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Requirements Memoranda (SRM) > 2002
> SECY-02-0166
March 26, 2003
MEMORANDUM TO: |
William D. Travers
Executive Director for Operations |
FROM: |
Annette L. Vietti-Cook, Secretary /RA/ |
SUBJECT: |
STAFF REQUIREMENTS - SECY-02-0166 - POLICY OPTIONS AND RECOMMENDATIONS
FOR REVISING THE NRC'S PROCESS FOR HANDLING DISCRIMINATION ISSUES |
The Commission has disapproved the staff recommendation to pursue rulemaking
for oversight of a Safety Conscious Work Environment (SCWE).
The Commission approved the recommendations of the Discrimination Task
Group (DTG), as revised by the Senior Management Review Team (SMRT), subject
to the comments provided below. In addition, the staff should develop
guidance, in consultation with stakeholders, that would identify best
practices to encourage a safety conscious work environment, consistent
with these comments. Such an effort would further the NRC policy statement
related to SCWE.
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The Commission generally agrees that the threshold for independent
investigation of discrimination complaints may be raised so that only
those allegations that raise concerns of Severity Level III or above
are investigated, with other allegations of lesser significance being
referred to the licensee for action with the whistleblowers' consent.
This may be an appropriate path only in circumstances in which the
licensee has established an appropriate employee concerns program
consistent with the 1996 policy. The opportunity for deferral would
establish the incentives for a licensee to follow the SCWE policy
and any guidance.
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The proposed guidance to licensees associated with encouragement
of a SCWE should emphasize training of management as to its obligations
under the employee protection regulations and should provide information
as to the recommended content of the training.
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The staff should perform an assessment of the investigative techniques
used by the Office of Investigations (OI). In this connection, the
Commission understands that DOL generally undertakes its investigations
using informal interviews and does not commonly resort to criminal
investigative techniques. Although such an evaluation of OI practices
might start with a self-assessment, advice from an independent group
should also be sought. The independent review group should report
its recommendations to the Commission through the EDO.
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Alternative Dispute Resolution (ADR) is an important tool that should
be employed in the resolution of discrimination cases. The DTG's recommendation
for continued evaluation of ADR is acceptable, but the effort should
be aimed at ensuring that ADR is a real and meaningful option, in
lieu of an investigation by OI, in cases where all parties agree.
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The Commission has approved centralizing the enforcement process
for discrimination cases in headquarters with a core group of staff
members familiar with both the legal and factual issues involved in
discrimination cases. The headquarters group should consult closely
with the relevant Region. This group should reside in the Office of
Enforcement.
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The staff should fully explore the policy and resource implications
of providing hearing rights (either formal or informal) to individuals
subject to a NOV in connection with violations of the employee protection
regulations. This direction is not intended to discourage NOVs against
individuals where warranted.
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The Commission has disapproved the DTG's recommendation to resequence
the enforcement conference so as to hold such a conference after the
issuance of a proposed enforcement action. The staff should explore
other options to facilitate the timely scheduling of predecisional
enforcement conferences and to minimize delays.
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The Commission approved the DTG's recommendation that the OI report,
with appropriate redactions and without the supporting documentation,
and after OGC review of the sufficiency of the evidence, should be
provided to the participants before the predecisional enforcement
conference. Release should be limited to the OI report while the staff
explores ways to gain efficiencies in redacting information from supporting
documentation. OGC's legal sufficiency review should be performed
after OI completes its report, prior to its public release.
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The Commission has approved the DTG's recommendation to eliminate
deferral of the NRC's investigation of complaints where both the NRC
and DOL are investigating the same case.
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The Commission has approved of the staff determining the feasibility
and cost of reimbursing the whistleblower and a personal representative's
travel expenses to attend the enforcement conference, but only in
those cases where their presence would assist the NRC in evaluating
the credibility of a licensee's presentation. The staff should provide
specific recommendations, based on this information, to the Commission.
In light of efforts by foreign regulators to measure and regulate safety
culture, the staff should monitor developments abroad so as to ensure
that the Commission remains informed about these efforts and their effectiveness.
In particular, because subjectivity is a principal objection to the direct
regulation of safety culture, the staff should also monitor efforts to
develop objective measures that serve as indicators of possible problems
with safety culture.
cc: |
Chairman Meserve
Commissioner Dicus
Commissioner Diaz
Commissioner McGaffigan
Commissioner Merrifield
OGC
CFO
OCA
OIG
OPA
Office Directors, Regions, ACRS, ACNW, ASLBP (via E-Mail)
PDR |
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