[Federal Register: January 7, 2008 (Volume 73, Number 4)]
[Notices]
[Page 1233-1234]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr07ja08-53]
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NUCLEAR REGULATORY COMMISSION
Imposition of Civil Penalty on Contractors and Subcontractors Who
Discriminate Against Employees for Engaging in Protected Activities
AGENCY: Nuclear Regulatory Commission.
ACTION: Policy Statement: Revision.
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SUMMARY: The Nuclear Regulatory Commission (NRC) is revising its
Enforcement Policy to include contractors and subcontractors of a
licensee against whom the Commission may impose a civil penalty for
discriminating against employees for engaging in protected activities.
DATES: Effective date: This action is effective February 6, 2008.
Comment date: Comments on this revision should be submitted by March 7,
2008. The Commission will apply the modified Policy to violations that
occur after the effective date.
ADDRESSES: Submit written comments to: Michael T. Lesar, Chief, Rules
and Directives Branch, Division of Administrative Services, Office of
Administration, Mail Stop: T6D59, U.S. Nuclear Regulatory Commission,
Washington, DC 20555-0001. Hand deliver comments to: 11555 Rockville
Pike, Rockville, MD 20852, between 7:30 a.m. and 4:15 p.m., Federal
workdays. Copies of comments received may be examined at the NRC Public
Document Room, Room O1F21, 11555 Rockville Pike, Rockville, MD 20852.
You may also e-mail comments to nrcrep@nrc.gov.
The NRC maintains the current Enforcement Policy on its Web site at
http://www.nrc.gov; select ``About NRC'', ``Organization and
Functions'', ``Office of Enforcement'', ``About Enforcement'', then
``Enforcement Policy''.
FOR FURTHER INFORMATION CONTACT: Doug Starkey, Office of Enforcement,
U.S. Nuclear Regulatory Commission, Washington DC 20555-0001; Telephone
(301) 415-3456; e-mail drs@nrc.gov.
SUPPLEMENTARY INFORMATION: The Commission amended 10 CFR 30.7, 40.7,
50.7, 52.5, 60.9, 61.9, 63.9, 70.7, 71.9, 72.10 and 76.7 to clarify the
Commission's authority to impose civil penalties on contractors and
subcontractors for violations of Commission employee protection
requirements. The changes to the Enforcement Policy hereunder
incorporate the recent clarifying revisions set forth in the referenced
employee protection regulations.
Paperwork Reduction Act
This final change to the NRC Enforcement Policy does not contain
new or amended information collection requirements subject to the
Paperwork Reduction Act of 1995 (44 U.S.C. 3501, et seq.).
Public Protection Notification
If a means used to impose an information collection does not
display a currently valid OMB control number, the NRC may not conduct
or sponsor, and a person is not required to respond to, the information
collection.
Small Business Regulatory Enforcement Fairness Act
In accordance with the Small Business Regulatory Enforcement
Fairness Act of 1996, the NRC has determined that this action is not a
``major'' rule and has verified this determination with the Office of
Information and Regulatory Affairs, Office of Management and Budget.
Accordingly, the NRC Enforcement Policy is amended to read as
follows:
General Statement of Policy and Procedure for NRC Enforcement Actions
* * * * *
I. Introduction and Purpose
* * * * *
Footnote 1
This policy primarily addresses the activities of NRC licensees and
applicants for NRC licenses. However, this policy provides for taking
enforcement action against non-licensees and individuals in certain
cases. These non-licensees include contractors and subcontractors,
holders of, or applicants for, NRC approvals, e.g., certificates of
compliance, early site permits, or standard design certificates, and
the employees of these non-licensees. Specific guidance regarding
enforcement action against individuals and non-licensees is addressed
in Sections VII, VIII and X.
* * * * *
VI. Enforcement Actions
* * * * *
C. Civil Penalty
A civil penalty is a monetary penalty that may be imposed for
violation of (1) certain specified licensing provisions of the Atomic
Energy Act or supplementary NRC rules or orders; (2) any requirement
for which a license may be revoked; or (3) reporting requirements under
section 206 of the Energy Reorganization Act. Civil penalties are
designed to deter future violations both by the involved licensee,
contractor, subcontractor or other person and other licensees,
contractors, subcontractors or other persons, conducting similar
activities. Civil penalties also emphasize the need for licensees,
contractors, subcontractors and other persons to identify violations
and take prompt comprehensive corrective action.
* * * * *
VII. Exercise of Discretion
* * * * *
B. Mitigation of Enforcement Sanctions
* * * * *
5. Violations Involving Certain Discrimination Issues
Enforcement discretion may be exercised for discrimination cases
when a licensee (including a contractor or subcontractor) who, without
the need for government intervention, identifies an issue of
discrimination and takes prompt, comprehensive, and effective
corrective action to address both the particular situation and the
overall work environment for raising safety concerns. Similarly,
enforcement may not be warranted where a complaint is filed with the
Department of Labor (DOL) under Section 211 of the Energy
Reorganization Act of 1974, as amended, but the licensee settles the
matter before the DOL makes an initial finding of discrimination and
addresses the overall work environment. Alternatively, if a finding of
discrimination is made, the licensee may choose to settle the case
before the evidentiary hearing begins. In such
[[Page 1234]]
cases, the NRC may exercise its discretion not to take enforcement
action when the licensee has addressed the overall work environment for
raising safety concerns and has publicized that a complaint of
discrimination for engaging in protected activity was made to the DOL,
that the matter was settled to the satisfaction of the employee (the
terms of the specific settlement agreement need not be posted), and
that, if the DOL Area Office found discrimination, the licensee has
taken action to positively reemphasize that discrimination will not be
tolerated. Similarly, the NRC may refrain from taking enforcement
action if a licensee settles a matter promptly after a person comes to
the NRC without going to the DOL. Such discretion would normally not be
exercised in cases in which the licensee does not appropriately address
the overall work environment (e.g., by using training, postings,
revised policies or procedures, any necessary disciplinary action,
etc., to communicate its policy against discrimination) or in cases
that involve: Allegations of discrimination as a result of providing
information directly to the NRC; allegations of discrimination caused
by a manager above first-line supervisor (consistent with current
Enforcement Policy classification of Severity Level I or II
violations); allegations of discrimination where a history of findings
of discrimination (by the DOL or the NRC) or settlements suggests a
programmatic rather than an isolated discrimination problem; or
allegations of discrimination which appear particularly blatant or
egregious.
Generally, the NRC holds licensees responsible for maintaining
control and oversight of their contractor and subcontractor activities.
As such, in cases involving licensee contractors and subcontractors,
the NRC will typically take enforcement action against a licensee for
violations arising out of the acts of its contractor or subcontractor.
In addition, enforcement action (including a civil penalty) may be
taken against the licensee contractor or subcontractor. On occasion,
however, circumstances may arise where the NRC may refrain from taking
enforcement action or imposing a civil penalty against a licensee even
though it takes enforcement action or issues a civil penalty, against
the licensee contractor or subcontractor.
* * * * *
Dated at Rockville, Maryland, this 28th day of December, 2007.
For the Nuclear Regulatory Commission.
Annette Vietti-Cook,
Secretary of the Commission.
[FR Doc. E7-25629 Filed 1-4-08; 8:45 am]
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