[Federal Register Volume 62, Number 195 (Wednesday, October 8, 1997)]
[Notices]
[Pages 52577-52578]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-26690]


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NUCLEAR REGULATORY COMMISSION

[NUREG-1600]


Policy and Procedure for Enforcement Actions; Enforcement 
Conference Procedures

AGENCY: Nuclear Regulatory Commission.

ACTION: Policy statement: amendment.

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SUMMARY: The Nuclear Regulatory Commission (NRC) is revising its 
``General Statement of Policy and Procedure for NRC Enforcement 
Actions'' to clarify procedures associated with enforcement conferences 
based on reports of the NRC Office of Investigations associated with 
discrimination.

EFFECTIVE DATE: This action is effective on October 8, 1997.

FOR FURTHER INFORMATION CONTACT: James Lieberman, Director, Office of 
Enforcement, U.S. Nuclear Regulatory Commission, Washington, DC 20555, 
(301) 415-2741.

SUPPLEMENTARY INFORMATION:

    The Commission's ``General Statement of Policy and Procedure for 
NRC Enforcement Actions'' (Enforcement Policy or Policy) was first 
issued on September 4, 1980. Since that time, the Enforcement Policy 
has been revised on a number of occasions. On June 30, 1995 (60 FR 
34381), the Enforcement Policy was revised in its entirety and was also 
published as NUREG-1600. The Policy primarily addresses violations by 
licensees and certain non-licensed persons.
    On March 24, 1997 (62 FR 13906), the NRC published changes to the 
Enforcement Policy concerning predecisional enforcement conferences 
based on findings of discrimination. The changes permitted limited 
participation in those conferences by the complainant. The Statement of 
Consideration for those changes provided that ``normally'' Office of 
Investigations (OI) reports involving discrimination will be made 
public. However, the actual Policy change in the eighth paragraph of 
Section V. Predecisional Enforcement Conferences, stated that they 
``will be made'' public. In this revision, the word ``may'' has now 
been substituted to more accurately reflect those cases in which it is 
not appropriate to make the OI report public. Also, additional language 
in this paragraph is being added to clarify that the purpose of the 
complainant's participation in a conference is to provide information 
to the NRC to assist it in its enforcement deliberations.

Paperwork Reduction Act

    This policy statement does not contain a new or amended information 
collection requirement subject to the Paperwork Reduction Act of 1995 
(44 U.S.C. 3501 et seq.). Existing requirements were approved by the 
Office of Management and Budget, approval number 3150-0136. The 
approved information collection requirements contained in this policy 
statement appear in Section VII.C.

Public Protection Notification

    The NRC may not conduct or sponsor, and a person is not required to 
respond to, a collection of information unless it displays a currently 
valid OMB control number.

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 of OMB.
    Accordingly, the eighth paragraph of Section V of the NRC 
Enforcement Policy is amended to read as follows:

General Statement of Policy and Procedure for NRC Enforcement 
Actions

* * * * *

V. Predecisional Enforcement Conferences

* * * * *
    For a case in which an NRC Office of Investigations (OI) report 
finds that discrimination as defined under 10 CFR 50.7 (or similar 
provisions in Parts 30, 40, 60, 70, or 72) has occurred, the OI report 
may be made public, subject to withholding certain information (i.e., 
after appropriate redaction), in which case the associated 
predecisional enforcement conference will normally be open to public 
observation. In a conference where a particular individual is being 
considered potentially responsible for the discrimination, the 
conference will remain closed. In either case (i.e., whether the 
conference is open or closed), the employee or former employee who was 
the subject of the alleged discrimination (hereafter referred to as 
``complainant'') will normally be provided an opportunity to 
participate in the predecisional enforcement conference with the 
licensee/employer. This participation will normally be in the form of a 
complainant statement and comment on

[[Page 52578]]

the licensee's presentation, followed in turn by an opportunity for the 
licensee to respond to the complainant's presentation. In cases where 
the complainant is unable to attend in person, arrangements will be 
made for the complainant's participation by telephone or an opportunity 
given for the complainant to submit a written response to the 
licensee's presentation. If the licensee chooses to forego an 
enforcement conference and, instead, responds to the NRC's findings in 
writing, the complainant will be provided the opportunity to submit 
written comments on the licensee's response. For cases involving 
potential discrimination by a contractor or vendor to the licensee, any 
associated predecisional enforcement conference with the contractor or 
vendor would be handled similarly. These arrangements for complainant 
participation in the predecisional enforcement conference are not to be 
conducted or viewed in any respect as an adjudicatory hearing. The 
purpose of the complainant's participation is to provide information to 
the NRC to assist it in its enforcement deliberations.
* * * * *
    Dated at Rockville, Maryland, this 3rd day of October 1997.

    For the Nuclear Regulatory Commission.
John C. Hoyle,
Secretary of the Commission.
[FR Doc. 97-26690 Filed 10-7-97; 8:45 am]
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