96-12028. Freedom of Employees in the Nuclear Industry To Raise Safety Concerns Without Fear of Retaliation; Policy Statement  

  • [Federal Register Volume 61, Number 94 (Tuesday, May 14, 1996)]
    [Notices]
    [Pages 24336-24340]
    From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
    [FR Doc No: 96-12028]
    
    
    
    -----------------------------------------------------------------------
    
    
    NUCLEAR REGULATORY COMMISSION
    
    Freedom of Employees in the Nuclear Industry To Raise Safety 
    Concerns Without Fear of Retaliation; Policy Statement
    
    AGENCY: Nuclear Regulatory Commission.
    
    ACTION: Statement of policy.
    
    -----------------------------------------------------------------------
    
    SUMMARY: The Nuclear Regulatory Commission (NRC) is issuing this policy 
    statement to set forth its 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 responsibility for maintaining such an environment 
    rests with each NRC licensee, as well as with contractors, 
    subcontractors and employees in the nuclear industry. This policy 
    statement is applicable to NRC regulated activities of all NRC 
    licensees and their contractors and subcontractors.
    
    DATES: May 14, 1996.
    
    FOR FURTHER INFORMATION CONTACT: James Lieberman, Director, Office of 
    Enforcement, U.S. Nuclear Regulatory Commission, Washington, DC 20555-
    0001, (301) 415-2741.
    
    SUPPLEMENTARY INFORMATION:
    
    Background
    
        NRC licensees have the primary responsibility to ensure the safety 
    of nuclear operations. Identification and communication of potential 
    safety concerns 1 and the freedom of employees to raise such 
    concerns is an integral part of carrying out this responsibility.
    ---------------------------------------------------------------------------
    
        \1\ Throughout this Policy Statement the terms ``concerns,'' 
    ``safety concerns'' and ``safety problem'' refer to potential or 
    actual issues within the Commission's jurisdiction involving 
    operations, radiological releases, safeguards, radiation protection, 
    and other matters relating to NRC-regulated activities.
    ---------------------------------------------------------------------------
    
        In the past, employees have raised important issues and as a 
    result, the public health and safety has benefited. Although the 
    Commission recognizes that not every concern raised by employees is 
    safety significant or, for that matter, is valid, the Commission 
    concludes that it is important that licensees' management establish an 
    environment in which safety issues are promptly identified and 
    effectively resolved and in which employees feel free to raise 
    concerns.
        Although hundreds of concerns are raised and resolved daily in the 
    nuclear industry, the Commission, on occasion, receives reports of 
    individuals being retaliated against for raising concerns. This 
    retaliation is unacceptable and unlawful. In addition to the hardship 
    caused to the individual employee, the perception by fellow workers 
    that raising concerns has resulted in retaliation can generate a 
    chilling effect that may discourage other workers from raising 
    concerns. A reluctance on the part of employees to raise concerns is 
    detrimental to nuclear safety.
        As a result of questions raised about NRC's efforts to address 
    retaliation against individuals who raise health and safety concerns, 
    the Commission established a review team in 1993 to reassess the NRC's 
    program for protecting allegers against retaliation. In its report 
    (NUREG-1499, ``Reassessment of the NRC's Program for Protecting 
    Allegers Against Retaliation,'' January 7, 1994) the review team made 
    numerous recommendations, including several recommendations involving 
    issuing a policy statement to address the need to encourage responsible 
    licensee action with regard to fostering a quality-conscious 
    environment in which employees are free to raise safety concerns 
    without fear of retribution (recommendations II.A-1, II.A-2, and II.A-
    4). On February 8, 1995, the Commission after considering those 
    recommendations and the bases for them published for comment a proposed 
    policy statement, ``Freedom of Employees in the Nuclear Industry to 
    Raise Safety Concerns Without Fear of Retaliation,'' in the Federal 
    Register (60 FR 7592, February 8, 1995).
        The proposed policy statement generated comments from private 
    citizens and representatives of the industry concerning both the policy 
    statement and NRC and Department of Labor (DOL) performance. The more 
    significant comments related to the contents of the policy statement 
    included:
        1. The policy statement would discourage employees from bringing 
    their concerns to the NRC because it provided that employees should 
    normally provide concerns to the licensee prior to or contemporaneously 
    with coming to the NRC.
        2. The use of a holding period should be at the discretion of the 
    employer and not be considered by the NRC in evaluating the 
    reasonableness of the licensee's action.
        3. The policy statement is not needed to establish an environment 
    to raise concerns if NRC uses its authority to enforce existing 
    requirements by pursuing civil and criminal sanctions against those who 
    discriminate.
        4. The description of employee concerns programs and the oversight 
    of contractors was too prescriptive; the
    
    [[Page 24337]]
    
    expectations concerning oversight of contractors were perceived as the 
    imposition of new requirements without adherence to the Administrative 
    Procedure Act and the NRC's Backfit Rule, 10 CFR 50.109.
        5. The need for employee concerns programs (ECPs) was questioned, 
    including whether the ECPs fostered the development of a strong safety 
    culture.
        6. The suggestion for involvement of senior management in resolving 
    discrimination complaints was too prescriptive and that decisions on 
    senior management involvement should be decided by licensees.
        In addition, two public meetings were held with representatives of 
    the Nuclear Energy Institute (NEI) to discuss the proposed policy 
    statement. Summaries of these meetings along with a revised policy 
    statement proposed by NEI were included with the comments to the policy 
    statement filed in the Public Document Room (PDR).
        This policy statement is being issued after considering the public 
    comments and coordination with the Department of Labor. The more 
    significant changes included:
        1. The policy statement was revised to clarify that senior 
    management is expected to take responsibility for assuring that cases 
    of alleged discrimination are appropriately investigated and resolved 
    as opposed to being personally involved in the resolution of these 
    matters.
        2. References to maintenance of a ``quality-conscious environment'' 
    have been changed to ``safety-conscious environment'' to put the focus 
    on safety.
        3. The policy statement has been revised to emphasize that while 
    alternative programs for raising concerns may be helpful for a safety-
    conscious environment, the establishment of alternative programs is not 
    a requirement.
        4. The policy statement continues to emphasize licensees' 
    responsibility for their contractors. This is not a new requirement. 
    However, the policy statement was revised to provide that enforcement 
    decisions against licensees for discriminatory conduct of their 
    contractors would consider such things as the relationship between the 
    licensee and contractor, the reasonableness of the licensee's oversight 
    of the contractor's actions and its attempts to investigate and resolve 
    the matter.
        5. To avoid the possibility suggested by some commenters that the 
    policy statement might discourage employees from raising concerns to 
    the NRC if the employee is concerned about retaliation by the employer, 
    the statement that reporting concerns to the Commission ``except in 
    limited fact-specific situations'' would not absolve employees of the 
    duty to inform the employer of matters that could bear on public, 
    including worker, health and safety has been deleted. However, the 
    policy statement expresses the Commission's expectation that employees, 
    when coming to the NRC, should normally have provided the concern to 
    the employer prior to or contemporaneously with coming to the NRC.
    
    Statement of Policy
    
        The purpose of this Statement of Policy is to set forth the Nuclear 
    Regulatory Commission's expectation that licensees and other employers 
    subject to NRC authority will establish and maintain a safety-conscious 
    work environment in which employees feel free to raise concerns both to 
    their own management and the NRC without fear of retaliation. A safety-
    conscious work environment is critical to a licensee's ability to 
    safely carry out licensed activities.
        This policy statement and the principles set forth in it are 
    intended to apply to licensed activities of all NRC licensees and their 
    contractors,2 although it is recognized that some of the 
    suggestions, programs, or steps that might be taken to improve the 
    quality of the work environment (e.g., establishment of a method to 
    raise concerns outside the normal management structure such as an 
    employee concerns program) may not be practical for very small 
    licensees that have only a few employees and a very simple management 
    structure.
    ---------------------------------------------------------------------------
    
        \2\ Throughout this Notice, the term ``licensee'' includes 
    licensees and applicants for licenses. It also refers to holders of 
    certificates of compliance under 10 CFR Part 76. The term 
    ``contractor'' includes contractors and subcontractors of NRC 
    licensees and applicants defined as employers by section 211(a)(2) 
    of the Energy Reorganization Act of 1974, as amended.
    ---------------------------------------------------------------------------
    
        The Commission believes that the most effective improvements to the 
    environment for raising concerns will come from within a licensee's 
    organization (or the organization of the licensee's contractor) as 
    communicated and demonstrated by licensee and contractor management. 
    Management should recognize the value of effective processes for 
    problem identification and resolution, understand the negative effect 
    produced by the perception that employee concerns are unwelcome, and 
    appreciate the importance of ensuring that multiple channels exist for 
    raising concerns. As the Commission noted in its 1989 Policy Statement 
    on the Conduct of Nuclear Power Plant Operations (54 FR 3424, January 
    24, 1989), management must provide the leadership that nurtures and 
    maintains the safety environment.
        In developing this policy statement, the Commission considered the 
    need for:
        (1) Licensees and their contractors to establish work environments, 
    with effective processes for problem identification and resolution, 
    where employees feel free to raise concerns, both to their management 
    and to the NRC, without fear of retaliation;
        (2) Improving contractors' awareness of their responsibilities in 
    this area;
        (3) Senior management of licensees and contractors to take the 
    responsibility for assuring that cases of alleged discrimination are 
    appropriately investigated and resolved; and
        (4) Employees in the regulated industry to recognize their 
    responsibility to raise safety concerns to licensees and their right to 
    raise concerns to the NRC.
        This policy statement is directed to all employers, including 
    licensees and their contractors, subject to NRC authority, and their 
    employees. It is intended to reinforce the principle to all licensees 
    and other employers subject to NRC authority that an act of retaliation 
    or discrimination against an employee for raising a potential safety 
    concern is not only unlawful but may adversely impact safety. The 
    Commission emphasizes that employees who raise concerns serve an 
    important role in addressing potential safety issues. Thus, the NRC 
    cannot and will not tolerate retaliation against employees who attempt 
    to carry out their responsibility to identify potential safety 
    issues.3
    ---------------------------------------------------------------------------
    
        \3\ An employee who believes he or she has been discriminated 
    against for raising concerns may file a complaint with the 
    Department of Labor if the employee seeks a personal remedy for the 
    discrimination. The person may also file an allegation of 
    discrimination with the NRC. The NRC will focus on licensee actions 
    and does not obtain personal remedies for the individual. 
    Instructions for filing complaints with the DOL and submitting 
    allegations can be found on NRC Form 3 which licensees are required 
    to post.
    ---------------------------------------------------------------------------
    
        Under the Atomic Energy Act of 1954, as amended, the NRC has the 
    authority to investigate allegations that employees of licensees or 
    their contractors have been discriminated against for raising concerns 
    and to take enforcement action if discrimination is substantiated. The 
    Commission has promulgated regulations to prohibit discrimination (see, 
    e.g., 10 CFR 30.7 and 50.7). Under Section 211 of the Energy 
    Reorganization Act of 1974, as amended, the Department of Labor also 
    has the authority to investigate complaints of discrimination and to
    
    [[Page 24338]]
    
    provide a personal remedy to the employee when discrimination is found 
    to have occurred.
        The NRC may initiate an investigation even though the matter is 
    also being pursued within the DOL process. However, the NRC's 
    determination of whether to do so is a function of the priority of the 
    case which is based on its potential merits and its significance 
    relative to other ongoing NRC investigations.4
    ---------------------------------------------------------------------------
    
        \4\ The NRC and DOL have entered into a Memorandum of 
    Understanding to facilitate cooperation between the agencies. (47 FR 
    54585; December 3, 1982).
    ---------------------------------------------------------------------------
    
    Effective Processes for Problem Identification and Resolution
    
        Licensees bear the primary responsibility for the safe use of 
    nuclear materials in their various licensed activities. To carry out 
    that responsibility, licensees need to receive prompt notification of 
    concerns as effective problem identification and resolution processes 
    are essential to ensuring safety. Thus, the Commission expects that 
    each licensee will establish a safety-conscious environment where 
    employees are encouraged to raise concerns and where such concerns are 
    promptly reviewed, given the proper priority based on their potential 
    safety significance, and appropriately resolved with timely feedback to 
    employees.
        A safety-conscious environment is reinforced by a management 
    attitude that promotes employee confidence in raising and resolving 
    concerns. Other attributes of a work place with this type of an 
    environment may include well-developed systems or approaches for 
    prioritizing problems and directing resources accordingly; effective 
    communications among various departments or elements of the licensee's 
    organization for openly sharing information and analyzing the root 
    causes of identified problems; and employees and managers with an open 
    and questioning attitude, a focus on safety, and a positive orientation 
    toward admitting and correcting personnel errors.
        Initial and periodic training (including contractor training) for 
    both employees and supervisors may also be an important factor in 
    achieving a work environment in which employees feel free to raise 
    concerns. In addition to communicating management expectations, 
    training can clarify for both supervisors and employees options for 
    problem identification. This would include use of licensee's internal 
    processes as well as providing concerns directly to the NRC.5 
    Training of supervisors may also minimize the potential perception that 
    efforts to reduce operating and maintenance costs may cause supervisors 
    to be less receptive to employee concerns if identification and 
    resolution of concerns involve significant costs or schedule delays.
    ---------------------------------------------------------------------------
    
        \5\ Training of supervisors in the value of raising concerns and 
    the use of alternative internal processes may minimize the conflict 
    that can be created when supervisors, especially first line 
    supervisors, perceive employees as ``problem employees'' if the 
    employees, in raising concerns, bypass the ``chain of command.''
    ---------------------------------------------------------------------------
    
        Incentive programs may provide a highly visible method for 
    demonstrating management's commitment to safety, by rewarding ideas not 
    based solely on their cost savings but also on their contribution to 
    safety. Credible self assessments of the environment for raising 
    concerns can contribute to program effectiveness by evaluating the 
    adequacy and timeliness of problem resolution. Self-assessments can 
    also be used to determine whether employees believe their concerns have 
    been adequately addressed and whether employees feel free to raise 
    concerns. When problems are identified through self-assessment, prompt 
    corrective action should be taken.
        Licensees and their contractors should clearly identify the 
    processes that employees may use to raise concerns and employees should 
    be encouraged to use them. The NRC appreciates the value of employees 
    using normal processes (e.g., raising issues to the employee 
    supervisors or managers or filing deficiency reports) for problem 
    identification and resolution. However, it is important to recognize 
    that the fact that some employees do not desire to use the normal line 
    management processes does not mean that these employees do not have 
    legitimate concerns that should be captured by the licensee's 
    resolution processes. Nor does it mean that the normal processes are 
    not effective. Even in a generally good environment, some employees may 
    not always be comfortable in raising concerns through the normal 
    channels. From a safety perspective, no method of raising potential 
    safety concerns should be discouraged. Thus, in the interest of having 
    concerns raised, the Commission encourages each licensee to have a dual 
    focus: (1) On achieving and maintaining an environment where employees 
    feel free to raise their concerns directly to their supervisors and to 
    licensee management, and (2) on ensuring that alternate means of 
    raising and addressing concerns are accessible, credible, and 
    effective.
        NUREG-1499 may provide some helpful insights on various alternative 
    approaches. The Commission recognizes that what works for one licensee 
    may not be appropriate for another. Licensees have in the past used a 
    variety of different approaches, such as:
        (1) An ``open-door'' policy that allows the employee to bring the 
    concern to a higher-level manager;
        (2) A policy that permits employees to raise concerns to the 
    licensee's quality assurance group;
        (3) An ombudsman program; or
        (4) Some form of an employee concerns program.
        The success of a licensee alternative program for concerns may be 
    influenced by how accessible the program is to employees, 
    prioritization processes, independence, provisions to protect the 
    identity of employees including the ability to allow for reporting 
    issues with anonymity, and resources. However, the prime factors in the 
    success of a given program appear to be demonstrated management support 
    and how employees perceive the program. Therefore, timely feedback on 
    the follow-up and resolution of concerns raised by employees may be a 
    necessary element of these programs.
        This Policy Statement should not be interpreted as a requirement 
    that every licensee establish alternative programs for raising and 
    addressing concerns. Licensees should determine the need for providing 
    alternative methods for raising concerns that can serve as internal 
    ``escape valves'' or ``safety nets.'' 6 Considerations might 
    include the number of employees, the complexity of operations, 
    potential hazards, and the history of allegations made to the NRC or 
    licensee. While effective alternative programs for identifying and 
    resolving concerns may assist licensees in maintaining a safety-
    conscious environment, the Commission, by making the suggestion for 
    establishing alternative programs, is not requiring licensees to have 
    such programs. In the absence of a requirement imposed by the 
    Commission, the establishment and framework of alternative programs are 
    discretionary.
    ---------------------------------------------------------------------------
    
        \6\ In developing these programs, it is important for reactor 
    licensees to be able to capture all potential safety concerns, not 
    just concerns related to ``safety-related'' activities covered by 10 
    CFR Part 50, Appendix B. For example, concerns relating to 
    environmental, safeguards, and radiation protection issues should 
    also be captured.
    
    ---------------------------------------------------------------------------
    
    [[Page 24339]]
    
    Improving Contractors' Awareness of Their Responsibilities
    
        The Commission's long-standing policy has been and continues to be 
    to hold its licensees responsible for compliance with NRC requirements, 
    even if licensees use contractors for products or services related to 
    licensed activities. Thus, licensees are responsible for having their 
    contractors maintain an environment in which contractor employees are 
    free to raise concerns without fear of retaliation.
        Nevertheless, certain NRC requirements apply directly to 
    contractors of licensees (see, for example, the rules on deliberate 
    misconduct, such as 10 CFR 30.10 and 50.5 and the rules on reporting of 
    defects and noncompliances in 10 CFR Part 21). In particular, the 
    Commission's prohibition on discriminating against employees for 
    raising safety concerns applies to the contractors of its licensees, as 
    well as to licensees (see, for example, 10 CFR 30.7 and 50.7).
        Accordingly, if a licensee contractor discriminates against one of 
    its employees in violation of applicable Commission rules, the 
    Commission intends to consider enforcement action against both the 
    licensee, who remains responsible for the environment maintained by its 
    contractors, and the employer who actually discriminated against the 
    employee. In considering whether enforcement actions should be taken 
    against licensees for contractor actions, and the nature of such 
    actions, the NRC intends to consider, among other things, the 
    relationship of the contractor to the particular licensee and its 
    licensed activities; the reasonableness of the licensee's oversight of 
    the contractor environment for raising concerns by methods such as 
    licensee's reviews of contractor policies for raising and resolving 
    concerns and audits of the effectiveness of contractor efforts in 
    carrying out these policies, including procedures and training of 
    employees and supervisors; the licensee's involvement in or opportunity 
    to prevent the discrimination; and the licensee's efforts in responding 
    to the particular allegation of discrimination, including whether the 
    licensee reviewed the contractor's investigation, conducted its own 
    investigation, or took reasonable action to achieve a remedy for any 
    discriminatory action and to reduce potential chilling effects.
        Contractors of licensees have been involved in a number of 
    discrimination complaints that are made by employees. In the interest 
    of ensuring that their contractors establish safety-conscious 
    environments, licensees should consider taking action so that:
        (1) Each contractor involved in licensed activities is aware of the 
    applicable regulations that prohibit discrimination;
        (2) Each contractor is aware of its responsibilities in fostering 
    an environment in which employees feel free to raise concerns related 
    to licensed activities;
        (3) The licensee has the ability to oversee the contractor's 
    efforts to encourage employees to raise concerns, prevent 
    discrimination, and resolve allegations of discrimination by obtaining 
    reports of alleged contractor discrimination and associated 
    investigations conducted by or on behalf of its contractors; conducting 
    its own investigations of such discrimination; and, if warranted, by 
    directing that remedial action be undertaken; and
        (4) Contractor employees and management are informed of (a) the 
    importance of raising safety concerns and (b) how to raise concerns 
    through normal processes, alternative internal processes, and directly 
    to the NRC.
        Adoption of contract provisions covering the matters discussed 
    above may provide additional assurance that contractor employees will 
    be able to raise concerns without fear of retaliation.
    
    Involvement of Senior Management in Cases of Alleged Discrimination
    
        The Commission reminds licensees of their obligation both to ensure 
    that personnel actions against employees, including personnel actions 
    by contractors, who have raised concerns have a well-founded, non-
    discriminatory basis and to make clear to all employees that any 
    adverse action taken against an employee was for legitimate, non-
    discriminatory reasons. If employees allege retaliation for engaging in 
    protected activities, senior licensee management should be advised of 
    the matter and assure that the appropriate level of management is 
    involved, reviewing the particular facts and evaluating or 
    reconsidering the action.
        The intent of this policy statement is to emphasize the importance 
    of licensee management taking an active role to promptly resolve 
    situations involving alleged discrimination. Because of the complex 
    nature of labor-management relations, any externally-imposed resolution 
    is not as desirable as one achieved internally. The Commission 
    emphasizes that internal resolution is the licensee's responsibility, 
    and that early resolution without government involvement is less likely 
    to disrupt the work place and is in the best interests of both the 
    licensee and the employee. For these reasons, the Commission's 
    enforcement policy provides for consideration of the actions taken by 
    licensees in addressing and resolving issues of discrimination when the 
    Commission develops enforcement sanctions for violations involving 
    discrimination. (59 FR 60697; November 28, 1994).
        In some cases, management may find it desirable to use a holding 
    period, that is, to maintain or restore the pay and benefits of the 
    employee alleging retaliation, pending reconsideration or resolution of 
    the matter or pending the outcome of an investigation by the Department 
    of Labor (DOL). This holding period may calm feelings on-site and could 
    be used to demonstrate management encouragement of an environment 
    conducive to raising concerns. By this approach, management would be 
    acknowledging that although a dispute exists as to whether 
    discrimination occurred, in the interest of not discouraging other 
    employees from raising concerns, the employee involved in the dispute 
    will not lose pay and benefits while the action is being reconsidered 
    or the dispute is being resolved. However, inclusion of the holding 
    period approach in this policy statement is not intended to alter the 
    existing rights of either the licensee or the employee, or be taken as 
    a direction by, or an expectation of, the Commission, for licensees to 
    adopt the holding period concept. For both the employee and the 
    employer, participation in a holding period under the conditions of a 
    specific case is entirely voluntary.
        A licensee may conclude, after a full review, that an adverse 
    action against an employee is warranted.7 The Commission 
    recognizes the need for licensees to take action when justified. 
    Commission regulations do not render a person who engages in protected 
    activity immune from discharge or discipline stemming from non-
    prohibited considerations (see, for example, 10 CFR 50.7(d)). The 
    Commission expects licensees to make personnel decisions that are 
    consistent with regulatory requirements and that
    
    [[Page 24340]]
    
    will enhance the effectiveness and safety of the licensee's operations.
    ---------------------------------------------------------------------------
    
        \7\ When other employees know that the individual who was the 
    recipient of an adverse action may have engaged in protected 
    activities, it may be appropriate for the licensee to let the other 
    employees know, consistent with privacy and legal considerations, 
    that (1) management reviewed the matter and determined that its 
    action was warranted, (2) the action was not in retaliation for 
    engaging in protected activity and the reason why, and (3) licensee 
    management continues to encourage them to raise issues. This may 
    reduce any perception that retaliation occurred.
    ---------------------------------------------------------------------------
    
    Responsibilities of Employers and Employees
    
        As emphasized above, the responsibility for maintaining a safety-
    conscious environment rests with licensee management. However, 
    employees in the nuclear industry also have responsibilities in this 
    area. As a general principle, the Commission normally expects employees 
    in the nuclear industry to raise safety and compliance concerns 
    directly to licensees, or indirectly to licensees through contractors, 
    because licensees, and not the Commission, bear the primary 
    responsibility for safe operation of nuclear facilities and safe use of 
    nuclear materials.8 The licensee, and not the NRC, is usually in 
    the best position and has the detailed knowledge of the specific 
    operations and the resources to deal promptly and effectively with 
    concerns raised by employees. This is another reason why the Commission 
    expects licensees to establish an environment in which employees feel 
    free to raise concerns to the licensees themselves.
    ---------------------------------------------------------------------------
    
        \8\ The expectation that employees provide safety and compliance 
    concerns to licensees is not applicable to concerns of possible 
    wrongdoing by NRC employees or NRC contractors. Such concerns are 
    subject to investigation by the NRC Office of Inspector General. 
    Concerns related to fraud, waste or abuse in NRC operations or NRC 
    programs including retaliation against a person for raising such 
    issues should be reported directly to the NRC Office of the 
    Inspector General. The Inspector General's toll-free hotline is 800-
    233-3497.
    ---------------------------------------------------------------------------
    
        Employers have a variety of means to express their expectations 
    that employees raise concerns to them, such as employment contracts, 
    employers' policies and procedures, and certain NRC requirements. In 
    fact, many employees in the nuclear industry have been specifically 
    hired to fulfill NRC requirements that licensees identify deficiencies, 
    violations and safety issues. Examples of these include many employees 
    who conduct surveillance, quality assurance, radiation protection, and 
    security activities. In addition to individuals who specifically 
    perform functions to meet monitoring requirements, the Commission 
    encourages all employees to raise concerns to licensees if they 
    identify safety issues 9 so that licensees can address them before 
    an event with safety consequences occurs.
    ---------------------------------------------------------------------------
    
        \9\  Except for the reporting of defects under 10 CFR Part 21 
    and in the area of radiological working conditions, the Commission 
    has not codified this expectation. Licensees are required by 10 CFR 
    19.12 to train certain employees in their responsibility to raise 
    issues related to radiation safety.
    ---------------------------------------------------------------------------
    
        The Commission's expectation that employees will normally raise 
    safety concerns to their employers does not mean that employees may not 
    come directly to the NRC. The Commission encourages employees to come 
    to the NRC at any time they believe that the Commission should be aware 
    of their concerns.10 But, while not required, the Commission does 
    expect that employees normally will have raised the issue with the 
    licensee either prior to or contemporaneously with coming to the NRC. 
    The Commission cautions licensees that complaints that adverse action 
    was taken against an employee for not bringing a concern to his or her 
    employer, when the employee brought the concern to the NRC, will be 
    closely scrutinized by the NRC to determine if enforcement action is 
    warranted for discrimination.
    ---------------------------------------------------------------------------
    
        \10\ The Commission intends to protect the identity of 
    individuals who come to the NRC to the greatest extent possible. See 
    ``Statement of Policy on Protecting the Identity of Allegers and 
    Confidential Sources.''
    ---------------------------------------------------------------------------
    
        Retaliation against employees engaged in protected activities, 
    whether they have raised concerns to their employers or to the NRC, 
    will not be tolerated. If adverse action is found to have occurred 
    because the employee raised a concern to either the NRC or the 
    licensee, civil and criminal enforcement action may be taken against 
    the licensee and the person responsible for the discrimination.
    
    Summary
    
        The Commission expects that NRC licensees will establish safety-
    conscious environments in which employees of licensees and licensee 
    contractors are free, and feel free, to raise concerns to their 
    management and to the NRC without fear of retaliation.
        Licensees must ensure that employment actions against employees who 
    have raised concerns have a well-founded, non-discriminatory basis. 
    When allegations of discrimination arise in licensee, contractor, or 
    subcontractor organizations, the Commission expects that senior 
    licensee management will assure that the appropriate level of 
    management is involved to review the particular facts, evaluate or 
    reconsider the action, and, where warranted, remedy the matter.
        Employees also have a role in contributing to a safety-conscious 
    environment. Although employees are free to come to the NRC at any 
    time, the Commission expects that employees will normally raise 
    concerns with the involved licensee because the licensee has the 
    primary responsibility for safety and is normally in the best position 
    to promptly and effectively address the matter. The NRC should normally 
    be viewed as a safety valve and not as a substitute forum for raising 
    safety concerns.
        This policy statement has been issued to highlight licensees' 
    existing obligation to maintain an environment in which employees are 
    free to raise concerns without retaliation. The expectations and 
    suggestions contained in this policy statement do not establish new 
    requirements. However, if a licensee has not established a safety-
    conscious environment, as evidenced by retaliation against an 
    individual for engaging in a protected activity, whether the activity 
    involves providing information to the licensee or the NRC, appropriate 
    enforcement action may be taken against the licensee, its contractors, 
    and the involved individual supervisors, for violations of NRC 
    requirements.
        The Commission recognizes that the actions discussed in this policy 
    statement will not necessarily insulate an employee from retaliation, 
    nor will they remove all personal cost should the employee seek a 
    personal remedy. However, these measures, if adopted by licensees, 
    should improve the environment for raising concerns.
    
        Dated at Rockville, Maryland, this 8th day of May, 1996.
    
        For the Nuclear Regulatory Commission.
    John C. Hoyle,
    Secretary of the Commission.
    [FR Doc. 96-12028 Filed 5-13-96; 8:45 am]
    BILLING CODE 7590-01-P
    
    

Document Information

Effective Date:
5/14/1996
Published:
05/14/1996
Department:
Nuclear Regulatory Commission
Entry Type:
Notice
Action:
Statement of policy.
Document Number:
96-12028
Dates:
May 14, 1996.
Pages:
24336-24340 (5 pages)
PDF File:
96-12028.pdf