NUREG-1499, Responds to Expressing Dissatisfaction W/Nrc Implementation of Enforcement Policy Wrt Protection of Individuals Raising Safety Concerns at Npps.Commission Focusing on Discrimination Cases & Issues

Responds to Expressing Dissatisfaction W/Nrc Implementation of Enforcement Policy Wrt Protection of Individuals Raising Safety Concerns at Npps.Commission Focusing on Discrimination Cases & Issues

ML20134F022
Person / Time
Issue date:	10/18/1996
From:	Shirley Ann Jackson, The Chairman NRC COMMISSION (OCM)
To:	Lochbaum D AFFILIATION NOT ASSIGNED
Shared Package
ML20134F025	List: NUREG-1499, Responds to Expressing Dissatisfaction W/Nrc Implementation of Enforcement Policy Wrt Protection of Individuals Raising Safety Concerns at Npps.Commission Focusing on Discrimination Cases & Issues
References
RTR-NUREG-1499 NUDOCS 9611040222
Download: ML20134F022 (8)

Text

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UNITED STATES 0*

4 NUCLEAR REGULATORY COMMISSION WASHINGTON. D.C. 205 %-0001 e

,/

October 18, 1996 4....

CHAIRMAN Mr. David A. Lochbaum Nuclear Engineer 2010 Roswell Road, Apt. 2887 Marietta, Georgia 30068

Dear Mr. Lochbaum:

I am responding to your September 2, 1996 letter, in which you expressed dissatisfaction with NRC's implementation of its enforcement policy, particularly with respect to protection of individuals who raise safety concerns at the nation's nuclear power plants.

You also took issue with a statement by our Director of Enforcement in his August 9,1996 letter to Mr. Paul Blanch concerning NRC resources to investigate allegations of

'frongdoing associated with 10 CFR 30.7, 50.7, and 70.7 and asserted that the

.staff is reluctant to take enforcement action against individuals in discrimination cases.

The Commission recognizes the importance of the i:.es you are raising and is considering ways to focus agency resources more appropriately on high priority discrimination cases. Our goal is to place greater emphasis on the NRC staff's investigations of discrimination issues and the enforcement of the employee protection regulations when allegations of discrimination are substantiated.

The NRC, like all government agencies, has limited resources and must prioritize issues in order to best conduct its mission.

The priorities for cases involving alleged discrimination were recently revised as a result of the " Reassessment of the NRC's Program for Protecting Allegers Against Retaliation," NUREG-1499 (January 1994), which I have enclosed for your information.

The Commission continues to evaluate initiatives to improve its handling of discrimination cases as a result of ongoing studies. The General Accounting Office (GA0) has been conducting an audit of the way the NRC and the Department of Labor handle complaints of discrimination raised by employees of the nuclear industry. The GA0 is expected to report its findings by January 1997. Concurrently, an NRC team recently completed a review of the handling of allegations of discrimination at Hillstone over the last ten years. The team's report is to be issued shortly.

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These efforts are expected to lead to improvements in the handling of investigations of discrimination cases and in the timeliness of related enforcement actions.

However, these improvements do not necessarily mean that enforcement action will occur in every substantiated instance of 9611040222 961018 s

EkEPDR fldNIL j$ l vb EOS h0S U

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. discrimination. The Commission's Enforcement Policy does provide that enforcement action is normally taken when discrimination is substantiated.

However, under Section VII.B.5 of the Enforcement Policy, the NRC may choose not to take enforcement action in certain instances in order to encourage prompt settlement and to foster broad corrective action to reduce the potential chilling effect at a licensee's facility.

Additionally, the Commission considers the raising of safety concerns to the NRC an important issue, and we seriously consider and give appropriate attention to concerns raised.

The NRC recently issued a Statement of Policy,

" Freedom of Employees in the Nuclear Industry to Raise Safety Concerns Without Fear of Retaliation," dated May 14, 1996.

I have enclosed, for your information, a copy of this policy statement, which emphasizes NRC's expectation that licensees and other employers subject to NRC authority will establish and maintain safety-conscious environments in which employees feel free to raise safety concerns, both to their management and to the NRC, without fear of retaliation.

The NRC has the authority to investigate alleged discrimination and take enforcement action against licensees, contractors of licensees, and individuals who are found to have unlawfully discriminated against employees in violation of NRC regulations. The NRC staff has taken enforcement action against individuals in certain reactor and materials discrimination cases.

We will continue to do so.

The Commission appreciates your comments and your concerns about protection of nuclear plant employees who have safety concerns.

I want to assure you that the Commission is focusing increased attention on the handling of discrimination cases.

Sincerely, b

Shirley Ann Jackson

Enclosures:

1.

NUREG-1499 2.

Statement of Policy

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l i

4

)

NUREG-1499 l

l l Pteassessment of the NRC's

! Program for Protecting l Allegers Against Retaliation l

i i

l l

U.S. Nuclear Regulatory Commission i

f Review 1bam Report l

l Q,e s,,t6) i 1

l 4

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

34338 Federal Register / Vol. 61, No. 94 / Tuesday, May 14, 1996 / Notices Freedomof Employeesin the Nuclear

' Itis retaliation is naman=ptable and j

industry To Reise Selely Conoeme unlawful. In addition to tne hardship Wigiout Fear of Rotalission; Policy mused to the individual employee, the 4

Statement Perception by follow woriers that raisingcannarns has resuhed in Aesucv:NuclearRegulatory retahation can generate a chilling ellect Cornmission.

that may discourase other workers from Acncee Statement of policy.

concerns. A relar*==a= on b

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Part o unployeesto reine concernsis manaARY:The Nuclear Regulatory detri===*

to enfaty l

ra== lesion (NRC) is issuing this policy stat.mont to est forth its e atation

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nuclear industry.This statement policy statement to addrges the need to is applicehle to NRC octivities

.- m g,,,,,, g of all NRC H-- and their withregedAfasewhg@ -

contractors and subcontractors.

,,,,cio,,,,% g, DATeB:May 14,1996.

employees am free to raise salsty POR PURTHeR INpofRAATIoM CONTACT:

ennemens without fear of stribution James Lieberman, Duector, Office of (reco===nd=*iana ILA-1 II.A-2, and Enforcement, U.S. Nucleu Regulatory II.A.4).Ch February 8,1995, the remnminaion Washington,DC20555--

en==Im=lan eAer ceneidering those 0001.(301)'415-2741.

m===d=*ia== and the bases for them peliebed for a=====* a proposed suppl.an.surrany esponesAfion:

policy statement,"Fueedom of "A-Emp in the NuclearIndustry to NRC Hn====== have the prunary Raise ComoernsWithout Fear of s-rNiity to ensure the safety of Pa*=H=*ia= "in the Fede,ral Eagleter (60 nuclear operations. LlanhRostion and FR 7592, 8,19 5).

coEununicatian of esfety N proposed N

concerns 8 and the of gemented aa==a-a=

private employees to raise such concerns is an citisens end.ispsesentatives of the integral ofcarryingoutthis 8='h'*'y concerning both the policy statement and NBCandDepartneemt of j

uty.

~ A the poet,emp have raiend Labor (DOL)r '

=. N mose -

4 im issues as a sesult,the signiacent casaments seleted to the i

health and enfety hee benented.

contents of the pelley stateneemt Ahhough the a==lasia= reongnises Iscluded.

r

1. N sisteessat would i

that not every'eaan=rn reised by employees is safety magniac ne ar, for discounage Arma bringing that matter,is valid,the m==t,= san theirconcerne to ISCbecenseit 4

e aaarlad== that it is important that Providedthateenployees should licensees' =.n gn==ne a=e=hh=h sa normeMy provide a==a=== to the enviennment in which asisty issues are licsomes prior to or-

"y 4

I with cousing to the NRC.

praempdtl id=atlAmet and ellectivelyandin which employees feel be et the discuetics of the and 2.'Ibe use of a holding period should moolv free to raise concerns, notbe considmedby the in hundreds of concerns are raised resolved dailyin the nuclear evaluatingthe oftime l

licensee's anelan 1

ladustry, the Co==ia=la= on occaelon, 3.N poucy statementis not needed j

woolves sports ofindividuals being to estebush an anwh====at to seine wtaunted ogninst for raising concerns.

concerns if NEuses hs histhority to

g=4==a=*= by enforce adell Ig d crhainal===r*ia=

ehoushame this Policy sessumment the terms civilan nmens.- asssayannamma"and sehty psahlam" sehr to pan. eW ar accent lauses wishin against wlMB distelmindB.

theem's partedluuan levolv6se,

4.h desteiptien elemployee

^-'-s'-' mismus. whouards. meses"ac. """'*"as progreams and the of

- and esh.,mener mi u si N r**em*e'd activiums, contratters was too pmeariptive' agu n

1 i,

Federal Regneter / Vol. 61, No. 94 / Tuesday, May 14, 1996 / Notices 24337

+

j l

sxpedstions anamrning oversight of "exmpt in limited fact-specific Operations (54 FR 3424, January 24, contradors were perceived as the situations" would not absolve 1969), management must provide the employees of the duty to inform the leadership that nurtures and maintains imposition of new requirements without employer of matters that could bear on the safety envinna===t.

z= to the Alminlahative in developing this policy statement.

Procedure Ad and the NRC's Backfit public, including worker, health and a

the an=lesionconsideredbneed r

safety has been deleted. However, the for:

Rule,10 CFR 50.109.

policy statement expresses the (1) 1.icensees and their contractors to 5.De need for employee can=ns Programs (ECPs) was questioned, Commission's expedation that establish work enviran= ants, with including whether the ECPs fostered the employees, when coming to the NRC, effective processes for should normally have provided the identl8 cation and ution,whose development of a strong safety culture.

6.%e suggestion for lavolvement of concern to the employer prior to or employees feel free to raise mn=ns, j

senior --. ~ in nesolving contemporaneously with coming to the both to their==nagf :=*=Hael-;

n.ne and to the i

discrimination complaints was too NRC.

NRC, without fuer o pseemiptive and that decisions on Statement of Felicy (2) Imprwing contractore'sweseness i

of their responsibilities in this ame:

eenior===g====* involvement should De purpose of this Statement of

.13) Senior menessment of Hm====s j'

be decided by Ikansees.

In =Asitian two public moeungs were Po is to set forth the Nuclear and ea=*=et=e to take the held with supresentatives of the Nuclear Corn =taaion's

'on uty for assuringthat mass of m :'id=ina*ian are appeopriately Energy Inmatenen (NEI) to discuss the lia====== and other em alleged d a=tahlfah policy statement. Sununaries subject to NRC authority innstigated and maled;and of meetings along with a revised and maintain a safety-conscious work (4) Employees in the segulated Poucy ses*===* proposed by NEl were environment in which employees feej industry to escognies their h y to taise safety ma=us to induded with the comments to the free to raise concoms both to their own t

--V policy statement filed in the Public management and the NRC without fear

' licensees and their right to raise of retaliation. A safety-conscious work

'nn=ns to the NRC.

N'en==t Roosa (PDR).

• mP oyers, including h,t is dimm his policy statement is beingissued environment is critical to a licensee's M8 PoHey matmana a-and their after considering the public comments ability to safely carry out licensed l

and coordinadon with the Department activities.

contractws, suW to NRC authwih, of Labor. The more signif cant changes This policy statement and the and their employees, it is intended to princip,es set forth in it are intended to minface the principle to alllicensees included' policy statement was revised to apply to licensed activities of all NRC and other employers subject to NRC

1. De f

clarify that senior management is licensees and their contractors,*

auewly est en act dretaHation =

arpare=d to take sosponsibility for although it is recognized that'some of discnsninauen againa en eenployee fw j

assuring that asas of alleged the suagestions, programs, or steps that raising a pnem=*ial esidy canarn is not discrimination are ap

'tely might be taken to improve the quality of only unlawful but uney adunely imp *ed D * " " " * "" P ""' "

• I l

being personally involved in the establishment of a method to raise

%*P oyees whe raise concerns sarn an i

ind'* and reso v as opposed to the work environment (e.g.,

concems outside the normal im t mio in potential resolution of these matters.

2. References to meinemaanca of a management structure such as an issues.Rus,the cannot and t

concerns

) maInot be in "*' 88I"8' 8""'"" '8'I"'I l

" quality ca==elana environment" have emMofor very a=%=

"ym loyen Q8 tty toidentify pokr

==== that ete m pt m carry mit I

l been changed to" safety-moscious hve only a few employees and a very e

enviremment" to put the focus on safety, 8

l 3.De policy statement has been

,g,{g,,,maEt structurebelieves that the se mised to emphasise that while g e Comm as==== tad NRC ty Yi k

wiu kinedgate ausgedensest employese corns may p1 safety-en conscious enviven= ant. th*

come from witnin a llama

's dlicammes or6eirontmoton haw i

• =aahHah===* of altsemative programs is organisation (or the organisation of the been discrimineasd egnenst for salaing Honese's contactor) es casamunicatedanan=== and to teks enforonment action 4.The ve=*===at continues to and demonarendby Deanm and if discrh=1==*aa= is m'=*==*i=*=d De not a m

=iaar r===lasian has licensees

• 1; - -Nuty for controdor manag==he value of allmotive should recogniset mguledons to ny emi m7).Undw consnectm.Ms is not an" for pmblem identiacation and (m, e.g, a l

" Howem,the policy statsunent was revised to provide that

@n un? ^=> the negative.,

~

Yiaboralso

-- m of ae nnegr i

eni.mosnomi deci. ions egnast u a.-

e,,,,,,otan,,&e,e,ce,oon d

1 l

rEch

" P iY" 7i,,,, 7 d has es maeorly toinnsdgam ags p

counP aints of discri=I==sina and to j

es the salatlanahlp between the licenne that muhiple chmanale exist for raising l

sadcontractor,the _ -

of concerns. As se Counmission nadad h

-8""*f"""" f "'f,,*m a"$.

the a=na=='s oweight of the its M69 Policy Statement on the u

i

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contractor's mes -a and its setempts to Conduct of Nucl=ar PowerPlant e

in-sugma and mea = *e maer.

.mei.,= = *.

L To avand the P=""

. m i.sha. on.N.u ih. = = -n diu==ame=

by some comumenters that gsuggested

==r policy ii.d u 4ce - enn a

et emesammensewon shs NaC.N NBC j

eft 8"" " k""" """" "E 8"' ' ' *""

.nsoresm i.h htm.etammtesteset==.pu-and* # CFE Pam h Wa**8""

passmal suanden Ier die indMdmal

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statement neight eniployees j

from :=isingannamns to NRCIf the includes conusesses and subonneenters of NRC ser Almg emmpbelman ensk the DOL and submuths j

employee is concerned shout setsg,gon licensens and applienes esamed er employees by

.n.p

== can he immed en NFC Fwm 3 which by the employer,the statement that 6,n aninx21 eribe taesy semesaissues Act ticeusses en sat *=d to P*-

orsen. an=nded.

i reporting concerns to the Commission l

1 3

i

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34338 Federal. Register / Vol. 61. No. 94 / Tuesday, May 14, 1996 / Notices Provide a pereocal remedy to the directly to the NRC.s Training of addressing concoms are arr==ible*

employee when discrimination is found supervisors may also minimize the credible, and e5ective.

to have occurred.

potential percep*1on that efforts to g g4,9,,yp reduce operating and maintenance costs. help % g eful insights on varioj no NRC may initiate an investigation may cause supervisors to be less

,pp cven though the matter is also being McePtive to employee concoms if that at % h Y

pursued within the DOL process.

identification and resolution of 34 PQg g,,,

However, the NRC's determination of whether to do so is a fundice of the concems involve sigmficant costs or tgc priority of the case which is bened on its schedule delays.

ofdl5menuPPW, M w-pa*==*1=I merits and its sigsdfirmaa Inantive programs may provide a (1) An "open door" policy that allows relative to other ongoing NRC highly visible method for demonstrating in. Y-- *

====g===ne's ran=itment to safety, by hemgicyee tobring the concern to a rewardag ideas not based solely on manager; EEenisePressenes forPrehism their cost envings but also on their (2) A policy that permits employees to i.na.aan== a== ami W xxatribution to safety. Credible self raise concerns to the licensee's quality

• = of the enviran===t for assurance group:

Ucensees beer the primary

., "hty for the safe use of nuclear raising gocorns can contribute to (3) An combudemen program; or masereals in their various lin====ri effectiveness by'svaluating the (4) Sans kna of an employee and timeliness of problem activities.To carry out that on. Self-=======a#= can also be

""n* Propam.

""^-, liconeses need to receive

%e success of a licanese alternetin

=neidamesan of nonn.,ns as used to determine whether employees problent st==*ine=*iaa and believe their concems have been Program for concerns may be inSuened i

resohstion processes are sesential to tely addressed and whether by how =ar==ihl= the program is to ensuring safety.hus,the mnmi=. inn ernp yees feel free to raise concerns.

employees, priori'hetin= processes, e

8

, c '==

ons to protect the expects that seda lir=a-will establish When problems are identi8ed through identity of trop yees including the a esisty-conscious enviran-t where self essessment, prompt corrective action should be taken.

ability to allow reportingissues with eenployees ars===q: ' to raise anonymity, and renomoss. However, the f

raa=an and where such concems are Licensees and their contractors Prime far*ars in the success of a given Prom reviewed, given the proper should clearly identify the p.e --

Prospam appear to be desmonstrated Priority on their potential safety that employees may use to raise management sup and how sigalacanos, and ap

' tely resolved

<=ar=rns and employees should be with thmely to employees.

encouraged to use them.%e NRC

, timely on'the A esisty conscious enviraamant is appreciates the value of amployees follow-up and resolution of concoms miniosood by'a====g===at attitude using normal promanes (e.g., raising

.mised by employees uney be a neccesary issues to the employee supervisors or element of these proyeses.

that prenotes eenployee con &dence in managers or Eling deficiency mports) raising and reentving concerns. Other cttributes of a work place with this type for Problem identi8 cation and his Policy ne=a===ne should not be resolution. However, it is important to interpreted as a requir====t that every cf an enthosument any include well.

that the fact that sonne liconese====hlia ale===eive proyams for i.f "d systems or a do not desire to use the,

forraisingand

annaarns, am

' ;probleans diroming line managesnent praa,=== does I i<=a-abound the need for rumoumes -- " j y,e5setive not mean that these employees do n' t providing =1a====*ive seethods for o

-=s,=esan, among various have legitimate concerns that should be reistasconcerns that can serve es

',====='s--.or elemeens of the captured by the lir-=='s resolution laternal"secspe vehes"or"esisty sharinginfersnation and the Processes.Nor doesit mean thatthe nets."

• e- " --" mightinclude li

= for y

^'

"a""*1 Processes am not s8 amin. Even the number of Q^ - the root meses ofide==*ihet prah and in a lygood envhomnent, nonne comiplexity of _

and managerswith an open may not always be hasants,and the history an

' ettitude,a focusen emisty, and a ' ve orientation toward com in raising a=== through made to the NRC erllasness.

^'

the normal chan==la From a safety akselve abernative for adanisties correcting pawnnel P88ePective,no==ehr=4 of raising identifying and cancerns may j

Potential salsty concerns should be eseist lin===== in==i=*=aning a safety-errors.

Initialand periodk;trabing A=

yiThus,in theinternet of raa=r4== envisonment, the (Lacl> Jag aames=rane tmining) for both having concerns raised,thee,===s=1,m raamlantaa by seeking the sugestion q,icyees and sapervisers niay also be each it<=w to have a dual for =*=hliahl absenstive propeans,is en tempermet laser in schieving a work focuadC On achieving and maintaining not requiring to how such enviremnant in which gunployees feel en enviran===t where employees feel propens.In the ebenano af a.

^ haposed by the fue to rules concess.km addition to ime to raies their concems directly to em==s=i=m. the==s=hhh==ae and i

commund._nating ---- 8,-- g-u,, e,,gg go, their supervisors and to 11<=====

tioih empervison unployees options ~~

', and (2) on ensuring that frunework of shornettve proyams are i

y ahernate means of raising and discationary.

t for lan==etar=*ia= Rio would l

use of lia====,'s internal

'7'*i" '8 *I a'Pweimm la tboelm of alsing

• In emulaping them k is impansat br i

pran=== es well as providing concerns comenens and the use et ausresuse inneraal numer unumsmo to be a espass au pummuni

)

g Pmmanus may annismiss the a -en a that can be salary ensames. ust ) mat esseuses seinend to "snisty.

j

• The 9Eand DOL base amamed inesa asumsed whos.

_ - g=r4 ily trat time suissed"assivitin esemed by le(FE Plot es, j

honummmessa of Undesusanding to heillesse empervisers, puestse employees as "prehlem Appendia B. Per ammpia. asummes sulatens to l

i sehemmen.and-n a pi-a-=i-

- r- -= - has==sa the ap-,4 - (4r rm senes:

employess if the empi.y s. In misins cameras.

__ we ns.he menand.

t,rness ein chsin or

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is a

a ti--=*- 3. isent

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Fedcrol 8--M;r / Vol. 61, No. 94 / Tuesday, May 14, 1996 / Notices 24339 improving Contraders' Awareness of environments, licensees should work place and is in the best interests consider taking action so that:

of both the limnsee and the employee.

" ~ ^ - -

Their *

(t) Each contractor involved in For these reasons,the Commission's

~

The Commission,s long-standing licensed activities is aware of the enfontament polsey provides for applicable regulations that prohibit consideration of the actions taken by c

ad contin be t r**Pocsi discrimination; licensees in addmesing and resolving complianm with NRC requirements' (2) Each contractor is aware ofits issues of discrimination when the won if Hana== use contractws fw responsibilities in fostering an Commission develops enforcement Products or services related to heensed environment in which employees feel sanctions for violations involving activities 3us, Hoensees am free to raise concems related to licensed discrimination. (59 FR 60697; November ble fw having their contractws activities; 28,1994).

ntain an environment in which (3)The limnses has the ability to In sosne esses,ma t may End contrador employees are free to raise oversee the contractor's efforts to it desirable to use a h penod, that concerns without fear of retallation.

encourage employees to raise concerns, is, to maintain or restore pay and Newtheless,certain NRC pmvent discrimination, and resolve benents of the employee aHeging

--ts apply directly to allegations of discrimination by retallation, pending reconsideration or contractors ofliensees (see, for obtaining reports of alleged contractor resolution of the snetter or pending the an by the w

unsaple, the rules on denberate discrimination and associated outcome of an inz

=lannaduct, such as 10 PR 30.10 and investigations conducted by or on behalf t of Labor 330L).This 50.5 and the mies on rervting of ofits contractors; conducting its own h

period may calm feelings on.

deless and na===plia asin to CFR investigations of such discrimination; site an could b used to demonstrate Part 21). In particular, th; cornmission's and,if warranted,by directing that management secouragssment of an prohibition on disalminating against remedial action be undentaken; and environsw.t mnducive to raising employees for raising safety concerns (4) Contractor employees and concerm. By this approach, appHes to the contractors ofits management are informed of(a) the managsunet would be acknowledgmg licensees, as well as to licensees (see, for importance of raising safety conmms that although a dispute exists as to example,10 CFR 30.7 and 50.7).

and (b) how to raise concems through whether discrimination occurred, in the Accordingly,if alicensee contractor normal processes, attemative internal interest of not discouragmg other discnmmates against one ofits processes, and directly to the NRC.

emp oyees from raising concerns, the oyee involved in the dispute will employees in violation of applicable Adoption of contract provisions em Commission rules,the Commission covering the matters discussed above not ose pay and bene 8ts while the intends to consider enforcement action may provide additional assurana that action is being reconsidesed or the against both the liconese, who menains mntractor employees will be able to dispute is being resolved. However, responsible for the environment raise concems without fear of inclusion of the holding period maintained by its matractors, and the retaliation.

approach in this policy armaammat is not intended to altair the existing rights of employer who actually discriminated I"*I****t *I S*"i*' *""8""' 8" either the Ucensee or the unployee, or the employee. In considering ca== of AHeged macruni==e=n be taken as a duection by, or en enforosnient actions should be tahen against licensees for contractor The Commission reminds licensees of ei,parention of, the

===i-la=, for w

r actions, and the nature of such actions, their ob on both to ensure that 1t===== to the holding period the NIIC intends to maaider, among actions askinst employees, concept.For the eenployee med the

" = in a holding other things, the relatianship of the hda-personnel actions by eenployer,Ette' conditions of a specific contrador to the particular lim =- and contractors, who have raised onarns period usu its ll===d activities; the have a well-founded, non-case is enthely val==eary.

m=hleness of the licensee's discriminatory basis and to make clear A limn-may conclude,aber a full oversight of the contractor envuonment to all employees that any adverse action review, that an adverse adion a for raising annassas by==ehad= such as taken against an esoployee was for esoployee is warrensed.71hs licensee's soviews of contractor policies legitimate, non<ilscriminatary ma em =l-lan recopises the need for for raising and resolving cancerns and if ernployees allege retaliation for 11==== to take asion when justised.

sudits of the effemiveness of contractor engaging in protected activities, senior ra==lamian regulations do not render a ellerts la carrying out these policies, beansee management should be advised person who improtomed

)

j

• - or inchuHay

__ n and training of of the matter and assure that the acti knenune

" is disci

• === fag heat non'-

eenployees and supervisors; the appropriata level of = J - - lar facts

===ad== eta== (see, for linsness's involvement in or involved, reviewing the particu

%, to psevent the and evaluating or reconsidering the example,10 CPR 50.7(d)).*lho rm==l==ta= enpocts h-=- to make dEriminnainne and the licensee's efforts salon.

'" to the particular The intent of this policy statement is personnel dariana== that are arm san==t in _ __ition of'discrl=fantion, including to emphasise the importance of I'"""

with reguistory and that allegu whether theum==== reviewed the

====g===a' taking an active role to contremor's in. "

^% conducted its promptly resolve situations involving iwhen other smylsynes less that the ladividual own in on,'or took :==aa==hle alleged di~,:rimination. Because of the who was the melpen of as adeuse aussa may asion to a remedy for any cosaplex nature of labor-manessment how eesssedingy,,tt m,,,r he a

g di /

action and to reduce relations,any externally-imposed g,,,,,,,,,,,,,,,e,,,,,,sy,,4 inesi resolution is not as desirable as one

_ thsa m mensyssena sevissed eks aN=ces potential Contremore i===== have been achieved internally. 'Ibe Cosnmission maesrand w shstasennen = =

l involved in a number of disalminneton emphasises that internal resolution is '

=====meds) the asins was anja g,

cosnplaints that are made employees. the licensee's responsibility, and that

%'"",",',',",",,'",,F,_

,,u,,, to la the interest of ensuring t their early reeolution without government saanween ths= to miss issues. Tids may adma contractors establish safety-conscious involvement is less likely to disrupt the any passpanen that manusteen escuned

\\

i 14, 1996 / Notices Federal of 'er / Vol. 61, No. 94 / Tuesday, May i

24340 i

The Commission's expectation that promptly and effectively aJdress the I

matter.%e NRC should nonnally be will-hanan the eNediveness and employees will normally raise safety viewed as a safety valve and not as s enfety of the licensee's operations.

concerns to their employers does not substitute forum for raising asisty

...... j W g mean that employees may not come l

directly to the NRC. %e Commission ranmens.

hispo statsenent has been issued to highlighyt imn====' existing 1

encourages eroployees to come to the s seanhasiand above, the NRC at any time they believe that the obligation to vanintain an environment d a*y for==ine=laing a safety.

Commission should be aware of their j

i

, = ' -

ran=ciana environment rests with conarns.io But, while not required, the in which employees are free to raise i

licenses -

'he nuclear industry also Commission does expect that employees concerns without resalt=*ian b

- ' However, employees in t normally will have raised the issue with expedations and sugestions anatalaarl j

have _ _[m_inciple, h e7 ' %

the limasse either prior to or in this poucy =*=*==However,if a==8 (o no mu*ia= in this ares. As a 1

general coatser _ =ly with condag to the new requhements.

iicenses has not estabBabed a seisty-J naranHy exposes empWin tim NRC. %e Coraml==lan cautions raa.,4ana envira====e as evid=amel by i

nuclearindustry to raise safety and licensees that complaints that adverse j

conipliance conossas disectly to action was taken against an employee retaliation against en ind'-idual for licensees, er ladisedly to licensees for not bringing a concern to his or her la a protected activity, I

through contradora, bomune lima===,

employer, when the empylobrought w

theacdvi involves providing and not the -ame== lam. bear the the comarn to the NRC, wus be closely information to the or the NRC, e

j scru at=d by the NRC to determine if appropriate enforament action may be

~uty for esis operation primary _ _ blini== and safe use of n

enforcement action is warranted for taken against the Heensee,its cfguclears i

contractors, and the involved individual f

nuclear materials.:n 11,==

,and discrimination.

not the NRC,is usually in the best Retallation against employees engaged supervisors; for violations of NRC position and has the detailed knowledge in protected activities, whether theY requironants.

i i

of b speciac ans and b have raised concerns to their employers b Conuni== fan recognises that the resources a pranptly and or to the NRC, will not be tolerated. if actions discussed in this poucy ith tr=rwens raised by adverse action is found to have occurred suta==at will not nar===rily insulate j

(ffectively w%1s is =arehar reason whybecause the employee raised a concern an employee fran rauhadon.nor will employees.

l

% cmami==lan expects Umn==s to to either the NRC or the hcensee, civil by removg aH pesonalcost abould b

==8=hle=h an enviran==nt in which and criminal enforcement action may be employee seek a personal remedy.

employees feel free to raies concerns to taken against the licanese and the However, has amoures,if adoped by ble for the licensees, should improve the h Econeses eh====1v.s.

Person Emp'*

have a variety

> = -

-va-=

for raisa.g-c,rees C m1 e.,ia...of means to l

p.ied et sockvule, Maryland, this eth day Saanenary eenployees reise concerns to them, such ne mamissian, that NRC of May, tees.

j as employanant controds, employers' and, a

• m, and certain licensees willestab safety-conscious For the Nuclear Itapdesary rh==l= ion.

e

^- la fact, many envirosunents in which employees of John C. Boyle, employees in the nuclear industry have 11ama===s and lima==a contractors are sacrose.ryofshe===A-= aa e

been =parismily hired to fulall NRC '

free, and feel free, to raise rnar=rns,to

[PR Doc. 96-13038 Fund 5-13 es;s:45em) j their

- ' and to the NRC

,,,,,,, w j

gts thatliconesesidentify without fear of retaliation.

vial =*ia== and esfoty issues.Exces of theseinclude many 1.imosses mustensure that g

namnhare

*"m employment edians against employees i

esspioyees who have raised concerns have a well-spielity asemence==stinela= protection, founded, non-discriminatary basis.

and security edivities. In addition to When allegations of discrimination arise individuals'who ap.eaa,=lly perform in licensee, contractor, or enhannovector j

l functions to meset -ana ing organisations,the m =s=mian expeos e

Mbe %==8==naa.

that amniar lir====I====g===a' will r

l au manployees to raise sesuse that the appropriate level of i

concerns to licensees if they identify "isinvolved'to review the m-sinisty leones so that haeneess een l

address thans befuse an event with particular iscw, evaluate or reconsider e

the action,an.d where warranted, j

safety --

e occairs.

remed themetter.

Em oyees also have a role in e

,asy pr riasseswy to a conscious j

1ge con sad

.sm,w a umsmus is ese

]

is esmessesetpassmas by enviran==nt.

employees are 4

""'"" free to come to the at any time, the empesysse er secs-am muttes hemeyden h ACOEm rma-lasian expects'that employees g,,,,g, will normally reise r=armens with the

]

}

w shuse in pec spensamme er sec ynnyam.

involved 1tr===== becoues the lir====

est f

michlesumeshouldhe dhamly to h*

has b primary responsibility for safety i

insemessinesmenmasemans:e and is normally in b best position to

, m'P'*"ua""" -

• • h

)

0j""

hm

. m -,a ese ne say nas er deauss ender se arm

The ts--*=a-a lasseds to praesca sia idastify 4

pesi as and in as esas er -m-a e==i mushaus of ledt,6 duals who amme to the pec to the pasasst s

emedagems,the Gememissima has amt endised shes ansat passibia.See **

' of Policy on 1

j

--r====an==IJssmemes ese smquised by to CFR 39.12 Proescting the identity of Allegers and ConGdsntial le their'a==ra==ahsidy to to tuula anstein sauross.-

s serediasses answy.

j s issnesses i

.