tanks. Past 3 wW he 10 to 14 years in d=====

Wishia Part -

la the ensomehne of the regulanery program, the R') will conshier 5, wesens will be pseceased during a 5. to 9-period and wig met only the selevant approaches and practices at DCE but also sesek in asessment of 6 to 13 pescuse of the tank wases.

those of the Nuclear Regelseory Comuussion (NhC). The Policy aines that.

, Phase 11 wE he a fuB-asmie peducsom pbsse is which the re.

assuming tudt weses wel he posessed en a schedene lhet wW

'1t is DOE's policy thss TWRS privethee contractos

' 2013.gimh somoval Rom all singledanad tenha by the year activihes be seguissed in a pienner that assures ade-

. anoma nie obisallves of Phase li suo to a) tis l===

quase sadsologecal, nuclear, and process safety by ap-learned gium Phaec I; and b) psocess all weste into fonus:

phe*h of regulatory concepts and principles consas-sahable for Mani disposal-tant wth those of the Nuclear Reguistory Comeras sien.

A key elmsment of the TWRS Privasiastion 8"a==== ls DOE.

~ seguinsles of==disdark=8 ancenar, and proosa safety the To shis end,the RU'wie imeeract with the NRC (onder the qwovi,

-t'h=* ef a agednesily chansed, dedicated eians of a =ama==tese of r '

2 :; with the NRC) euring :

Unit (RU)et Rt. This segulames by the RU h bythe devi =p.m.= of seguissory p=ad=== and during execution of the d

densament emelded 1 #mdser, and Process

.Sqbey Anguissias of PrW f=Cenmeeswo(reformd to segelseory program to ensure:

1._ of this pohey, maydmasm for Twits Prevestmeeles Cameressem' are aveEnkte to the pstile the DOESL rette a== dens mesa at GIw Waddagpse Semte University, t'=-r== lessyseus mand,mes 13e West,ma ma==d W aa-sa-=

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Attribute Guidance Employee Concerns Table of Contents l.0 I N T R O D U C TI O N...................................................................................... I 2.0 B A C K G R O U N D...................................................................................... 1 l

2.1 Whistlebl ow er Protection...................................................................................... 1 2.2 Regulatory Enforcement and Oversight..........................................................

.....1 2.3 Privatization Approach................

.....1 3.0 PURPOSE.............................................................................................2 6

4.0 STRUCTURE.........................................................................................2 t

i 5.0 EMPLOYEE CONCERNS PROGRAM REQUIREMENT...................................... 2

5.1 Requirement

Employee Concerns Management System............................................. 2 5.2 intent........................................................

....................................2 5.3 Attributes.......................

......................................................................2 t

6.0 ATTRIBUTES FOR KEY PROG R AM ELEMENTS............................................ 2 6.I Key Element 1 - Commitment to DOE Policy on Employee Concerns................................. 3 6.2 Key Element 2 - Designation of Employee Concerns Manager.......................................... 4 6.3 Key Element 3 - Notification of Employees and Establishing a Hotline.............................. 4 6.4 Key Element 4 - Operation of an Employee Concerns Management System.................. 5 6.5 Key Element 5 - Identification of Significant issues..................................................... 6 7.0 G EN E R A L S U B M ITTA L EX PECTATIONS..................................................... 7 7.1 ExistingECP.................................................................................................7

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7.2 Other Approac hes................................................................................................... 7 I

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RIJREG-96-03 Rev. O.10-29-96 i

f Attribute Guidance Employee Corcerns j

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1 il Rev. O,10-29-%

RUREG-96-03 j

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Attribute Guidance Employee Concems 1.0 INTkGDUCTION tributes section of this guidance document. This document will help DOE reviewers to determine the The Department of Energy (DOE) promotes a culture adequacy and responsiveness of a Contractor's ECP.

of operation in which expression and timely resolu-tion of employee Environment, Safety, & Health he Office of Radiological, Nuclear, and Process (ES&H) concerns occurs. Situations in which safety Safety Regulation for TWRS Privatization Contrac-and health issues go unaddressed with the possible tors, refened to herein as the Regulatory Unit (RU),

result of avoidable risks to workers, the public arxl does not investigate Whistleblower complaints for the environment must be avoided. This expectation is purposes of employee protection under the law.

reficcted in the document Top-Level Radiological, Complaints of prohibited Contractor activity will be Nuclear, and Process Safety Standards and Principles refened to the DOL. However, the RU will act to for TWRS Privatization Contractors, DOE /RI ensure that potentially unsafe conditions are promptly 0006 for the Tank Waste Remediation System investigated and remediated, if necessary, to restore (TWRS) Privatization Program. 'The principal objec-adequate protection of workers, the public, and the tive of the Employee Concerns Program (ECP), re-environment.

quired by the TWRS Privatization Contract, is to promote prompt identification and resolution of em-2.2 Regulatory Enforcement and Over-ployee concerns without the need for sanctions to the sight Ccmtractor or the employce. De alternative to an effective concerns management program can be legal in addition, the DOE (10 CFR 820) and the NRC (10 proceedings or regulatory action.

CFR 2 and 19) each provide for additional sanctions under their enforcement of nuclear safety rules and

2.0 BACKGROUND

regulations if such employee discrimination is deter-mined to result in a substantive diminishment of 2.1 Whistleblower Protection compliance, with nuclear safety requirements. NRC enforcement policy provides that the severity level Federal Law prohibits discrimination against those assigned a violation for reprisarnay be graded upwani employees who raise safety concerns.. Prohibited as the level of management invcJven ent in the pro-action by its contractors is acted upon by the DOE in hibited activity rises.. This indicates the importance several ways. This includes legal protection of em-the NRC places upon maintaining an open envirun-ployee rights, including direac$ restoration of em-ment for the expression of concerns within its licen-ployee privileges and berdts if denied by prohibited sees' organizations. The DOE is committed to a Contractor activity. For most regulated activities, the regulatory process consistent with NRC's principles Department of Labor (DOL)is the agency which in-and concepts.

vestigates these situations. Previous action under these laws represents a body of legal and administra-As a matter of practice, both NRC and DOE encour-tive cperience that establishes an accepted practice age self-identification and resolution of safety con-of protec ed activities.

cerns between employee and employer. Evidence of opennes4 in the treatment of concerns about regulated in the Ener ;/ Policy Act of 1992, a new section on activities is generally accepted as consistent with high r

worker protection - 211 to the Energy Reorganiza-levels of integrated safety management. In turn, this tion Act of 1974 - provides additional clarity on the openness can result in reduced reliance upon enforce-description of covered employees and protected activi-ment action by the regulators to ensure adequate pro-ties. DOE contractors, pmvided nuclear hazards in-vision of safe facility operation. DOE policy regard-demnification under Part 170d of the Atomic Energy ing its commitment to effective treatment of em-Act, are explicitly included. The TWRS Privatization ployee concerns is found in DOE Order 5480.29. The Contracts include such indemnification.

DOE's approach to management of ES&H concerns encourages reporting and provides protection for em-Remedy for reprisal against protected employee ac-ployees who may fear reprisal for their actions or tions occurring in Contractor-owned facilities is who have been unable to obtain satisfactory resolu-available under 29 CFR 24, administered by the tion of their concern directly from their employer.

DOL. he potential exists for Privatization Contrac-tor actions to fall under 10 CFR 708, a similar regu-2.3 Privatization Approach lation administered by the DOE if Government-owned nuclear facilities or equipment are involved. The ex-he DOE Manager, Richland Operations Office pectation of DOE is that employees will usually (RL),has expressed by means of the Environment, seek redress by means of the DOL rules. Communi-Safety and Health Standard of the TWRS Privatiza-cation of DOE's expectations is addressed in the at-tion Contracts, a formal requirement that Contractors R11 REG-96-03 Rev. O,10-29-96 Page 1 of 7

i Attnbute Guidance Employee Concerns develop their own ECP. DOE Order 5480.29 is refer-forms the basi:; for the RU perspective. In Section 6, enced for development of this deliverable. The guid-the key elements of an acceptable ECP re described.

ance document herein provides DOE reviewers with Specific sources are identified to assist in understand-the key elements and expectations of an effective and ing the reason for including that element. Attributes acceptable ECP.

that further describe successful components of the key elements are also described in this section. Section 7 In the discharge of its responsibilities under DOE highlights generalinformation that may further fa-Order 5480.29 RL has instituted an Employee Con-cilitate review of the Contractor's ECP.

cems Management System that applies to its entire area of responsibility. The RU Employee Concerns 5.0 EMPLOYEE CONCERNS PRO-l Manager (ECM), designated for this program, will GRAM REQUIREMENT coordinate and oversee the activities of all Contractor-maintained ECPs. Routine reporting, identified by

5.1 Requirement

Emplayee Concerns the Order, will be through this individual. This Management System document establishes minimum expectations for the exchange cf information between the Contractor's ne following singular requirement exists: the Con-ECP Manager and the RU ECM. It is expected that tractor shall prepare and submit to the DOE RU for Contractor employees will be appraised of the oppor-review and approval a description of an Employee tunity they have to raise concerns with the RU ECM Concerns Management System (Table S4-1 Radio-as described in the attributes identified herein.

logical, Nuclear, and Process Safety Deliverables for Part A and Part B).

For the TWRS Privatization Contractor, the RU is the focal point for implementation of the ECP proc.

5.2 Intent ess. It is the expectation of the Director of the RU, the Regulatory Official (RO), that once the program De required deliverable communicates the importance is approved, it will be maintained under the -RU DOE places upon the Contractor's establishing of an docket for the Contract. Implementation of the ECP atmosphere of performance which encourages identifi-will receive routine oversight by the RU ECM. De cation and disposition of employee concerns within RU will disposition concerns related to nuclear, radio-its own management structures to the maximum ex-logical, and process safety and health. Environmental tent practicable. This expectation applies to the concerns will normally be communicated by RU to standards identification activities and continues the lead regulator for environmental protection.

through each subsequent regulatory action covered by the Contract.

3.0 PURPOSE 5.3 Attributes This document sets forth the general basis that the RU will use to review the Contractor's ECP. It will Submittal of a Contractor-developed plan that de-be used by the RU to determine the adequacy and ba-scribes an ECP acceptable to the RO completes this sis for approval by the RO of tne Contractor's ECP.

requirement. Attributes of an acceptable submittal are expected to reflect those common to previously ac-4.0 STRUCTURE cepted programs as described in the next section of this guidance document. No individual attribute is This guidance document describes the requirements, mandatory, but a submittal containing most of the key program elements, and attributes of an acceptable key elements expressed in Section 6 should provide TWRS Privatization Contractor ECP that is consis-the reviewer with a persuasive basis for concluding tent with the foregoing principles. RU reviewers of that the Contractor is on record as encouraging the the Coneactor's proposed ECP will confirm that the report of ES&H concerns and has pmvided for the anticipated elements are present in the program. De timely, documented disposition of such concerns.

information icibed herein suggests the acceptable characteristics and typical means to be employed to 6.0 ATTRIBUTES FOR KEY PRO-satisfy DOE expectations. Other means and methods GRAM ELEMENTS may be suggested and will be evaluated by the RU.

Approval of the Contractor's ECP by the RO will The following key program elements have been iden-1 reflect confirmation that requirements are satisfied.

tified based upon the characteristics found in accept-able, existing DOE Employee Concerns Management Section 5 of this document presents requirements policy and practice.

l invoked by the TWRS Privatization Contract, which i

Page 2 of 7 Rev. O,10-29-96 RIJREG-96-03

Attribute Guidance Employee Concerns 6,1 Key Element 1 - Commitment to ity and from a position that indicates line manage-DOE Policy on Employee Concerns ment acceptance for the safe operation of the facility.

De term " employee concern" should be defined (e.g.,

6.1.1 = Desenpuon RLID $480.29,5.2).

submies.1 eva-saniaa. The Contractor's ECP sub-De Department,by means of regulations and orders, has established a fundamental policy that encourages mittal should make clear to any reader that formal prompt reporting of ES&H concerns as well as the commitments have been made by Contractor man-prompt resolution of defective conditions identified by agement to adopt or exceed the provisions of DOE those reports. Resolution of concerns at the lowest policy for the management of safety concerns.

managementlevelpracucable is encouraged. Applica-ble regulations expressly prohibit reprisals against 6.1.4.2 Attribute 2 - Prohibit reprisals employees who legitimately exercise their right to report concerns. An acceptable ECP should commit Descnpuan -It is the policy of DOE that employees to adoption of the DOE policy as its basis.

of contractors to DOE should be able to provide in-formation without fear of reprisal. Reprisal is said to 6.1.2 Sang occur when prohibited acts (29 CFR 24.2) ase taken against a protected individual. An act of reprisal can

1) DOE Onler 5480.29. Employee Concerns Man-be taken without the knowledge of contractor execu-agement System, Section 5, Policy tive management and still result in liability to the

" *** *' **Y

2) Top-Level Radiological Nuclear, and Process are involved,10 CFR 820 may be invoked).. A goal SafetyStandardsandPrincs. lesfor TWRS Prim-of an eifective ECP should be to preclude the tempta-p tization Contractors, DOE /RI 96-0006, Princi-tion to resort to reprisal as a means of dealing with ple 4.1.4, Safety / Quality Culture j

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3) Richland implementing Directive (RLID),

5480.29 RL Employee Concerns Program.

Submitant ava-e=eian - he Contractor's ECP sub-(December 12,1994), Section 5.2 mittal should state, for the benefit of management and employees, that reprisal undertaken at any level of management authority is ua==an=hle practice.. De 6.1.3 Justificanon conditions that constitute reprisal should be made known to employees and managers throughout the This element promotes regulatory stability and rels.-

organintion.

ability by demonstrating a shared DOE and Contractor commitment to a Sqfety/ Quality Culture,, by means 6.1.4.3 Attribute 3 - Responsiveness of attention to the timely identification of potential safety concerns. DOE policy and practice are well-Desenpuon - Employee concem reports should be established and are considered to provide an effective managed in a manner that assures prompt identifica-overall means of TWRS Privatimtion Contract im-tion, prioritiation, evaluation, corrective and protec-piementation. Note: De RU ECP Manager per-tive response to safety deficiencies, and resolution of forms the duties of the RL ECP Manager for 'IWRS concerns raised by Contractor or subcontractor em-Privatiution Contracts.

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6.1.4 Attnbutes g,A ;,,,i,,

..,;aa - De Contractor's ECP sub-mittal should provide mechanisms for responsive 6.1.4.1 Attribute 1 - Communicate corporate com-treatment of concems consistent with the DOE pro-mitment to management of employee ES&H gram standards found in DOE Order 5480.29, Section g

concerns as an element ofits safety program.

9, Descnpuon - To be consistent with the DOE-6.1.4.4 Attribute 4 - Communicate DOE support for stipulated top-level safety principles, strong declam-employee use of the Contractor ECP.

tion of corporate intentions regarding the potentially sensitive matter of employee concerns is needed.

Descnption - Consistent with the DOE-stipulated Such a declaration can ensure that the opportumty to top-level safety principles, an atmosphere of open communicate safety concems is taken senously by communication should exist within the Contractor's management and is accepted and used by employecs organiution that encourages the expression of ES&H at every level in the organintion. His declaration concerns and promotes their resolution at the lowest should be made at a sufficiently high level of author-level practicable. However, conditions can arise Rl/ REG 96-03 Rev. O,10-29-%

Page 3 of 7

Attribute Guid:nce Employee Concems where employees believe that recourse to their em-Descrintion - ne treatment of employee concerns ployer is not effective. Employees should be advised requires awareness of a number of special considera-that they are not obligated to express their concem tions that need to be kept in mind during disposition prior to notification of the RU or other authorized of the concern. The individuals responsible for man-Government agency that could receive employee con-aging the ECP should be formally designated by cerns.

management and possess a thorough knowledge of their duties. Designees should be made known to the Submittal exnectatinn - De Contractor's ECP sub-RU ECM mittal should encourage employees to bring concems to the attention of Contractor management by the Submittal exnectation - %e Contractor's ECP sub-most effective means available. Policy should also mittal should provide for the formal designation of its i

indicate that use by an employee of the RU or other Employee Concerns Program Manage ts). H e pro-l appropriate agency employee concerns program is gram should provide for periodic submission to the permitted. An acceptable structure of the resolution RU ECM of a complete list of its Program Manag-process is found in RLID 5480.29 Attachment 1, b.

ers, including their names, titles, and telephone num-(5).

bers. His notification supports coordination of re-porting information.

6.2 Key Element 2 - Designation of Em-ployee Concerns Manager 6.3 Key Element 3 Notification of Employees and Establishing a Ilot-6.2.1 Descrintion line The designation of an individual with appropriate 6.3.1 Descrintion management authority is needed to ensure that the ECP incorporates attributes of objectivity, confidenti-Re effectiveness of any ECP depends upon the ality, and privacy in established mechanisms for the awareness of employees that their concerns are wel-implementation and maintenance of the program. An come and upon the provision of a simple and confi-acceptable program should incorporate provisions for dential means of reporting concerns. Notification j

designating an ECP Manager.

ensures Contractor employees are aware that recourse to the RU ECP is available and communicates the 6.2.2 Source option of seeking remedy if they believe discrimina-tion has occurred as a result of engaging in pmtected

1) DOE Order 5480.29, Employee Concerns Man-activity. He use of a telephone hotline permits noti-agement System, Section 9.b fication of concerns upon short notice and during any shift of work. His element incorporates standard

2) RLID 5480.29, RL Employee Concerns Pr -

features of established DOE ECPs.

gram, (December 12, 1994), Section 6.2 & At.

tachment i 6.3.2 SDuttc 6.2.3 Justification

1) DOE Order 5480.29 Employee Concerns Management System, Section 9.b his element ensures compatibility between the prin-cipal RU mechanism responsible for program imple-

2) RLID 5480.29, RL Employee Concerns Pro-mentation and roaintenance and that established in the gram, (December 12, 1994), Section 6.2 & At-Contractor's ECP. An acceptable program should tachment 1 provide for reasonable alignment of Contractor and RU functions, so that the status of outstanding con-6.3.3 Justification cerns is made available to the RO.

RL has well-established mechanisms for the commu-6.2.4 Attributes nication of rights and responsibilities to those wish-ing to make use of employee concems programs. An 6.2.4.1 Attribute 1 - Formally designate one or more acceptable program should reflect mechamsms similar individuals to be responsible for management to mose presently in use. A Contractor's existing of the implementation and maintenance of the pmgram, previously accepted by DOE, would be evi-ECP*

dence of meeting this element.

Page 4 of 7 Rev. O,10-29-96 RIJREG-96-03

Attribute Guidanc3 Employee Concems 6.3.4 Attribusea 6.4.2 Source 6.3.4.1 Attribute 1 - Provide effective communication

1) DOE Order 5480.29, Employee Concerns Man-methods for usuring that employees se agement System, Sections 9.a. & b.

sware of the ECP and how to use it.

2) RLID 5480.29, RL Employee Concerns Pro-Descnption - De Contractor should take action to gram, (Decembes 12, 1994), Section 6.2 & At-tachment 1.

ensure that the provisions of its ECP are communi-cated to all employees. Program guidance should pro-vide for an information poster with instructions for 6.4.3 Justification its prominent display in the work place. De poster should address the employees' right to recourse di-RL has well-established administrative controls con-rectly to the DOL from prohibited acts under 29 CFR sistent with DOE policy, appropriate to an employee 24.- In some instances, recourse is to DOE under 10 concerns program. 'An acceptable program should CFR 708. De RU ECM can assist employees who reflect mechanisms similar to those presently in use.

believe a formal complaint is warranted.

A Contractor's existing, previously accepted program would be evidence of meeting this element.

Suhmittal evnertmeian - De Contractor's ECP sub-mittal should describe an information poster which 6.4.4 Attnbutes will be used to inform employees of the Contractor's policy on concerns management and of the options 6.4.4.1 Attribute 1 - Establish prompt contact with for initiating a concern. Information regarding report-the employee to confirm understanding of the ing of prohibited acts should be included.

concem.

6.3.4.2 Attribute 2 - Establish a 24-hour telephone Desenption - Concerns may be registered in either capability for easy access and timely report-written or verbal form. Experience suggests that ing.

prompt follow-up with the employee making the report can ensure that resolution efforts are properly Desenption - Establishing a hotline for the receipt of focused and directed. DOE encourages the resolution initial notifications of concerns is a standard feature of of concems by established Contractor corrective ac-DOE ECPs. (DOE Order 5480.29, Section 9.a.(6),

tion systems. Records of concern should identify if 9.b.(9)(a)) It is acceptable to use a_ secording device use of normal systems for deficiency reporting have -

for the initial report if it is secured in a controlled area been attempted or if reasons exist for dissatisfaction such as a locked office or a locked cabinet in a limited with reporting by those means.

access area.

Suhmittal annaceaelan - he Contractor's ECP sub--

Suhmittal evnectation - %c Contractor's ECP sub-mittal should provide for employee acknowledgment mittal should describe the provisions for establishing regarding intent of the concern,' priority determina-a secure (i.e., confidential) hotline consistent with the tion, and an established schedule for resolution of referenced standard within 5 working days of the receipt of the concern.

(DOE Order 5480.29,9.f(I))

6.4 Key Element 4 - Operation of an Employee Concerns - Management 6.4.4.2 Attribute 2 - Establish and maintain a report System.

tracking system.

6.4.1 rheerintion Desenption - A formal system is needed to ensure that traceable records exist of actions taken to resolve An acceptable ECP should include procedures de-the concern.

signed to provide prompt identification, prioritization, evaluation, and corrective and protective response and Suhmittal ernece eion - De Contractor's ECP sub-

. resolution of employee concerns. Provisions for pro-mittal should describe the information to be main-tection of privacy and confidentiality are needed. His tained by its Employee Concerns Manager that pro-element incorporates standard features of established vides unique traceability of the disposition of each DOE ECPs.

concem received. De priority assigned, the individ-ual assigned to investigate, and evidence of completed actions within the required time frames should be some of the information included. Other information which may support the generation of periodic reports RIJREG-96-03 ---

Rev. O,10-29 96 Page 5 of 7

Attribute Guidance Employee Cone:rns or analysis of trends may, but need not, be included in programs as described in RLID 5480.29. Alignment the tracking system. (RLID 5480.29, Attachment of Contractor ECP response cycles to those used by 1.b.(7))

the RU is desirable. Provisions for acceptable devia-tions,if formalized, are acceptable.

6.4.4.3 Attribute 3 - Establish standards for adequate investigation of concerns.

Submittal exnectation The Contractor's ECP sub-mittal should describe the expected timeline for proc-Descrintion - ne thorough investigation of concerns essing of concerns. All evaluations should normally is essential to meeting the objectives of the ECP.

be completed within 30 working days. Exceptions to The criteria established for the conduct of concern the 30-day evaluation for any concern should be for-resolution can be indicative of management's com-mally documented with intended completion dates mitment to the program.

identified and reviewed by a designated senior manager to indicate concurrence with this exception.

Submittal expectation - De Contractor's ECP sub-mittal should describe the criteria that assigned inves-6.4.4.6 Attribute 6 - Develop and submit periodic tigators use in the evaluation of the concem. Evaluat-reports of the status of concerns to manage-ing and determining the significance of employee ment.

concerns requires professional judgment and should generally be performed by a senicr line manager or Descrintion - The significance of employee concems ES&H staff member. Acceptable criteria to be con-to the effectiveness of the Contractor's safety man-sidered as standards are found in DOE Order 5480.29, agement plan warrants the periodic notification to Chapter 1,6.a.

senior management of the status of outstanding con-cerns.

6.4.4.4 Attribute 4 - Establish provisions for main-taining privacy and confidentiality of infor-Submittal exnectation - The Contractor's ECP sub-mation and sources.

mittal should address periodic reporting of the status of concerns to its senior management. An informa-Descrintion - It is customary, as part of encouraging tion copy of each periodic status report should be employees to be forthcoming about safety concems, provided to the RU ECM. Typical report contents are to offer the opportunity for confidential treatment of described in RLID 5480.29, Act.1, b(7).

their concern and identity. Mechanisms should be established so that, if confidentiality is requested, 6.5 Key Element 5 Identification of information used to permit concern resolution will Significant Issues not result in disclosure of privileged information or the identity of the person providing the information.

6.5.1 Descrintion Submittal exnectation - The Contractor's ECP sub-The primary objective of the ECP is to assure em-mittal should describe provisions for the confidential ployees that their concems about safety will be re-treatment of employee information and identity. Re-spected and addressed The significance of a reported cords of employee decisions (i.e., choices) concerning concern should be promptly established. Issues may their identification during the resolution process exist which are indicative of potentially substantial should be prepared. Appropriate training for those breakdowns in the functioning of a Contractor's in-responsible for ECP management regarding such pro-tegrated safety management system. These break-visions should be provided. Maintenance of a secure downs could be in the form of imminent hazards not storage system that contains all materials developed recognized by the reporting employee as evidence of for the evaluation of the employee concern from iden-non-compliance with regulatory requirements. This tification through resolution to closure should be element reflects standard features of established DOE provided. (DOE Order 5480.29,9.a. (4) & (8))

FCPs.

6.4.4.5 Attribute 5 - Establish standard response 6.5.2 Source times for disposition of concerns.

1) DOE Order 5480.29, Employee Concerns Man-Descrintion - Prompt acknowledgment, prioritization, agement System, Section 9.d & Chapter 1.

investigation and disposition of the concern are in the best interest of the employee, the Contractor, and the

2) RLID 5480.29, RL Employee Concerns Pro-DOE. A routine time cycle for completion of stan-gram,(December 12,1994),, Section 5.2 dard actions leading to closure is contained in DOE Page 6 of 7 Rev. O,10-29-96 RIJREG-96-03

Attribute Guidmce Employee Concems 6.5.3 Justification 1988 (PAA) should be in accordance with the regula-tions implementing the PAA.

Concerns presented by employees may not reflect a full understanding of the safety significance of the 6.5.4.3 Attribute 3 - Monitor program resuhs for situation surrounding an issue. Responsible manag-trends of performance against program goals.

ers are expected to remain cognizant of the overall status of conformance with agreed-upon commitments Descrintion - Overall experience with use of the ECP and accepted standards. Criteria are needed to ensure

- can provide insight into the Contractor's effectiveness that information that may impact that status is prop-in meeting the goals of its integrated safety manage-erly evaluated if raised within the ECP. An accept-ment program. Periodic evaluation of the program's able program should reflect, as a minimum, the record is appropriate when it has been significantly screening customarily used in established DOE pro-used grams.

Submittat exnectation - The Contractor's ECP sub-6.5.4 Attributes mittal should establish provisions for a quarterly re-port of all employee concerns initiated, closed, or 6.5.4.1 Attribute 1 - Establish criteria for evaluation remaining unresolved during the past quarter. This of the significance and priority of the concem report should be submitted to the Contractor's senior resolution.

management with an information copy to the RU ECM. An acceptable format would be consistent Descrintion-One objective of the ECP is to ensure with the criteria established in RLID 5480.29, At-that legitimate safety concerns that have not been tachment 1.b.(7).

identified by any other means are captured for appro-priate action. In addition, the employee making a 7.0 GENERAL SUBMITTAL EXPEC-report may not fully appreciate the significance of the TATIONS conditions that prompted his concern.

7.1 Existing ECP Submittal exnectation - The Contractor's ECP sub-mittal sho21d establish criteria for evaluating the sig.

The Contractor may submit for consideration an ex-nificance of reported concerns. Criteria should iden.

isting ECP that has been previously approved by tify the priority of response and the conditions under DOE.The review of the submittal will be conducted which the concern will be examined by other parties.

against the guidance in this document to determine Acceptable criteria for evaluating significance are adequacy.

found in DOE Order 5480.29,9.d.

7.2 Other Approaches 6.5.4.2 Attribute 2 - Establish criteria for referral of concerns to affected DOE groups or other The Contractor is encouraged to adopt the guidance

agencies, provided in this document. However, other ap-proaches to definition and management of an ECP Descrintion - This attribute provides for a prompt may be acceptable. This guidance for reviewers has evaluation of the potential urgency of action and en.

been provided in order that external stakeholders may sures the appropriate involvement of other responsi, understand the basis from which a determination of ble parties.

adequacy was established. A Contractor's substan-tially alternative approach should provide appropriate Submittal exnectation - The Contractor's ECP sub.

definition ofits basis for adequacy. Lack of clarity in mittal should establish categories of concerns that this regard may be grounds for a finding that the warrant notification to other responsible parties.

submittalis madequate.

Other parties should include responsible regulatory agencies if conditions exist that are reportable by regulation or agreement to those agencies. It should be made clear that such reporting is the responsibility of the Contractor and not the employee. Representa-tive categories for irvolvement of other responsible parties are given in DOE Order 5480.29, 8 f. (8).

These categories are suggestions only and may be tailored by the Contractor. However, disposition of potential violation of rules subject to the enforcement authority of the Price-Anderson Amendments Act of R11 REG-96-03 Rev. O.10-29-96 Page 7 of 7

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