ML20148D737

Discusses Investigation Rept 2-95-031,allegation Number NRR-94-A-0038 Re Safety Conscious Work Environ Conducted 951219-960926.Purpose,to Determine If Former Contract Employee Terminated for Reporting Safety Concerns to NRC

ML20148D737
Person / Time
Site:	Maine Yankee
Issue date:	05/27/1997
From:	Slosson M NRC (Affiliation Not Assigned)
To:	Jensen C DIVERSIFIED TECHNOLOGIES
References
EA-97-098, EA-97-98, NUDOCS 9706020089
Download: ML20148D737 (9)

Text

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UNITED STATES g

j NUCLEAR REGULATORY COMMISSION l

k*****

CASHINGTON, D.C. 2055M001 May 27, 1997 0~M7 Mr. Charles Jensen, Chief Executive Officer Diversified Technologies Services, Inc.

2680 Westcott Boulevard Knoxville, Tenne.ssee 37931

SUBJECT:

SAFETY-CONSCIOUS WORK ENVIRONMENT (Investigation Report No. 2-95-031; Allegation No. NRR-94-A-0038; EA 97-098)

Dear Mr. Jensen,

During the period of December 19, 1995, to September 26, 1996, the Nuclear Regulatory Commission (NRC) Office of Investigations (01) conducted an investigation into certain matters involving the performance of Diversified Technologies Services, Inc. (Diversified Technologies) in activities under contract with NRC licensees. The purpose of the investigation was to determine if a former contract employee was terminated for reporting safety concerns to the NRC.

Acts of discrimination by a licensee, contractor, or subcontractor taken against an employee for bringing nuclear safety concerns to the attention of licensee management or the NRC are unlawful.

01 issued the resultant report on September 26, 1996. The synopsis of the report is enclosed with this letter. 01 did not substantiate that discrimination occurred in this case.

2 While 01 did not substantiate that discrimination occurred in this case, the NRC needs to ensure that you are aware of its expectations that licensees and their contractors establish a safety-conscious work environment (i.e., an environment in which workers feel free to raise concerns to their management and/or to the NRC without fear of retaliation), as discussed in the enclosed Commission's Policy Statement, " Freedom of Employees in the Nuclear Industry to Raise Safety Concerns Without Fear of Retaliation" (published in the Federal Reaister on May 14, 1996, 61 fB 24336). Workers who raise safety concerns serve a vital role in the protection of public health and safety.

Retaliation against those who do so, as noted above, is illegal and will not be tolerated by the NRC.

Specifically, it appears that you were determined to learn the identity of the individual who raised safety concerns to the NRC.

While you may not have intended to retaliate against this individual as a result of this individual's 3'

raising safety concerns, your attempts to identify the concerned individual could be interpreted as an attempt at retaliation and, therefore, generate a chilling effect that may discourage other workers from raising safety concerns.

You should be aware that NRC enforcement action can be taken against contractors who provide services to NRC licensees and who discriminate against their employees.

Such contractors are also subject to the NRC's " Rule on Deliberate Misconduct." See a -). 10 CTR 30.10, 40.10, or 50.5.

I 900093 RETURN TO REGULATORY CUURAL FILES 9706020089 970527 PDR ADOCK 05000309 gd C[ b- -

G PDR

F

. Mr. Charles Jensen You are requested to respond to our concerns about your actions "sithin 30 days of receipt of this letter.

If you would prefer to meet with us. please contact Jean Lee, Allegations Coordinator for the NRC Office of Nuclear Reactor Regulation, at (800) 368-5642 to schedule a meeting.

Your response should discuss the efferts that Diversified Technologies has made and will continue to make to ensure that its workers are aware of th'ir right to bring a

concerns to their management or to the NRC, and the steps that Diversified I

Technologies has taken to ensure that management understands the NRC's i

expectation in establishing a safety-conscious work environment.

In accordance with 10 CFR 2.790 of the NRC's " Rules of Practice," a copy of this letter and its enclosure will be placed in the NRC Public Document Room.

Sincerely, P1 h

Marylee M. Slosson, Acting Director Division of Reactor Program Management Office of Nuclear Reactor Regulation

Enclosures:

As Stated

F SYl)GPSIS The U.S. Nuclear Regulatory Commission (NRC). Region II. Office of Investigations initiated this investigation on December Atomic Power Company was terminated for rep

19. 1995, to determine contractor discriminated against the alleger for r regarding quality assurance practices.

Case No. 2 95 031 1

1 24336 Federal Register / Vol. 61. No 94. Tuesday. May 14. 1996 / Notices Freedom of Employees in the Nuclear This retalianon is unacceptable and incustry To Raise Safety Concems unlawful. In addition to the narcshio j

Without Fear of Retallation: Policy caused to the individual employee. the Statement percepuon by fellow workers that

"8**""'h""Id'"

AGeCY: Nuclear Regularory i'

Commission.

retahauon can generate a chtlhng effect

' "'I

"8""*'**N*

aCTtoet: Statement of policy ratsing concerns A reluctance on the SuasasARY: The Nuclear Regulatory part of employees to ratse concems is Commission (NRC) is issuing this pohey dunmmal m nuclear safny.

statement to set forth its expectation NRC.a result of questions raised about M

that heensees and other employers s efforts to address retaliauon subject to NRC authority will estabhsh against individual.s who raise health and and maintain safety. conscious safety concerns. the Commission l

environmenu in which employees feel established a review team in 1993 to free to ratse safety concerns. both to reassess the NRC s program for their management and to the MC.

protecting allegers against retahauon. In of the NRC@s Program for Protecting its mpon E1499.1eassessmm without fear of reta!!auon. The responsibtury for maintainmg such an 4

environment rests with each NRC Allegers Against Retabacon." January 7.

4 hcensee, as well as with contractors.

1994) the review team made numerous subcontractors and employees in the recommendations. including several nuclear industry This poucy statement mcommendauons involving issumg a is apphcable to NRC regulated act:vtues p hey statement to address the need to of all NRC ucensees and their encourage msponsible Ucensee acuon contractors and subcontractors.

with regard to fostering a quahty-

' "** ** "8 '"* ^**"' in

• h'C h DA7ts: May 14.1996.

FOR PURTHWt WORasAft0N CO8rTACT:

concerns without fear of tetribuuon James Lieberman. Director. Omce of (recommendacons ll.A-1. !!.A-2, and Enforcement. U S. Nuclear Regulatory II.A-4). On February 8.1995. the Commission. Washington. DC 20555-Commission after considertng those 0001.(301) 415-2741.

recomrnendations and the bases for suret.asserrARY WC1hnAT10cc them pubbshed for comment a proposed l

policy statement. " Freedom of Bac @ und Employees in the Nuclear industry to i

NRC licensees have the primary Raise Safety Concerns Without Fear of l

responsibility to ensure the safety of Retaliation." in the Federal Regsster (60 nuclear operadons. Identificadon and FR 7592. February 8.1995).

l commurucadon of potential safety The proposed policy statement concernsi and the freedom of generated comrnents from private employees to raise such concerns is an citizens ard representadves of the integral part of canying out this industry concerning both the policy responsibility.

statement and NRC and Department of i

in the past. employees have raised Labor (DOL) performance. The more

~

important issues and as a result, the significant comments related to the pubhc health and safety has benefited.

contents of the policy statement 4

]

Although the Commission recognizes included:

that not every concern raised by

1. The polley statement would employees is safety significant or, for discourage employees from bringing I

that maner. ts valid. the Commission their concems to the NRC because at concludes that it is important that provided that employees should licensees' management establish an normally provide concerns to the environrnent in which safety issues are licensee prior to or contemporaneously prompdy identitled and effectively w4th coming to the NRC.

resolved and in which employees feel

2. The use of a holding persod should free to raise concerns.

be at the discretion of the employer and Although hundreds of concerns are not be considered by the NRC in ratsed and resolved daily in the nuclear evaluating the reasonableness of the mdustry, the Commission, on occasion, licensee's action.

receives reports of individuals being

3. The policy statement is not needed retallated against for ratatng concerns.

to establish an environment to raise concems if NRC uses its authortry to Throusnout uus Poucy 5merrers the wrn.

enforce existing requirements by corurns. - arcy concems ano "naray pursuing civil and criminal sanctions probtern ' re fue to posernial or acmal temass motta against those who discrirrunate, ine communion s prisouven invemns opmem 4.The desertption of employee MNa" asNo$sC.

concems programs and the overstght of rre mgutawe acuvmes.

contractors was too presenpuve; the

l W,% *.M.-n9.~

l Federal Register / Vol. 61. No 94 / Tuesday. May 14. 1996 / Notices 2133{

expectauons concerning overstght of "except in limited fact specific Operations (54 FR 3424. January 24.

contractors were perceived as the situauons ' would not absolve 1989). management must proude the imposition of new requirements without employees of the duty tcrinform the leadership that nurtures and maintains adherence to the Adtruntstrauve employer of matters that could bear on the safery environment.

Procedure Act and the NRC's Backfit public including worker. health and In developmg this policy statement.

Rule.10 CFR 50109.

safety has been deleted. However. the the Commission considered the need 5 The need for employee concerns policy statement expresses the for-programs (ECPs) was questioned.

Commisaton s expectation that (1) Licensees and their contractors to including whether the ECPs fostered the employees. when commg to the NRC.

establish work environments. with development of a strong safety culture.

should normauy have provided the effective procenes for problem

?

6 The suggestion for involvement of concern to the employer pnor to or identification and resolution. where senior management in resolving contemporaneously with coming to the employees feel free to raise concems.

j discrimmation complamts was too NRC.

both to their management and to the prescnpuve and that decisions on NRC. without fear of retaltation.

j senior management involvement should Statement of Policy (2) Improving contractors awareness j

be decided by licensees.

The purpose of this Statement of of their responsibilldes tri this area:

In addition. rwo public meetings were Policy is to set forth the Nuclear (3) Semot management of licensees held with representauves of the Nuclear Regulatory Comtnission s expectauon and contractors to take the Energy insutute (NEI) to discuss the that licensees and other employers responstbtlity for assurms that cases of proposed policy statement. Summanas subject to NRC authonty will establish alleged discrimmauon are appropnately of these meetings along with a revtsed and mamtam a safety-conscious work invesugated and resolved. and i

policy statement proposed by NE! were environment in which employees feeg (4) Employees tn the regulated meluded with the commenu to the free to raise concerns both to their owT industry to recogruze their j

policy statement filed in the Public management and the NRC without fear msponsibt!!ty to raise safety concems to Document Room (PDR).

of reta!!ation. A safety-conscious work licensees and the*r rtsht to raise a

This policy statement is being issued environment ts crtucal to a ucensee s concems to the NRC.

j after considenng the pub!!c comments ability to safely carry out licensed This policy statement is directed to all i

and coordination with the Department activities.

employers. including licensees and their of Labor. The more significant changes This policy statement and the contractors. subject to NRC authority.

}

meluded.

prtnciples set forth in it are intended to and their employees. It is intended to

1. The policy statement was revtsed to apply to licensed activtoes of all NRC MinIMCe the Pnnenple to all ucensees

, clanfy that semor management is licensees and their contractors.4 and other uployers subject to NRC a

l expected to take responsability for although it is recogruzed that some d authority that an act of retaltauon or assunns that cases of alleged the suggesuons. programs. or steps that disennunation against an employee for discriminadon are appropriately might be taken to improve the quality of raising a potendal safety concem is not investigated and resolved as opposed to the work enytronment (e g.,

only unlawful but may adversely impact i

bems personauy involved in the establishment of a method to raise safety. The Commission mphastaes that resoluuon of these trutters.

concems outside the normal employees who raise concerns serve an j

2. References to mamtenance of a managment structum such 4 an important role in addressing potenttal

" quality. conscious environtnent" have employee concems progrs:rd may not be safety tsaues. Thus, the NRC cannot and been changed to "safery conscious precucal for very small licensees that will not tolerate recaliauon against environment" to put the focus on safety. have only a few employees and a very' mployees who atumpt to carry out

3. The policy statement has been simole management structure.

M moponsibllity to idenufy pounual revised to emphastze that while Tb Commission believes that the safwy issues.3 1

alternative programs for raising rrw? efecove improvemena to the Under the Atomic Energy Act of 1954 1

concerns may be helpful for a safery*

envtroru.:=nt for raising concems will as amended, the NRC has the authortry j

conscious environment, the come from w?hin a licensee's to investigste alleganons that employees estabushment of attemauve programs is orgaruzauon br the organizatan of the oflicensees or their contractors have not a requirement-licensee's com as communicaud been discriminated against for raising

4. The poucy state emphastze licensees, ment conunues to and demonstrated by licensee and concoms and to take enforcement action responsibility for contractor managwnent. %

tf discrimination is substanuated. The thett contractors. This is not a new should recognias the value of effective Commission has promulgated r quirement. However, the poucy processes for probin idenuticatan and regulacons to prohibit disertmtnauon j

watement was revtsed to provide that moolutan, undwstand the negauve (see, e.g.,10 CFR 30.7 and 50.7). Under enforcement decisions against ucensees eNect produed by me pwcepuon that Section 211 of the Energy l

for discntrunatory conduct of that' employee concerns am unwelcome and Recelaruasuon Act of 1974. as 3

contractors would consider such thing' appreciate me imponance d ensuring amended. the Department of !. abor also j

as the reladonship between the licensee that muluple channels exist for rotatng has the authwity to invesugam and contractor, the reasonableness of concans. As me Comnuss2n noted in complaints of discriminauon and to the licensee s oversight of the its 1989 Policy Statement on the contractor s actions and its attempts to Conduct of Nuclear Power Plant 8"*""*' wee"aenomiin risame cenorm nwy nie invest 13 ate and resolve the matter.

• ****'"' "'" "" D"'s"ru*'w"e' yfor i=

5. To avoid the possibtUey suggastM we um m on iem neemes eme nem prenne by some commenters that the policy

,ncluaan neensees ans appucano ter neenses. le siacrimannuort The pereen erpy atae fue an 1

statement might discoursse employees atan resurs se neaears et ceruncases et cenoaanse siteensen or eiecnnensaan man im mac. The Nac d

from ratsing concerns to the NRC tf the io cra Pan to The enn cenenner -

=ai reew on nonses acuens ano eene nei esem va88'es ceneracters ans suscenennes et Nac inclu periena) ruweiss for tre insmauas. Innoveuens emp;oyee is concemed abo *it ivtallation neensees me aeoncana mennes as empieyers my ter ruins comonaine een im DOL and suomuurg by the employer. the statamtru that

.ecnon 21 taHa or the tswegy aeorgamannen Ace anesnuore can ne reuns en NaC Form 3 =fucn 4

reporting concerns to the Coa.meston et in tas anuness, neensees are riguarse w past.

4

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em D -

p 1

24338 Federal Register / Vol 61. No 94 > Tuesday. May 14. 1996 / Notices I

j provide a personal remedy to the directly to the NRC ' Training of addressing concerns are accessible employee when dtsenmmauon is found supervisors may also minimize the credible and effecuve.

l to have occurred.

potential perception that eNorts to g

g l

The NRC may imuste an investigauon reduce operating and maintenance costs l

even though the matter ts also being may cause supervisors to be less help M q w e i m a m u T

l pursued withm the DOL process.

receptive to employee concems if fhat what However, the NRC s determination of identification and resoluuon of of fo n ce a.v i

whether to do so is a function of the concerns involve significant costs or PP "

C 8 '

priority of the case which is based on its schedule delays agg potential mersts and its significance Incentive programs may provide a reistive to other ongoing NRC highly visible method for oemonstrating III ^".C P'"'OC O' ' Pol 1CF th8t 4110*8 l

mvestigations

• management s commitment to safety, by the employw to bnng the concern to a Effecuve Processes for Problem rewarding ideas not based solely on higher level manager.

Idenufication and Resoluuon their c st savings but also on their (21 A policy that permits emplovees to contribuuon to safety Credabae self raise concerns to the licensee s quattry Licensees bear the pnmary assessments of the environment for assurance group.

responsiblitty for the safe use of nuclear ratsar g concerns can contnbute to (3) An ombudsman program. or matenals in their vanous Itcensed program eMecuveness by evaluaung the activities. To carry out that adequacy and timeliness of problem (4) Some form of an employee responsibilltv lic'ensees need to receive resolution. Self assessments can also be conces program-prompt nouficauon of concerns as used to determine whether employees The success of a !!censee alternauve effective problem idenufication and belteve their conc ~ns have been prog am for concerns may be influenced i

resoluuon pmcessas are essential to adequately addressed and whether by how accesuble the prograrn is to 4

ensunng safety. Thus. the Comnussion employees feel free to raise concems.

employees. pnontization procenes.

J, expects that each licensee will establish When problems are idenufled through independence. provtsions to protect the a safety conscious environment where self assessment. prompt cottecuve identity of employees including the employees are encouraged to raise acuon sheuld be taken.

ability to allow for reporung tasues with concerns and where such concerns are Licensees and their contractors anonymuy. and resources. However, the prompdy reviewed. given the proper should clearly idenufy the processes prtme factors in the success of a given priority based on their potential safety that employees may use to raise program appear to be demonstrated significance. and appropriately resolved concerns and employees should be management support and how with timely feedback to employees.

encouraged to use them. The NRC employees perceive the program.

A sa'ery. conscious environment is appreciates the value of employees Therefore. umely feedback on the reinforced by a management atutude using normal processes (e g.. ratsmg follow up and resolucon of concerns that promotes employee confidence in issues to the employee supervtsors or raised by employees may be a necessa.

raising and resolving concerns. Other manageri or filing deficiency reports) element of these programs.

attnbutes of a work place with this type for problem identsftcation and This Policy Statement should not be of an environment may include well.

resolution. However. it is important to interpreted as a requirement that every developed systems or approaches for recognize that the fact that some licensee establish alternadve prograrr4 pnontazing problems and direcung employees do not desire to use the for raising and addressing concerns.

resources accorcingly: effective normal une management processes does Licensees should determine the need for communications among vartous not mean that these employees do not providing alternauve methods for departments or elements of the have legitimate concerns that should be raising concerns that can serve as licensee s cagaruzation for openly captured by the beensee s resoluuon internal" escape valves" or " safety shanng informauon and analyzing the processes. Nor dees it mean that the nets."* Considersuons might include root causes of ident1 fled problems: and normal processes are not effective. Even the number of employees, the employees and managers with an open in a generally good envtronment, some complexity of operacons, potencal and quesuorung attitude, a focus on employees rnay not alwap be hazards, and the history of allegauons safety, and a positive ortentadon towarti cornfortable in raising concerns through made to the NRC or ucensee. While admitting and correcting personnej the normal channels. From a safefy effecove attemattve programs for errors.

perspecuve, no method of raising identifytng and resolving concerns may fruttal and periodic training potenual safety conces shouk be anatst ucensees in maintairung a safety.

(including contractor training) for both discouraged. Thus. in the triterest of conscious environment. the employees and supervisors may also be having concerns raised. the Commission Commission, by making the suggestion an important factor in achieving a work encourages each licensee to have a dual for establishing attemauve programs. ts environment in which employees feel focus: (1) On achieving and rnanntaining. not requiring licensees to have such free to ratse concerns. In addition to an environmem when employees feel programs. In W absence of a commurucating management free to raise their concems directly to requirement trnposed by the i

l expectations. tratnmg can clanfy for their supervisors and to licensee Commisalon. the estabitshrnent and I

both supervisors and employees opuoris managemem, and W on munng that framework of shmauve programs an for problem identification. This would alternate means of ratsing and discrettonary.

include use of licensee s intemal processes as well as providing concems "ma'"8 8' S p'mS* '" * "8""' *8"4

• l a 8'"'a8 *"' F5"* " '*8"'"' '"

l concems and W use of alismaan infomal reactor licenness to lie sois to capture aal posenthal processes may minimtae trie conflics that can to safety concurvu. nos Juss concerna retased to haiery-The haC and DOL haw emered into a cresies wnen supemsors essocially ftra line resaied ' actmuse covme ey 60 CFa Part So.

Memoranoum of Lncersunains to facditate supervtsers. perceiw empioyees as proonem Appenata 8 For esampie. concerns relantie to poperanon tirewmen ene a3eucus t47 FR $45sS.

emoloyees ' if the employees in ratsarg concemt environmental anleguares. and radtauen prosecnon

-ecemaas 3 i942L eypass the chain or commarHL" muss snound asas os captured.

Federal Regtster / Vol. 61. No. 94 / Tuesday. May 14. 1996 / Notices 24339 77 Improving Contractors' Awareness of environments. heensees hould work place and is m the best mterests Th Responsibtlities consider takmg action so that' of both the 1 certsee and the employee (1) Each contractor involved m For these reasons. the Commission s I

licerned activities is aware of the enforcement policy provides for h

and con e

to l

P0h'I as applicable regulanons that prohibit considerauon of the accons taken by i

nold its bcensees responsible for i

discrimmatton; heensees m addressmg and resolvmg grnpliance with NRC requtrements.

(2) Each contractor ts aware of tu tssues of disenmmation when the l

pen it licensees use contractors for responsibiliues in fostenng an Commission develops enforcement products or services related to licensed environment m which employees feel sanctions for violauens mvolving activities. Thus heensees are free to rane concerns related to beensed discnnunation. (59 FR 60697. Novem l

resportsible for havmg their contractors activittes.

28 1994).

l maintam an environment in which (3) The iteensee has the abthty to in some cases. management may fmd contractor employees are free to raise oversee the contractor s efforts to concerns without fear of retalzauon.

it desirable to use a holdmg penod. that I

Nevertheless. certain NRC encourage employees to ratse concems.

is. to maintam or restore the pay and prevent disenrrunauon. and resolve benefits of the employee alleging requirements apply directly to allegations of dtscnmmation by reta11auon. pending reconsideration or i

I contractors of licensees (see. for obtammg reports of alleged contractor resoluuon of the matter or pending the l

example, the rules on debberate discrimmanon and associated misconduct. such as 10 CFR 30.10 and outcome of an invest ation by the invesugauons conoucted by or on behalf Department of Labor L) This 50 $ arid the rules on reporung of of its contractors: conducung its own holding pened may calm feelings orw defects and noncompliances m 10 CFR mvesugauons of such disentrunation.

site and could be used to demoruttate Part 21). In panicular, the Commimon and. Lf warranted. by direcung that management encouragement of an prohibition on disenmmatmg against remedial action be undertaken; and employees for ratsmg safety concerns H) Contractor employees and environment conducive to ratsmg concerns. By thts approach.

applies to the contractors ofits management are mformed of (a) the management would be acimowledstng licensees. as well. to licensees (see. for imponance of rautng salety concerns that although a mspute extsts as to example.10 CFR 30 7 and 50 7).

and (b) how to raise concems through whether dancruninanon occurred. In the Accordmgly, if a licensee contractor normal processes. alternauve internal interest of not discouragtng other disenmmates against one of its processes. and directly to the NRC.

employees from ratsmg concerns the employees in violation of applicable Adopuon of contract provtstons employee involved in the dispute wtll Commission rules. the Commission covertng the matters discussed above not lose pay and benefits while the j

intends to consider enforcement acnon may provide addiuonal assurance that action is bems reconsidered or the l

against both the licensee. who remains contractor employees will be able to dispute is being resolved. However, responsible for the environment ratse concerns without fear of inclusion of the holding period rnanntamed by tu contractors. and the teemu.eiart.

employer wno actually disenmanated approach in this policy statement is not against the employee. In considertng lve m of Mr Management in intended to alter the existirig nghts of whether enforcement accons should be Casas of Alleged Disertnunanon either the licensee or the employee. or taken against licensees for contractor The Commission reminds licensees of be taken as a direction by, or an eepectauon of. the Commission. for acuons. and the nature of such actions, their obligation both to ensure that licensees to adopt the holding period the NRC intends to consider. arnong personnel actions against employees.

concept. For both the employee and the other thmgs, the relauonship of the including personnel actions by employer, perucipanon in a holding contractor to the parucular licensee and contractors, who have raised concerns period under the conditions of a specafic i

its licensed acuvtuss: the have a well. founded. nork case is entirely voluntary.

reasonableness of the 11censee's diacrtminatory basis and to make clear A licensee may conclude. after a full oversight of the contractor enytronment to all employees that any adverse action revtew, that an adverse acuon against an for ratsmg concerns by methods such as taken against an employse was for employee is warranted? The licensee s reviews of contractor policies legitimate, non<itecriminatory reasons.

Commisalon recognians the need for for raising and resolving concerns and if employees allege retaliation for licensees to take action when justilled.

audits of the effecuveness of contractor engagirig in protected activtues, senior Commission reguladons do not render a efforts in carrying out these policies, licensee management should be adytsed person who engages in protected including procedures and trattning of of the matter and assure that the activity immune trom discharge or employees and supervisors: the appropriate level of management is discipline stemmang from non-heensee's involvement in or involved, rev$ ewing the panicular facts prohibited consideradons (see. for opponuruty to prevent the and evaluating or reconsidering the example 10 CFR 50.7(d)). The discrtmananon: and the licensee's efforts action.

Commission espects licensees to make m responding to the particular The intent of this policy statement is personnel doctstons that are conststent allegauon of discriminauen. Including to emphasiae the importance of !! censes with regulatory requirements and that whether the licensee reviewed the management taking an acuve role to contractor s investigauon. conducted its promptly resolve situacons involving

• when eine, e,neasyses answ insi <= insmoual own invesugacon. or took reasonable alleged discrimination. Because of the who won tas recipani er an aswm acuan may acuon to achieve a remedy for any complex nature of labor. management h*"'neneseyn arm *8 $

disenmmatory action and to reduce relations, any externally imposed acensee si ar egeyees ans. censumens wun erwecy and leoni potenual chilling effects.

resoluuon is not as desirable as one con.ne,, ens ines m msneseawns reae=e8 ins Contractors of licensees have been actueved intemally. The Commission maner ans asummwee inna iu ecoon -es i

involved in a number of discriminauon emphasizes that internal resolution la g*,8j'y" [",',"'%*"..y.

l complaints that are made by employees, the licensee's responsibility, and that

,,,,p e,,,,,,, n,,,,,,,,,nn no, is I

in the mierest of ensunng that their early resoludon without govemment encoureer inom to rmw inwee thu may reduc 8 contractors establish safety-conscious involvement is less likely to disrupt the arry percepuenirm rnainauen eesarad-1

r l1 o

Federal Register / Vol. 61. No 94 ' Tuesday May 14.1996 / Notices

,gl The Commission s expectation that promptly and effectnely address the oD*hce the effectiveness and I

e beensee s operanons, employees will normally ratse safety matter. The NRC should normally be

$gc c neerns to their employers does not viewed as a safety valve and not as a fet' 0 l

d 0nybilitie, of Emp oyers an mean that emolovees may not come substitute forum for ratsing safety directly to the NRC. The Comfrussion concems tr'0 ees f *0 p' hasized above. the encourages emplovees to come to the This policy statement has been issued c3 for maintatrung a safety.

NRC at any time they beheve that the to highhght hcensees exisung asem n

Commtssion should be aware of their obligation to maintain an environment g,po 5', environment rests with concerns ** But. while not required. the m which employees are free to raise scio nanagement However, jn Commuston does expect that employees concerns without retahauon The ol

Ns in tne nuclear industry also normally will have raised the issue with expectations and suggestions contained

,,cr nsibihtles m this area As a mP e

e the bcensee either pnor to or tn this policy statement do not estachsh w "g p nciple. the Commission nera contemporaneously with coming to the new requirements However. tf a ge ex ects employees in the NRC The Commtssion cautions beensee has not estabhshed a safety-norma ndustry to ratse safety and puCI dtrectly to licensees that complaints that adverse conscious envtronment, as evid,enced by 4 *P ance concerns 05gs. or mdirectly to bcensees for not bnnging a concem to his or her engagtng m a protected activity, action was taken against an employee retallauon against an individual for 0

Mf0"I contractors. because hcensees.

employer. when the employee brought whether the acuvtty involves providing J

licC i

h

1. gne Commission. bear the the concem to the NRC. wtil be closely information to the licensee or the NRC.

i Jod responsibthry for safe operation PU*'har facibues arid safe use of scrutintzed by the NRC to determine if appropnate enforcement action may be j

d" enforcement action ts warranted for taken agasnst the hcensee, its au'," ear matenals

• The licensee. and discrimination-contractors. and the involved individual

^ "e NRC. is usually in the best Retahation against employees engaged supervtson. for violations of NRC PC"on and has the detailed knowledge in protected acuvntes whether they requirements.

,pecific operauons and the have raised concems to their employen The Commission recognues that the

1. '(rces to deal promptiv and

~

or to the NRC.wiu not be tolerated if acuens discussed in this policy d'

vely with concems raued by adverse action ts found to have occurred statement will not necessarily insulate vees. This is another reason why because the employee raised a concem an employee from retallation, not wiu mmission expecu ucensees to to either the NRC or the beensee, civil they remove au personal cost should the

1. 'alish an envtronment in which and enmmal enforcement action may be employee seek a personal remedy.

invees feel free to raue concerns to taken agamst the heensee and the However, these measures. if adopted by heensees themselves.

h' hmployers have a vanery of means to licensees. should improve the d n environment for raising concems.

opress their expectauorn that gplove=s raise concerns to them. such Sumrnary Dated ai Rockville. Marytarid. this sta day as employment contracts. employers The Commission expects that NRC oNay.1996.

i policies and procedums. and certain licensees will estabitsn safery-conscious For the Nuclear Regulatory Commissson.

NRC requirements. In fact. many environments in which employees of John C. Hoyle.

employees in the nuclear mdustry have licensees and licensee contractors are 5,crwary o/ene Commusmn been specifically hired to fulflu NRC free. and feel free. to ratse concerns to (FR Doc. 96-12028 Filed 5-13-96 8 45 amt requirements that licensees identify their management and to the NRC

. goc, w ceficiencies. violauons and safety without fear of retahauci issues. Examples of these include many Licensees must ensure that employees w ho conduct survettlance.

employment actions against employees quahry assurance, radtauon protection.

who have raised concerns have a weU-snd security activities. In addition to founded, non-disentninatory basis.

mdividuals who spectftcally perform When allegauons of discriminadon arise funcuens to meet morutoring in licensee, contractor. or subcontractor requirements. the Comfrussion organizauons. the Commission expects encourages all employees to rane that semor licensee management wt!J concems to liceruces Lf they identify assure that the appropnate level of safety issue.s' so that Ucensees can management Ls involved to review the address them before an event with part2cular facts, evaluate or reconsider the acuon. and, where warranted, safety consequences occurs, remedy the matter.

Employees also have a role in

. ine espectauon it.s empey es provtds saMy ano compnance concerns se incensees u nos contributing to a safety-conscious sopiicanie io concerns of passanne wronecoms #7 envtronment. Although employees are NRC emptowes or NRC contractort Sven conemns free to come to the NRC at any time. the In $ i N, N o"nN"ns n Commission expects : hat employees e

or sown in NaC opersuons or NaC progrania will normally raise concems with the mcivoice mananen assmai a omon for remns involved licensee bec.tuse the licertsee wcn uswes snowto tw reponeo oirveuy to me NaC has the pnmary respoqstblury for safety gmee of tre irupeciar General N insoectar and is normally in the best postuon to oenerat ioil-free ncutine is 500-233 4 497 Escept for the reponine of defects under 10 CFR Pan 31 and in ine eres of rootoActicaJ wortirs

• N Convenasion truenas to preeect tre scknary conditions the Commsuion has noi codined mas of iedmduaAs who coins to trw NRC to trw psaeur engectation L.certsees are reoverTd oy 10 CFR 69 52 estent possihte See Staiement of Poitev on to train censin empiovees in ineer responasottsfy to Protecting the idenury of ADegefs and Conndenual

.aise assves relatec to radianon talety Sources

._. _. _. ~. _._.-.

-4 Chules Jensen.

it are reqcested to respond to our concerns about your actions within 30 days

.' cacA rt af this letter.

If you would prefer to meet with us, please

. Aact Jean Lee, Allegations Coordinator for the NRC Office of Nuclear Racter Regulation, at (800) 368-5642 to schedule a meeting.

Your response.

6vald discuss the efforts that Diversified Technologies has made and will cha.inue to make to ensure that its workers are aware of their right to bring c:lacern.o to their management or to the NRC, and the steps that Diversified T+:hnologies' has taken to ensure that management understands the NRC's expectation in establishing a safety-conscious work environment.

N nccordance with 10 CFR 2.790 of the NRC's " Rules of Practice," a copy of als letter and its enclosure will be placed in the NRC Public Document Room.

Sincerely, Original signed by:

Seymour Weiss for:

Marylee M. Slosson, Acting Director Division of Reactor Program Management Office of Nuclear Reactor Regulation

Enclosures:

As Stated DISTRIBUTION CentraltFiles?

PUBLIC CMiller OGC I

MStein REmch JLee i

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.JLee MSlosson DATE 05/15/97 05/21/97 5/27/97