ML23153A018

PR-019, 030, ET Al. - 58FR33042 - Whistleblower Protection for Nuclear Power Plant Employees

ML23153A018
Person / Time
Issue date:	06/15/1993
From:	Taylor J NRC/EDO
To:
References
PR-019, PR-030, 58FR33042
Download: ML23153A018 (1)

Text

ADAMS Template: SECY-067 DOCUMENT DATE: 06/15/1993 TITLE: PR-019, 030, ET.AL. - 58FR33042 - WHISTLEBLOWER PROTECTION FOR NUCLEAR POWER PLANT EMPLOYEES CASE

REFERENCE:

PR-019, 030, ET.AL.

58FR33042 KEYWORD: RULEMAKING COMMENTS Document Sensitivity: Non-sensitive - SUNSI Review Complete

STATUS OF RULEMAKING PROPOSED RULE: PR-019, 030, ET.AL. OPEN ITEM (Y/N) N RULE NAME: WBISTLEBLOWER PROTECTION FOR NUCLEAR POWER PLANT EMPLOYEES PROPOSED RULB FED REG CITE: 58FR33042 PROPOSED RULB PUBLICATION DATE: 06/15/93 NUMBER OP COMMENTS: 4 ORIGINAL DATE FOR COMMENTS: 07/15/93 EXTENSION DATE: I I PINAL RULE PED. REG. CITE: 58FR52406 PINAL RULE PUBLICATION DATE: 10/08/93 NOTES ON PROPOSED AND FINAL RULE SIGNED BY EDO. PILE LOCATED ON Pl.

TATUS P RULE TO FIND THE STAPF CONTACT OR VIEW THE RULEMAKING HISTORY PRESS PAGE DOWN KEY HISTORY OP THE RULE PART AFFECTED: PR-019, 030, ET.AL.

RULE TITLE: WHIS'l'LEBLOWER PROTECTION FOR NUCLEAR POWER PLANT EMPLOYEES ROPOSED RULE PROPOSED RULE DATE PROPOSED RULE SECY PAPER: SRM DATE: I I SIGNED BY SECRETARY: 06/04/93 PINAL RULE PINAL RULE DATE PINAL RULE SECY PAPER: SRM DATE: I I SIGNED BY SECRETARY: 09/24/93 STAPF CONTACTS ON THE RULE CONTACTl: JAMES LIEBERMAN MAIL STOP: 7H5 PHONE: 504-2741 CONTACT2: MAIL STOP: PHONE:

DOCKET NO. PR-019, 030, ET.AL.

{58FR33042)

In the Matter of WHISTLEBLOWER PROTECTION FOR NUCLEAR POWER PLANT EMPLOYEES DATE DATE OF TITLE OR DOCKETED DOCUMENT DESCRIPTION OF DOCUMENT

- 06/11/93 07/15/93 07/16/93 06/04/93 07/12/93 07/15/93 FEDERAL REGISTER NOTICE - PROPOSED RULE COMMENT OF UPGWA (MR. LOUIS R. SCOHY) (

COMMENT OF NUMARC {MR. ROBERT W. BISHOP) {

1) 2)

07/19/93 07/15/93 COMMENT OF COMMONWEALTH ED, DUKE POWER, RGEC& NEUT!

{NICHOLAS S. REYNOLDS, ET AL) { 3) 08/02/93 07/29/93 COMMENT OF VIRGINIA POWER {M. L. BOWLING) ( 4) 10/06/93 09/24/93 FEDERAL REGISTER NOTICE FOR FINAL RULE, PUBLISHED ON 10/8/93 AT 58 FR 52406.

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• 1

') Ni'C (7590-01-P]

NUCLEAR REGULATORY COMMISSION

• 93 oc~ -6 P s :07 10 CFR Parts 19, 30, 40, 50, 60, 61, 70, 72, and 150 RIN 3150-AE50 Whistleblower Protection for Employees of NRC-Licensed Activities AGENCY: Nuclear Regulatory Commission.

ACTION: Final rule.

SUMMARY

The Nuclear Regu l atory Commission (NRC) is amending its

- regulations regarding the protection of employees who provide information to the NRC or their employers concerning safety issues. The amendments are intended to conform current NRC regulations to the new nuclear whistleblower protection provisions of the Energy Policy Act of 1992, which was enacted on October 24, 1992.

EFFECTIVE DATE: {30 days after publication)

FOR FURTHER INFORMATION CONTACT: James Lieberman, Office of Enforcement, U. s. Nuclear Regulatory Commission, Washington, DC 20555, Telephone: 301-504-2741 SUPPLEMENTARY INFORMATION:

I. Background II. summary of Proposed Rule III. Public comments and the Commission's Response IV. Environmental Impact: Categorical Exclusion V. Paperwork Reduction Act Statement

l 2

VI. Regulatory Analysis VII. Regulatory Flexibility Certification VIII. Backfit Analysis I. Background On October 24, 1992, the President signed into law the Energy Policy Act of 1992. Section 2902, "Employee Protection for Nuclear Whistleblowers," includes provisions amending

- Section 210 of the Energy Reorganization Act (ERA) of 1974, as amended. The changes pertinent to this rulemaking include the following:

(1) Because the ERA contained two Sections 210, the legislation renumbered the whistleblower protection provisions as Section 211.

(2) The new legislation extends the period in which a whistleblower complaint may be filed with the Department of Labor (DOL) from 30 days to 180 days.

(3) The new legislation extends and/or clarifies protection to new classes of employees and employers to include:

(a) employees who bring or are about to bring concerns directly to their employers; (b) employees who haven.refused to engage in" an unlawful practice, provided that the employee has identified the illegality to the employer; (c) employees who have testified,

7 3

or are about to testify, before Congress or in any Federal or State proceeding regarding any provision (or proposed provision) of the ERA or the Atomic Energy Act (AEA).

As a result of these legislative changes, the NRC concluded that its regulations in 10 CFR Parts 19, 30, 40, 50, 60, 61, 70~

72, and 150 should be updated to conform to the new legislation.

Accordingly, on June 15, 1993 (58 FR 33042), the Commission published in the Federal Register proposed changes to these Parts to reflect the changes in the whistleblower protection provisions brought about by the Eri~rgy Policy Act of 1992.

II. Summary of Proposed Rules currently, 10 CFR 19.ll(c) requires that the June 1982 version or later revision of the NRC Form 3, "Notice to

- Employees ,II be posted. This section is being changed to ensure that the most recent version of NRC Form 3 is posted. The language is modified so that the date of publication for NRC Form 3 is inserted in the revision to 10 CFR Part 19. In the future, if NRC Form 3 is changed, 10 CFR Part 19 will also be changed.

With *this rulemaking, 10 CFR Part 1~ is revised to specify NRC Form 3 (6/93). The revised NRC Form 3, in addition to addressing the 180-day time period that employees have to file a complaint with the Department of Labor, describes protection for employees who: (1) bring safety complaints to their employers; (2) refuse

4 to engage in an unlawful practice~ provided that the employee has identified the illegality to the emp*loyer; and (3) have testified or are about to testify before Congress or in any Federal or State proceeding regarding any provision (or proposed provision) of the ERA or the AEA. The June 1993. version.of Form 3 was distributed in July 1993. Additional copies are available as specified in-10 CFR 19.11. In addition, 10 CFR Parts 30, 40 and 70 are modified to require posting of NRC Form 3 by general

- licensees subject to 10 CFR Part 19.

Section 211 requires that the provisions of that section be posted. The Department of Labor (DOL) is implementing procedures to require all employers to post the provisions of Sectio~ 211.

Accordingly, given that the DOL action will require posting by a class of employers that includes all NRC licensees, the NRC is not separately requiring the posting of the provisions. However,

- NRC licensees will be subject to the DOL rule implementing the posting provision of Section 211 and will also be required by this rule to post NRC Form 3 which summarizes protected activities, defines discrimination, and explains how to file a complaint with the DOL.

In 10 CFR 30.7, 40.7, 50.7, 60.9, 61.9, 70.7, 72.10, and 150.20, the following changes were proposed to reflect the new legislation:

M_ _l,,

5 (1) The applicable Section 210 is renumbered as Section 211.

(2) The definition of protected activities is modified to reflect the provisions of the Energy Policy Act of 1992.

(3) The period in which a complaint can be filed with DOL is changed from 30 days to 180 days.

(4) References in certain sections of the-regulations to "compensation, terms, conditions, and privileges of employment" are being changed to "compensation, terms, conditions, or privileges of employment." This change is necessary to correct earlier language to conform to -

the language in the ERA of 1974, as amended.

(5) The exemption in§§ 30.7, 40.7, and 70.7, formally exempting general licensees from the requirement to post NRC Form 3, is being deleted because some general

- licensees are subject to Part 19.

(6) The Part 150 NRC general license, recognizing Agreement S~ate licenses, would be amended to conform to the changes to§§ 30.7, 40.7, and 70.7.

(6) Each applicable regulation would be amended to provide that licensees and applicants are expected to notify their contractors of the prohibition against discrimination for engaging in protected activities.

As provided in 10 CFR 30.7(c), 40.7(c), 50.7(c), 60.9(c),

61.9(c), 70.7(c), and 72.lO(c) of these regulations, licensees

6 and applicants may be subject to enforcement action for discrimination caused by their contractors or subcontractors.

III. Public Comments and the Commission's Respon_se The June 15, 1993 proposed rule result~d in the receipt of comments from the Nuclear Management and Resources Council (NUMARC), the International Union, United Plant Guard Workers of

- America (UPGWA), and the law firm of Winston & Strawn who commented on behalf of four nuclear utilities. (Copies of the three comment letters are available for inspection in the NRC Public Document Room, 2120 L street, NW (Lower Level) Washington, DC).

Two of the comments were similar in nature. NUMARC commented that the NRC's rule changes appear to meet the Commission's intent to conform the regulations to the new

- statutory requirements. The UPGWA indicated that it enthusiastically supports the rule changes and hopes that the rules will be vigorously and strictly enforced. Both commenters were generally supportive of the proposed rule and provided no comments on specific provisions.

On the other hand, Winston & Strawn, while recognizing that most of the proposed changes are required by the Energy Policy Act of 1992, focused on the proposal in 10 CFR 50.7(e) and the related enforcement provision in§ 50.7(c). In ~articular, the

7 proposed rulemaking would add a subsection in each applicable section, e.g. 50.7(e) (2), that stated NRC's expectation that all licensees will notify their contractors of the prohibition against discrimination for engaging in protected activities.

Winston & Strawn commented that there is no need for this provision since, in its view, the existing regulatory framework provides ample incentives for licensees to notify their contractors of the prohibitions on discrimination. Winston &

Strawn's basic concern, however, is that these proposed subsections do not specify in any detail the licensee's contractor notification iequirements and yet the NRC may seek to take enforcement action against a licensee for violations of the notification provision.

• It should be noted that the NRC continues to find instances of contractor discrimination which indicate that there is a 9 continuing need for licensees to work with their _contractors to eliminate discrimination. A basic need in.this area is for contractors to be* fully apprised of t&eir res~onsibilities and the prohibition on discrimination. The intent of these subsections was to prompt licensees to take whatever actions they believe to be.necessary to ensure that their contractors are informed of the prohibitions against discrimina~ion, not to impose rigid or prescriptive requirements as to how, when or how often licensees are to notify their contractors of the prohibitions.

8 The proposed notification requirement was not expressed in mandatory language, rather the language used provided NRC's expectation. This may*make enforcement difficult. Therefore, rather than emba~k *on a new rulemaking at this time to provide more specificity, the language will be deleted. However, the NRC continues to believe that it is in the interest of the public health and safety that each licensee take sufficient steps to assure that its contractors are aware of the. prohibitions-against discrimination. The need for rulemaking on this notification matter may be revisited following the completion of the staff's report to the Commission on its reassessment of the NRC program for protecting allegers against retaliation. 58 FR 41108 (August 2, 1993). The NRC emphasizes, however, regardle-s of whether a notification provision is specified in the regulations, licensees will be subject to enforcement actions for discrimination caused by their contractors.

IV. Environmental Impact: Categorical Exclusion The NRC has determined that this final rule is the type of action described in categorical exclusion 10 CFR 51.22(c) (2).

Therefore, neither an environmental impact statement nor an environmental assessment has been prepared for the final rule.

v. Paperwork Reduction Act Statement

9 The final rule does not contain new or amended information collection requirements subject to the Paperwork Reduction Act of 1980 (44 u.s.c. 3501 et seq.). Existing requirements were approved by the Office of Management and Budget, approval numbers 3150~0044, -0017, -0020, -0011, -0127, -0135, -0009, -0132, and 0032.

VI. Regulatory Analysis The Commission finds that there is no alternative to amending the regulations because most of the amendments are statutorily mandated as required by the Energy Policy Act of 1992. The final rule is intended to conform the Commission's

• regulations to the nuclear whistleblower provisions of the Energy Policy Act of 1992. The final rule extends and clarifies protection to new classes of employees and employers and extends the period in which an employee may file a whistleblower complaint. The foregoing constitutes the regulatory analysis for the final rule.

VII. Regulatory Flexibility Certification As required by the Regulatory Flexibility Act of 1980 (5 u.s.c. 605(b)), the Commission certifies that this rule does not have a significant economic impact on a substantial number of small entities. The final rule conforms the Commission's

10 regulations to the nuclear whistleblower provisions of the Energy Policy Act of 1992.

11 VIII. Backfit Analysis The Nuclear Regulatory Commission has determined that the I

backfit rule, 10 CFR 50.109, does not apply to the final rule and that a backfit analysis is not required for the final rule because these amendments are required by law and/or do not involve any provisions which would impose backfits as defined in 10 CFR 50.109(a) (1)'.

List of Subjects 10 CFR Part 19 - Criminal penalties, Environmental protection, Nuclear materials, Nuclear power plants and reactors, Occupational safety and health, Radiation protection, Reporting and recordkeeping requirements, Sex discrimination.

10 CFR Part 30 - Byproduct material, Criminal penalties, Government contracts, Intergovernmental relations, Isotopes, Nuclear materials, Radiation prote6tion, Reporting and recordkeeping requirements.

10 CFR Part 40 - Criminal penalties, Government contracts, Hazardous materials transportation, Nuclear materials, Reporting and recordkeeping requirements, Source material, Uranium.

12 10 CFR Part 50 - Antitrust, *classified information, Criminal penalties, Fire protection, Intergovernmental relations, Nuclear power plants and reactors, Radiation protection, Reactor siting criteria, Reporting and recordkeeping requirements.

10 CFR Part 60 - Criminal penalties, .High-level ~aste, Nuclear power plants and reactors, Nuclear materials, Reporting and recordk,eeping requirements, Waste treatment anct disposal.

10 CFR Part 61 - criminal penalties, Low-level waste, Nuclear materials, Reporting and recordkeeping requirements, Waste treatment and disposal.

10 CFR Part 70 - Criminal penalties, Hazardous materials -

transportation, Material control and accounting, Nuclear materials, Packing and containers, Radiation protection,

• Reporting and recordkeeping requirements, Scientific equipment, Security measures, Special .nuclear material.

10 CFR Part 72 - Manpower training programs, Nuclear materials, Occupational safety and health, Reporting and recordkeep:i.ng requirements, Security measures, Spent fuel.

10 CFR Part 150 - Criminal penalties, Hazardous materials -

transportation, Intergovernmental relations, Nuclear materials,

13 Reporting and recordkeeping requirements, Security measures, Source material, Special nuclear material.

For the reasons set out in the preamble and under the authority of the Atomic Energy Act of 1954, as amended, the Energy Reorganization Act of 1974, as amended, and 5 u.s.c. 552 and 553, the NRC is proposing to adopt the following amendments to 10 CFR Parts 19, 30, 40, 50, 60, 61, 70, 72, and 150.

I PART 19 - NOTICES, INSTRUCTIONS, AND REPORTS TO WORKERS:

INSPECTION AND INVESTIGATIONS

1. The authority citation for Part 19 is revised to read as follows:

AUTHORITY: Secs. 53, 63, 81, 103, 104, 161, 186, 68 Stat.

930, 933, 935, 936, 937, 948, 955, as amended, sec. 234, 83 Stat.

444, as amended (42 u.s.c. 2073, 2093, 2111, 2i33, 2134~ 2201, 2236, 2282); sec. 201, 88 Stat. 1242, as amended {42 U.S.C.

5841). Pub. L.95-601, sec. 10, 92 Stat. 2951 as amended by Pub. L. 102-486, sec. 2902, 106 Stat. 3123, (42 u.s.c. 5851)

2. In§ 19.11, paragraph (c) is revised to read as follows:

§ 19.11 Posting of notices to workers.

14 (c) Each licensee and each applicant for a specific license shall prominently post NRC Form 3, (Revision dated June 1993),

"Notice to Employees."

Note - Copies of NRC Form 3 may be obtained by writing to the Regional Administrator of the appropriate U.S. Nuclear Regulatory Commission Regional

,- Office listed in Appendix D to Part 20 of this chapter or by contacting the NRC Information and Records Management Branch ~telephone no. 301-492-8138).

PART 30 - RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL

3. The authority citation for Part 30 is revised to read as follows:

AUTHORITY: Secs. 81, 82, 161, 182, 183, 186, 68 Stat. 935, 948, 953, 954, 955, as amended, sec. 234, 83, stat. 444, as amended (42 U.S.C. 2111, 2112, 2201, 2232, 2233, 2236, 2282);

secs. 201 as amended, 202, 206, 88 Stat. 1242, as amended, 1244, 1246 (42 u.s.c. 5841, 5842, 5846).

Section 30.7 also issued under Pub. L.95-601, sec. 10, 92 Stat. 2951 as amended by Pub. L. 102-486, sec. 2902, 106 stat.

3123, (42 u.s.c. 5851). Section 30.34(b) also issued under sec.

15 184, 68 Stat. 954, as amended (42 u.s.c. 2234). Section 30.61 also issued under sec. 187, 68 Stat. 955 (42 u.s.c. 2237).

4. Section 30.7 is revised to read as follows:

§ 30.7 Employee protection.

(a) Discrimination by a Commission licensee, an applicant for a Commission license, or a contractor or subcontractor of a Commission licensee or applicant against an employee for *engaging in certain/protected activities is prohibited. Discrimination includes discharge and other actions that relate to compensation, terms, conditions, or privileges of employment. The protected activities are established in section 211 of the Energy Reorganiiation Act of 1974, as amended, and in general are related to the administration o'r enforcement of.a requirement

- imposed under the Atomic Energy Act or the Energy. Reorganization Act.

(1) The protected activities include but are not limited to:

(i) Providing the Commission or his or her employer information about alleged violations of either.of the above statutes or possible violations of requirements imposed under

/

either of the above statutes;

16 (ii) Refusing to engage in any practice made unlawful under either of.the above statutes or under these requirements if the employee has identified the alleged illegality to the employer; (iii) Requesting the Commission *to institute action against his or her employer for the administration or enforcement of these requirements; (iv) Testifying in any Commission proceeding, or before Congress, or at any Federal or State proceeding regarding any provision (or proposed provision) of either of the above statutes.

(v) Assisting or participating in, or is about to assist or participat~ in, these activities.

(2) These activities are protected even if no formal proceeding is actually initiated as a result of the employee assistance or participation.

• {3) This section has,no application to any employee alleging discrimination prohibited by this section who, acting without direction from his or her employer (or the employer's agent),

deliberately causes a violation of any requirement of the Energy Reorganization Act of 1974, as amended, or the Atomic Energy Act of 1954, as amended.

17

{b) Any employee who believes that he or she has been discharged or otherwise discriminated against by any_ person for engaging* in protected activities specified *in paragraph (a} {l} of this section may seek a_ remedy for the discharge or discrimination through an administrative proceeding in the Department of Labor. The administrative proceeding must be initiated within 180 days after an alleged violation occurs. The employee may do this by filing a complaint alleging the violation with the Department of Labor, Employment Standards Administration, Wage and Hour Division. The Department of Labor may order reinstatement, back pay, and compensatory damages.

(c} A violation of paragraphs (a}, (e), or (f} of this section by a Commission licensee, an applicant for a Commission license, or a contractor or subcontractor of a Commission licensee or applicant may be grounds for -

\

{l} Denial, revocation, or suspension of the license.

(2) Imposition of a civil penalty on the. licensee or applicant.

(3) Other enforcement action.

(d) Actions taken by an employer, or others, which*

adversely affect an employee may be predicated upon

18 nondiscriminatory grounds. The prohibition applies when the adverse action occurs because the employee has engaged in protected activities. An employee's engagement in protected activities does not automatically render him or her immune from discharge or discipline for legitimate reasons or from adverse action dictated by nonprohibited considerations.

(e) (1) Each specific licensee, each applicant for a specific license, and each general licensee subject to Part 19 shall prominently post the revision of NRC Form 3, "Noti6e to Employees," referenced in 10 CFR 19.ll(c).

(2) The posting of NRC Form 3 must be at locations sufficient to permit employees protected by this section to observe a copy on the way to or from their place of work.

Premises must be posted not later than 30 days after an

• application is docketed and remain posted while the application is pending before the Commission, during the term of the license, and for 30 days following license termination.

Note - Copies of NRC Form 3 may be obtained by writing to the Regional Administrator of the appropriate u.s. Nuclear.Regulatory Commission Regional Office listed in Appendix D to Part 20 of this chapter or by contacting the NRC Information and Records Management Branch (telephone no. 301-492-8138).

(f) No agreement affecting the compensation, terms, conditions, or privileges of employment, including an agreement

19 to settle a complaint filed by an employee with the Department of Labor pursuant to section 211 of the Energy Reorganization Act of 1974, as amended, may contain any provision which would prohibit, restrict, or otherwise discourage an employee from participating in protected activity as defined in paragraph (a) (1) of this section including, btit not limited to, providing information-to the NRC. or to his or her employer on potential violations or

.other matters within NRC's regulatory r~sponsibilities.

PART 40 - DOMESTIC LICENSING OF SOURCE. MATERIAL

5. The authority citation for Part 40 is revised to read as follows:

AUTHORITY: Secs. 62, 63, 64, 65, 81, 161, 182, 183, 186, 68 stat~ 932, 933, 935, 948, 953, 954, 955, as ,mended, secs.

- lle(2), 83, 84, Pub. L.95-604, 92 Stat. 3033, as amended, 3039, sec. 234, 83 Stat. 444, as amended (42 U.S:S* 2014(e) (2), 2092, 2093, 2094, 2095, 2111, 2113, 2114, 2201, 2232, 2233, 2236, 2282); sec. 274, Pub. L.86-373, 73 Stat. 688 (42 u.s.c. 2021);

secs. 201, as amended, 202, 206, 88 Stat. 1242, as amended, 1244, 1246 (42 u.s.c. 5841, 5842, 5846); sec. 275, 92 Stat. 3021, as amended by Pub. L.97-415, 96 Stat. 2067 (42 u.s.c. 2022).

Section 40.7 also issued under Pub. L.95-601, *sec. 10, 92 Stat. 2951 as amended by Pub. L. 102-486~ sec. 2902, 106 Stat.

20 3123, (42 U.S.C. 5851). Section 40.31(g) also issued under sec. 122, 68 Stat. 939 (42 u.s.c. 2152). Section 40.46 also issued

. under sec. 184, 68 Stat. 954, as amended (42 U.S.C; 2234) .-

Section 40.71 also*is~ued under sec. 187, 68 Stat. *955 (42 U.S.C.

2237).

6. Section 40.7 is revised to read as follows:

• § 40.7 Employee protection.

(a) Discrimination by a Commission licensee; an applicant for a Commission license, or a contractor or subcontractor of a Commission licensee or applicant against an employee for engaging in certain protected activities is prohibited. Discrimination includes discharge and other actions that relate to compensation, terms, conditions, or privileges of employment. The protected

-- activities 'are established in section 211 of the Energy Reorganiiation Act of 1974, as amended, and in general are related to the administration or enforcement of a requirement imposed under the Atomic Energy Act or th~ Energy Reorganization Act.-

(1) The protected activities include but are not limited to:

I (i) Providing the Commission or his _or her employer information about alleged violations of either of the above

\

21 statutes or possible violations of requirements imposed under either of the above statutes; (ii) Refusing to engage in any practice made unlawful under either of the above statutes or under these requirements if the employee has identified the alleged illegality to the employer; (iii) Requesting the Commission to institute action against his or her employer for the administration or enforcement of these requirements; (iv) Testifying in any Commission proceeding, or before Congress, or at any Federal or State proceeding regarding any provision (or proposed provision) of either of the above statutes.-

(v) Assisting or participating in, or is about to assist or participate in, these activities.

(2) These activities are protected even if no formal proceeding is actually initiated as a result of the employee assistance or participation.

(3) This section has no application to any employee alleging discrimination prohibited by this section who, acting without direction from his or her employer (or the employer's agent),

22 deliberately causes a violation of any requirement of the Energy Reorganization Act of 1974, as amended, or the Atomic Energy Act*

of 1954, *as amended.

(b) Any employee who believes that he or she has been discharged or otherwise discriminated against by any person for engaging in protected activities specified in paragraph (a) (1) of this section may seek a remedy for the discharge or discrimination through an administrative proceeding in the Department of Labor. The administrative proceeding must be initiated within 180 days after an alleged violation occurs. The employee may do this by filing a c_omplaint alleging the vi.elation with the Department of Labor, Employment Standards Administration, Wage and Hour Division. The Department of Labor may order reinstatement, back pay, and compensatory damages.

(c) A violation of paragraphs (a), (e), or (f) of this section by a Commission licensee, an applicant for a Commission license, or a contractor or subcontractor of a Commission licensee or applicant may be grounds for -

(1) Denial, revocation, or suspension of the license.

(2)° Imposition of a civil penalty on the licensee or applicant.

(

23 (3) Other enforcement action.

(d) Actions taken by an employer, or others, which adversely affect an employee may be predicated upon nondiscriminatory grounds. The prohibition applies when the

. \

adverse action occurs because the employee has engage_d in protected activities.* An employee's engagement in protected activities does not automatically render him or her immune from discharge or discipline for legitimate reasons or from adverse action dictated by nonprohibited considerations.

(e) (1) Each specific licensee, each applicant for a specific license, and each general licensee subject to Part 19 shall prominently post the revision of NRC For~ 3, "Notice to Employees", referencecl. in 10 CFR 19.ll(c).

(2) The posting of NRC Form 3 must be at locations sufficient to permit employees protected by this section to observe a copy on the way to or from their place of work.

Premises must be posted not later than 30 days after an a_pplication is docketed and.remain posted while the application is pending before the Commission, during the term of the license, and for 30 days following license termination.

Note - Copies of NRC Form 3 may be obtained by writing to the Regional Administrator of the appropriate U.S. Nuclear Regulatory Commission Regional

24 Office listed in Appendix D to Part 20 of this chapter or by contacting the NRC Information and Records Management Branch (telephone no. 301-492-8138).

(f) No agreement affecting the compensation, terms, conditions, or privileges of employment, including an agreement to settle a complaint filed by an employee with the Department of Labor pursuant to section 211 of .the Energy Reorganization Act of 1974, may contain any provision which would prohibit, restrict,

- or otherwise discourage an employee from participating_ in protected activity as defined in paragraph (a) (1) of this section including, but not limited to, providing information to the NRC or to his or her employer on potential violations or other matters within NRC's regulatory responsibilities.

PART 50 - DOMESTIC LICENSING OF PRODUCTION.AND UTILIZATION FACILITIES

7. The authority citation for Part 50 is revised to read as follows:

AUTHORITY: Secs. 102, 103, 104, 105, 161, 182, 183, 186, 189, 68 Stat. 936, 937, 938, 948, 953, 954, 955, 956, as amended, sec. 234, 83 Stat. 1244, as amended (42 u.s.c. 2132, 2133, 2134, 2135, 2201, 2232, 2233, 2236, 2239, 2282); secs. 201, as amended, 202, 206, 88 Stat. 1242, as amended, 1244, 1246 (42 U.S.C. 5841, 5842, 5846) .

25 Section 50.7 is also issued under Pub. L.95-601, sec. 10, 92 Stat. 2951 as amended by Pub. L. 102-486, sec. 2902, 106 Stat. 3123, (42 u.s.c. 5851). Section 50.10 also issued under secs. 101, 185, 68 Stat. 936, 955, as amended (42 u.s.c.

2131, 2235); sec. 102, Pub. L.91-190, 82 stat. 853 (42 u.s.c~

4332). Sections 50.13, 50.54(dd); and 50.103 also issued under sec. 108, 68 Stat. 939, as amended (42 u.s.c. 2138). Sections 50.23, 50.35, 50.55, and 50.56 also issued under sec. 185, 68 Stat. 955 (42 u.s.c. 2235). Sections 50.33a, 50.55a and Appendix r

Q also issued under sec. 102, Pub. L.91-190, 83 Stat. 853 (42 u~s.c. 4332). Sections 50.34 and 50.54 also issued under sec. 204, 88 Stat. 1245 (42 U.S.C. 5844). Sections 50.58, 50.91, and 50.92 also issued under Pub. L.97-415, 96 Stat. 2073 (42 u.s.c. 2239). Section 50 .. 78 also issued under sec. 122 4 68 Stat.

939 (42 u.s.c. 2152). Sections 50.80-50-81 also issued under sec. 184, 68 Stat. 954, as amended (42 U.S.C. 2234). Appendix F

- also issued under sec. 187, 68 Stat. 955 (42 u.s.c. 2237).

8. Section 50.7 is revised to read as follows:

§ 50.7 Employee protection.

(a) Discrimination by a Commission licensee, an applicant for a Commission license, or a contractor or subcontractor of a Commission licensee or applicant against an employee for engaging in certain protected activities is prohibited. Discrimination

26 includes discharge and other actions that relate to compensation, terms, conditions, or privileges of employment. The protected activities are established in section 211 of the Energy Reorganization Act.of 1974, as amended, and in general are related to the administration or enforcement of a requirement imposed under the Atomic Energy Act or the Energy Reorganization Act.

(1) The protected activities incl~de but are not limited to:.

(i) Providing the *Commission or his or her employer information about alleged violations of either of the above statutes or possible violations of requirements imposed under either of the above statutes; (ii) Refusing to engage in any practice made unlawful under

- either of the above statutes or under these requirements if the employee has identified th~ alleged illegality to the employer; (iii) Requesting the Commission to institute action against his or her employer for the administration or enforcement of these requirements; (iv) Testifying in any Commission proceeding, or before Congress, or at any Federal or state proceeding regarding any

27 provision (or proposed_provision) of either of the above statutes.

(v) Assisting or participating ~n, or is about to assist or participate in, these activities.

(2) These activities are protected even if no formal-proceeding is actually initiated as a result of the employee assistance or participation.

(3)-This section his no application to any employee alleging discrimination prohibited by this section who, acting without direction from his or her employer (or the employer's agent),

deliberately causes a violation of any ~equirement of the Energy Reorganization Act of 1974, as amended, or the Atomic Energy Act of 1954, as amended.

(b} Any employee who believes that he or she. has been discharged or otherwise discriminated against by any person for engaging in protected activities specified in paragraph (a) (1) of this section may seek a remedy for the discharge or

.discrimination through an administrative proceeding in the Department of Labor. The administrative proceeding must be initiated within 180 days after an alleged violation occurs. The employee may do this by filing a complaint alleging the violation with the Department of Labor! Employment Standards

28 Administration, Wage and Hour Division. The Department of Labor may order reinstatemen~, back pay, and compensatory damages.

(c) A violation of paragraph (a), (e), or (f) of this section by a Commission licensee, an *applicant for a Commission license, or a contractor or subcontractor of a Commission licensee or applicant 1may be grounds for -

(,1) -Denial, revocation, or suspension of the license.

(2) Imposition of a civil penalty on the licensee or applicant.

(3) Other enforcement action.

(d) Actions taken by an employer, or others, which e adversely affect an employee may be predicated upon nondiscriminatory grounds. The prohibition applies when the.

adverse action occurs because the employee has engaged in protected activities. An employee's engagement in protected activities does not automatically render him or her immune from discharge or discipline for legitimate reasons or from adverse action dictated by nonprohibited considerations.

(e) Each licensee and each applicant for a license shall prominently post the revision of NRC Form 3, "Notice to

29 Employees," referenced in 10 CFR 19.ll(c). This form must be posted at locations sufficient to permit employees protected by this section to observe a copy on the way to or from their place of work. Premises must be posted not later than 30 days after an application is docketed and remain posted while the application is pending before the Commission, during the term of the license, and for 30 days following license termination.

Note - Copies of NRC Form 3 may be obtained by writing to the Regional Administrator of the appropriate U.S. Nuclear Regulatory Commission Regional Office listed in Appendix D to Part 20 of this chapter or by contacting the NRC Information and Records Management Branch (telephone no. 301-492-8138).

(f) No agreement affecting the compensation, terms, conditions, or privileges of employment, including an agreement to settle a complaint filed by an employee w,ith the Department of Labor pursuant to section 211 of the Energy Reorganization Act of 1974, as amended, may contain any provision which would prohibit, restrict, or oth~rwise discourage an employee*f~om participating in protected activity.as defined in paragraph (a) (1) of this section including, but not limited to, providing information to the NRC or to his or her employer on potential violations or other matters within NRC's regulatory responsibilities.

PART 60 - DISPOSAL OF HIGH-LEVEL RADIOACTIVE WASTES IN GEOLOGIC REPOSITORIES

30

9. The authority citation for Part 60 is revised to read as follows:*

AUTHORITY:,. Secs. 51, 53, 62, 63, 65, 81, 161, 182, 183, 68.

Stat. 929, 930, 932, 933, 935, 948, 953, 954, as amended (42 U. S . C. 2 0 71 , 2 0 7 3 , 2 0 9 2 , 2 0 9 3 , 2 0 9 5 , 2111 , *2201 , 2 2 3 2 , 2 2 3 3 ) ;

secs. 202, 206, 88 Stat. 1244., 1246 (42 U.S.C. _5842, 5846); secs.

10 and 14, Pub. L.95-601, 92 Stat. 2951 (42 U.S.C. 2021a and 5851); sec. 102, Pub. L.91-190, 83 Stat. 853 (42 u.s.c. 4332);

secs. 114, 121, Pub. L.97-425, 96 Stat. 2213(g), 2228 as amended (42 U.S.C. 10134, 10141) and Pub. L. 102-486, sec. 2902, 106 Stat. 3123, (42 U.S.C. 5851).

10. Section 60.9 is revised to read as follows:

§ 60.9 Employee protection.

(a) Discrimination by a Commission licensee, an applicant for a Commi~sion license, or a contractor or subcontractor of a Commission licensee or applicant against an employee for engaging in certain protected activities is prohibit~d. Discrimination includes discharge and other actions that relate to compensation, terms, conditions, or privileges of employment. The protected activities are established in section 211 of the Energy Reorganization Act of 1974, as amended, and in general are related to the administration or enforcement of a requirement

31 imposed under the Atomic Energy Act or the Energy Reorganization Act.

(1) The protected activities include but are not limited to:

(i) Providing the Commission or his or her employer information about alleged violations of either of the above statutes or possible violations of requirements imposed'under either of the above statutes; (ii) Refusing to engage in any-practice made unlawful under either of the above statutes or under these requirements if the employee has identified the alleged illegality to the employer; (iii) Requesting the Commission to institute action against his or her employer for the administration or enforcement of

- these requirements; (iv) Testifying in any Commission proceeding, or before Congress, or at any Federal or State proceeding regarding any provision (or proposed provision) of either of the above statutes.

(v) Assisting or participating in, or is about to assist or participate in, these activities.

32 (2) These activities are protected even if no formal proceeding is actually initiated as a result of the employee assistance or participation.

(3) This section has no application to any employee alleging discrimination prohibited by this section who, acting without direction from his or her employer (or the employer's agent),

deliberately causes a violation of any requirement of the Energy Reorganization Act of 1974, as amended, or the Atomic Energy Act of 1954, as amended.

(b) Any employee who believes that he or she has been discharged or otherwise discriminated against by any person for engaging in piotected activities specified in paragraph (a) (1) of this section may seek a remedy for the discharge or discrimination through an administrative proceeding in the

- Department of Labor. The administrative proceeding must be initiated within 180 days after an alleged violation occurs. The employee may do this by filing a complaint alleging the violation with the Department of Labor, Employment Standards Administration, Wage and Hour Division. The Department of Labor may order reinstatement, back pay, and compensatory damages.

(c) A violation of paragraph (a), (e), or (f) of this section by a Commission licensee, an applicant for a Commission

33 license, or a contractor or subcontractor of a Commission licensee or applicant may be grounds for -

L (1) Denial, revocation, or suspension of the license.

(2) Imposition of a civil penalty on the licensee or applicant.

(3) Other enforcement action.

(d) Actions taken by an employer, or others, which adversely affect an employee may be predicated upon nondiscriminatory grounds. The prohibition applies when the adverse action occurs because the employee has engaged in protected activities. An employee's engagement in protected activities does not automatically render him or her immune from

- discharge or discipline for legitimate reasons or from adverse action dictated by nonprohibited considerations.

(e) Each licensee and each applicant for a license shall prominently post the revision of NRC Form 3, "Notice to Employees," referenced in 10 CFR 19.ll(c). This form must be posted at locations sufficient to permit employees protected by this section to observe a copy on the way to or from their place of work. Premises must be posted not later than 30 days after an application is docketed and remain posted while the application

34 is pending before the Commission, during the term of the license, and for 30 days foll6wing license termination.

Note - Copies of NRC Form 3 may be obtained by writing to the Regional Administrator of the appropriate U.S. Nuclear Regulatory Commission Regional Office listed in Appendix D to Part 20 of this chapter or by contacting the NRC Information and Records Management Branch (telephone no. 301-492-8138).

(f) No agreement affecting the compensation, terms, conditions, or privileges of employment, including an agreement to settle a complaint filed by an employee with the Department of Labor pursuant to section 211 of the Energy Reorganization Act of 1974, as amended, may contain any provi~iion which would prohibit, restrict, or otherwise discourage an employee from participating in protected activity as defined in paragraph (a) (1) of this section including, but not limited to, providing information to the NRC or to his or her employer on potential violations or other matters within NRC's regulatory responsibilities.

PART 61 - LICENSING REQUIREMENTS FOR LAND DISPOSAL OF RADIOACTIVE WASTE

11. The authority citation for Part 61 is revised to read as follows:

AUTHORITY: Secs. 53, 57, 62,* 63, 65, 81, 161, 182, 183, 68 Stat. 930, 932, 933, 935, 948, 953, 954, as amended (42 u.s.c.

35 2073, 2077, 2092,2093, 2095, .2111, 2201, 2232, 2233); secs. 202,206, 88 Stat. 1244, 1246, *(42 u.s.c. 5842, 5846); secs. 10 and 14, Pub. L.95-601, 92 Stat. 2951 (42 u.s.c. 2021a and 5851) and Pub. L. 102-486,* sec. 2902, 106 Stat. 3123, (42 u.s.c. 5851).

12. Section 61.9 is revised to read as follows:

§ 61.9 Employee protection.

(a) Discrimination by a Commission licensee, an applicant for a Commission license, _or a contractor or subcontractor of a Commission licensee or applicant against an employee for engaging in certain protected activities is prohibited. Discrimination includes discharge and other actions that relate to compensation, terms, conditions, or privileges of employment. The protected activities are established in section 211 of the Energy

_- Reorganization Act of 1974, as amended, and in general are related to the administration or enforcement of a requirement imposed under the Atomic Energy Act or the Energy Reorganization Act.

(1) The protected activities include but are not limited to:

(i) Providing the Commission or his or her employer information about alleged violations of either of the above

36 statutes or possible violation~ of requirements imposed under either of the above statutes; (ii) Refusing to engage in any practice made unlawful under either of the above statutes or under these requirements if the employee has identified the alleged illegaltty to the employer; (iii) Requesting the Commission to institute action against

- his or her employer*for the administration or enforcement of these requirements; (iv) Testifying in any Commission proceeding, or before Congress, or at any Federal or State proceeding regarding any provision (or proposed provision) of e_ither of the above statutes.

(v) Assisting or participating in, or is about to assist or participate in, these activities.

(2) These activities are protected even if no formal proceeding is actually initiated as a result of the employee assistance or participation.

(3) This section has no application to any employee alleging discrimination prohibited by this section who, acting without direction from his or her employer (or the employer's agent),

37 deliberately causes a violation of any requirement of the Energy Reorganization Act of 1974, as amended, or the Atomic Energy Act of 1954, as amended.

(b) Any employee who believes that he or she has been discharged or otherwise discriminated aga~nst by ~ny person for engaging in protected activities spec~fied in paragraph (a) (l} of

_this section may seek a remedy for the discharge or*

discrimination through an administrative proceeding in the Department of Labor. The administrative proceeding must be initiated within 180 days after an alleged violation occurs. The employee may do this by filing a complaint alleging the violation with the Department of Labor, Employment Standards Administration, Wage and Hour Division. The Department of Labo~

may order reinstatement, back pay, and compensatory damages.

(c) A violation of paragraph (a), (e), or (f) of this section by a Commission licensee, an appl~~~nt for a Commission license, or a contractor or subcontractor of a Commission licensee or applicant may be grounds for -

(1) Denial, revocation, or suspension of the license.

(2) Imposition of a civil penalty on the licensee or applicant.

38 (3) Other enforcement action.

(d) Actions taken by an employer, or others, which adversely affect an_ employee may be predicated upon nondiscriminatory grounds. The prohibition applies when the adverse action occurs because the employee has engaged in protected activities. An employee's engagement in protected activities does not automatically render him or her immune from discharge or discipline for legitimate reasons or from adverse action dictated by nonprohibited considerations.

(e) Each licensee and each applicant for a license shall prominently post the revision of NRC Form 3, "Notice to Employees," referenced in 10 CFR 19.ll(c). This form must be posted at locations sufficient to permit employees protected by this section to observe a copy on the way to or from their place of work. Premises must be posted not later than 30 days after an application is docketed and remain posted while the application is pending before the Commission, during the term of the license, and for 30 days following license termination.

Note - Copies of NRC Form 3 may be obtained by writing to the Regional Administrator of the appropriate u.s. Nuclear Regulatory Commission Regional Office listed in Appendix D to Part 20 of this chapter or by contacting the NRC Information and Records Management Branch (telephone no. 301-492-8138).

(f) No agreement affecting the compensation, terms, conditions, or privileges of employment, including an agreement

39 to settle a complaint filed by an employee with the Department of Labor pursuant to section 211 of the Energy Reorganization Act of 1974, as amended, may contain *any provision which would prohibit, res~rict, or otherwise discourage an employee from participating in protected activity as defined in paragraph (a) (1) of this section including, but not limited_to, providing information-to the NRC or to his or her employer on potential violations or other matters within NRC's regulatory responsibilities.

PART 70 - DOMESTIC LICENSING OF SPECIAL NUCLEAR MATERIAL

13. The authority citation for Part 70 is revised to read as follows:

AUTHORITY: Secs. 51, 53, 161, 182, 183, 68 Stat. 929, 930, 948, 953, 954 as amended, secs. 234, 83 stat. 444, as amended (42 u.s.c. 2071, 2073, 2201, 2232, 2233, 2282); Secs. 201, as amended., 202, 204,206, 88 stat. 1242, as amended, 1244, 1245, 1246, ( 42 u.s.c. 5841, 5842, 5845, 5846).

Sections 70.l(c) and 70.20a(b) also issued under secs. 135, 141, Pub.L.97-425, 96 Stat. 2232, 2241 (42 U.S.C.10155, 10161).

Section 70.7 also issued under Pub. L. 5-601, sec.lo, 92 Stat.

2951 as amended by Pub. L. 102-486, sec. 2902, 106 Stat. 3123, (42 u.s.c. 5851). Section 70.21{g) also issued under sec. 122, 68 stat. 939 (42 u.s.c. 2152). Section 70.31 also issued under sec. 57d, Pub. L.93-377, 88 Stat. 475 (42 u.s.c. 2077) ~

40 Sections 70.36 and 70.44 also issued under sec. 184, 68 Stat.

954, as amended (42 u.s.c. 2234). Section 70.61 also issued under secs. 186, 187, 68 Stat. 955 (42 u.s.c. 2236, 2237).

• Section 70.62 also issued under sec. 108, 68 Stat. 939, as amended (42 u.s.c. 2138).

14. Section 70.7 is revised to read as follows:

§ 70.7 Employee protection.

(a) Discrimination by a Commission licensee, an applicant for a Commission license, or a contractor or subcontractor of a Commission licensee or applicant against an employee for engaging in certain protected activities is prohibited. Discrimination includes discharge and other actions that relate to compensation,*

terms, conditions, or privileges of employment. The protected activities are established in section 211 of the Energy Reorganization Act of 1974, as amended, and in general are related to the administration or enforcement of a requirement imposed under the Atomic Energy Act or the Energy Reorganization Act.

(1) The protected activities include but are not limited to:

(i) Providing the Commission or his or her employer information about alleged violations of either of the above

41 statutes or possible violations of requirements imposed under either of the above statutesi (ii) Refusing to engage in any practice made unlawful under either of the above statutes or under these requirements if the employee has identified the alleged illegality to the employer; (iii) Requesting the Commission to institute action against his or her employer for the administration J

or enforcement of these requirements; (iv) Testifying in any Commission proceeding, or before Congress, or at any Federal or State proceeding regarding any provision (or proposed provision) of either of the above statutes.

(v) Assisting or participating in, or is about to assist or participate in, these activities.

(2) These activities are protected even if no formal proceeding is actually initiated as a result of the employee assistance or participation.

(3) This section has no application to any employee alleging discrimination prohibited by this section who, acting without direction from his or her employer (or the employer's agent),

42 deliberately causes a violation of any requirement of the Energy Reorganization Act of 1974, as amended, .or the Atomic Energy Act of 1954, as amended.,

(b) Any employee who believes that he or she has been discharged or otherwise discriminated against by any pers*on for engaging in protected activities specified in paragraph (a) (1) of this section may seek a remedy for the discharge or dis6rimination throu~h an administrative proceeding in the Department of Labor. The administrative proceeding must be initiated within 186 days after an alleged violation occurs. The employee may do this by filing a complaint alleging the violation with the Department of Labor, Employment standards Administration, Wage and Hour Division. The Department of Labor may order reinstatement, back pay, and compensatory damages.

(c) A violation of paragraphs (a), (e), or (f) of this section by a Commission licensee, an applicant for a Commission license, or a contractor or subcontractor of a* Commission licensee or applicant may be grounds for -

(1) Denial, revocation, or_ suspension of the license.

(2) Imposition of a civil penalty on the licensee or applicant.

(

43 (3) Other enforcement action.

(d) Actions taken by an employer, or others, which adversely affect an employee may be predicated upon nondiscriminatory grounds. The prohibition applies when the adverse action occurs because the employee has engaged in protected activities. An employee's engagement in protected activities does not automatically render him or her immune from discharge or discipline for legitimate reasons or from adverse action dictated by nonprohibited considerations.

(e) (1) Each specific licensee, each applicant for a specific license, and each general licensee subject to Part 19 shall prominently post the revision of NRC Form 3, "Notice to Employees," referenced in 10 CFR 19.ll(c).

(2) The posting of NRC Form 3 must be at locations sufficient to permit employees protected by this section to observe a copy on the way too~ from their place of work.

Premises must be posted not later than 30 days after an application is docketed and remain posted while the application is pending before the Commission, during the term of the license, and for 30 days following license termination.

Note - Copies of NRC Form 3 may be obtained by writing to the Regional Administrator of the appropriate U.S. Nuclear Regulatory Commission Regional

44 Office listed in Appendix D to Part 20 of this chapter or by contacting the NRC Information and Records Management Branch (telephone no. 301-492-8138).

(f} No agreement affecting the compensation, terms, conditions, or privileges of employment, including an agreement I

to settle a complaint filed by an employee with the Department of Labor pursuant to section 211 of the Energy Reorganization Act of 1974, as amended, may contain any provision which would prohibit, restrict, or otherwise discourage an employee from participating in protected activity as defined in paragraph (a) (1) of this section including, but not limited to, providirig information to the NRC or to his or her employer on potential violations or other matters within NRC's regulatory responsibilities~

PART 72 - LICENSING REQUIREMENTS FOR THE INDEPENDENT STORAGE OF SPENT NUCLEAR FUEL AND HIGH-LEVEL RADIOACTIVE WASTE

15. The authority citation for Part 72 is revised to read as follows:

AUTHORITY: Secs.* 51, 53, 57, 62, 63, 65, 69, 81, 161, 182, 183, 184, 186, 187, 189, 68 Stat. 929, 930, 932, 933, 934, 935, 948, 953, 954, 955, as amended, sec. 234, 83 Stat. 444, as amended (42 u.s.c. 2071, 2073, 2077, 2092, 2093, 2095, 2099, 2111, 2201, 2232, 2233, 2234, 2236, 2237, 2238, 2282), sec. 274 Pub. L.86-373, 73 Stat. 688, as amended (42 u.s.c. 2021); sec.

45 201, as amended,_ 202, 206, 88 Stat. 1242, as amended, 1244, 1246 (42 U.S.C. 5841, 5842, 5846); Pub. L. 95-6bl, sec. 10, 92 Stat.

2951 as amended by Pubi L. 102~486, sec. 2902, 106 Stat. 3123, (42 u.s.c. 5851); sec. 102, Pub. L.91-190, 83 Stat. 853 )42 U.S.C. 4332); secs. 131, 132, 133, 135, 137, 141, Pub. L.97-425, 96 Stat. 2229, 2230, ~232, 2241, sec. 148, Pub. L. 100-203, 101 Stat. 1330-235 (42 U.S.C. 10151, 10152, 10153, 10155, 10157, 10161, 10168) .

Section 72.44(g) also issued under secs. 142(b) and 148(c),

(d) ,* Pub. L. 100-203, 101 Stat. 1330-232, 1330-236 (42 U.S.C .

. 10162 (b), 10168 (c), (d). Section 72. 46 also issued under *sec. 189, 68 Stat. 955 (42 u.s.c! 2239); sec. 134, Pub. L.97-425, 96 Stat. 2230 (42 u.s.c. 10154). Section 72.96(d) also issued under sec. 145(g), Pub. L. 100-203, 101 Stat. 1330-235 (42 U.S.C.

10165(g)). Subpart J also issued under secs. 2(2), 2(15), 2(19),

117(a), 141(h), Pub. L.97-425, 96 Stat. 2202, 2203, 2204, 2222, 2244, (42 u.s.c. 10101, 10137(a), 10161(h). Subparts Kand Lare also issued under sec. 133, 96 Stat. 2230 (42 u.s.c~ 10153) and sec. 218(a), 96 Stat. 2252 (42 u.s.c. 10198).

16. Section 72.10 is revised to read as follows:

§ 72.10 Employee protection.

46 (a) Discrimination by a Commission licensee, an applicant for a commission license, or a.contractor or subcontractor of a Commission licensee or applicant against an employee for engaging in certain protected activities is prohibited. Discrimination includes discharge and other actions that relate to compensation, terms, conditions, or privileges of employment. The protected activities are established in section 211 of the Energy Reorganization Act of 1974, as amended, and in general are related to the administration or enforcement of a requirement imposed under the Atomic Energy Act or the Energy Reorganization Act.

(1) The protected activities include but are not limited to:

(i) Providing the Commission or his or her employer information about alleged violations of either of the above

- statutes or possible violations of requirements imposed under either of the above statutes; (ii) Refusing to engage in any practice made unlawful under either of the above statutes or under these requirements if the employee has identified the alleged illegality to the employer; (iii) Requesting the Commission to institute action against his or her employer for the administration or enforcement of these requirements;

47 (iv) Testifying in any Commission proceeding, or before Congress, or at any Federal or State proceeding regarding any provision (or proposed provision) of either of the above statutes.

{v) Assisting or participating in, or is about to assist or participate in, these activities.

(2) These activities are protected even if no formal proceeding is actually initiated as a result of the employee assistance or participation.

(3) This section has no application to any employee alleging discrimination prohibited by this section who, acting without direction from his or her employer (or the employer's agent),

deliberately causes a violation of any requirement of the Energy Reorganization Act of 1974, as amended, or the Atomic Energy Act of 1954, as amenqed.

(b) Any employee who believes that he or she has been discharged or otherwise discriminated against by any person for engaging in protected activities specified in paragraph {a) (1) of this section may seek a remedy for the discharge or discrimination through an administrative proceeding in the Department of Labor. The administrative proceeding must be initiated within 180 days after an alleged violation occurs. The

48 employee may do this by filing a complaint alleging the violation with the Department of Labor, Employment Standards Administration, Wage and Hour Division. The Department of.Labor may order reinstatement, back pay, and compensatory damages.

(c) A violation of paragraphs (a), (et, or (f) of this section by a Commission licensee, an applicant for a Commission licensee, or a contractor or subcontractor of a Commission

- licensee or applicant may be grounds for -

(1) Denial, revocation, or suspension of the license.

(2) Imposition of a civil penalty on the licensee or applicant.

(3) Other enforcement action.

(d) Actions taken by an employer, or others, which adversely affect an employee may be predicated upon nondiscriminatory grounds. The prohibition applies when the adverse action occurs because the employee has engaged in protected activities. An employee's engagement in protected activities does not automatically render him or her immune from discharge or discipline for legitimate reasons or from adverse action dictated by nonprohibited considerations.

49 (e) (1) Each licensee and each applicant for a license shall prominently post the revision of NRC Form 3, "Notice to Employees," referenced in 10 CFR 19.ll(c). This form must be posted at locations sufficient to permit employees protected by this section to observe a copy on the way to or from their place of work. Premises must be posted not later than 30 days after an application is docketed and remain posted while the application is pending before the Commission, during the term of the license, and for 30 days following license termination.

(2) Copies of NRC Form 3 may be obtained by writing to the Regional Administrator of the appropriate U.S. Nuclear Regulatory Commission Regional Office listed in Appendix D to Part 20 of this chapter or by contacting the NRC Information and Records Management Branch (telephone no. 301-492-8138).

(f) No agreement affecting the compensation, terms, conditions, or privileges of employment, in~luding an agreement to settle a complaint filed by an employee with the Department of Labor pursuant to section 211 of the Energy Reorganization Act of 1974, as amended, may contain any provision which would prohibit, restrict, or otherwise discourage an employee from participating in protected activity as defined in paragraph (a) (1) of this section including, but not limited to, providing information to the NRC or to his or her employer on potential violations or other matters within NRC's regulatory responsibilities.

50 PART 150 - EXEMPTIONS AND CONTINUED REGULATORY AUTHORITY IN AGREEMENT STATES AND IN OFFSHORE WATERS UNDER SECTION 274

18. The authority citation for Part 150 is revised to read as follows:

AUTHORITY: Sec. 161, 68 Stat. 948, as amended, sec. 274, 73 stat. 688 (42 u.s.c. 2201, 2021); sec. 201, 88 Stat. 1242, as amended (42 u.s.c. 5841).

Sections 150.3, 150.15, 150.15a, 150.31, 150.32 also issued under secs. lle(2), 81, 68 Stat. 923, 935, as amended, secs. 83, 84, 92 Stat. 3033, 3039 (42 U.S.C. 2014e(2), 2111, 2113, 2114).

Section 150.14 also issued under sec. 53, 68 Stat. 930, as amended (42 u.s.c. 2073). Section 150.15 also issued under secs. 135, 141, Pub. L.97-425, 96 stat. 2232, 2241 (42 u.s.c. 10155, 10161). Section 150.17a also issued under sec. 122, 68 Stat. 939 (42 u.s.c. 2152). Section 150.30 also issued under sec. 234, 83 stat. 444 (42 u.s.c. 2282).

19. In§ 150.20, the introductory text of paragraph (b) is revised to read as follows:

§ 150.20 Recognition of Agreement State licenses.

- 1 *" ""'.

51 (b) Notwithstanding any provision to the contrary in any specific license issued by an Agreement state to a person engaging in activities in a non-Agreement State or in offshore waters under the general licenses 'provided *in this section, the general licenses provided in this section are subject to the provisions of§§ 30.7(a) through (f), 30.9, 30.10, 30.14(d),

30.34, 30.41, 30.51 to 30.63, inclusive, of part 30 of this chapter; §§ 40.7(a) through (f), 40.9, 40.10, 40.41, 40.51, 40.61, 40.63 inclusive, 40.71 and 40.81 of part 40 of this chapter; §§ 70.7(a) through (f), 70.9, 70.10, 70.32, 70.42, 70.51

-to 70.56, inclusive, 70.60 to 70.62i inclusive, and to the provisions of 10 CFR parts 19, 20 and 71 and subpart B of part 34, §§ 39.15 and 39.31 through 39.77, inclusive, of part 39 of this chapter. In addition, any person engaging in activities in non-Agreement States or in offshore waters under the general licenses provided in this section:

Dated at Rockville, ~ d -

this r:2 t"' day of ---~~~~...:__, 1993.

For the Nuclear Regulatory Commission.

for Operations.

5000 Dominion Boulevard Glen Allen, Virginia 23060 "93 AUG -2 P5 :10 VIRGINIA POWER July 29, 1993 Secretary, U. S. Nuclear Regulatory Commission Serial No.93-399 Washington, D. C. 20555 NL&P/RBP Attention: Docketing and Service Branch Gentlemen:

COMMENTS ON PROPOSED RULE WHISJLEBLOWER PROTECTION FOR NUCLEAR POWER PLANT EMPLOYEES In the June 15, 1993 Federal Register, the NRC proposed to amend its regulations regarding the protection of employees who provide information to the NRC or their employers concerning safety issues. The proposed rule is intended to revise current regulations to reflect the new nuclear whistleblower protection provisions of the Energy Policy Act of 1992, which was enacted on October 24, 1992.

Virginia Power endorses the NUMARC comments sent separately to the NRC on this issue. We are strongly committed to the safe operation of our plants, and encourage employees to make known any safety concern that they may have. It is our policy that any safety concern raised by our employees will be subject to a careful and diligent review by our staff and adequately addressed.

If you have any questions, please contact us.

Very truly yours,

!;j;!ier Nuclear Licensing and Programs MAY 1 o 1994 Acknowledged by card.. -

l'cslm'lr~; fJ * !0 -J / 3 IJ / q J Cop*~~ r"Jr r\,; ,:;.J __ _ _-:::- / _ _ __

A 'd'I C:>;} f. ., f:1..,. ..,J .., *d --=-- - ---

Sp-..,ie:.1 0~) ,,i.u:... n }(_:[ tJ; , POIZ, L. ,L-}')e r ~ j,'\,, '

• LCl i\L 1[D US Ni{C FREDERICK H. WINSTON (1853-1886) 1400 L STREET, N.W. CHICAGO OFFICE SILAS H. STRAWN (1891-1946) WASHINGTON, D.C. 20005-3502 35 WEST WACKER DRIVE CHICAGO. ILLINOIS 60601 (202) 371-5700

• 93 JUL 19 P4 :04 (312) 558-5600 NEW YORK OFFICE NICHOLAS S. REYNOLDS FACSIMILE (202) 371-5950

f. 175 WATER STR EET NEW YORK, NY 10038-4981 (202) 371-5717 (2 12) 269-2500 July 15, 1993 I I I 5" VIA TELECOPY AND FIRST-CLASS MAIL Mr. Samuel J. Chilk Secretary U.S. Nuclear Regulatory Commission Washington, o.c. 20555 Attn: Docketing and Service Branch Re: Notice of Proposed Rulemaking: "Whistleblower Protection for Nuclear Power Plant Employees," 58 Fed. Reg. 33042

Dear Mr. Chilk:

In accordance with the Commission's request for comments in the above-referenced notice, we submit the following comments on the proposed regulation on behalf of Commonwealth Edison Company, Duke Power Company, Rochester Gas & Electric Corporation, and Northeast Utilities.

The proposed rule would amend the Commission's regulations that proscribe discrimination against employees for engaging in protected whistleblowing activity, including 10 C.F.R. 50.7.Y We recognize, as the rulemaking notice itself makes clear, that the proposed revisions to the Commission's whistleblower protection regulations primarily are intended to conform existing regulations to the newly amended Energy Reorganization Act (ERA) employee protection provision, Section 211, 42 u.s.c. S 5851 (formerly designated as Section 210, amended by the Energy Policy Act of 1992). Most of the proposed revisions are, in fact, required by new Section 211 -- such as the extension of the deadline for filing complaints with the Department of Labor from 30 to 180 days (10 C.F.R. § 50.7(b)).

In one respect, however, as discussed below, the proposed rule appears to depart from the requirements of Section 211. We believe that the Commission should revisit this specific proposal.

Y The proposed rulemaking would also amend 10 C.F.R. §§ 30.7, 40.7, 60.9, 61.9, 70.7, and 72.10.

JUL 3 0 1993 Acknowledged by card .....,....................." ....

U.$". NUClE'AR Rt~0LAiORY COMMISSfOft DOCKETING & SERVICE SECTION OFFICE OF THE SEC.RETARY OF THE COMMISSION Document Statistics Postmark Date 7jlt:5/f3 /q:f.- 7#.1/9'3 Co ' s R i d

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WINSTON & STRAWN Mr. Samuel J. Chilk July 15, 1993 Page 2 I. Proposed 10 C.P.R. S 50.7(e) (2)

The proposed rulemaking would add a requirement that

"(a] 11 licensees and applicants are expected to notify their contractors of the prohibition against discrimination for engaging in protected activities." Proposed 10 C.F.R. S 50. 7 (e) (2). We believe that the Commission should reconsider whether this provision is appropriately included in Section 50.7.

While the proposed rulemaking is intended to conform the Commission's regulations to the ERA amendments codified in Section 211, these statutory amendments do not require, or suggest, that the Commission modify and expand its regulations to address a licensee's responsibilities with respect to its contractors. More fundamentally, however, proposed Section 50.7(e)(2) is an unnecessary regulatory requirement because the existing regulatory framework provides full incentive for licensees to notify contractors of the prohibitions on discrimination.

In this regard, the Commission in recent years proposed, but later decided not to promulgate, a similar requirement concerning licensee responsibilities with respect to compliance by contractors with Section 50.7. Specifically, the Commission most recently revised Section 50.7 to add a prohibition on agreements that would prohibit, restrict, or otherwise discourage an employee from notifying the Commission of, among other things, violations of regulatory requirements. (See current 10 C.F.R. 50.7(f).) In its proposed rule, the Commission had proposed that each licensee adopt procedures to "(a]ssure that its contractors ... are informed of the requirements" of Section 50.7(f). 54 Fed. Reg. 30049, 30052 (1989). The Commission, however, later abandoned this proposal on the ground that "it (was] not necessary for the Commission to specifically require licensees to have procedures for assuring their contractors ... comply with the Commission's regulations."

SECY-90-013 (Jan. 11, 1990), at 3. The Commission's rationale was that under Commission precedent, it is clear that licensees are responsible "for the conduct of their contractors with respect to cases of harassment by contractors of contractor employees." I.g.

(citing Metropolitan Edison Co. et al. (Three Mile Island Station, Unit 1) CLI-85-2, 21 NRC 282, 329 (1985)).

This same rationale that existing licensee responsibility for the conduct of contractors renders unnecessary a regulatory provision requiring that licensees assure contractor compliance with Section 50. 7 -- also indicates that proposed Section 50.7(e) (2) is unwarranted. The Commission need not impose a regulatory requirement that licensees notify contractors of the

WINSTON & STRA'WN Mr. Samuel J. Chilk July 15, 1993 Page 3 prohibitions on discrimination for activity protected by Section 50.7 because licensees already have full incentive to take whatever steps they deem necessary -- including notice to contractors -- to avoid contractor violations for which they may be held responsible.

Moreover, proposing a regulation such as Section

50. 7 ( e) ( 2) seems to cut against the grain of the Commission's ongoing effort, through the Regulatory Review Group established by the Executive Director for Operations, to reassess power reactor regulations and to "eliminate requirements marginal to safety." 58 Fed. Reg. 6196 (1993). Particularly in light of the fact that licensees under the existing regulatory framework are responsible for contractor breaches of section 50.7, Section 50.7(e) (2) can be described as a requirement whose safety significance is marginal at best. Rather than impose a regulatory burden that licensees notify contractors of the prohibitions against discrimination, and the attendant burdens of maintaining records demonstrating that notice was given and that the notice was sufficient, the Commission should continue to permit each licensee to take those measures it deems appropriate with respect to assuring contractor compliance with Section 50. 7. In this way, the Commission can achieve its objective of "reducing unnecessary effort and burden so as to improve the focus and effectiveness of the body of regulations."

57 Fed. Reg. 55156 (1992).

Under the proposed rule, a licensee would be subject to enforcement action for failing to meet the Commission's expectation that it notify contractors of the prohibition on discrimination.

The proposed rulemaking adds to Section 50. 7 (c) a reference to Section 50.7(e): "A violation of paragraph (a), (e), or (f) of this section ... may be grounds for" enforcement action. There is no question that, should a licensee's contractor violate Section

50. 7, the Commission may take enforcement action against the licensee based on a violation of Section 50. 7 ( a) . We see no benefit to the Commission's ability in such circumstances to be able to cite an "expectation" such as that found in proposed Section 50.7(e) (2) as an independent basis for enforcement action.

At the least, if language like that of Section 50.7(e) (2) is to remain, and if a failure to satisfy this provision is to provide a basis for enforcement action, we urge the Commission to clarify, without unduly restricting licensee flexibility in determining how best to comply with the regulation, what the Commission's expectation is regarding the standard that licensees must meet. For example, we would suggest additional language in Section 50.7(e) to the effect that the posting of NRC Form 3 in the locations specified by and otherwise in compliance with Sections

WINSTON & STRAWN Mr. Samuel J. Chilk July 15, 1993 Page 4 50.7(e) (1) and (e) (3) will ordinarily satisfy the requirements of Section 50.7(e) (2).

II. conclusion In conclusion, we believe that the revision to the Commission's proposed rule suggested above would further the Commission's goal to avoid the promulgation of requirements that impose a burden on licensees even though the requirements are marginal to safety.

I, Nicholaa Marcia I

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NUCLEAR MANAGEMENT AND RESOURCES COUNCIL 1776 Eye Street. NW.

• Suite 300

• Washington, DC 2CXXJ6-2496 c202) 872-1280 "93 JUL 16 P4 :31 Robert W. Bishop Vice President &

July 15, 1993 General COJnsel Mr. Samuel J. Chilk Secretary U.S. Nuclear Regulatory Commission Washington, D.C. 20555

Dear Mr. Chilk:

On June 15, 1993, the NRC published in the Federal Register (58 Fed. Reg. 33042) a proposal to amend its regulations protecting employees who provide information concerning safety issues to the NRC or their employers. These amendments are to reflect changes mandated by the Energy Policy Act of 1992 (EPA). On behalf of the nuclear industry, the Nuclear Management and Resources Council hereby submits the following comments. 1 The Energy Policy Act made several significant changes to Section 210 of the Energy Reorganization Act of 1974. By modifying the substantive and procedural treatment of whistleblower claims, the EPA significantly expanded whistleblowers' legal rights (e.g. the submission of internal complaints has become a protected activity, the definition of employer now includes Department of Energy contractors and subcontractors, the time within which a complaint may be filed is now 180 days, and, pending the Secretary of Labor's final order, a complainant must be reinstated and may receive back pay upon the conclusion of a hearing before a Department of Labor Administrative Law Judge if the judge's recommended decision is that the complaint has merit). Congress also sought, through the Energy Policy Act, to reduce frivolous claims by allowing DOL to initiate an investigation only if the complainant makes a prima facie case of discrimination and the employer fails to demonstrate by clear and convincing evidence that the adverse action was based upon something other than engaging in a protected activity. Further, the EPA prohibited the NRC from considering the Secretary of Labor's decision in determining whether a substantial safety hazard exists.

1 NUMARC is the organi7.ation of the nuclear power industry that is responsible for coordinating the combined efforts of all utilities licensed by the NRC to construct or operate nuclear power plants, and of other nuclear industry organizations, in all matters involving generic regulatory policy issues and on the regulatory aspects of generic operational and technical issues affecting the nuclear power industry. Every utility responsible for constructing or operating a commercial nuclear power plant in the united states is a member ofNUMARC. In addition, NUMARC's members include major architect/engineering firms and all of the major nuclear steam supply vendors.

A kn wl JUL 3 o 1993 C 0 edged by card HHHfl fNltHhlN, t " ' " " " ' "

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Mr. Samuel J. Chilk July 15, 1993 Page Two On the whole, the NRC's proposed rule changes appear to meet the Commission's intent to conform its regulations to the new statutoiy requirements.

We would be pleased to discuss these comments with NRC staff.

RWB/ECG:eg

DOCKET NUMBER International Union, ~~~f ]~~ P~ ;q 3 ~

UNITED PLANT GUARD WORKERS OF AME . ~A (UPGWA)

INTERNATIONAL HEADQUARTERS: 25510 Kelly Rd., Roseville, Michigan 48066

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• ,~Ni!C TELEPHONE: (313) 772-7250 FAX: (313) 772-9644 EUGENE P. McCONVILLE President LOUIS A. SCOHV Vice President

• 93 JUL 15 P4 RONALD July 12 , . r1.e193 .ur, ,...:~* t..,t\t

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i)(1C Ki l Iii(; '< ,i: nV!U i:flANL *i VIA FAX (301/504-1672) - ORIGINAL BY MAIL Mr. Samuel J. Chilk Secretary U.S. Nuclear Regulatory Commission Washington, DC 20555 ATTENTION: Docketing and Service Branch

Dear Mr. Chilk:

The International Union, UPGWA, on behalf of its members at numerous NRC regulated sites throughout the United States, enthusi asti ca lly supports the proposed rule regarding whistleblower protection for nuclear power plant employees.

Nuclear security officers are in the forefront of enforcing rules and regulations and require immunity from discrimination for simply doing their duty. The rule must be sufficiently clear that employees are protected from discrimination by any employer at the nuclear power plant. Many of our members are employed by security agencies under contract with the utility company.

Frequently the utility company wi 11 cause the security agency to discharge an officer. This must not be permitted as to activities protected by the Act.

In addition to protection for testifying before Congress or in any Federal or State proceeding, employees should be protected when g1v1ng statements/affidavits or testifying in administrative or arbitration proceedings.

It is our hope that the adopted rule will be vigorously and strictly enforced.

Louis R. Scohy International Vice President LRS/srn/opeiu42 cc: Robert J. Dube (NRC)

Philip McKee (NRC)

E. McConvi 11 e IEB Members All Locals with NRC Units G. Gregory, Esq. JUL Acknowledged by card ..................."'""'""'"

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NUCLEAR REGULATORY COMMISSION 11 \'J ,Po 10 :21 10 CFR Parts 19, 30, 40, 50, 60, 61, 70, 7 2.9,3 a Re ~5 RIN 3150-AES0 ,v Whistleblower Protection for Nuclear Power Plant Employees AGENCY: Nuclear Regulatory commission.

ACTION: Proposed rule.

SUMMARY

The Nuclear Regulatory Commission (NRC) is proposing to amend its regulations regarding the protection of employees who

- provide information to the NRC or their employers concerning safety issues. The proposed rule would conform current regulations to reflect the new nuclear whistleblower protection provisions of the Energy Policy Act of 1992, which was enacted on October 24, 1992.

-,/15/q3 DATE: The comment period expires (Insert 30 days after date of publication in the Federal Register). Comments received after e this date will be considered if it is practical to do so, but the Commission is able to assure consideration only for comments received on or before this date.

ADDRESSES: send comments to: Secretary, U.S. Nuclear Regulatory Commission, Washington, DC 20555. ATTN: Docketing and Services Branch.

Deliver comments to: 11555 Rockville Pike, Rockville, Maryland between 7:45 a.m. and 4:15 p.m. Federal workdays.

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2 Copies of comments received and NRC Form 3 may be examined at the NRC Public Document Room, 2120 L Street, NW. (Lower Level), Washington, DC.

FOR FURTHER INFORMATION CONTACT: James Lieberman, Office of

/

Enforcement, u. s. Nuclear Regulatory Commission, Washington, DC 20555, Telephone: 301-504-2741 SUPPLEMENTARY INFORMATION:

BACKGROUND On October 24, 1992, the President signed into law the Energy Policy Act of 1992. Section 2902, "Employee Protection for Nuclear Whistleblowers," includes provisions amending

• -sectioi:i 210-of* the Energy Reorganization Act (ERA) of 1974, as

- amended. The changes pertinent to this rulemaking include the following:

(1) Because the ERA contained two Sections 210, the legislation has renumbered the whistleblower protection provisions as Section 211.

(2) The new legislation extends the period in which a whistleblower complaint may be filed with the -Department of Labor (DOL) from 30 days to 180 days.

3 (3) The new legislation extends and/or clarifies protection to new classes of employees and employers to include:

(a) employees who bring or are about to bring concerns directly to their employers; (b} employees who have "refused to engage in" an unlawful practice, provided that the employee has identified the illegality to the employer; (c) employees who have testified, or are about to testify, before Congress or in any Federal or State proceeding regarding any provision (or proposed provision) of the ERA or the Atomic Energy Act (AEA).

As a result of these legislative changes, the .NRC has concluded that its regulations in 10 CFR Parts 19, 30, 40, so, 60, 61, 70, 72, and 150 should be updated to reflect the changes.

Currently, § 19.ll(c) requires that the June 1982 version or later revision of the NRC Form 3, "Notice to Employees," be posted. This section is being changed to eliminate uncertainty and to ensure that the most recent version of NRC Form 3 is

• posted. The language is modified so that the date of publication for NRC Form 3 is inserted in the revision to 10 CFR Part 19. In

.the future, if NRC Form 3 is changed, 10 CFR Part 19 will also be changed. This change to 10 CFR Part 19 will revise and reissue NRC Form 3 (6/93). The revised NRC Form 3, in addition to addressing the 180 day time period that employees have to file a complaint, describes protection for employees who: (1) bring

4 safety complaints-to their employers; (2) refuse to engage in an unlawful practice, provided that the employee has identified the illegality to the employer; and (3) have testified or are about to testify before Congress or in any Federal or State proceeding regarding any provision (or proposed provision) of the ERA or the AEA~ In addition, 10 CFR Parts 30, 40 and 70 are modified to require posting of NRC Form 3 by general licensees subject to 10 CFR Part 19.

Section 211 requires that the provisions of that section be posted. The Department of Labor (DOL) is implementing procedures to require all employers to post the provisions of Section 211.

Accordingly, given that the DOL action will require posting by a class of employers that includes all NRC licensees, the NRC is not separately requiring the posting of the provisions. However, NRC licensees will be subject to the DOL rule of implementing the

- posting provision of Section 211 and will also be required by this rule to post NRC Form 3 which summarizes protected activities, defines discrimination, and explains how to file a complaint with the DOL.

In 10 CFR 30.7, 40.7, 50.7, 60.9, 61.9, 70.7, and 72.10, "Employee Protection," the following changes are being made to reflect the new legislation:

5 (1) The applicable Section 210 is renumbered as Section 211.

(2) The definition of protected activities is modified to reflect the provisions of the Energy Policy Act of 1992.

(3) The period in which a complaint can be filed with DOL is changed from 30 days to 180 days.

(4) References in certain sections of the regulations to

- "compensation, terms, conditions, and privileges of employment" are being changed to "compensation, terms, conditions, or privileges of employment." This change is necessary to correct earlier language to conform to the language in the ERA of 1974, as amended.

(5) The exemption in§§ 30.7, 40.7, and 70.7, formally exempting general licensees from the requirement to post NRC Form 3, is being deleted because*some general licensees are-subject to Part 19.

(6) The Part 150 NRC general license, recognizing Agreement state licenses, would be amended to conform to the changes to§§ 30.7, 40.7, and 70.7.

(7) These sections are being amended to advise licensees and applicants that they are expected to notify their contractors of the prohibition against discrimination

__ . for engaging in protected activities. The purpose of

6 this notification is to ensure that contractors understand their obligations under the ERA to avoid discrimination against employees for raising safety issues.

As provided in 10 CFR 30.7(c), 40.7(c), 50.7(c), 60.9(c),

61.9(c), 70.7(c), and 72.l0(c) of these regulations, licensees and applicants may be subject to enforcement action for discrimination caused by their contractors or subcontractors.

Environmental Impact: Categorical Exclusion The NRC has determined that this proposed rule is the type of action described in categorical exclusion 10 CFR 51.22(c) (2).

Therefore, neither an environmental impact statement nor an environmental assessment has been prepared for this proposed rule.

Paperwork Reduction Act Statement This proposed rule does not contain a new or amended information collection requirement subject to the Paperwork Reduction Act of 1980 (44 u.s.c. 3501 et seq.). Existing requirements were approved by the Office of Management and Budget, approval numbers 3150-0044, -0017, -0020, -0011, -0127,

-0135, -0009, and -0132.

7 Regulatory Analysis The Commission finds that there is no alternative to amending the regulations because the amendments are_statutorily I

mandated as required by the Energy Policy Act of 1992. The proposed rule is necessary to conform the commission's regulations to the language of the nuclear whistleblower provisions of the Energy Policy Act of 1992. The proposed rule would extend and clarify protection to new classes of employees and employers and extend the period in which an employee may file a whistleblower complaint. The foregoing constitutes the regulatory analysis for this proposed rule.

Regulatory Flexibility Certification As required by the Regulatory Flexibility Act of 1980 (5 u.s.c. 605(b)), the Commission certifies that this rule does not have a significant economic impact on a substantial number of small entities. The proposed rule is necessary to conform the Commission's regulations to the language of the nuclear whistleblower provisions of the Energy Policy Act of 1992.

Backfit Analysis The Nuclear Regulatory Commission has determined that the backfit rule, 10 CFR 50.109, does not apply to this proposed rule

8 and that a backfit analysis is not required for this proposed rule because these amendments are required by law and do not involve any provisions which would impose backfits as defined in 10 CFR 5 0

• 10 9 (a) ( 1)

• 9 List of Subjects 10 CFR Part 19 - Criminal penalties, Environmental protection, Nuclear materials, Nuclear power plants and reactors, Occupational safety and health, Radiation protection, Reporting and recordkeeping requirements, Sex discrimination.

10 CFR Part 30 - Byproduct material, criminal penalties, Government contracts, Intergovernmental relations, Isotopes, Nuclear materials, Occupational safety and health, Radiation protection, Reporting and recordkeeping requirements.

10 CFR Part 40 - Criminal penalties, Government contracts, Hazardous materials - transportation, Nuclear materials, Reporting and recordkeeping requirements, Source material, Uranium.

10 CFR Part 50 - Antitrust, Classified information, Criminal penalties, Fire protection, Incorporation by reference, Intergovernmental relations, Nuclear power plants and reactors, Radiation protection, Reactor siting criteria, Reporting and recordkeeping requirements.

10 CFR Part 60 - Criminal penalties, High-level waste, Nuclear power plants and reactors, Nuclear materials, Reporting and recordkeeping requirements, Waste treatment and disposal.

10 10 CFR Part 61 - Criminal penalties, Low-level waste, Nuclear materials, Reporting and recordkeeping requirements, Waste treatment and, disposal.

10 CFR Part 70 - Criminal penalties, Hazardous materials -

transportation, Nuclear materials, Packing and containers, Radiation protection, Reporting and recordkeeping requirements, Scientific equipment, Security measures, Special nuclear material.

10 CFR Part 72 - Criminal penalties, Manpower training programs, Nuclear materials, Occupational safety and healthr Reporting and recordkeeping requirements, Security measures, Spent fuel.

10 CFR Part 150 - criminal penalties, Hazardous materials -

- transportation, Intergovernmental relations, Nuclear materials, Reporting and recordkeeping requirements, Security measures, source material, Special nuclear material.

For the reasons set out in the preamble and under the authority of the Atomic Energy Act of 1954, as amended, the Energy Reorganization Act of 1974, as amended, and 5 u.s.c. 553, the NRC is proposing to adopt the following amendments to 10 CFR Parts 19, 30, 40, 50, 60, 61, 70, and 72.

11 PART 19 - NOTICES, INSTRUCTIONS, AND REPORTS TO WORKERS:

INSPECTION AND INVESTIGATIONS

1. The authority citation for Part 19 is revised to read as follows:

AUTHORITY: Secs*. 53, 63, 81, 103, 104, 161, 186, 68 Stat.

930, 933, 935, 936, 937, 948, 955~ as amended, sec. 234, 83 stat.

444, as amended (42 u.s.c. 2073, 2093, 2111, 2133, 2134, 2201, 2236, 2282); sec. 201, 88 Stat. 1242, as amended (42 u.s.c.

5841). Pub. L.95-601, sec. 10, 92 Stat. 2951 as amended by Pub. L. 102-486, sec. 2902, 106 Stat. 3123, (42 u.s.c. 5851)

2. In§ 19.11, paragraph (c) is revised to read as foll~ws:

§ 19.11 Posting of notices to workers.

(c) Each licensee and each applicant for a specific license shall prominently post NRC Form 3, (Revision dated [insert date of newly published NRC Form 3] ) , "Notice to Employees_. "

Note - Copies of NRC Form 3 may be obtained by writing to the Regional Administrator of the appropriate U.S. Nuclear Regulatory Commission Regional Office listed in Appendix D to Part 20 of this chapter or by contacting the NRC Information and Records Management Branch (telephone no. 301-492-8138).

12 PART 30 - RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL

3. The authority citation for Part 30 is revised to read as follows:

AUTHORITY: Secs. 81, 82, 161, 182, 183, 186, 68 Stat. 935, 948, ~53, 954, 955, as*amended, sec. 234, 83, Stat. 444, as amended ( 4 2 U . s . C . 2111 , . 2 112 , 2 2 O1 , 2 2 3 2 , 2 2 3 3 , 2 2 3 6 , 2 2 8 2 ) ;

secs. 201 as amended, 202, 206, 88 Stat. 1242, as amended, 1244, 1246 (42 u.s.c. 5841, 5842, 5846).

Section 30.7 also issued under Pub. L.95-601, sec. 10, 92 Stat. 2951 as amended by Pub. L. 102-486, sec. 2902, 106 Stat.

9 3123, (42 U.S.C. 5851). Section 30.34(b) also issued under sec. 184, 68 Stat. 954, as amended (42 U.S.C. 2234). Section 30.61 also i~~ued under sec. 187, 68 Stat. 955 (42 u.s.c. 2237).

4. Section 30~7 is revised to read as follows:

§ 30.7 Employee protection.

(a) Discrimination by a Commission licensee, an applicant for a Commission license, or a contractor or subcontractor of a

13 Commission licensee or applicant against an employee for engaging in certain protected activities is prohibited. Discrimination includes discharge and other actions that relate to compensation, terms, conditions, or privileges of employment. The protected activities are established in section 211 of the En~rgy Reorganization Act of 1974, as amended, and in general are related to the administration or enforcement of a requirement imposed under the Atomic Energy Act or the Energy Reorganization Act.

(1) The protected activities include but are not limited to:

(i) Providing the Commission or his or her employer information about alleged violations of either of the above statutes or possible violations of requirements imposed under either of the above statutes; (ii) Refusing to engage in any practice made unlawful under either* of the above statutes-or under these requirements if-the employee has identified the alleged illegality to the employer; (iii) Requesting the commission to institute action against his or her employer for the administration or enforcement of these requirements;

14 (iv) Testifying in any Commission proceeding, or before Congress, or at any Federal or State proceeding regarding any provision (or proposed provision) of either of the above statutes.

(v) Assisting or participating in, or is about to assist or participate in, these activities.

(2) These activities are protected even if no formal proceeding is actually initiated as a result of the employee assistance or participation.

(3) This section has no application to any employee alleging discrimination prohibited by this section who, acting without direction from his or her employer (or the employer's agent),

deliberately causes a violation of any requirement of the Energy Reorganization Act of 1974, as amended, or the Atomic Energy Act of 1954, as amended.

(b) Any employee who believes that he or she has been discharged or otherwise discriminated against by any person for engaging in protected activities specified in paragraph (a) (1) of this section may seek a remedy for the discharge or discrimination through an administrative proceeding in the Department .of Labor. The administrative proceeding must be initiated within 180 days after an alleged violation occurs. The

15 employee may do this by filing a complaint alleging the violation with the Department of Labor, Employment Standards Administration, Wage and Hour Division. The Department of Labor may order reinstatement, back pay, and compensatory damages.

(c) A violation of paragraphs (a), (e), or (f) of this section by a Commiss_ion licensee, an applicant for a Commission license, or a contractor or subcontractor of a Commission licensee or applicant may be grounds for -

(1) Denial, revocation, or suspension of the license.

(2) Imposition of a civil penalty on the licensee or applicant.

(3) Other enforcement action.

(d) Actions taken by an employer, or others, which adversely affect **an employee may -be predicated upon

• nondiscriminatory grounds. The prohibition applies when the adverse action occurs because the employee has engaged in protected activities. An employee's engagement in protected activities does not automatically render him or her immune from discharge or discipline for legitimate reasons or from adverse action dictated by nonprohibited considerations.

16 (e) (1) Each specific licensee, each applicant for a specific license, and each general licensee subject to Part 19 shall prominently post the revision of NRC Form 3, "Notice to Employees," referenced in 10 CFR 19.ll(c).

(2) All licensees and applicants are expected to notify their contractors of the prohibition against discrimination for engaging in protected- activities.

(3) The posting of NRC Form 3 must be at locations sufficient to permit employees protected by this section to observe a copy on the way to or from their place of work.

Premises must be posted not later than 30 days after an application is docketed and remain posted while the application is pending before the Commission, during the term of the license, and for 30 days following license termination.

Note - Copies of NRC Form 3 may be obtained by* writing to the Regional Administrator of the appropriate U.S. Nuclear Regulatory Commission Reg~_onal Office listed in Appendix D to Part 20 of this chapter or by contacting the NRC Information and Records Management Branch (telephone no. 301-492-8138).

(f) No agreement affecting the compensation, terms, conditions, or privileges_ . .

of_,,~µiployment, including an agreeme_nt to settle a complaint filed by an employee with the Department of Labor pursuant to section 211 of the Energy Reorganization Act of 1974, as amended, may contain any provision which would prohibit,

17 restrict, or otherwise discourage an employee from participating in protected activity as define~ in paragraph (a) (1) of this section including, but not limited to, providing information to the NRC or to his or her employer on potential violations or other matters within NRC's regulatory responsibilities.

PART 40 - DOMESTIC LICENSING OF SOURCE MATERIAL

5. The authority citation for Part 40 is revised to read as follows:

AUTHORITY: Secs. 62, 63, 64, 65, 81, 161, 182, 183, 186, 68 stat. 932, 933, 935, 948, 953, 954, 955, as amended, secs.

lle(2), 83, 84, Pub. L.95-604, 92 Stat. 3033, as amended, 3039, sec. 234, 83 Stat. 444, as amended (42 u.s.c. 2014(e) (2), 2092, 2093, 2094, 2095, 2111, 2113, 2114, 2201, 2232, 2233, 2236, 2282); sec. 274, Pub. L.86-373, 73 Stat. 688 (42 u.s.c. 2021);

secs. 201, as amended, 202, 206, 88 Stat. 1242, a~ amended, 1244, 1246 (42 u.*s.c. 5841, 5842, 5846); sec. 275, 92 stat. 302i~ as amended by Pub. L.97-415, 96 Stat. 2067 (42 u.s.c. 2022).

Section 40.7 also issued under Pub. L.95-601, sec. 10, 92 Stat. 2951 as amended by Pub. L. 102-486, sec. 2902, 106 stat.

3123, (42 u.s.c. 5851). Section 40.31(g) also issued under sec. 122, 68 stat. 939 (42 u.s.c. 2152). Section 40.46 also issu~d under sec. 184, 68 Stat. 954, as amended (42 u.s.c. 2234).

18 Section 40.71 also issued under sec. 187, 68 Stat. 955 (42 u.s.c.

2237).

6. Section 40.7 is revised to read as follows:

§ 40.7 Employee protection.

{a) Discrimination by a Commission licensee, an applicant*

for a Commission license, or a contractor or subcontractor of a commission licensee or applicant against an employee for eng~ging in certain protected activities is prohibited. Discrimination includes discharge and other actions that relate to compensation, terms, conditions, or privileges of employment. The protected activities are established in section 211 of the Energy Reorganization Act of 1974, as amended, and in general are related to **the administration or enforcement of a requirement imposed under the Atomic Energy Act or the Energy Reorganization Act.

(1) The protected activities include but are not limited to:

(i) Providing the Commission or his or her employer information about alleged violations of either of the above statutes or possible violations of requirements imposed under either of the above statutes;

t.

19 (ii) Refusing to engage in any practice made unlawful under either of the above *statutes or under these requirements if the employee has identified the alleged illegality to the employer; (iii) Requesting the Commission to institute action against his or her employer for the administration or enforcement of these requirements; (iv) Testifying in any commission proceeding, or before Congress, or at any Federal or State proceeding regarding any provision (or proposed provision) of either of the above statutes.

(v) Assisting or participating in, or is about to assist or participate in, these activities.

(2) These activities are protected even if no formal proceeding is actually initiated as a result of the employee assistance or participation.

(3) This section has no application to any employee alleging discrimination prohibited by this section who, acting without direction from his or her employer (or the employer's agent),

deliberately causes a violation of any requirement of the Energy Reorganization Act of 1974, as amended, or the Atomic Energy Act of 1954, as amended.

20 (b) Any employee who believes that he or she has been discharged or otherwise discriminated against by any person for engaging in protected activities specified in paragraph (a) (1) of this section may seek a remedy for the discharge or discrimination through an*administrative proceeding in the Department of Labor.* The administrative proceeding must be initiated within 180 days after an alleged violation occurs. The employee may do this by filing a complaint alleging the violation with the Department of Labor, Employment Standards Administration, Wage and Hour Division. The Department of Labor may order reinstatement, back pay, and compensatory damages.

(c) A violation of paragraphs (a), (e), or (f) of this section by a Commission licensee, an applicant for a Commission license, or a contractor or subcontractor of a Commission licensee or applicant may be grounds for -

(1) Denial, revocation, or suspension of the license.

(2) Imposition of a civil penalty on the licensee or applicant.

(3) Other enforcement action.

(d) Actions taken by an employer, or others, which adversely affect an employee may be predicated upon

21 nondiscriminatory grounds. The prohibition applies when the adverse action occurs because the employee has engaged in protected activities. An employee's engagement in protected activities does not automatically render him or her immune from discharge or discipline for legitimate reasons or from adverse action dictated by nonprohibited considerations.

(e) (1) Each specific lir~n~~e, e~r.h ~pplir.~nt for a specific license, and each general licensee subject to Part 19 shall prominently post the revision of NRC Form 3, "Notice to Employees", referenced in 10 CFR 19.ll(c).

(2) All licensees and applicants are expected to notify their contractors of the prohibition against discrimination for engaging in protected activities.

(3) The posting of NRC Form 3 must be at locations sufficient to permit employees protected by this section to observe a copy on the way to or from their -=plac*e *of work.

Premises must be posted not later than 30 days after an application is docketed and remain posted while the application is pending before the Commission, during the term of the license, and for 30 days following license termination.

Note - Copies of NRC Form 3 may be obtained by writing to the Regional Administrator of the appropriate U.S. Nuclear Regulatory Commission Regional

22 Office listed in Appendix D to Part 20 of this chapter or by contacting the NRC Information and Records Management Branch (telephone no. 301~492-8138).

(f) No agreement affecting the compensation, terms, conditions, or privileges of employment, including an agreement to settle a complaint filed by an employee with the Department of Labor pursuant to section 211 of the Energy Reorganization Act of 1974, may contain any provision which would prohibit, restrict, or otherwise discourage an employee from participating in protected activity as defined in paragraph (a) (1) of this section including, but not limited to, providing information to the NRC or to his or her employer on potential violations or other matters within NRC's regulatory responsibilities.

PART 50 - DOMESTIC LICENSING OF PRODUCTION AND UTILIZATION FACILITIES

7. The authority citation for Part 50 is revised to read as follows:

AUTHORITY: Secs. 102, 103, 104, 105, 161, 182, 183, 186, 189, 68 Stat. 936, 937, 938, 948, 953, 954, 955, 956, as amended, sec. 234, 83 Stat. 1244, as amended (42 u.s.c. 2132, 2133, 2134, 2135, 2201, 2232, 2233, 2236, 2239, 2282); secs. 201, as amended, 202, 206, 88 stat. 1242, as amended, 1244, 1246 (42 u.s.c. 5841, 5842, 5846).

23 section 50.7 is also issued under Pub. L.95-601, sec. 10, 92 Stat. 2951 as amended by Pub. L. 102-486, sec. 2902, 106 Stat. 3123, (42 U.S.C. 5851). Section 50.10 also issued under secs. 101, 185, 68 Stat. 936, 955, as amended (42 u.s.c.

2131, 2235); sec. 102, Pub. L.91-190, 82 Stat. 853 (42 u.s.c.

4332). Sections 50.13, 50.54(dd), and 50.103 also issued under sec. 108, 68 stat. 939, as amended (42 u.s.c. 2138). Sections 50.23, 50.35, 50.55, and 50.56 also issued under sec. 185, 68 Stat. 955 (42 u.s.c. 2235). Sections 50.33a, 50.55a and Appendix Q also issued under sec. 102, Pub. L.91-190, 83 Stat. 853 (42 u.s.c. 4332). Sections 50.34 and 50.54 also issued under sec. 204, 88 Stat. 1245 (42 U.S.C. 5844)~ Sections 50.58, 50.91, and 50.92 also issued under Pub. L.97-415, 96 Stat. 2073 (42 u.s.c. 2239). Section 50.78 also issued under sec. 122, 68 Stat.

939 (42 u.s.c. 2152). Sections 50.80-50-81 also issued under sec. 184, 68 stat. 954, as amended (42 u.s.c. 2234). Appendix F

- also issued under sec. 187, 68 Stat. 955 (42 u.s.c. 2237).

8. Section 50.7 is revis~d to read as follows:

§ 50.7 Employee protection.

(a) Discrimination by a Commission licensee, an applicant for a Commission license, or a contractor or subcontractor of a Commission licensee or applicant against an employee for engaging in certain protected activities is prohibited. Discrimination

24 includes disch_arge and other actions that relate to compensation,*

terms, conditions, or privileges of employment. The protected activities are established in section 211 of the Energy Reorganization Act of 1974, as amended, and in general are related to the administration or enforcement of a requirement imposed under the Atomic Energy Act or the Energy Reorganization Act.

(1) The protected activities include but are not limited to:

(i) Providing the Commission or his or her employer information about alleged violations of either of the above statutes or possible violations of requirements imposed under eith~r of the above statutes; (ii) Refusing to engage in any practice made unlawful under

__ either of the above statutes or under these requirements if the employee has identified the alleged illegality to the employer; (iii) Requesting the Commission to institute action against his or her employer for the administration or enforcement of these requirements; (iv) Testifying in any Commission proceeding, or before Congress, or at any Federal or State proceeding regarding any

25 provision (or proposed provision) of either of the above statutes.

(v). Assisting or participating in, or is about to assist or participate in, these activities.

(2) These activities are protected even if no formal proceeding is actually initiated as a result of the employee assistance or participation.

(3) This section has no application to any employee alleging discrimination prohibited by this section who, acting without direction from his or her employer (or the employer's agent),

deliberately causes a violation of any requirement of the Energy Reorganization Act of 1974, as amended, or the Atomic Energy Act of 1954, as amended.

(b) Any employee who believes that he or she has been discharged or otherwise discrimi~ated against by any person for engaging in protected activities specified in paragraph (a) (1) of this section may seek a remedy for the discharge or discrimination through an administrative proceeding in the Department of Labor. The administrative proceeding must be initiated within 180 days after an alleged violation occurs. The employee may do this by filing a complaint alleging the violation with the Department of Labor, Employment Standards

26 Administration, Wage and Hour Division. The Department of Labor may order reinstatement, back pay, and compensatory damages.

(c) A violation of paragraph_ (a), (e), or (f) of this section by a Commission licensee, an applicant for a Commission license, or a contractor or subcontractor of a Commission licensee or applicant may be grounds for -

• (1)

(2)

Denial, revocation, or suspension of the license.

Imposition of a civil penalty on the licensee or applica!1t.

(3) Other enforcement action.

(d) Actions taken by an employer, or others, which

• adversely affect an employee may be predicated upon nondiscriminatory grounds. The prohibition applies when the adverse action occurs because the employee has engaged in protected activities. An employee's engagement in protected activities does not automatically render him or her immune from discharge or discipline for legitimate ~easons or from ~dverse action dictated by nonprohibited considerations.

(e) (1) Each licensee and each applicant for a license shall prominently post the revision of NRC Form 3, "Notice to.

27 Employees," referenced in 10 CFR 19.ll(c). This form shall be posted at locations sufficient to permit employees protected by this section to observe a copy on the way to or from their place of work. Premises must be posted not later than 30 days after an application is docketed and remain posted while the application is pending before the Commission, during the term of the license, and for 30 days following license termination.

(2) All licensees and applicants are expected to notify their contractors of the prohibition against discrimination for engaging in protected activities.

Note - Copies of NRC Form 3 may be obtained by writing to the Regional Administrator of the appropriate U.S. Nuclear Regulatory Commission Regional Office listed in Appendix D to Part 20 of this chapter or by contacting the NRC Information and Records Management Branch (telephone no. 301-492-8138).

(f) No agreement affecting the compensation, terms, conditions, or privileges of employment, including an agreement to settle a complaint filed by an employee with the Department of Labor pursuant to section 211 of the Energy Reorganization Act of 1974, as amended, may contain any provision which would prohibit, restrict, or otherwise discourage an employee from participating in protected activity as defined in paragraph (a) (1) of this section including, but not limited to, providing information to the NRC or to his or her employer on potential violations or other matters within NRC's regulatory responsibilities.

28 PART 60 - DISPOSAL OF HIGH-LEVEL RADIOACTIVE WASTES IN GEOLOGIC REPOSITORIES

9. The authority citation for Part 60 is revised to read as follows:

AUTHORITY: Secs. 51, 53, 62, 63, 65, 81, 161, 182, 183, 68 Stat. 929, 930, 932, 933, 935, 948, 953, 954, as amended (42 u.s.c. 2071, 2073, 2092, 2093, 2095, 2111, 2201, 2232, 2233);

secs. 202, 206, 88 Stat. 1244, 1246 (42 u.s.c. 5842, 5846); secs.

10 and 14, Pub. L.95-601, 92 Stat. 2951 (42 u.s.c. 2021a and 5851); sec. 102,* Pub. L.91-190, 83 Stat. 853 (42 u.s.c. 4332);

secs. 114, 121, Pub. L.97-425, 96 Stat. 2213(g), 2228 as amended (42 u.s.c. 101l4, 10141) and Pub. L. 102-486, sec. 2902, 106 Stat. 3123, (42 U.S.C. 5851).

10. Section 60.9 is revised to read as follows:

§ 60.9 Employee protection.-

(a) Discrimination by a Commission licensee, an applicant for a Commission license, or a contractor or subcontractor of a Commission licensee or applicant against an employee for engaging in certain protected activities is prohibited. Discrimination includes discharge and other actions that relate to compensation, terms, conditions, or privileges of employment. The protected

29 activities are established in section 211 of the Energy Reorganization Act of 1974, as amended, and in general are related to the administration or enforcement of a requirement imposed.under the Atomic Energy Act or the Energy Reorganization Act.

(1) The protected activities include but are not limited to:

(i) Providing the Commission or his or her employer information about alleged violations of either of the above statutes or possible violations of requirements imposed under either of the above statutes; (ii) Refusing to engage in any practice made unlawful under either of the above statutes or under these requirements if the employee has identi"fi.ed the alleged illegality to the employer; (iii) Requesting the Commission to institute action against his or her employer *for the administration or enforcement of these requirements; (iv) Testifying in* any Commission proceeding, or before Congress, or at any Federal or State proceeding regarding any provision (or proposed provision) of either of the above statutes.

30 (v) Assisting or participating in, or is about to assist or participate in, these activities.

(2) These activities are protected even if no formal proceeding is actually initiated as a result of the employee assistance or participation.

(3) This section has no application to any employee alleging

- discrimination prohibited by this section who, acting without direction from his or her employer (or the employer's agent),

deliberately causes a violation of any requirement of the Energy Reorganization Act of 1974,. as amended, or the Atomic Energy Act of 1954, as amended.

(b) Any employee who believes that he or she has been discharged or otherwise discriminated against by any person for engaging in protected activities specified in paragraph (a) (1) of this section may seek a remedy for the discharge or discrimination through an administrative proceeding in the.-

Department of Labor. The administrative proceeding must be initiated within 180 days after an alleged violation occurs. The employee may do this by filing a complaint alleging the violation with the Department of Labor, Employment Standards Administration, Wage and Hour Division. The Department of Labor may order reinstatement, back pay, and compensatory damages.

31 (c) A violation of paragraph (a), (e), or (f) of this section by a Commission licensee, an applicant for a Commission license, or a contractor or subcontractor of a Commission licensee or applicant may be grounds for -

{l) Denial, revocation, or suspension of the license.

(2) Imposition of a civil penalty on the licensee or applicant.

(3) Other enforcement action.

(d) Actions taken by an employer, or others, which adversely affect an employee may be predicated upon nondiscriminatory grounds .. The prohibition applies when the adverse action occurs because the employee has engaged in

- protected activities. An employee's engagement in protected activities does not automatically render him or her immune from discharge or discipline for legitimate reasons or from adverse action dictated by nonprohibited considerations.

(e) (1) Each licensee and each applicant for.a license shall prominently post the revision of NRC Form 3, "Notice to Employees," referenced in 10 CFR 19.ll{c). This form shall be posted at locations sufficient to permit employees protected by this section to observe a copy on the way to or from their place

32 of work. Premises must be posted not later than 30 days after an application is docketed and remain posted while the application is pending before the Commission, during the term of the license, and for 30 days following license termination.

(2) All licensees and applicants are expected to notify their contractors of the prohibition against discrimination for engaging in protected activities.

Note - Copies of NRC Form 3 may be obtained by writing to the Regional Administrator of the appropriate U.S. Nuclear Regulatory Commission Regional Office listed in Appendix D to Part 20 of this chapter or by contacting the NRC Information and Records Management Branch (telephone no. 301-492-8138).

(f) No agreement affecting the compensation, terms, conditions, or privileges of employment, including an agreement to settle a complaint filed by an .employee with the Department of Labor pursuant to section 211 of the Energy Reorganization Act of 1974, as amended, may contain any provision which would prohibit, restrict, or otherwise discourage an employee from participating in protected activity as defined in paragraph (a) (1) of this section including, but not limited to, providing information to the NRC or to his or her employer on potential violations or other matters within NRC's regulatory responsibilities.

PART 61 - LICENSING REQUIREMENTS FOR LAND DISPOSAL OF RADIOACTIVE WASTE

33

11. The authority citation for Part 61 is revised to read as follows:

AUTHORITY: Secs. 53, 57, 62, 63, 65, 81, 161, 182, 183, 68 Stat. 930, 932, 933, 935, 948, 953, 954, as amended (42 u.s.c.

2073, 2077, 2092,2093, 2095, 2111, 2201, 2232, 2233); secs. 202,206, 88 Stat. 1244, 1246, (42 U.S.C. 5842, 5846); secs. 10 and 14, Pub. L.95-601, 92 Stat. 2951 (42 U.S.C. 2021a and 5851) 9 and Pub. L. 102-486, sec. 2902, 106 Stat. 3123, (42 U.S.C. 5851).

12. Section 61.9 is revised to read as follows:

§ 61.9 Employee protection.

(a) Discrimination by a Commission licensee, an applicant for a Commission license, or a contractor or subcontractor of a

- Commission licensee or applicant against an employee for engaging in certain protected activities is prohibited. Discrimination includes discharge and other actions that relate to compensation, terms, conditions, or privileges of employment. The protected activities are established in section 211 of the Energy Reorganization Act of 1974, as amended, and in general are related to the administration-or enforcement of a requirement imposed under the Atomic Energy Act or the Energy Reorganization Act.

34 (1) The protected activities include but are not limited to:

(i) Providing the Commission or h1s or her employer information about alleged violations of either of the above statutes or possible violations of requirements imposed under either of the above statutes; (ii) Refusing to engage in any practice made unlawful under either of the above statutes or under these requirements if the employee has identified the alleged illegality to the employer; (iii) Requesting the Commission to institute action against his or her employer for the administration or enforcement of these requirements; (iv) Testifying in any**commission proceeding, or before

- Congress, or at any Federal or State proceeding regarding any provision (or proposed provision) of either of the above statutes.

(v) Assisting or participating in, or is about to assist or participate in, these activities.

(2) These activities are protected even if no formal proceeding is actually initiated as a result of the employee assistance or participation.

35 (3) This section has no application to any employee alleging discrimination prohibited by this section who, acting without direction from his or her employer (or the employer's agent),

deliberately causes a violation of any requirement of the Energy Reorganization Act of 1974, as amended, or the Atomic Energy Act of 1954, as amended.

(b) Any employee who believes that he or she has been discharged or otherwise discriminated against by any person for engaging in protected activities specified in paragraph (a) (1) of this section may seek a remedy for the discharge or discrimination through an administrative proceeding in the Department of Labor. The administrative proceeding must be initiated within 180 days after an alleged violation occurs. -The employee may do this by filing a complaint alleging the violation with the*Department of Labor, Employment Standards-

- Administration, Wage and Hour Division. The Department of Labor may order reinstatement, back pay, and compensatory damages.

(c) A violation of paragraph (a), (e), or*(f) of this section by a Commission licensee, an applicant for a Commission license, or a contractor or subcontractor of a Commission licensee or applicant may be grounds for -

(1) Denial, revocation, or suspension of the license.

36 (2) Imposition of a civil penalty on the licensee or applicant.

(3) Other enforcement action.

(d) Actions taken by an employer, or others, which adversely affect an employee may be predicated upon nondiscriminatory grounds. The prohibition applies when the adverse action occurs because the employee has engaged in protected activities. An employee's engagement in protected activities does not automatically render him or her immune from discharge or discipline for legitimate reasons or from adverse action dictated by nonprohibited considerations.

(e) (1) Each licensee and each applicant for a license shall prominently post the revision.*of NRC Form 3, "Notice to Employees," referenced in 10 CFR 19.ll(c). This form shall be posted at locations sufficient to permit employees protected by this section to observe a copy on the way to or from their place of work. Premises must be posted not later than 30 days after an application is docketed and remain posted while the application is pending before the Commission, during the term of the license, and for 30 days following license termination.

37 (2) All licensees and applicants are expected to notify their contractors of the prohibition against'discrimination for engaging in protected activities.

Note - Copies of NRC Form 3 may be obtained by writing to the Regional Administrator of the appropriate U.S. Nuclear Regulatory Commission Regional Office listed in Appe~dix D to Part 20 of this chapter or by contacting the NRC Information and Records Management Branch (telephone no. 301-492-8138).

(f) No agreement affecting the compensation, terms, conditions, or privileges of employment, including an agreement to settle a complaint filed by an employee with the Department of Labor pursuant to section 211 of the Energy Reorganization Act of 1974, as amended, may contain any provision which would prohibit, restrict, or otherwise discourage an employee from participating in protected activity as defined in paragraph (a) (1) of this section including, but not limited to, providing information to the NRC or to his or her employer on potential violations or other matters within NRC's regulatory responsibilities.

PART 70 - DOMESTIC LICENSING OF SPECIAL NUCLEAR MATERIAL

13. The authority citation for Part 70 is revised to read as follows:

AUTHORITY: Secs. 51, 53, 161, 182, 183, 68 Stat. 929, 930, 948, 953, 954 as amended, secs .. 234, 83 Stat. 444, as amended (42

38 u.s.c. 2071, 2073, 2201, 2232, 2233, 2282); Secs. 201, as amended., 202, 204,206, 88 Stat. 1242, as amended, 1244, 1245, 1246, ( 42 u.s.c. 5841, 5842, 5845, 5846).

Sections 70.l(c) and 70.20a(b) also issued under secs. 135, 141, Pub.L.97-425, 96 stat. 2232, 2241 (42 U.S.C.10155, 10161).

Section 70.7 also issued under Pub. L. 5-601, sec.lo, 92 stat.

2951 as amended by Pub. L. 102-486, sec. 2902, 106 Stat. 3123, (42 u.s.c. 5851). Section 70.21(g) also issued under sec. 122, 68 Stat. 939 (42 u.s.c. 2152). Section 70.31 also issued under sec. 57d, Pub. L.93-377, 88 Stat. 475 (42 u.s.c. 2077).

Sections 70.36 and 70.44 also issued under sec. 184, 68 stat.

954, ~s amended (42 u.s.c. 2234). Section 70.61 also issued under secs. 186, 187, .68 Stat. 955 (42 u.s.c. 2236, 2237). Section 70.62 also issued under sec. 108, 68 stat. 939, as amended (42 u.s.c. 2138).

14. Section 70.7 is revised to read as follows:

§ 70.7 Employee protection.

(a) Discrimination by a Commission licensee, an applicant for a Commissi.on license, or a contractor or subcontractor of a

.commission licensee or applicant against an employee for engaging in certain protected activities is proh.ibited. Discrimination includes discharge and other actions that relate to compensation, terms, conditions, or privileges of employment. The protected

39 activities are established in section 211 of the Energy Reorganization Act of 1974, as amended, and in general are related to the administration or enforcement of a requirement imposed under the Atomic Energy Act or the Energy Reorganization Act.

(1) The protected activities include but are not limited to:

(i) Providing the Commission or his or her employer information about alleged violations of either of the above statutes or possible violations of requirements imposed under either of the above statutes; (ii) Refusing to engage in any practice made unlawful under either of the above statutes or under these requirements if the employee has identified the alleged ill~gality to the employer; (iii) Requesting the Commission to institute action against his or her employer for the*administration or enforcement of these requirements; (iv) Testifying in any Commission proceeding, or before Congress, or at any Federal or State proceeding regarding any provision (or proposed provision) of either of the above statutes.

40 (v) Assisting or participating in, or is about to assist or participate in, these activities.

(2) These activities are protected even if no formal proceeding is actually initiated as a result of the employee assistance or participation.

(3) This section has no application to any employee alleging discrimination prohibited by this section who, acting without direction from his or her employer (or the employer's agent),

deliberately causes a violation of any requirement of the Energy Reorganization Act of 1974, as amended, or the Atomic Energy Act of 1954, as amended.

(b) Any employee who believes that he or she has been discharged or otherwise discriminated against by any person for engaging in protected activities specified in paragraph (a) (1) of this section may seek a remedy for the discharge or discrimination through an administra-tive*proceeding in the Department of Labor. The administrative proceeding must be initiated within 180 days after an alleged violation occurs. The employee may do this by filing a complaint alleging the violation with the Department of Labor, Employment Standards Administration, Wage and Hour Division. The Department of Labor may order reinstatement, back pay, and compensatory damages.

41 (c) A violation of paragraphs (a), (e), or (f) of this section by a Commission licensee, an applicant for a Commission license, or a contractor or subcontractor of a Commission licensee or applicant may be grounds for -

(1) Denial, revocation, or suspension of the license.

(2) Imposition of a civil penalty on the licensee or applicant.

(3) Other enforcement action.

(d) Actions taken by an employer, or others, which adversely affect an employee may be predicated upon nondiscriminatory grounds. The prohibition applies when the adverse action occurs because the employee has engaged in

- protected activities. An employee's engagement in protected activities does not automatically render him or her immune from discharge or* g_iscipline for legitimate reasons or from adverse action dictated by nonprohibited considerations.

(e) (1) Each specific licensee, each applicant for a specific license, and each general licensee subject to Part 19 shall prominently post the. revision of NRC Form 3, "Notice to Employees," referenced in 10 CFR 19.ll(c).

42 (2) All licensees and applicants are expected to notify their contractors of the prohibition against discrimination for engaging in protected activities.

(3) The posting of NRC Form 3 must be at locations sufficient to permit employees protected by this section to observe a copy on the way to or from their place of work.

Premises must be posted not later than 30 days after an application is docketed and remain posted while the application is pending before the Commission, during the term of the license, and for 30 days following license termination.

Note - Copies of NRC Form 3 may be obtained by writing to the Regional Administrator of the appropriate U.S. Nuclear Regulatory Commission Regional Office listed in Appendix D to Part 20 of this chapter or by contacting the NRC Information and Records Management Branch (telephone no~- 301-492~8138).

(f) No agreement affecting the compensation, terms, conditions, or privileges of employment, including an agreement to settle a complaint filed by an employee with the Department of Labor pursuant to section 211 of the Energy Reorganization Act of 1974, as amended, may contain any provision which would prohibit, restrict, or otherwise discourage an employee from participating in protected activity as defined in paragraph (a) (1) of this section including, but not limited to, providing information to the NRC or to his or her employer on potential violations or other matters within NRC's regulatory responsibilities.

43 PART 72 - LICENSING REQUIREMENTS FOR THE INDEPENDENT STORAGE OF SPENT NUCLEAR FUEL AND HIGH-LEVEL RADIOACTIVE WASTE

15. The authority citation for Part 72 is revised to read as follows:

AUTHORITY: Secs. 51, 53, 57, 62, 63, 65, 69, 81, 161, 182, 183, 184, 186, 187, 189, 68 stat. 929, 930, 932, 933, 934, 935, 948, 953, 954, 955, as amended, sec. 234, 83 Stat. 444, as amended (42 u.s.c. 2071, 2073, 2077, 2092, 2093, 2og5, 2099, 2111, 2201, 2232, 2233, 2234, 2236, 2237, 2238, 2282), sec. 274 Pub. L.86-373, 73 Stat. 688, as amended (42 u.s.c. 2021); sec. 201, as amended, 202, 206, 88 Stat. 1242, as amended, 1244, 1246 (42 U.S.C. 5841, 5842, 5846); Pub. L.95-601, sec. 10, 92 Stat.

2951 as amended by Pub. L. 102-486, sec. 2902, 106 Stat. 3123, (42 u.s.c. 5851); sec. 102, Pub. L.91-190, 83 Stat. 853 )42

- u.s.c. 4332); secs. 131, 132, 133, 135, 137, 141, Pub. L.97-425, 96 Stat. 2229, 2230, 2232; 2241, sec. 148, Pub. L. 100-203, 101 Stat. 1330-235 (42 U.S.C. 10151, 10152, 10153, 10155, 10157, 10161, 10168).

Section 72.44(g) also issued under secs. 142(b) and 148(c),

(d), Pub. L. 100-203, 101 stat. 1330-232, 1330-236 (42 u.s~c.

10162(b), 10168(c), (d). Section 72.46 also issued under sec. 189, 68 stat. 955 (42 u.s.c. 2239); sec. 134, Pub. L.97-425, 96 Stat. 2230 (42 U.S.C. 10154). Section 72.96(d) also issued under

44 sec. 145(g), Pub. L. 100-203, 101 stat. 1330-235 (42 u.s.c.

10165(g)). Subpart J also issued under secs. 2(2), 2(15), 2(19),

117(a), 14l(h)~ Pub. L.97-425, 96 Stat. 2202, 2203, 2204, 2222, 2244, (42 u.s.c. 10101, 10137(a), 1016l(h). Subparts Kand Lare also issued under sec. 133, 96 Stat. 2230 (42 U.S.C. 10153) and sec. 218(a), 96 Stat. 2252 (42 U.S.C. 10198).

16. Section 72.10 is revised to read as follows:

§ 72.10 Employee protection.

(a) Discrimination by a Commission licensee, an applicant for a Commission license, or a contractor or subcontractor of a Commission licensee or applicant against an employee for engaging in certain protected activities is prohibited. Discrimination includes discharge and other actions that relate to compensation, terms, conditions, or privileges of employment. The protected activities are established in section 211 of the Energy Reorganization Act of 1974, as amended, and in general are related to the administration or enforcement of a requirement imposed under the Atomic Energy Act or the Energy Reorganization Act.

(1) The protected activities include but are not limited to:

45 (i) Providing the Commission or his or her employer information about alleged violations of either of the above statutes or possible violations of requirements imposed under either of the above statutes; (ii) Refusing to engage in any practice made unlawful under either of the above statutes or under these requirements if the employee has identified the alleged illegality to the employer; (iii) Requesting the Commission to institute action against his or her employer for the administration or enforcement of these requirements; (iv) Testifying in any .Commission proceeding, or before Congress, or at any Federal or State proceeding regarding any provision (or proposed provision) of either of the above

- statutes~

(v) Assisting or participating in, or is about to assist or participate in, these activities.

(2) These activities are protected even if no formal proceeding is actually initiated as a result of the employee assistance or participation.

46 (3) This section has no application to any employee alleging discrimination prohibited by this section who, acting without direction from his or her employer (or the employer's agent),

deliberately causes a violation of any requirement of the Energy Reorganization Act of 1974, as amended, or the Atomic Energy Act of 1954, as amended.

(b) Any employee who believes that he or she has been discharged or otherwise discriminated against by any person for engaging in protected activities specified in paragraph (a) (1) of this section may seek a remedy for the discharge or discrimination through an administrative proceeding in the Department of Labor. The administrative proceeding must be initiated within 180 days after an alleged violation occurs. The employee may do this by filing a complaint alleging the violation with the Department of Labor, Employment Standards

- Administration, Wage and Hour Division. The Department of Labor may order reinstatement, back pay, and compensatory damages.

(c) A violation of paragraphs (a), (e), or (f) of this section by a Commission licensee, an applicant for a Commission licensee, or a contractor or subcontractor of a Commission licensee or applicant may be grounds for -

(1) Denial, revocation, or suspension of the license.

47 (2) Imposition of a civil penalty on the licensee or applicant.

(3) Other enforcement action.

(d) Actions taken by an employer, or others, which adversely affect an employee may be predicated upon nondiscriminatory grounds. The prohibition applies when the adverse action occurs because the employee has engaged in protected activities. An employee's engagement in protected activities does not automatically render him or her immune from discharge or discipline for legitimate reasons or from adverse action dictated by nonprohibited considerations.

(e) (1) Each licensee and each applicant for a license shall prominently post the revision of NRC Form 3, "Notice to Employees," referenced in 10 CFR 19.ll(c). This form shall be posted at locations sufficient to permit employees protected by this section to observe a copy on the way to or from their place of work. Premises must be posted not later than 30 days after an application is docketed and remain posted while the application is pending before the Commission, during the term of the license, and for 30 days following license termination.

48 (2) All licensees and applicants are expected to notify their contractors of the prohibition against discrimination for engaging in protected activities.

(3) Copies of NRC Form 3 may be obtained by writing to the Regional Administrator of the appropriate U.S. Nuclear Regulatory Commission Regional Office listed in Appendix D to Part 20 of this chapter or by contacting the NRC Information and

- Records Management Branch (telephone no. 301-492-8138).

(f) No agreement affecting the compensation, terms, conditions, or privileges of employment, including an agreement to settle a complaint filed by an employee with the Department of Labor pursuant to section 211 of the Energy Reorganization Act of 1974, as amended, may contain any provision which would prohibit, restrict, or. otherwise discourage an employee from participating

__ in protected activity as defined in paragraph (a) (1) of this section including, but not limited to, providing information to the NRC or to his or her employer on potential violations or other matters within NRC's regulatory responsibilities.

PART 150 - EXEMPTIONS AND CONTINUED REGULATORY AUTHORITY IN AGREEMENT STATES AND IN OFFSHORE WATERS UNDER SECTION 274

18. The authority citation for Part 150 is revised to read as follows:

49 AUTHORITY: Sec. 161, 68 Stat. 948, as amended, sec. 274, 73 Stat. 688 (42 u.s.c. 2201, 2021); sec. 201, 88 Stat. 1242, as amended (42 u.s.c. 5841).

Sections 150.3, 150.15, 150.15a, 150.31, 150.32 also issued under secs. lle(2), 81, 68 Stat. 923, 935, as amended, secs. 83, 84, 92 Stat. 3033, 3039 (42 u.s.c. 2014e(2), 2111, 2113, 2114).

Section 150.14 also issued under sec. 53, 68 Stat. 930; as amended (42 u.s.c. 2073). Section 150.15 also issued under secs. 135, 141, Pub. L.97-425, 96 Stat. 2232, 2241 (42 u.s.c. 10155, 10161). Section 150.17a also issued under sec. 122, 68 Stat. 939 (42 U.S.C. 2152). Section 150.30 also issued under sec. 234, 83 Stat. 444 (42 U.S.C. 2282).

19. In§ 150.20, paragraph (b) is revised to read as follows:

§ 150.20 Recognition of Agreement State licenses.

(b) Notwithstanding any provision to the contrary in any specific license issued by an Agreement State to a person engaging in activities in a non-Agreement State or in offshore waters under the general licenses provided in this section, the general*licenses provided in this section are subject to the provisioris of§§ 30.7(a) through (f), 30.9, 30.10, 30.14(d),

30.34, 30.41, 30.51 to 30.63, inclusive, of part 30 of this

50 chapter;§§ 40.7{a) through (f), 40.9, 40.10, 40.41, 40.51, 40.61, 40.63 inclusive, 40.71 and 40.81 of part 40 of this chapter;§§ 70.7(a) through (f), 70.9, 70.10, 70.32, 70.42, 70.51 to 70.56, inclusive, 70.60 to 70.62, inclusive, and to the provisions of 10 CFR parts 19, 20 and 71 and subpart B of part 34,* §§ 39.15 and 39.31 through 39.77, inclusive, of part 39 of this chapter. In addition, any person engaging in activities in non-Agreement States or in offshore waters under the general licenses provided in this section:

-:I- day ofzj*:* ,

Dated atz1ockville, Maryland this 1993, For the Nuclear Regulatory Commission.

or for Operations.