[Federal Register Volume 60, Number 214 (Monday, November 6, 1995)]
[Notices]
[Pages 56068-56069]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-27411]
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NUCLEAR REGULATORY COMMISSION
Communications Between the NRC and Licensees; Policy Statement
AGENCY: Nuclear Regulatory Commission.
ACTION: Policy statement.
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SUMMARY: This policy statement presents the Nuclear Regulatory
Commission (NRC) policy that informs both the nuclear industry and the
NRC staff of the Commission's expectations regarding communications,
including the reporting of perceived inappropriate regulatory actions
by the NRC staff. The Commission encourages and expects open
communications at all levels between its employees and those it
regulates. Licensees should feel unconstrained in communicating with
the NRC. Additionally, the NRC will not tolerate inappropriate
regulatory actions by the NRC staff, nor will it tolerate retaliation
or the threat of retaliation against those licensees who communicate
concerns to the agency.
EFFECTIVE DATE: November 6, 1995.
FOR FURTHER INFORMATION CONTACT: Cynthia A. Carpenter, Office of the
Executive Director for Operations, U.S. Nuclear Regulatory Commission,
Washington, DC. 20555, telephone: (301) 415-1733.
SUPPLEMENTARY INFORMATION:
Background
COMSECY-95-008, dated February 21, 1995, forwarded to the
Commission a draft NRC policy that would inform both the nuclear
industry and the NRC staff of the Commission's expectations regarding
communications, including the reporting of perceived inappropriate
regulatory actions by the NRC staff. COMSECY-95-008 also forwarded a
proposed procedure for handling such concerns within the Office of the
Executive Director for Operations (OEDO) if reported by a senior power
reactor manager (licensee official).
In a Staff Requirements Memorandum dated March 21, 1995, the
Commission directed the NRC staff to discuss the concepts in COMSECY-
95-008 with the Agency Labor-Management Partnership (ALMP) and to meet
with the Nuclear Energy Institute (NEI) to discuss communication
issues. In addition, the Commission provided items for further NRC
staff consideration in its evaluation of the proposed policy and
guidance documents.
The NRC staff discussed the proposed NRC policy and the draft
procedure for handling perceived inappropriate regulatory actions
during the Regional Labor-Management Partnership Subcommittee
(Partnership) meeting on March 29, 1995, and at the ALMP meeting on
April 21, 1995. There was consensus within the Partnership that the
procedure was necessary. The Partnership also provided several
suggested wording changes to clarify the procedure.
On May 11, 1995, the NRC staff met with NEI representatives
regarding the NRC staff's actions in response to the Towers Perrin
Nuclear Regulatory Review Study and to discuss communications between
the NRC and the nuclear industry. NEI believed that the NRC's
initiatives would enhance the effectiveness of communications between
NRC and the nuclear industry and encourage the NRC staff to communicate
this policy and procedure to the industry.
SECY-95-149, dated June 8, 1995, forwarded to the Commission the
revised NRC policy that would inform both the nuclear industry and the
NRC staff of the Commission's expectations regarding communications,
including the reporting of perceived inappropriate regulatory actions
by the NRC staff. As recommended by the Commission, the procedure was
expanded to address the broad range of communications between the NRC
and licensees. The NRC staff clarified the definition of inappropriate
regulatory actions, including changes recommended by the Partnership.
The procedural steps were also reordered as recommended by the
Commission.
In a Staff Requirements Memorandum dated June 28, 1995, the
Commission did not object to issuance of the policy regarding
communications between the NRC and industry.
Statement of Policy
In 1991, the Commission established the ``NRC Principles of Good
Regulation,'' a copy of which is presented as Appendix A to this
document. The Commission believes that good regulation must be
transacted publicly and candidly and that open communications must be
maintained with Congress, other Government agencies, licensees, and the
public.
The Commission encourages and expects open communications at all
levels between its employees and those it regulates. Licensees should
feel unconstrained in communicating with the NRC. The Commission also
expects the NRC staff to exercise initiative in maintaining open lines
of communication and to ensure that its regulatory activities are
appropriate and consistent. The Commission recognizes that honest,
well-intentioned differences in opinions between the NRC staff and the
licensee will occasionally occur. Therefore, the Commission encourages
open communications to foster an environment where such differences
receive constructive and prompt resolution.
Open communication also extends to the reporting of perceived
inappropriate regulatory actions by the NRC staff when dealing with
licensees. The Commission encourages licensees to provide specific
information regarding such concerns.
The NRC will not tolerate inappropriate regulatory actions 1
by the
[[Page 56069]]
NRC staff, nor will it tolerate retaliation or the threat of
retaliation against those licensees who communicate concerns to the
agency. NRC staff whose actions are found to be contrary to this policy
could be subject to disciplinary actions in accordance with the NRC
Management Directive 10.99, ``Discipline, Adverse Actions and
Separations'' (formerly Manual Chapter 4171), or in accordance with the
Collective Bargaining Agreement Between the U.S. Nuclear Regulatory
Commission and National Treasury Employees Union.
\1\ Inappropriate regulatory actions include activities that
exceed the agency's regulatory authority, involve improper
application of agency requirements, or adversely affect the agency's
regulatory functions. Examples of inappropriate regulatory actions
include, but are not limited to, unjustified inconsistent
application of regulations and guidance by NRC staff or management
that significantly affect licensee activities and inappropriate
action on the part of NRC staff and management that disrupts
effective communications with the licensee.
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Dated at Rockville, Maryland, this 31st day of October 1995.
For the Nuclear Regulatory Commission.
John C. Hoyle,
Secretary of the Commission.
Appendix A to This Document--NRC Principles of Good Regulation
NRC Principles of Good Regulation
Independent. Nothing but the highest possible standards of
ethical performance and professionalism should influence regulation.
However, independence does not imply isolation. All available facts
and opinions must be sought openly from licensees and other
interested members of the public. The many and possibly conflicting
public interests involved must be considered. Final decisions must
be based on objective, unbiased assessments of all information, and
must be documented with reasons explicitly stated.
Open. Nuclear regulation is the public's business, and it must
be transacted publicly and candidly. The public must be informed
about and have the opportunity to participate in the regulatory
processes as required by law. Open channels of communication must be
maintained with Congress, other government agencies, licensees, and
the public, as well as with the international nuclear community.
Efficient. The American taxpayer, the rate-paying consumer, and
licensees are all entitled to the best possible management and
administration of regulatory activities. The highest technical and
managerial competence is required, and must be a constant agency
goal. NRC must establish means to evaluate and continually upgrade
its regulatory capabilities. Regulatory activities should be
consistent with the degree of risk reduction they achieve. Where
several effective alternatives are available, the option which
minimizes the use of resources should be adopted. Regulatory
decisions should be made without undue delay.
Clear. Regulations should be coherent, logical, and practical.
There should be a clear nexus between regulations and agency goals
and objectives where explicitly or implicitly stated. Agency
positions should be readily understood and easily applied.
Reliable. Regulations should be based on the best available
knowledge from research and operational experience. Systems
interactions, technological uncertainties, and the diversity of
licensees and regulatory activities must all be taken into account
so that risks are maintained at an acceptably low level. Once
established, regulation should be perceived to be reliable and not
unjustifiably in a state of transition. Regulatory actions should
always be fully consistent with written regulations and should be
promptly, fairly, and decisively administered so as to lend
stability to the nuclear operational and planning processes.
[FR Doc. 95-27411 Filed 11-3-95; 8:45 am]
BILLING CODE 7590-01-P
