[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]
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