ML20138E732

Informs That Revised Manual Chapter NRC-4125, Differing Prof Opinions, Recently Distributed to All Employees.Need to Act Objectively in Handling Differing Prof Opinions Stressed to Mgt

ML20138E732
Person / Time
Issue date:	10/16/1985
From:	Dircks W NRC OFFICE OF THE EXECUTIVE DIRECTOR FOR OPERATIONS (EDO)
To:
References
PR-851016, NUDOCS 8512130537
Download: ML20138E732 (1)

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%, p+i NUCLEAR REGULATORY COMMISSION ANNOUNCEMENT NO. 95 DATE: Oc:cber 16, 1965 TO: All Employees 4

SUBJECT:

DIFFERING PROFESSIONAL OPIttIO?l5 The revised Manual Chapter NRC-4125, Differing Professional Opinions, was recently distributed to all NRC employees. This revision was a result of an extensive and lengthy review and evaluation process.

The final Manual Chapter was approved by the Comission and included changes recomended by a Special Peview Panel, the Office of  ;

Inspector and Auditor and NRC management. Additional copies of the July 23, 1985 issue of Manual Chapter NRC-4125 are available from Distribution Services, Ext. X27333. A copy of the report and recomendations of the Special Review Panel can be obtained from M. Bridgers, Ext. X27585.

Both the Comission and I continue to fully support the Differing Professional Opinions policy and process and have stressed to NRC management the need to continue to act objectively in handling Differing Professional Opinions. We consider the Differing Professional Opinions process to be an important part of assuring the public health and safety.

N.

William . Dircks Executive Director for Operations

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MINUTES OF DIFFERING PROFESSIONAL OPINIONS PANEL MEETING .

September 10, 1982 V

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.. 9/22/82 On Friday, September 10, 1982 the Special Review Panel met to review the functioning of the agency's procedures for the resolution of differing professional opinions.

The Panel was chaired by William Carey, Executive Officer of the American Association for the Advancement of Science. Dick Hartfield and Jim Malaro represented management, ,

and Jerry Wilson and Hartin Levy represented the NTEU.

Overall, the Panel believes that the procedures have been functioning well ;4d ).c . .

provided an opportunity for employees to express differing professional opinions and to have these opinions heard and considered by NRC management. However, the Panel has developed some specific recommendations based on its review of the functioning of the DP0 procedures to date.

Attached to this memo is a copy of MC 4125 marked up to reflect our recommendations. The highlights of these recommendations are outlined balow.

Editorial Changes Add concise statement of objective of the procedures 3

Reformat present " objectives" section to make alpha list of " objectives" " Purposes" More clearly specify required content of written statement of DP0 Specify that appropriate legal assistance is included as administrative assistance r

to be provided for those originators of DPO's called to testify before an ASLB or ASLBP Added Responsibilities Make EDO responsible for assuring that a written record is maintained of all actions i

taken on DPO's Require that the immediate supervisor send the EDO a' copy of the meme acknowledging receipt of a DP0 Change frequency of DP0 summary report from qurterly to annual.

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. Broad Recommendations EDO expand MC 4125 to prescribe what is intended by "a written record of actions taken on DPO's" EDO investigate D. Basdekas' concern with the apparent conflict between MC 4125 .

and 10 CFR 2.720 Another Special Review Panel be held in approximately one year General Comments While the Panel did not have sufficient information to recommend awards to employees who filed differing professional opinions, it is impressed with the quality and significance of DPO's that were adopted in whole or in part and ,

suggests that an appropriate note commending their effort be placed in their personnel file.

The Panel briefly discussed the possible merits of an ombudsman to reinforce the object of MC 4125 but did not reach a conclusion and recommends that the idea be considered further.

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i 1 ALL E.uPLOYEES i Form NRC 489 (1 76)

U. S. NUCLEAR REGULATORY COMMISSION NRC MANUAL -

TRANSMITTAL NOTICE CHAPTER NRC-4125 DIFFERING PROFESSIONAL OPINIONS SUPERSEDED:

TRANSMITTED:

Number Date Number Date TN 4100-41 Chapter

• Chapter NRC-4125 9/19/80 Page Page Appendix Appendix NRC-4125 9/19/80 REMARKS:

l This chapter and appendix define NRC policy, objectives, procedures.

responsibilities, and basic requirements and definitions established to provide for the expression and resolution of differing professional opinions concerning matters related to the agency's mission.

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October 3' 1980 f

MEMORANDUM FOR:

All NRC Employees FROM:

William J. Dircks, Executive Director for Operations

SUBJECT:

DIFFERING PROFESSIONAL OPINIONS The attached manual chapter describes NRC's poli the expression and resolution of differing pr f cy and procedures for o essional opinions.

to express differing professional opinionsThe polic

, that these opinions will beyees ha be protected against retaliation .

ine employees any formconsidere will policy and procedures.It is important that NRC employees becom r with the attached 6-William J. Dircks Executive Director for Operations

Attachment:

As stated e

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U.S. NUCLEAR REGULATORY COMMISSION

NRC MANUAL 4000 Personnel Volume

Part : 4100 Federal MPA CHAPTER 4125 DIFFERING PROFESSIONAL OPINIONS 4125-01 COVERAGE This chapter and appendix comprise NRC policy, objectives, procedures, respon-sibilities and other basic requirements and definitions established to provide for the expression and resolution of differing professional opinions concerning  ;

matters related to the agency's mission. '

i 4125-02 POLICY AND OBJECTIVES  !

021 Policy. It is the policy of the Nuclear Regulatory Commission, and the responsibihty of all NRC supervisory and managerial personnel, to main-

, tain a working environment that encourages employees to make known their best professional judgments even though they may differ from a prevailing staff view, disagree with a management decision or policy position, or take issue with proposed or established agency practices. Each differing profes- .:[

sional opinion of an NRC employee will be evaluated on its own merit. Further, 4 each differing professional opinion will be pursued to resolution and the e employee's statement of differing professional opinion, together with the agency's final response, will be made available to the public to ensure the 4 ,

openness of NRC decisions that may affect the public.  !

, It is not only the right but the duty of all NRC employees to make known their j t  : .best professional judgments on any matter relating to the mission of the agency. 4 i

Moreover, both the general public and the Nuclear Regulatory Commission benefit E when the . agency seriously considers NRC - employees' differing professional n opinions that, concern matters related to the agency's mission. This policy assur-e+,'

all employees the opportunity to express differing professional opinions in good faith, to have these opinions heard and considered by NRC management, and to be protected against retaliation in any form. l

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a. To definc differing professional opin' ions.

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b. To distinguish between differing professional opinions and the differ-ences of views and opinions routinely raised and resolved among staff members in the ordinary conduct of agency business.

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f NRC-4125-03 DIFFERING PROFESSIONAL OPINIONS

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c. To provide a primary channel for submitting differing professional opinions ,

d.

To specify the reco.~. mended content of a statement of differing profes-sional opinion. - -

e.

To provide reasonable time and reasonable administrative assistance to help employees develop and document their differing professional opinions.

f.

To provide for acknowledgment of receipt of statements of differing professional opinion and for advising originators of planned actions for their resolution.

g. To provide accountability by requiring a written record of all actions taken on differing professional opinions.

h. To provide for resolution within the agency of differing professional

, opinions, if at all possible.

i.

To provide alternative channels for expressing a differing professional U; opinion either on the record or anonymously. /

i!O j. To provide d: ciplinary sanctions against employees who take retalia-j tory actions differing that affect prefessional the originators of.or employees who support, opinions.

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k. To prevent intentional misuse of these procedures. .

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To provide for periodic assessment to ensure that implementation of 7 these procedures accomplishes the stated objectives and to recommend appropriate changes.

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To provide recognition to the originators of differing professional opinions if their opinions contribute significantly to achievement of N

s  %* the agency's mission.

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t" 4125-03 ' RESPONSIBILITIES AND AUTHORITIES

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( 031 The Executive Director for Operations:

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h. ensures that differing professional opinions which are not resolved t . within four calendar months after their submission are resolved by 44 the responsible office director as promptly as is practicable. -

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annually appoints a Special Review Panel to evaluate and report on he l ,:: s the functioning ,of the differing professional opinion procedures. -

- 4 032 Directors of Offices:

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;% determine actions to be taken on statements of differing professional opinion.

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September 19, 1980

DIFFERING PROFESSIONAL OPINIONS NRC-4125-033 l

b. within 10 days of its submission, forward the differing professional opinion either to the appropriate manager within his or her own office or to the director of the office with basic responsibility for the issues raised in the differing professional opinion.

c. convene an impartial peer review group to address the substance of ,

the issues raised. either when requested by the originator or when he determines that the complexity of the issues raised justifies such a review.

d. inform the Atomic Safety and Licensing Board Panel and the Atomic Safety and Licensing Appeal Panel of any differing professional opinion that relates to issues pending before them or scheduled for their consideration.

e. assure that every effort is made to expedite the resolution of differing professional opinions.

f. provide the originator with a copy of the peer group's report. ,

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g. provide the Office of =&es.veee. qsca; _d ma" se.% .... = e .1 d- 217:i; with an 3 Differing Professional Opinion Status Report,e th c9ade* ;" ' - M -

(See Appendix 4125, Section. G.4.)

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.i 033 The Director, Office of * :; =;n; _M T. ;y=. 'ncie:i;, .

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the Commusion with q=r;;Q reports ident2fymg aL differ 2ng professional opinions submitted and specifyihg the actions that have been taken to achieve their resolution. ~l i A sg MT% tAA \

034 The Advisory Committee on Reactor Safeguards:

a. appends comments to all etStersc(

weitect.-statements of differing professional opinion and forwards them for resolution to the appropriate office director, if the differing professional opinion relates to a potential safety issue within their purview.

b. responds .to appeals by an originator if the differing professional opinion concerns matters of public health or safety.

035 Immediate Supervisors: -

a. advise and assist employees in preparing adequate written statements

, of differing professional opinion and aid them in identifying related information.

b. in consultation with their managers, determine the nature and level 4,

of resources provided in response to the originator's request for assistance.

c. receive signed statements of differing professional opinion from the originator.

Approved: September 19, 1980 l . _ - - - - . . - - . . -. .. . _

. ', @RC-4125-036 DIFFERING PROFESSIONAL OPINIONS d.

acknowledge receipt of statements of differing professional opinion by memoranda to the originators, o A c. e gy % O Eh o.

e.

return to the originator any statement excluded from the definition of a differing professional opinion together with a memorandum citing the specific exclusion. -

f. .

forward statements of differing professional opinion, via their chain-of-ccmmand, to his or her office director for action.

g. assure that porated into statements of dif.'ering professional opinion are incor-system. the receiving organization's nomal work tracking

h. me. W ins ere % a written record -i: .L .r5-d to provide accountability for all subsequent actions taken to resolve the differing professional opinion.

036 All Employees:

a.

make known their best professional judgments on any matter relating to the mission of the agency by submitting to their immediate supervisor a signed statement of differing professional opinion when appropriate.

b.

before submitting a statement of differing professional opinion, should consult with their immediate superviaor who will aid them in identify- ,

ing related information and assist them, if requested, in clarifying the issues. .

c.

may their arrange views. for Open Door meetings with any manager to discuss d.

may request that their differing professional opinion be presented to an impartial comment. peer review group for review, evaluation, and e.

) may communicate a differing professional opinion concerning a t #

- potential safety issue directly to the chairman or any member of the ACRS. '

f.

may appeal the resolution of their differing professional opinion to any higher level of NRC management.

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4125-04 DEFINITIONS

• 041 Differin essional Opinion. A conscientious expression of profes-sional judgmen@hich, on any matter relating to NRC's mission or organiza-tional activities, differs from the prevailing staff view within an organization, disagrees with a management decision or policy position, or takes issue with a proposed or an established agency practice. Differing professional opinions  ;

may involve technical, management, legal, or policy issues and are not limited ~

to the originator's area of expertise. Matters that are subject to employee i Approve ~d: September 19 -1980

. DIFFERING PROFESSIONAL OPINIONS NRC-4125-042 grievance in accordance with Chapter NRC-4157 and matters covered by the negotiated grievance procedure do not qualify as differing professional opinions.

042 Manager. An employ'ee who directs the work of an organization, is

,' held accountable for specific line or staff programs or activities, and whose primary duties are managerial.

4125-05 BASIC REQUIREMENTS 051 Applicability. These procedures for the expression and resolution of differing professional opinions are for the use of all NRC employees including supervisors and managers. The procedures supplement other stated rights, duties, and safeguards applicable to all Federal employees who make their

, views known either within or outside their agencies, including:

a. the independent right of free speech provided by the First Amend-ment to the U.S. Constitution,

b. the right of government employees to petition the Congress (5 USC 7102).

c. the rights of employees to communicate directly with the Congress as outlined 0.735 in the

- Annex A), Code of Ethics for Government Service (10 CFR

d. provisions of the 1978 Civil Service Reform Act dealing with prohibited personnel practices and the regulations of the Merit System Protection Board.

052 Appendix 4125. This appendix provides procedures for the expression and resolution of differing professional opinions.

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Approved: September 19, 1980 I

OIFFERING PROFESSIONAL OPINIONS NRC Accendix 4125 CONTENTS I Page A. Normal Differing Views vs. Differing Professional Opinions. .. . .. . 1

8. Primary Channel for Expressing Differing Professional Opinions... 1 C. Content of a Written Statement of Of fferin Professional 0 pinion...................................g ....................... 2

0. Resources to Assist Ori -

0 pinions. . . . . . . . . . . . . . . ginators of Di f fering Professional

.......................................... 2 E. Acknowledgment of Differing Professional Opinions................ 2 F. Written Record of Actions on Differing Professional Opinions..... 3 G. Resolution of Differing Professional 0 pinions.................... 3

1. Definition of Resolution.................................... 3 2.

3.

Resolution Process........................ 4 Appea1...................................................... .................. 6

4. Reports to the Commission................................... 6 H. Alternate Channels for Ex 0 pinions................. pressing Differing Professional

........................................ 7

1. Open Door Policy..............................

7

2. The ACRS.................................................... .............. 8 I.

Prevention of Retaliation Against Individuals who Express or Support Differing Professional 0 pinions.......................... 9 J. Prevent Intentional Misuse of Procedures for Differing

, Professional 0 pinions............................................ 9 K. Special Review Panel for Follow up on Functioning of Differing Professional Opinion Procedures.................................. 9 L. Recognition of Ori 0 pinions..........ginators of Significant Differing Professional

............................................... 10 1

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i Approved: September 19, 1980

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.. DIFFERING PROFESSIONAL OPINIONS NRC Aopendix 4125 l l

PROCEDURES FOR THE EXPRESSION AND RESOLUTION  ;

OF DIFFERING PROFESSIONAL OPINIONS l i A. Normal Differing Views vs. Differing Professional Opinions A normal differing view, developed in the free and open discussion of i

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work matters , becomes a differing professional ooinion only when the originator brings it to NRC management attention in accordance with these procedures.

i In the free and open discussion of work matters, professional differences of opinion are common. Employees may also develop critical views concerning matters other than their personal work assignments, such as issues under consideration in another. part of NRC or relating to an agency practice or position that is neither currently under review nor in the agar,c 's decisionmaking process, i

In both these instances employees normally try, and should be encouraged, to resolve their concerns through discussions with their co-workers and immediate supervisors. In some cases, such discussions may lead to the submission of a suggestion as part of the NRC suggestion program (Chapter NRC-4154).

i However, these informal discussions may -not resolve the matter and an employee may be convinced that the agency and the public would be better served if another opinion prevailed. To further pursue such concerns j using these procedures, an employee should submit a signed, written j statement of differing professional opinion in accordance with these proce-4 dures. With the submission of this statement, the employee's differing

view becomes a differing professional opinion.

An employee may not use these procedures for differing professional i

opinions without submitting a written statement. The employee may, l

however, express any concerns orally or in writing to the ACRS and may also discuss these concerns with any NRC manager as provided in the

_ Open Door Policy (See Section H.1).

B. Primary Channel for Expressing Differing Professional Opinions These procedures are invoked when' employees submit to their immediate supervisor a signed statement of differing professional opinion. ' As indicated in the statement of policy, it is not only the right but the duty of all NRC employees to make known their best professional judgments on any matter relating to the mission of the agency.

Before submitting the statement, employees should consult with their immediate supervisor who will aid them in identifying related information and assist them , if requested, in clarifying the issues. Originators of  ;

,' differing professional opinions may request agency resources for preparing adequate written statements of differing professional opinion and such i

requests shall include estimates of the resources required.

i 1 Approved: Septemt+r 19. 1980 l e . ...

Nb.C Aependix 4125 DIFFERING PROFESSIONAL OPINIONS m

C. Content of a Written Statement of Differing Professional Opinion i

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a summary of the originator's perception of the prevailing staff view, -

existing management decision or stated position, or the proposed or established agency practice.

2.

a description of the originator's opinions and how they differ from

, any items discussed in 'I above.

3.

a statement of the originator s assessment of the resulting consequences if the differing professional opinion is not adopted by the agency.

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i D. Resources to Assist Originators of Differing Professional Opinions j s To assist originators in preparing adequate written statements of differing 4 professional opinion, NRC management will allow a reasonable amount of gf (1) the originator's work time, (2) time of other NRC professional person-e -

• { nel in a consulting capacity, and (3) admWatrative support AThe origi-v' nator's immediate supervisor, in consultation with his or her mfnager, will d determine the nature and level of resources provided in respbnse to the

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originator's request for assistance.

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As'an alternative, employees may prepare a statement of differing profes-

!x(! sfonal opinion on the.ir own time and in that statement describe what work,

! , h. including proposed commitments of their own time, would be needed to resolve the concerns or issues.

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Acknowledgement of Differing Professional Opinions I The immediate supervisor shall, upon receiving a written statement of '

differing professional opinion, discuss the statement with the originator if thismust, visor has not previously been done. In addition, the immediate super-

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within five working days, acknowledge receipt by a memo-randum to the originater This memorandum will also indicate the actions that will be taken to resol e the differing professional opinion.

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\ DIFFERING FROFESSIONAL OPINIONS NRC Accendix 4125 Upon receipt, statements of differing professional opinion will be incor-porated into the receiving organization's normal work tracking system.

This tracking should assure that the status of each differing professional opinion is regularly reviewed, aid in its prompt resolution, and provide a systematic basis for keeping the originator informed.

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F. Written Record of Actions on Differing Professional Opinions Once a signed differing professhnal 9 h c opinion - M e.s-e.evuor has been submitted, a written record must be maintained 4to provide accountability for all sub-sequent actions taken to resolve that differing professional opinion on its merits. This record will consist of signed notations of all supervisory and managerial determinations and actions based upon the differing profes-sional opinion. Changes in the original documentation that are requested by the originator will also be made a part of this written record. All pertinent documentation will be retained for a minimum of 10 years.

i G. Resolution of Differing Professional Opinions

1. Definition of Resolution l

A differing professional opinion is considered resolved by the NRC l when:

l a. NRC management adopts the views expressed in the originator's l

3

. written statement.of differing professional opinion; or l

b. NRC management adopts a part of the judgments expressed in

the originator's -written statement of differing professional

i. opinion and informs the originator of the reasons for not adopting the remainder; or

c. The responsible office director determines that evaluation of the differing professional opiniori fails to justify modification of a management decision, policy position, or a proposed or an I existing agency practice; or l

d. The responsible office . director determines that the impact of the potential consequences stated in the differing professional opinion is insufficient to justify a detailed evaluation of the 4 differing professional opinion; or 3 Approved: September 19, 1980

.. - j NRC Appendix 4125 DIFFERING PROFESSIONAL OPINIONS

e. The differing professional opinion is withdrawn by the origi-nator.1 bl M

-In each of the preceding cases, the resolution process is complete l only when the originator has been informed of the decision or action of NRC management and, consistent with security classification policy, .

both the statement of differing professional opinion and the response of NRC management have been placed in NRC's Public Document Room.

2. Resolution Process i a. When submitting a differing professional opinion, the originator may request that it be presented to an impartial peer review group for review, evaluation, and comment. If such request is t not made by the originator, and if the responsible office director determines that such review is justified by the complexity or-the potential significance of the issues raised, he shall convene an impartial peer review group to address the substance of the issues raised in the differing professional opinion. In either case, the responsible office director will assure that members of the peer review groups convened for this purpose are specifically selected for their impartiality and professional com-petence concerning matters discussed in each differing profes-sional opinion. The responsible office director will carefully j

consider peer review group recommendations in the resolution d of applicable differing profeaional opinions and will provide the originator with a copy of the peer review group's report. g

b. Upon receiving a statement of differing professional opinion from the originator, the immediate supervisor will forward it, via the chain-of-command, to his or her office director _ for action. The immediate supervisor and all others in the chain-of-command shall append their views concerning matters discussed in the differing professional opinion. The differing professional opinion, with comments appended, shall be pro-vided to the office director within five working days after its submission by the originator. Copies of these comments ,

together with all other documents generated in response to the differing professional opinion, shall be made available to the originator as they are generated. At his option, the originator may submit written comments for the record concerning views-expressed by his immediate supervisor or others in the chain-of-command, or views expressed by intermediate NRC manage-ment personnel in the course of resolution of the differing '

professional opinion.-

c. The office director wiu forward the differing professional

• opinion, within 10 working days of its submission by the origi-nator, either to the appropriate manager within his or her own

'In such cases, NRC management may elect to pursue the matter further based on its merit even though it is no longer considered to be a differing professional opinion.

Approved: September 19, 1980 4

DIFFERING PROFESSIONAL OPINIONS NRC Appendix 4125 office or to tlke director of the office that has basic responsibil-ity for the issues raised in the differing professional opinion.

If transferred to another office for resolution, the differing professional opinion must be assigned to the responsible

, program manager within 15 working days after its submission by the originator. The responsible manager win incorporate the -

statement of differing professional opinion into the organi::a-tion's normal work tracking system and, until the differing professional opinion has been resolved, shan provide the originator with brief monthly status reports. Copies of these reports shan also be provided to the responsible office director.

The responsible manager win also infom the originator of other differing professional opinions received that are relevant to that submitted by the originator.

d. The responsible office director win, within 15 working days after its submission by an originator, inform the Atomic Safety and Licensing Board Panel and the Atomic Safety and Licensing Appeal Panel of any differing professional opinion that relates to issues pending before them or scheduled for their consideration.

e. Every effort shall be made to expedite the resolution of differing professional opinions. Normany, a differing professional opinion i should be resolved by the responsible office director within l

30 working days after its assignment to the responsible manager.

An extension of 15 working days wiu, however, be automaticaHy granted upon certification by the responsible manager to the orig 2nator that: (1) resolution of the differing professional opinion involves especially complex issues, (2) the workload of managerial personnel involved in resolution of the issues is temporarily heavier than normal, or (3) that resolution of the differing professional opinion involves the participation of several levels of NRC management. Additional extensions of 15 working days each may be granted only upon application to and approval by the responsible office director who wiu consider comments of both the managerial personnel involved and the originator with regard to the proposed extension.

f. If a differing professional opinion is not resolved within four calendar months after its submission, the responsible office director shan inform the Executive Director for Operations (EDO) of the reasons for the delay and shall submit, for EDO approval, a - proposed plan and schedule for completing its resolution. The responsible office director shall provide the '

originator with a copy of the EDO-approved plan and schedule for resolution. The EDO will ensure that differing professional opinions in this category are resolved by the responsible office director as promptly as is practicable.

l l g. The responsible office director shah provide the originator with I written notification of the resolution of his differing profes- '

l sional opinion and access to all documents generated in connec-tion with its resolution. .

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5 Approved: Septenier 19, 1980  ;

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NRC Appendix 4125 DIFFERING PROFESSIONAL OPINIONS

3. Appeal

' The originator may appeal the resolution of his differing professional opinion to any higher level of NRC management including a Commis- '

sioner or the Commission. Normally, it would be expected-that appeals by individuals assigned to Program Offices or to EDO Staff Offices ,

would be submitted to the EDO and that individuals assigned to the Commasion or to Commission Staff Offices would submit appeals either to a Commissioner or to the Commission. Moreover, if a differing professional opinion concerns matters of public health or safety, the appeal may be forwarded through the ACRS with a request that the ACRS comment on the potential safety implications of the resolution that is being appealed. .

These procedures make no provision for further appeal of the resolu-tion by NRC management of a differing professional opinion. However, originators who are dissatisfied with either NRC management's resolu-tion of their differing professional opinion or the results of their j

appeal of this resolution may further pursue their concerns via the Open Door policy or the ACRS as appropriate.

4. Reports to the Commission '

The Office of Management and Program Analysis (MPA) shall provide i the Commission with quarterly reports identifying all differing profes- >

sional opinions submitted and specifying the actions that have been taken to achieve their resolution. This infomation shall be provided by the responsible office directors who shall, within five working '

days after each calendar quarter, provide MPA with a Differing Professional Opinion Status Report that contains:

a. A listing and a description of all differing professional opinions received together with a brief status report of all efforts that have been taken to achieve their resolution. Items shall be reported and summarized in the following three categories

~ (1) Differing professional opinions sdbmitted since the last quarterly status report.

(2) Differing professional opinions previously received and reported but not yet resolved.

(3) Differing professional opinions previously received and reported that were resolved on (date) .

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b. Information obtained from the originator of each differing profes-sional opinion resolved during the quarter which indicates the ,

originator's general reactions to these procedures. As a minimum, this information should include -the originator's evaluation of the utility of these procedures for handling his or her differing professional opinion, areas in'which these procedures inhibited t*

rather than aided the achievement of their objectives, and Approved: September 19, 1980 s

DIFFERING PROFESSIONAL OPINIONS NRC Aopendix 4125 4 .

comments or recommendations for improvement of these g

procedures .

H. Alternate Channels for Expressing Differing Professional Opinions Two alternate channels are available for employees who prefer not to use ,

the primary channel for expressing their differing professional opinions.

Once a differing professional opinion submitted via either of these two i channels has been forwarded to the responsible office director, sub-sequent procedural steps involved in resolution of the differing profes-sional opinion are essentially identical with those prescribed for the primary channel. The basic difference between the primary channel and i the two alternatives discussed below is that the alternatives permit the originator to select the individual manager to whom the differing profes-sional opinion will be submitted and, in addition, they make provision for the submission of anonymous differing professional opinions upon request.

1. Open Door Poliev '

The Open Door Policy of NRC provides that NRC employees may, on I

their own initiative, meet with any manager, including a Commissioner l or the Chaiman of NRC, to discuss any matter of concern to the employee. Employees may arrange for Open Door meetings directly with the selected manager's secretary or administrative assistant ,

and there is no requirement for the approval of requests for such meetings by intermediate management.

An employee's request for anonymity will be honored by any manager  !

contacted via the Open Door except in two special situations that '

could occur if the manager contacted is an NRC Commissioner. Each  ;

Coihaussioner is legally required to inform all other Ccumissioners of I any infomation which he believes to be related to the responsibility or the function of the Commission. (This requirement for mandatory i

information sharing applies only to - the Commissioners and does not ,

extend to others within NRC.) Subject to this constraint, NRC j Commissioners will honor an employee's request for anonymity made  ;

in connection with communications via the Open Door. Therefore,  !

. when an employee requests anonymity in an Open Door contact with  ;

a Commissioner, no Commissioner will disclose to another Commis-  !

'. sioner the identity of the employee unless (a) as a practical matter  !

it is impossible to convey the substance of the infomation without  !

l making known the identity .of the employee, (b) disclosure of the i employee's identity to the other Commissioners is essential for deter-i l

mination of the accuracy and reliability . of the information , or (c) the employee's identity is required to be released by law.

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If Open Door discussions disclose that an employee's views con-stitute a differing - professional opinion, the contacted manager should encourage the employee to submit a signed, written state-  !

ment of differing professional opinion in accordance with these i procedures. If the employee insists on remaining anonymous but [

wishes to have his or her views considered as a differing profes-sional opinion, the employee must submit an unsigned statement of {

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7 Approved: September 19, 1980 l 1

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' . . . NP,0 Appendix 4125 DIFFERING PROFESSIONAL OPINIONS differing professional opinion to the manager contacted via the Open 4 Door and that manager win forward the anonymous statement of differing professional opinion to the office director having program-matic responsibility for the issues raised in the differing professional '

opinion. Resolution of the differing professional opinion will then be completed in accordance with these procedures . To -protect the ,

employee's anonymity in such cases, however, it may not be possible

• to provide the acknowledgment of receipt of the differing profes-sional opinion or the reports on resolution directly to the originator of the differing professional opmion. In such cases, the manager o-iginally contacted via the Open Door shall relay to the originator both the acknowledgment of receipt and au reports received by that manager concerning resolution of the differing professional opinion.

Differing opinions not expressed in writing as required by Section C .

shan be considered to be normal differing views as discussed in Sec-tion B, and may not be pursued further using the procedures for differing professional opinions.

Open Door discussions between employees and managers may also relate to subjects other than normal differing views and differing J

. professional opinions. In these cases, the managers contacted will work to resolve an employee's concerns, to answer any questions, and to honor any request for anonymity. Honoring a request for anonymity may, however, limit a manager's assistance either to discussions with the employee or to providing advice and counsel on matters of concern to the employee.

Managers should advise employees of the proper channels to be used for the resolution of concerns that may not be resolved using these pro-cedures for differing professional opinions. If the contacted manager believes that others should 'oe notified of issues raised in these Open Door discussions, he should notify offices with programmatic respon-sibility, and others (e.g., the Office of Inspector and Auditor).

2. The ACRS i

! ~ If the differing professional opinion relates to a potential safety issue within the purview of the Advisory Committee on Reactor Safeguards, an NRC employee may communicate orally or in writing directly with the Chamnan or any member of the ACRS. Such communication may be anonymous. The ACRS wiu append comments, as appropriate, to an written statements of differing professional opinion and will forward these statements for resolution .to the appropriate NRC office

• director.

! An NRC employee may also appear before' the . ACRS or an ACRS '

Subcommittee as deemed appropriate by the Committee. The ACRS

, will assure that all such statements that do not constitute a differing professional opinion are for. warded to the appropriate NRC offi:e director for information. .s l -

4 Approved: September 19, 1980 8

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DIFFERING PROFFSSIONAL OPINIONS NRC Appendix 4125 I. Prevention of Retaliation Against Individuals Who Express or Support Differing Professional Opmions 4

Any NRC employee who retaliates against another employee for submitting or supporting a differing professional opinion is subject to. disciplinary action in accordance with Chapter NRC-4171 (Separations and Adverse .

Actions) . This applies to retaliatory actions described in paragraph 043 of Chapter NRC-4125 and to all prohibited personnel practices specified in Section 2302, Title 5, U.S. Code, as amended by the Civil Service

. Reform Act of 1978.

Retaliation consists of injurious actions _ taken against the originator of a differing professional opinion in which a motivating factor for such actions derived from the submission of a differing professional opinion by the r

originator. Retaliation may involve transfer; detail; ostracism; loss of .

staff assistance, space, or equipment; physical isolation; the absence of assignments involving substantive work; or the denial of promotion, attendance at professional society meetings, or justified training.

Employees who aHege that retaliatory actions have been taken because of their submission or support of a differing professional opinion may seek redress through the negotiated grievance procedure or through the grievance procedure described in Chapter NRC-4157 (Employee Grievances) .

, J. Prevent Intentional Misuse of Procedures for Differing Professional Opinions No NRC employee should intentionally misuse these procedures. Examples of intentional misuse would include but not be lir.ited to frivolous use, 2

attempts to treat a personnel-grievance type action as a differing profes-sional opinion, and repeated attempts to use-these procedures to obtain a resolution of views that do not satisfy the criteria for differing profes-sional opinions. ,

K. Special Review Panel for Follow-up on Functioning of Differing Professional i

Opmion Procedures After these procedures have been in effect for one year, .the Executive Director for Operations shall appoint an initial Special Review Panel to review the first year's history of operation of the procedures .and to recommend modifications where necessary. This first-year Panel wiu be composed of two representatives of NRC management, two representatives

, designated by the National Treasury Employees Union (NTEU), and the Chairman who shall be chosen from outside the agency.

Annually thereafter the Executive Director "for Operations will appoint a Special Review Panel to evaluate and report on the functioning of these differing professional opinion procedures. Four members of the Special Review Panel win be NRC. employees (two managers and two nonmanagers),

and the fifth member win be chosen from outside' the NRC. Two of the NRC-employee members will be selected from a list of candidates nominated by the National Treasury Employees Union (NTEU). Membership shan not be limited to scientific or engineering personnel. All NRC employees wiu 9 Approved: Septemb .- 19, 1980

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. . . ' NRC Accendix 4125 DIFFERING PROFESSIONAL OPINIONS receive a copy of the letter appointing members of the Special Review Panel. The forwarding memorandum may also solicit employee comments on these procedures to be considered by the Special Review Panel. Employee recommendations for membership of subsequent Special Review Panels wiu .

also be solicited.

The Special Review Panel win study NRC's experience in handling differing '

professional opinions, evaluate the functioning of these differing profes-sional opinion procedures by assessing the degree to which the objectives li *.a in Section B are accomplished, and make appropriate recommenda-tions for change. The Special Review Panel may recommend decreasing the frequency of these reviews when evaluations indicate that the NRC procedures for differing professional opinions are functioning effectively.

The findings and recommendations of the Special Review Panel win be reported to the EDO, the Commissioners, and to all NRC employees and the report win be made public.

L. Recognition of Oririators of Significant Differing Professional Ooinions In addition, the Special Review Panel described in Section K, above, win annuaHy review aH differing professional opinions submitted during the prior year to identify employees whose differing professional opinions made significant contributions to the agency or to public safety but who had not been recognized by his or her supervisor for this contribution.

It is anticipated that employees who provide significant contributions to ~

the agency or to public health and safety win be recommended for appro- -

priate awards by their immediate supervisors. Where award recommenda-tions have not been =ade, they may be made by this Panel in accordance with provisions of NRC's Incentive Awards Program (Chapter NRC-4154).

Copies of such recommendations for award will be included in the Special Review Panel's written report to the EDO and the Commissioners.

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Approved: September 19, 1980 10