ML20149F073
| ML20149F073 | |
| Person / Time | |
|---|---|
| Site: | Crane  |
| Issue date: | 07/31/1984 |
| From: | Axelrad J NRC OFFICE OF INSPECTION & ENFORCEMENT (IE) |
| To: | Hayes B, Levi R, Lieberman J NRC OFFICE OF INVESTIGATIONS (OI), NRC OFFICE OF THE EXECUTIVE LEGAL DIRECTOR (OELD), NRC OFFICE OF THE GENERAL COUNSEL (OGC) |
| Shared Package | |
| ML20149B504 | List: |
| References | |
| FOIA-87-803 NUDOCS 8801140115 | |
| Download: ML20149F073 (17) | |
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JUL 31 ss4 NOTE T0:
Jim Lieberman, OELD Rick Levi, OGC Ben Hayes, 01 George Messenger, OIA Jane A. Axelrad, DirectoM' b FROM:
Enforcement Staff, IE Several weeks ago Tom Rehm called a meeting to discuss the OIA review of the agency's handling of the Parks' allegations of discrimination at THI-2. At the meeting, a three-part approach to the problem was suggested.. NRC Form 3 would be used to advise licensees, licensee employees, and the public of the NRC's responsibilities regarding allegations of discrimination.
A memorandum from Dircks to all employees would be used to advise NRC employees of the need for sensitivity is handling allegations of discrimination.
Finally, the procedures for handling allegations of discrimination would be revised and placed in an NRC Manual Chapter.
Form 3 has been approved and is being printed.
The enclosed Federal Register Notice will advise the public that it has been revised.
Also enclosed is a letter to licensees, permittees, applicants, and vendors which will transmit copies of the revised Form 3.
I have prepared a draft memorandum to employees for Mr. Dircks' signature and have revised the procedures for handling of allegations of discrimination.
I believe that it would be more appropriate for these procedures to be placed in the NRC Manual Chapter 0517 "Management of Allegations," instead of in IE Manual Chapter 0400 as was originally planned. MC 0400 deals strictly with enforcement and this issue goes beyond enforcement. Accordingly, the procedures have been developed with that in mind, please provide your coments or concurrence to Don Grimsley by COB August 10.
Don is on a detail to enforcement and is handling this matter for me.
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l Tom Rehm l
l cnclosures:
1.
Draft Memorandum to.. Employees l
2.
Draft Federal Reg'ister Notice 3.
Draft Letter to NRC Licensees, Permittees, Applicants, and Vendors 4.
Draft Employee Protection Insert to MC 0517 8801140115 880111
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f40TE RE DISCRIM Requestor's 10:
BETTY Author's Name:
jane axelrad Document Coments:
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ENCLOSURE 1 4
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NUCLEAR REGULATORY COMMISSION 7.-
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NEMORANDUM FOR: ALL EMPLOYEES FROM:
William J. Dircks Executive Director for Operations
SUBJECT:
CLfd.rICATION OF PROCEDURES FOR ADDRESSING Ai. LEGATIONS OF HARASSMENT, INTIMIDATION OR DISCRIMINATION BY LICENSEES AND APPLICANTS OR THEIR CONTRACTORS OR SUBCONTRACTORS A licensee or applicant, or a contractor or subcontractor of a NRC licensee or applicant, is prohibited by Section 210 of the Energy Reorganization Act of 1974 from discriminating against any employee with respect to his or her compensation, tenns, conditions or privileges of employment because the employee assisted or participated, or is about to assist or participate in any manner, to carry out the purposes of either the Energy Reorganization Act or the Atomic Energy Act of 1954, as amended.
Discrimination has been interpreted broadly by the courts and may include acts of the employer resulting from an employee reporting non-conformances, raising safety concerns to the employer or to the NRC, or testifying in NRC hearings or otherwise assisting the NRC in identifying violations of requirements.
Both the NRC and the Department of Labor (DOL) have complimentary responsibilities under Section 210 in the area of employee protection.
DOL has the responsibility to investigate employee complaints of discrimination and may, after an investigation and hearing, order an employer to take affinnative action to abate the violation, reinstate the employee to his or her former position with backpay, and award compensatory damages, including attorney fees.
The NRC is concerned about discrimination because of the potential chilling effect it may have on the willingness of employees to raise safety issues or identify non-conforming conditions. The NRC has independent authority to take appropriate enforcement action against Comission licensees that violate Section 210 of the Energy Reorganization Act, the Atomic Energy Act, or Comission requirements.
The Connission's regulations contain provisions which prohibit discrimination... See 10 CFR Part 19, and 10 CFR 30.7, 40.7. 50.7 and 70.7.
The NRC will conduct inspections or investigations of allegations of discriminatory acts which may have resulted in violations of the NRC's statutes or regulations. To minimize duplication of effort, the NRC may wait to review the results of any DOL investigation and hearing before initiating an inspection or investigation but will not do so if significant safety concerns are raised by the allegation.
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All Employees 2
You should be sensitive to the NRC's responsibilities in this area and make sure that those who bring discrimination complaints to your attention understand that the NRC is concerned about their complaints.
You should assure them that, even though we have to refer them to 00L to protect their personal employee rights, the NRC will closely follow 00L actions and will take action against their employer, if appropriate.
To assure that complaints of discrimination by NRC licensees, applicants or their contractors are addressed properly, the following procedures should be followed:
1.
If an employee of a licensee or applicant or a contractor or subcontractor of a licensee or applicant brings to your attention an allegation that he or she has been harassed, intimidated, fired or otherwise discriminated against because of raising safety concerns to the employer or to the NRC, you should inform the alleger that:
a) the NRC will look into the discrimination complaint and any safety concerns raised by the alleger, and that appropriate enforcement actions will be taken against their employer if the allegation is substantiated; and b) the NRC does not have authority to order backpay, reinstatement or compensatory damages and, therefore, to protect his or her personal employee rights, e.g., backpay, reinstatement, or job position, the alleger must file a complaint with 00L within 30 days of the occurrence of the discrimination.
The complaint must describe the firing or discrimination.
2.
You should promptly transmit a report of the allegation of discrimination to your Regional Administrator or Office Director.
3.
After you report the allegation to upper-level management, you should treat the allegation of discrimination the same as other allegations.
An NRC Form 307, Allegation Data Form, should be completed. A copy should be sent to your Region or Office Allegation Coordinator, who in turn will initiate the review of the allegation and transmit a copy to NRR for placement into the Allegation Tracking System.
These procedures will be incorporated into draft NRC Fbnual Chapter 0517, Appendix 1 which is being prepared.
William J. Dircks Executive Director for Operations r,
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LICENSEE AND APPLICANT MEMO fequestor's 10:
DIANA Author's Name:
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NUCLEAR REGULATORY COMMISSION REVISED NRC FORM 3, NOTICE TO EMPLOYEES Standards for Protection Against Radiation (Part 20); Notices, Instructions and Reports to Workers (Part 19); Employee Prctection; Availability The Nuclear Regulatory Commission (NRC) has published a revised NRC Form 3,.
"Notice to Employees."
10 CFR 19.11(c) requires posting of NRC Form 3 by employers who are NRC licensees, permittees, and applicants.
The Notice describes the responsibilities of the employer, employee, the NRC, and the Department of Labor (DOL) regarding matters of public health and safety and employee discrimination.
The Notice identifies when, where, and who to contact in the NRC and 00L regarding safety concerns and employee discrimination.
The revised NRC Form 3 is written in the form of simple questions and answers which paraphrase relevant statutes and regulations.
The purpose of this change in fonnat is to make the form more readable and understandable.
The various protections and prohibitions are described in a straightforward, general way. The NRC believes the revised Form 3 will help employees to clearly understand their responsibilities and the steps they may take to bring safety concerns and employee discrimination complaints to the attention of NRC and D0L, Free copies of the revised Fonn 3 may be requested by members of the public, NRC licensees, pennittees and applicants, their contractors or sub-contractors, and vendors, by writing the Publication Services Section, Document Management Branch, Division of Technical Information and Document Control, U.S. Nuclear Regulatory Commission, Washington, D.C. 20555.
Dated at Washington, DC, this day of
, 1984.
For the Nuclear Regulatory Comission Richard C. DeYoung, Director Office of Inspection and Enforcement
Document Nare:
FORM 3 AVAILABILITY Requestor's ID:
BETTY Author's Name:
grimsley Document Cormients:
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e ENCLOSURE 3 4
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NRC Licensees, Permittees, Applicants and Their Vendors Please find enclosed a revised NRC Fom 3 "Notice to Employees", which is required by 10 CFR 19.11(c) to be posted by each NRC licensee, pemittee, and applicant. NRC licensees, permittees, and applicants should have the NRC Fom 3 posted in those areas utilized by their employees and contractors and subcontractors.
In addition, the NRC Fom 3 should be posted on the premises of vendors who supply safety-related components or services to NRC licensees, pemittees, or applicants.
The revised Fom 3 should be promptly posted at locations that will sufficiently pemit employees to observe a copy on the way to or from their place of work.
Fom 3 should remain posted while the application for a permit or license is pending, during the tem of the pennit or license, and for 30 days after termination of the license.
Revised Form 3 is written in the fom of simple questions and answers which paraphrase relevant statutes and regulations. The purpose of this change in fonnat is to make the form more readable and understar.dable.
The various protections and prohibitions are described in a straightforward, general way.
The NRC believes that the revised Form 3 will help employees of its licensees, permittees, applicants, and of their contractors, subcontractors, and vendors, to clearly understand their responsibilities and rights, and those of the NRC and the Department of Labor, on matters related to public health and safety and employee protection from discrimination.
Richard C. DeYoung, Director Office of Inspection and Enforcement k
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Document Name:
FORM 3 TO LICENSEES Requestor's 10:
BETTY Author's Name:
donnie Document Comments:
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INSERT TO MC 0517 G $L /
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Employee Protection Cases 1.
If the NRC receives a complaint concerning a possible violation of Section 210(a) of the Energy Reorganization Act, it will refer the complainant to 00L and will promptly notify (00L) to ensure that 00L is aware of the complaint and to deter-mine if 00L is investigating the incident.
The NRC will not normally initiate an investigation of a complaint if 00L is conducting, or has completed an investigation, and found no violations.
(If 00L concludes that a violation occurred, NRC may initiate an investigation where necessary to develop additional information for its enforce-ment action).
00L will notify the NRC of the decision of the Administrator, Wage and Hour Division, at the conclusion of the investigation and of the results of the Secretary of Labor's review of that decision.
2.
If 00L receives a complaint concerning a possible violation of Section 210(a),
it will Rromptly notify the NRC and inform the NRC of whether 00L intends to conduct an investigation into the matter.
If 00L does not intend to conduct an investigation, the NRC will consider whether to initiate its own investigation.
3.
The NRC will facilitate 00L's investigations by taking all reasonable steps to assist 00L in obtaining access to licensed facilities and any necessary security clearances.
4.
Each agency shall designate, and maintain as
- current, points of contact within its head-quarters and regional offices for purposes of implementation of the MOU.
Matters affecting program and policy issues will be handled by the headquarters offices of the agencies.
5.
COL's enforcement actions are primarily directed at restoring benefits or employment status unfairly denied an employee.
If 00L finds that no violations of Section 210(a) occurred, NRC normally will not initiate enforcement action.
If, however, 00L finds that a violation has occurred, the NRC may take enforcement action, including issuance of a Notice of Violatten, imposition of civil penalties,,or issuance of orders suspending, modifying, or revoking Ilcenses, but will normally consider the effect of the action taken by 00L before deciding on its action.
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6.
The regional offices of each agency will nonsally develop the initial reconnendations on enforcement action for their agency and will forward them to headquarters for review.
Each organizational element (regional office and headquarters) will consult with the appropriate level of the other.
agency in processing enforcement actions.
7.
The Enforcement Coordinators in thw. Regional Offices and the Director, Enforcement Staff, IE are the NRC points of contact on violations of these requirements, As
- such, it is their responsibility to ensure that these actions are carried out.
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UNITED STATES k..... /
NOCLEAR REGULATORY COMMISSION ANNOUNCEMENT NO. 85 DATE: September 10, 1984 TO:
ALL EMPLOYEES SUBJECT.
CLARIFICATION OF PROCEDURES FOR ADDRESSING ALLEGATIONS OF HARASSFENT, INTIMIDATION OR OTHER FORMS OF DISCRIMINATION BY LICFNSEES AND APPLICANTS OR THEIR CONTRACTORS Ok SUBCONTRACTORS A licensee or applicant, or a contractor or v;bcontractor of a NRC licensee or applicant, is prcHbited by Section 210 of the Energy Reorganization Act of 1974 from discrimnating against any employee with respect to his or her compensation, terms, conditions or privileges of eroployment because the employee assisted or participated, or is about to assist or participate, in any manner, to carry out the purposes of either the Energy Reorganization Act or the Atomic Energy Act of 1954, as amended. Discrimination has been interpreted broadly by the courts and may include acts of the employer resulting from an employee reporting non-conformances, raising safety concerns to the employer or to the NRC, or testifying in NRC hearings or otherwise assisting the NRC in identifying violations of requirement,s.
Both the NRC and the Departrc,ent of Labor (DOL) have complementary responsibilities under Section 210 in the area of employee protection. DOL has the responsibility to investigate employee complaints of discrimination and may, after an inve:tigation and hearing, order an employer to take affirmative action to abate the violation, ieinstate the employee to his or her former position with backpay, and eward compensatory damages, including attorney fees.
The NRC is concerned about discrimination beci;use of the potential chilling effect it may have or, the willingness of employees to
-ise safety issues or identify non-conformi.19 conditions. The NRC has independent authority to take appropriate enforcement ac N ' against Commission licensees that violate Section 210 of the Energy Reorga.. ation Act, the Atomic Energy Act, or Comission requirements. The Comission's regulations co.itain prosisions which prohibit discrimination.
See 10 CFR Part 19, and 10 CFR 30.7, 40.7-50.7 and 70.7. The Office of Investigations (01) is authorized to investigate allegations of discriminatory acts which may have resulted in violations of NRC statutes or regulations.
01, in determining whether to conduct an investigation, may wait until any DOL investigation is cumpleted or may initiate an. investigation immediately if warranted, ncva,non
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i You should be sensitive to the NRC's responsibilities in this area and make sure that thos,s who bring discrimination complaints to your attention understand that the. NRC is concerned about their complaints. You should assure them that r.ven though they must go to DOL to protect their personal employee rights, the NRC will closely follow 00L actions and will take action against their employer, if appropriate.
To assure that complaints of discrimination by employees of NRC licensees, applicants or their contracte,rs are addressed properly, the following procedures should be followed:
1, If en employee of a licensee ar applicant or a ccntractor or subcontractor of a licensee or applicant brings to your attention an allegation that he or she has been harassed, irtimidated, fired or otherwise discriminated against because of raising safety concerns to the employer or to the NRC, you should inform the alleger that:
a) the NRC will evaluate the discrimination complaint and any safety concerns raised by the elleger, and may investigate and take appropriate enforcement actions against their employer if the allegation is substantiated; and b) the NRC does not have au*hority to order backpay, reinstatement or compensatory damages; therefore, to protect his or her personal employee right=, e.g., backpar, reinstatement, or job position, the alleger must file a complaint with DOL within 30 days of the occurrence of the discrirination. The complaint must be filed with the Office of the Administrator, Wage and Hour Division, Employment Standards Administration, U.S. Department of Labor, Rcom 52502, 200 Constitution Avenue, N.W., Washington, D.C. 20210. The complaint must describe the firing or discrimination.
2.
You should promptly transmit a report of the allegation of discrimination through your management to your Regional Administrator or Office Director.
3.
After you report the allegation to your management, you should treat the allegation of discrimination the same as other allegations.
t An NRC Form 307, Allegation Datt. Form, should be completed. A copy should be sent to your Region or Office AllegaF. ion Coordinator who will initiate the review of the allegation and transmit a copy to NRR for placement into the Allegatior. Tracking System.
These procedures will be incorporated into draft NRC Manual Chapter 0517 l
which is being prepared.
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G r.,
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ircks l
Executive Director for Operations l
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