Text

T. Saunders - Presentations for Confirmatory Order (IA-19-027)
	ML21243A312
Person / Time
Issue date:	08/31/2021
From:	Catherine Thompson; NRC/OE
To:	;
	Thompson C
References
	CO IA-19-027, IA-19-027
	Download: ML21243A312 (109)
	v • d • e

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 1 of 109 Saunders Confirmatory Order IA19027 Speaking Engagements/Presentations The following is a summary of the actions taken by Thomas B. Saunders to present on safety culture, employee protection, and protected activity per NRC Confirmatory Order IA19027. Associated documentation for each action is included in the body of this document (see page 2).

1. 5 industry forums/conferences - must complete by October 1, 2020* - COMPLETE on August 5, 2021 1.1. ANS winter meeting - November 18, 2019 - COMPLETE 1.2. NAYGN webcast - May 14, 2020 - COMPLETE 1.3. CII webinar - November 10, 2020 - COMPLETE 1.4. INPO - created video for their training archives - July 15, 2021 - COMPLETE 1.5. NEI Regulatory Working Group - August 5, 2021 - COMPLETE

2. Site and Corporate Leadership Team Meeting - must complete by February 17, 2020 - COMPLETE on February 4, 2020 2.1. Vogtle 3&4 EVP staff meeting - November 20, 2019 - COMPLETE 2.2. Corporate staff/leadership meeting - Tuesday, February 4, 2020 - SNC CNO expanded staff mtg - held at V1&2 admin building - COMPLETE

3. NRC Regulatory Information Conference - if requested by NRC (NRC made request on 20NOV19) - COMPLETE 3.1. Panel discussion - March 9 - 13, 2020 - CANCELLED: COVID19 3.2. Panel Discussion - 2021 RIC - notified by NRC via email communication that I do not need to do this based on my cooperation

4. New Employee Orientation - Vogtle site - must complete by February 17, 2020 - COMPLETE 4.1. NEO session held on January, 21, 2020 - presentation at 1PM - COMPLETE

5. Submit an article for publication to an industry forum - must submit by October 1, 2020 COMPLETE 5.1. ANS Nuclear News - COMPLETE - published in the December 2020 monthly issue

6. May 1, 2020 NRC letter relaxing timeline* for compliance because of the Pandemic

The NRC approved an expanded timeline for compliance on May 1, 2020 in a letter with ADAMS reference number ML20121A063 because of the COVID19 pandemic - letter included in this document for reference (see page 107).

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 2 of 109 Table of Contents

1. Five (5) Industry forums/conferences ....................................................................... 3 1.1. ANS winter meeting ................................................................................. 4 Presentation ........................................................................................... 7 1.2. NAYGN webcast ..................................................................................... 17 Presentation ......................................................................................... 19 1.3. CII webinar ............................................................................................. 28 Presentation ......................................................................................... 32 1.4. INPO - created video for their training archives ..................................... 41 Presentation ......................................................................................... 43 1.5. NEI Regulatory Working Group .............................................................. 50 Presentation ......................................................................................... 53

2. Site and Corporate Leadership Team Meeting ....................................................... 62 2.1. Vogtle 3&4 EVP staff meeting ................................................................. 63 2.2. Corporate staff/leadership meeting ....................................................... 64 Presentations ........................................................................................ 65

3. NRC Regulatory Information Conference ................................................................ 75 3.1. Panel discussion ..................................................................................... 76 3.2. Panel Discussion ..................................................................................... 80

4. New Employee Orientation ................................................................................... 82 4.1. NEO session held on January 21, 2020 .................................................... 83 Presentation ......................................................................................... 84

5. Submit as article for publication to an industry forum ........................................... 96 5.1. ANS Nuclear News December 2020 article ............................................... 98

6. May 1, 2020 NRC letter relaxing timeline for compliance because of Pandemic ... 106

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 3 of 109

1. 5 industry forums/conferences - must complete by October 1, 2020* - COMPLETE on August 5, 2021 1.1. ANS winter meeting - November 18, 2019 - COMPLETE 1.2. NAYGN webcast - May 14, 2020 - COMPLETE 1.3. CII webinar - November 10, 2020 - COMPLETE 1.4. INPO - created video for their training archives - July 15, 2021 - COMPLETE 1.5. NEI Regulatory Working Group - August 5, 2021 - COMPLETE

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 4 of 109 1.1. ANS winter meeting - November 18, 2019 - COMPLETE

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 5 of 109 Saunders, Thomas Byron From: Wilson, George <George.Wilson@nrc.gov>

Sent: Tuesday, November 19, 2019 4:41 PM To: Saunders, Thomas Byron

Subject:

RE: Saunders confirmatory order - ANS presentation completed 18NOV EXTERNAL MAIL: Caution Opening Links or Files Thank you very much From: Saunders, Thomas Byron <TSAUNDER@southernco.com>

Sent: Tuesday, November 19, 2019 2:56 PM To: Wilson, George <George.Wilson@nrc.gov>

Cc: Thompson, Catherine <Catherine.Thompson@nrc.gov>

Subject:

[External_Sender] Saunders confirmatory order ANS presentation completed 18NOV George I wanted to let you know that on November 18, 2019, I successfully completed my presentation to the ANS (at the 2019 ANS Winter Meeting) on protected activity and employee protection, in accordance with the confirmatory orders terms.

Sincerely, Thomas Saunders tsaunder@southernco.com 205.586.4266 1

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 6 of 109 Protected Activity and Employee Protection Thomas B. Saunders, Jr.

Experiences and best practices: increasing awareness of the impacts of adverse employment decisions linked to or close in time to protected activity 1

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 7 of 109 Protected Activity and Employee Protection Experiences and best practices:

increasing awareness of the impacts of adverse employment decisions linked to or close in time to protected activity Single paragraph summary:

Protected Activity can be broadly defined as an individual reporting potential or alleged violations or non-compliances of regulated activity. There are multiple lessons learned across the industry related to the nexus of protected activity, employment decisions by management, and other associated discrimination activities. The personal and professional consequences for these adverse actions are severe. Awareness of those consequences and repercussions need to be expanded, and the general understanding of the specific circumstances that may apply to these situations can be improved.

Expanded summary:

A foundational priority of management in the nuclear industry must be ensuring that a healthy safety conscious work environment exists and that you foster and nurture that environment through your words and actions - a focus on protected activity and associated employee protection provisions are critical to maintain the right balance and ensure that your employees continue to feel free to raise safety concerns without fear of retaliation.

In the context of Nuclear Power and the associated activities that are conducted under licenses granted by the U.S. Nuclear Regulatory Commission (NRC), Protected Activity can be broadly defined as an individual providing information regarding potential or alleged violations or non-compliances to the regulations governing the associated licensed activity 2

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 8 of 109 to either the NRC, the employer, or the licensee.

There are very specific employee protection provisions and requirements related to the rights afforded to individuals who engage in protected activity that are designed to prevent discrimination and ensure that any alleged violations or non-compliances are given the full and necessary consideration of the impacts to the health and safety of the public.

Utilities, service companies, and organizations who engage in providing services to, supporting, building, or operating nuclear power facilities routinely leverage the broad skillset of the nationwide population of nuclear professionals who work throughout the industry.

These same organizations operate under the guidance of processes and protocols that have been developed to ensure that protected activity and employee protection provisions are a central tenant of their organizations nuclear safety culture. Nevertheless, the opportunity exists for gaps in the interface of those programs to create error traps related to inter- and intra-organization communication, historical records and databases, human resources policies, and the routine conduct of an organizations business under a license granted by the NRC. When realized, these gaps may result in discrimination against employees for engaging in protected activity.

There are multiple lessons learned across the industry related to the nexus of protected activity, employment decisions by management, and other associated discrimination activities. The personal and professional consequences for these adverse actions are severe, for both individuals as well as the licensed organization, and are established as such to reinforce the importance of protected activity in protecting the health and safety of the public.

Awareness of the consequences and repercussions of these items needs to be expanded.

The industry knowledge base on these topics is deep, but the general understanding of the specific circumstances that often apply at the nexus of protected activity and employment decisions can be improved through increased communication on historical case studies and personal testimony.

I am here with you today to share my experiences and personal lessons learned in this area in the hopes that I can help others understand the gravity of employee protection and protected activity.

2

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 9 of 109 Protected Activity and Employee Protection Importance of employee protection Criticality of follow-up in response to protected activity Criticality of follow-up when evaluating potentially adverse personnel decisions Historical Examples Lessons Learned As nuclear professionals, we are all committed to maintaining a Safety Conscious Work Environment (SCWE) at our work sites where all employees and contractors feel free to raise concerns without fear of harassment, intimidation, retaliation or discrimination. The privilege to raise safety concerns without the fear of retaliation extends to Licensee employees, contractors, subs, suppliers, and consultants associated with nuclear power other nuclear services regulated by the Nuclear Regulatory Commission.

There are few key points that I believe are crucial in a leaders efforts to support and maintain the healthy nuclear safety culture as their work location. I would like to review those with you today to highlight the importance of protected activity and associated employee protection provisions that you may or may not have already institutionalized at your site or work location.

We will talk about:

1. The importance of employee protection

2. The criticality of follow-up in response to protected activity

3. The criticality of follow-up when evaluating potentially adverse personnel decisions

4. Historical examples

5. Lessons learned 3

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 10 of 109 10 CFR 50.5 Deliberate Misconduct - NRC Licensees What is protected 10 CFR 50.7 Employee Protection - NRC activity? Licensees 10 CFR 52.4 What is Deliberate Misconduct - COL/new nuclear power facilities employee protection? 10 CFR 52.5 Employee Protection - COL/new nuclear power facilities The concepts of Protected Activity and Employee Protection are outlined in several sections of the code of federal regulations as it applies to the licensing, construction, operations, and decommissioning of commercial nuclear power facilities and nuclear product related facilities that are governed by these sections of the code or operate under licenses issues by the Nuclear Regulatory Commission.

Broadly, these concepts are defined in parts 50 and 52:

10 CFR 52.4 - Deliberate Misconduct - COL/new nuclear power facilities 10 CFR 52.5 - Employee Protection - COL/new nuclear power facilities 10 CFR 50.5 - Deliberate Misconduct - NRC Licensees 10 CFR 50.7 - Employee Protection - NRC Licensees Critical to note that the protections afforded to employees by these provisions of the CFR extend to all employees - regardless of whether they are full-time company employees, contractors, subcontractors, or temporary staff. The guidelines, protections, and rules apply equally regardless of employee/worker legal relationship. This is different than many standard HR policies and is critical to note for leaders who work with employee populations of mixed employment status.

4

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 11 of 109 Test your knowledge:

Protected activity (§ 50.7(a)):Giving the NRC or an employer information about potential violations Adverse Action: Discharge and other actions that relate to compensation, terms, conditions, or privileges of employment Discrimination (§ 50.7(a)): taking an adverse action because an employee engaged in protected activities Enforcement action: NRC action can be taken against a licensee or an individual You may think you have a thorough understanding of protected activity - but you really know the by the book definition? Because thats the one that matters when we discuss to regulatory compliance and associated enforcement actions.

Protected activity: writing condition reports, reporting concerns, or the communication by/through other means of information related to violations of activities governed by regulatory agencies. Includes the following:

a. Notifying his/her employer, supervisor, licensee, management, or the NRC of an alleged violation of NRC requirements or a nuclear safety/nuclear quality concern.

b. Refusing to engage in any practice made unlawful by the Energy Reorganization Act of 1974 or the Atomic Energy Act of 1954, if the employee has identified the alleged violation to his/her employer

c. Testifying before congress or at any federal or state proceeding regarding any provision of the energy reorganization act of 1974 or the atomic act of 1954

d. Providing the NRC with information about possible violations of NRC requirements

e. Requesting NRC action against his/her employer for the administration or enforcement of the requirements of the Energy Reorganization Act

f. Testifying in any administrative or legal proceeding, including before the NRC or department of labor regarding nuclear safety issues

g. Commencing or participating in a proceeding under section 211 of the energy reorganization act of 1974 Discrimination: most commonly will take the form of job reassignments, compensation adjustments, removal of privileges, or termination. Includes discharge and other actions that relate to compensation, terms, conditions, or privileges of employment; can also take the form of retaliation - adverse employment actions taken by an employer against an employee because of the employees engagement in protected activity. An adverse action is deemed retaliatory only if it taken because the individual, in good faith, engaged in a protected activity Adverse action: discrimination (or other action) taken resulting because of an employees engagement in protected activity Enforcement action: confirmatory orders to adjust behavior and ensure compliance, civil penalties including fines or termination of access rights to nuclear facilities governed by the NRC, criminal penalties including incarceration based on severity of the actions and associated results.

5

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 12 of 109 Criticality of Followup When an employee has engaged in protected activity Before the implementation of adverse consequences As part of our commitment to a strong nuclear safety culture, leadership and associated contractors performing or overseeing safety related work review proposed significant adverse employment actions to ensure individuals who have raised concerns are not retaliated against.

Consider what process you have in place at your site or office location to prevent retaliation or discrimination against individuals for raising nuclear safety issues.

Is anyone in here responsible for supervising or managing a team or a contractor?

Does anyone in here review a daily or weekly recurring report of condition reports or corrective action requests?

If so, protected activity is all around you - and as a leader in the nuclear industry, you need to be cognizant of that.

Has anyone in here ever terminated or released an employee or contractor?

Did you really stop and take the time vet the decision - did you have the right level of engagement from HR?

Did you follow a process to check on protected activity that the individual may have engaged in? Do you even know who you would call to do that?

6

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 13 of 109 Discrimination examples Releasing a contract employee who raised safety concerns in a prior assignment with a break in service Not selecting a candidate for an open position because the candidate had raised prior safety concerns Giving an employee a bad/negative performance appraisal because the employee had raised prior safety concerns Continued retaliation and discrimination against a research scientist at a reactor research facility for raising safety concerns Review each example, give some context to each of them - discuss the obvious issues and the more subtle issues that factored into these instances. Its not always quite as cut and dry as you may expect - thats why a thorough knowledge of the facts and the involvement of the right organizations and expertise are critical to ensure that we maintain the proper employee protections.

1. Releasing a contract employee who raised safety concerns in a prior assignment with a break in service - Vogtle 3&4 example (2017) - Saunders example - in detail, what happened, what Saunders would do differently

2. Not selecting a candidate for an open position because the candidate had raised prior safety concerns - Byron 1&2 example (2002)

3. Giving an employee a bad/negative performance appraisal because the employee had raised prior safety concerns - Point Beach example (2004)

4. NRC concluded that a former research scientist had been subjected to employment discrimination and continued retaliation by management of the reactor facility as a result of raising safety issues - University of Missouri example (2001) 7

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 14 of 109 Requirements and best practices:

S.T.A.R Take time to process Engage with the the ramifications of appropriate support personnel decisions staff Need to have the Make a fully whole picture for informed decision full consideration Must determine whether the proposed action complies with the employee protection requirements as outlined in 10 CFR 50.7 or 10 CFR 52.5 Steps to take:

1. Gather facts including whether the individual has been raising nuclear safety-related issues to management or supervision

2. Determine whether the individual is on any kind of active disciplinary process

3. Review your companys policies, station work rules, and applicable labor agreements for discipline recommendations

4. Complete a review of CAP items to indentify items initiated by the employee in question fall into the categorization of protected activity - that are indicative of an issue protected by a law or regulation designed to ensure nuclear safety

1. Violation of state or federal law or regulations

2. Quality of technical components potentially related to nuclear/radiological safety

3. Danger to the health/safety of the employees or the public

4. Danger to the environment

5. Danger to security

5. Request that a review of your site/locations concerns be performed for safety related activity that may be captured in that program but you may be unaware of

6. Document your reviews and the facts of the situation

7. Review the results with the appropriate Human Resources, Labor Relations, or management staff for advice on next steps.

8

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 15 of 109 Q&A on Lessons Learned Have you faced situations like this? What was the outcome?

How do you differentiate between business decisions and adverse employment actions/discrimination?

Does your organization have the right processes set up?

Can you document legitimate discipline?

Any personal experiences to share?

Questions about my personal experience?

Discussion with the audience - go through the lessons learned and ask for any experiences the attendees may have on each of these topics - conduct a dialog with them on the topics.

Conversation starters are:

1. Have you faced situations like this? What was the outcome?

1. Either as employee or as manager/supervisor? What about with someone on your team?

2. How do you differentiate between business decisions and adverse employment actions/discrimination?

1. Differences between contractors and employees - in this space, there are none

3. Does your organization have the right processes set up?

1. If not - please, I encourage you to work on this - there is a right way to address performance and behavior issues in light of protected activity - but it needs to be properly documented in the right processes

4. Can you document legitimate discipline?

5. Any personal experiences to share?

6. Questions about Saunders personal experience?

9

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 16 of 109 Employee protection Requirements and Lessons Learned concepts/definitions Best Practices Protected Activity and Employee Protection Summary To review - we discussed:

1. Employee protection concepts and definitions that you need to have a solid foundational working knowledge of as both an employee and a leader in your organization

2. Historical examples

3. Requirements and best practices associated with employment decisions and actions where protected activity needs to role in your decision making process

4. Lessons learned To close our conversation out - as nuclear professionals, we are all committed to maintaining a Safety Conscious Work Environment (SCWE) at our work sites where all employees and contractors feel free to raise concerns without fear of harassment, intimidation, retaliation or discrimination. The privilege to raise safety concerns without the fear of retaliation extends to Licensee employees, contractors, subs, suppliers, and consultants associated with nuclear power other nuclear services regulated by the Nuclear Regulatory Commission.

I hope that this review of the core employee protection concepts that help support and sustain a healthy Safety Conscious Working Environment has been helpful to you in refreshing your memory on the things that you have no doubt learned over the course of your careers as nuclear professionals. Maybe you even learned something new!

Thank you for your time and for your attentiveness.

10

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 17 of 109 1.2. NAYGN webcast - May 14, 2020 - COMPLETE

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 18 of 109 Saunders, Thomas Byron From: Wilson, George <George.Wilson@nrc.gov>

Sent: Thursday, May 21, 2020 12:15 PM To: Saunders, Thomas Byron; Thompson, Catherine Cc: Solorio, Dave; Baer, Lorraine

Subject:

RE: RE: webinar presentation EXTERNAL MAIL: Caution Opening Links or Files Thank you for the update From: Saunders, Thomas Byron <TSAUNDER@southernco.com>

Sent: Thursday, May 21, 2020 12:03 PM To: Thompson, Catherine <Catherine.Thompson@nrc.gov>; Wilson, George <George.Wilson@nrc.gov>

Cc: Solorio, Dave <Dave.Solorio@nrc.gov>; Baer, Lorraine <Lorraine.Baer@nrc.gov>

Subject:

[External_Sender] RE: webinar presentation George/Catherine -

I wanted to let you know that on May 14, 2020, I successfully completed my webinar presentation via WebEx to members of the NAYGN. I really enjoyed the opportunity and was grateful NAYGNs Professional Development Chair suggested the webinar format and facilitated the presentation. Thank you again for reviewing and approving my presentation material so promptly. Hope all is well and you are staying safe and healthy.

Thomas 205.586.4266 From: Saunders, Thomas Byron <TSAUNDER@southernco.com>

Sent: Wednesday, May 6, 2020 9:38 AM To: Thompson, Catherine <Catherine.Thompson@nrc.gov>

Cc: Solorio, Dave <Dave.Solorio@nrc.gov>; Baer, Lorraine <Lorraine.Baer@nrc.gov>

Subject:

Re: webinar presentation Got it thanks for the feedback I'll make that change. I appreciate your review and your response. Talk soon.

Thomas 205.586.4266 From: Thompson, Catherine <Catherine.Thompson@nrc.gov>

Sent: Wednesday, May 6, 2020 9:01 AM To: Saunders, Thomas Byron <TSAUNDER@southernco.com>

Cc: Solorio, Dave <Dave.Solorio@nrc.gov>; Baer, Lorraine <Lorraine.Baer@nrc.gov>

Subject:

webinar presentation EXTERNAL MAIL: Caution Opening Links or Files 1

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 19 of 109 Protected Activity and Employee Protection Experiences and best practices:

increasing awareness of the impacts of adverse employment decisions linked to or close in time to protected activity

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 20 of 109 Protected Activity and Employee Protection Importance of employee protection Criticality of follow-up in response to protected activity Criticality of follow-up when evaluating potentially adverse personnel decisions Historical Examples Lessons Learned

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 21 of 109 10 CFR 50.5 Deliberate Misconduct - NRC Licensees What is protected 10 CFR 50.7 Employee Protection - NRC activity? Licensees 10 CFR 52.4 What is Deliberate Misconduct - COL/new nuclear power facilities employee protection? 10 CFR 52.5 Employee Protection - COL/new nuclear power facilities

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 22 of 109 Test your knowledge:

Protected activity (§ 50.7(a)):Giving the NRC or an employer information about potential violations Adverse Action: Discharge and other actions that relate to compensation, terms, conditions, or privileges of employment Discrimination (§ 50.7(a)): taking an adverse action because an employee engaged in protected activities Enforcement action: NRC action can be taken against a licensee or an individual

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 23 of 109 Criticality of Followup When an employee has engaged in protected activity Before the implementation of adverse consequences

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 24 of 109 Examples of NRC findings of discrimination Releasing a contract employee who raised safety concerns in a prior assignment with a break in service Not selecting a candidate for an open position who had raised prior safety concerns Giving an employee a bad/negative performance appraisal because the employee had raised prior safety concerns Continued retaliation and discrimination against a research scientist at a reactor research facility for raising safety concerns

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 25 of 109 Requirements and best practices:

S.T.A.R Take time to process Engage with the the ramifications of appropriate support personnel decisions staff Need to have the Make a fully whole picture for informed decision full consideration

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 26 of 109 Q&A on Lessons Learned Have you faced situations like this? What was the outcome?

How do you differentiate between business decisions and adverse employment actions/discrimination?

Does your organization have the right processes set up?

Can you document legitimate discipline?

Any personal experiences to share?

Questions about my personal experience?

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 27 of 109 Employee protection Requirements and Lessons Learned concepts/definitions Best Practices Protected Activity and Employee Protection Summary

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 28 of 109 1.3. CII webinar - November 11, 2020 - COMPLETE

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 29 of 109 Saunders, Thomas Byron From: Saunders, Thomas Byron Sent: Tuesday, November 10, 2020 4:51 PM To: Thompson, Catherine; Wilson, George Cc: Solorio, Dave; Baer, Lorraine; Jane Penny

Subject:

RE: RE: saunders confirmatory order - updates on required actions FYI, the CII webinar went off as planned this afternoon. It lasted about 45 minutes, and there were several good, relevant questions from the webinar participants. I have asked CII how/where they archive their webinars and I will provide that specific information to you once I receive it.

Thanks again for your prompt support and reviews as I continue to work through my commitments.

Talk soon.

Thomas 205.586.4266 From: Thompson, Catherine <Catherine.Thompson@nrc.gov>

Sent: Monday, November 9, 2020 12:40 PM To: Saunders, Thomas Byron <TSAUNDER@southernco.com>; Wilson, George <George.Wilson@nrc.gov>

Cc: Solorio, Dave <Dave.Solorio@nrc.gov>; Baer, Lorraine <Lorraine.Baer@nrc.gov>; Jane Penny

<jpenny@pennylegalgroup.com>

Subject:

RE: RE: saunders confirmatory order updates on required actions EXTERNAL MAIL: Caution Opening Links or Files Everything looks fine - thanks for sending it in.

Catherine From: Saunders, Thomas Byron <TSAUNDER@southernco.com>

Sent: Monday, November 09, 2020 11:51 AM To: Thompson, Catherine <Catherine.Thompson@nrc.gov>; Wilson, George <George.Wilson@nrc.gov>

Cc: Solorio, Dave <Dave.Solorio@nrc.gov>; Baer, Lorraine <Lorraine.Baer@nrc.gov>; Jane Penny

<jpenny@pennylegalgroup.com>

Subject:

[External_Sender] RE: saunders confirmatory order updates on required actions Catherine/George - the below discussed/approved webinar for the Construction Industry Institute (CII) is tomorrow.

Attached is the registration information that came out today from CII. Attached are the slides I plan to use pending your approval. These are the same slides that were used for the webinar with NAYGN in May that were updated with feedback on a few editorial items from your team prior to being presented, and that final, edited/presented version is what I have attached here and plan to use for the event tomorrow.

Please let me know if anything has changed that would required me to modify the content in any way, or if you approve of my use of this same set of slides for the webinar tomorrow.

1

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 30 of 109 Saunders, Thomas Byron From: CII <communications@cii.utexas.edu>

Sent: Monday, November 9, 2020 10:07 AM To: Saunders, Thomas Byron

Subject:

CII Free Webinar Tomorrow -- Safe Nuclear Construction EXTERNAL MAIL: Caution Opening Links or Files

[constructioninstitute.org]

When: November 10, 1:00 p.m. to 2:00 p.m. Central Register Now for Tomorrows Free Webinar

[construction-institute.org]

[constructioninstitute.org]

[construction-institute.org]Protected Activity and Employee Protection in Nuclear Construction

[attendee.gotowebinar.com]

Learn from my mistakes to improve your nuclear construction One of the critical management priorities in the nuclear industry is ensuring that a healthy, safety-conscious work environment exists all the time.

Management must, through its words and actions, continually focus on promoting and safeguarding protected activity so that employees remain confident that they can raise safety or technical concerns, without fear of present or future retaliation.

The industry knowledge base on safety topics is deep, but can be improved by increased communication on historical case studies and personal testimony. My personal experience has taught me the value of pausing to 1

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 31 of 109 engage the right support resources to properly vet personnel decisions before taking final action.

I made a fast decision that eventually resulted in my entering an October 2019 Confirmatory Order with the NRCs Office of Enforcement. Learn from my mistakes to avoid the NRC enforcement action I faced.

Thomas B. Saunders, Jr.

Site Oversight Director GPC Nuclear Development - Vogtle Units 3&4 Southern Company Register Now [construction-institute.org]

[constructioninstitute.org]

[constructioninstitute.org] [constructioninstitute.org] [construction institute.org]

Unsubscribe [constructioninstitute.org]

2

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 32 of 109 Protected Activity and Employee Protection Experiences and best practices:

increasing awareness of the impacts of adverse employment decisions linked to or close in time to protected activity

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 33 of 109 Protected Activity and Employee Protection Importance of employee protection Criticality of follow-up in response to protected activity Criticality of follow-up when evaluating potentially adverse personnel decisions Historical Examples Lessons Learned

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 34 of 109 10 CFR 50.5 Deliberate Misconduct - NRC Licensees What is protected 10 CFR 50.7 Employee Protection - NRC activity? Licensees 10 CFR 52.4 What is Deliberate Misconduct - COL/new nuclear power facilities employee protection? 10 CFR 52.5 Employee Protection - COL/new nuclear power facilities

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 35 of 109 Test your knowledge:

Protected activity (§ 50.7(a)):Giving the NRC or an employer information about potential violations Adverse Action: Discharge and other actions that relate to compensation, terms, conditions, or privileges of employment Discrimination (§ 50.7(a)): taking an adverse action because an employee engaged in protected activities Enforcement action: NRC action can be taken against a licensee or an individual

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 36 of 109 Criticality of Followup When an employee has engaged in protected activity Before the implementation of adverse consequences

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 37 of 109 Examples of NRC findings of discrimination Releasing a contract employee who raised safety concerns in a prior assignment with a break in service Not selecting a candidate for an open position who had raised prior safety concerns Giving an employee a bad/negative performance appraisal because the employee had raised prior safety concerns Continued retaliation and discrimination against a research scientist at a reactor research facility for raising safety concerns

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 38 of 109 Requirements and best practices:

S.T.A.R Take time to process Engage with the the ramifications of appropriate support personnel decisions staff Need to have the Make a fully whole picture for informed decision full consideration

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 39 of 109 Q&A on Lessons Learned Have you faced situations like this? What was the outcome?

How do you differentiate between business decisions and adverse employment actions/discrimination?

Does your organization have the right processes set up?

Can you document legitimate discipline?

Any personal experiences to share?

Questions about my personal experience?

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 40 of 109 Employee protection Requirements and Lessons Learned concepts/definitions Best Practices Protected Activity and Employee Protection Summary

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 41 of 109 1.4. INPO - created video for their training archives - July 15, 2021 - COMPLETE

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 42 of 109 Saunders, Thomas Byron From: Thompson, Catherine <Catherine.Thompson@nrc.gov>

Sent: Friday, July 23, 2021 9:15 AM To: Saunders, Thomas Byron Cc: Jane Penny (jpenny@pennylegalgroup.com); Solorio, Dave

Subject:

RE: RE: Saunders confirmatory order - updates on required actions EXTERNAL MAIL: Caution Opening Links or Files

Thomas, This is all great news! Thanks for the update.

Catherine From: Saunders, Thomas Byron <TSAUNDER@southernco.com>

Sent: Friday, July 23, 2021 8:31 AM To: Thompson, Catherine <Catherine.Thompson@nrc.gov>

Cc: Jane Penny (jpenny@pennylegalgroup.com) <jpenny@pennylegalgroup.com>; Solorio, Dave

<Dave.Solorio@nrc.gov>

Subject:

[External_Sender] RE: Saunders confirmatory order updates on required actions Catherine - I wanted to followup and let you know that INPOs Corporate Secretary and Assistant to the CEO (Paul Magnuson) notified me last week that my confirmatory orderrelated video was received by his office on Thursday, July 15.

Additionally, the agenda for the August NEI regulatory issues working group has been finalized and I will be giving my presentation on protected activity to that forum on Thursday, August 5. I will notify you when that presentation has been completed.

Once I complete that presentation, I will also provide you with the requested listing of requirements and the actions I took to meet the requirements, as you requested below.

Thanks for your support throughout this process. Ill be back in touch in a few weeks.

Thomas 205.586.4266 From: Thompson, Catherine <Catherine.Thompson@nrc.gov>

Sent: Thursday, June 3, 2021 11:17 AM To: Saunders, Thomas Byron <TSAUNDER@southernco.com>

Cc: Jane Penny (jpenny@pennylegalgroup.com) <jpenny@pennylegalgroup.com>; Solorio, Dave

<Dave.Solorio@nrc.gov>

Subject:

RE: Saunders confirmatory order updates on required actions EXTERNAL MAIL: Caution Opening Links or Files 1

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 43 of 109 1 When adverse action meets protected activity: Protecting employees and 2 employers while upholding safety culture 3 Video introductory description or audio overlay teaser:

4 Workers in nuclear must be free to report potential problems without fear of retaliation.

5 When it comes to issuing adverse actions, employers have a responsibility to ensure that 6 protected activity rights are not infringed.

7 One of the critical management priorities in the nuclear industry is for management to foster 8 and nurture a healthy safety-conscious work environment all of the time. Management must, 9 through its words and actions, continually focus on promoting and safeguarding protected 10 activities so that employees remain confident that they can raise safety or technical concerns 11 without fear of present or future retaliation.

12 My personal experience as a manager has been instructive. In 2017, I made a fast decision that 13 eventually resulted in my entering an October 2019 confirmatory order with the NRCs Office of 14 Enforcement. My experience taught me that I need to pause and engage the right support 15 resources to properly vet my personnel decisions before I take final action. In my case, taking 16 time to consult with the support resources available to me would have given independent, 17 expert staff an opportunity to challenge me by asking questions, reviewing records, and 18 offering alternative recommendations.

19 Utilities, service companies, and organizations that provide services to or support, build, or 20 operate nuclear power facilities routinely leverage the broad skill set of nuclear professionals.

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 44 of 109 21 These same organizations operate under the guidance of processes that have been developed 22 to ensure that protected activity and employee protection provisions are central tenets of their 23 organizations nuclear safety culture. Gaps in how those programs interface can create error 24 traps related to inter- and intra-organization communication. For example, historical records 25 and databases may be unavailable, Human Resources policies on appropriate discipline may 26 vary, and an organizations business or production schedules can seem more important than 27 taking time to carefully reflect. These gaps can cause even experienced people to stumbleto 28 miss an opportunity to thoroughly evaluate a hastily proposed action, in the end giving rise to a 29 charge of retaliation against an employee for engaging in protected activity.

30 Our awareness of the consequences and the repercussions of hasty action needs to be 31 expanded. The industry knowledge base on these topics is deep, but the general understanding 32 of the specific circumstances that often apply at the nexus between protected activity and 33 personnel decisions can be improved by increased communication and personal testimony.

34 35 What is protected activity? What is employee protection?

36 As nuclear professionals, we are all committed to maintaining a safety-conscious environment 37 at our work sites so that all employees and contractors feel free to raise concerns without fear 38 of harassment, intimidation, retaliation, or discrimination. This privilege extends to licensee 39 employees, contractors and subcontractors, suppliers, and consultants associated with nuclear 40 power or other nuclear services regulated by the NRC. A few key considerations are crucial to a 41 leaders efforts to support and maintain a healthy nuclear safety culture at their work location.

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 45 of 109 42 These considerations include our understanding of what is protected activity, the importance of 43 employee protection, the criticality of prompt follow-up in response to protected activity, and 44 the value of seeking expert assistance while still evaluating potentially adverse personnel 45 decisions.

46 The concepts of protected activity and employee protection are set out in sections of the Code 47 of Federal Regulations (CFR) applying to the licensing, construction, operations, and 48 decommissioning of commercial nuclear power facilities and nuclear product-related facilities 49 that are governed by these regulations or operate under NRC licenses.

50 Broadly, the concepts of deliberate misconduct and employee protection are defined in 10 CFR 51 52.4 and 10 CFR 52.5 (for new nuclear facilities) as well as 10 CFR 50.5 and 10 CFR 50.7 (for NRC 52 licensees). It is critical to note that the protections afforded to employees by these regulations 53 extend to all facility personnel, regardless of whether they are full-time employees, contractors, 54 subcontractors, or temporary staff. These regulatory protections apply equally to all staff 55 supporting work activities performed under the NRCs oversight, regardless of the employee-56 worker legal relationship. This is different than in many standard Human Resources policies, 57 which make clear distinctions among their facility populations to avoid co-employment issues.

58 It is critical for leaders who work with employee populations of mixed employment status, such 59 as temporary workers or third-party contract workers, to understand the broad application of 60 these requirements.

61

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 46 of 109 62 Definitions of protected activity, adverse actions, and discrimination 63 When it comes to regulatory compliance and the associated enforcement actions for violating 64 these requirements, an understanding (and periodic review) of the rules is fundamental to our 65 ability to successfully operate in our environment.

66 Protected activity can include writing condition reports, reporting concerns, or the 67 communication of information related to violations of activities governed by statutes and 68 regulations.

69 An adverse action includes discharge and other actions that relate to compensation, terms, 70 conditions, or privileges of employment. These can include (but are not limited to) discharge or 71 termination, layoff, job reassignment, compensation adjustment, removal of privileges, 72 discipline, denial of promotion, and demotion. Reassignment, intimidation, or veiled threats are 73 more subtle actions that an employer might take against an employee because of the 74 employees engaging in protected activity. An adverse action is deemed retaliatory if it is taken 75 because the individual, in good faith, engaged in a protected activity.

76 If it is determined that an employer engaged in discrimination or retaliation, the decision maker 77 will be subject to possible actions. Those actions include NRC enforcement action, including 78 Confirmatory Orders to adjust behavior and ensure compliance, and civil penalties including 79 fines or bans. The NRC may terminate access rights to NRC-licensed facilities or refer matters to 80 the Department of Justice, potentially resulting in criminal penalties and the risk of 81 incarceration, based upon the severity of the actions. Also, discriminatory actions may result in 82 separate whistleblower litigation through the Department of Labor, which may include awards

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 47 of 109 83 of back wages, interest, and compensatory damages under Section 211 of the Energy 84 Reorganization Act.

85 The NRC may find that an adverse action was taken for discriminatory reasons where the 86 reasons for the action are not consistent with company policy, not detailed in performance 87 evaluations, or inadequately documented in company files. In addition, the NRC may find that 88 protected activity played at least a part in the adverse action if the protected activity occurred 89 before the adverse action was taken and the decision maker knew about the protected activity.

90 If the NRC finds evidence that an adverse action was motivated, at least in part, by the 91 employees protected activity, the burden of proof to demonstrate that adverse employment 92 actions were not taken for retaliatory or discriminatory reasons, or would have been taken 93 notwithstanding the protected activity, falls squarely on the employer decision maker. Gaps in 94 records and inconsistent or absent documentation, coupled with the employer decision 95 makers knowledge and awareness of prior protected activity, will in many cases lead the NRC 96 to determine that an adverse employment action was discriminatory.

97 98 Adverse action review and criticality of follow-up 99 A crucial leadership action inherent to a commitment to a strong nuclear safety culture is to 100 review any proposed adverse employment actions prior to their implementation. This will help 101 management ensure that its proposed action is neither retaliatory nor likely to create the 102 perception of retaliation against individuals who raise nuclear safety-related concerns.

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 48 of 109 103 Consider what processes are in place within your organization to prevent retaliation or 104 discrimination against individuals for raising nuclear safety issues. This is an area of our 105 business that justifiably warrants additional practices to ensure that both employees and 106 management are appropriately protected. Pausing to fully vet decisions that result in adverse 107 employment actions is a best practice that should drive employer decision makers to consult 108 with their Human Resources officers or legal counsel. An independent review may, for example, 109 permit consideration of an individuals employment history that may not be known to the 110 decision maker or that they may not have identified as protected activity. That history of 111 protected activity is especially relevant to the potential impacts to your organization.

112 113 Requirements and best practices 114 What should you do if you are in a position where you are considering an adverse action? You 115 should first analyze whether the proposed action complies with the employee protection 116 requirements outlined in 10 CFR 50.7 or 10 CFR 52.5. If your plan does not comply, your 117 conduct could be declared discriminatory or retaliatory.

118 Help yourself by making sure that the basis for an adverse employment decision is fully 119 evaluated and found consistent with any performance evaluations or other personnel records.

120 An ideal way to protect employees and yourself is to use one of the fundamental nuclear 121 worker human performance tools such as STAR: Stop, Think, Act, Review. My failure to use this 122 simple, effective human performance tool was the fundamental mistake that I made.

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 49 of 109 123 In addition, always ensure that you treat all employees the same way. If you are taking an 124 adverse action against an employee for engaging in a behavior in which other employees are 125 allowed to participate, you need to understand that your actions could be found to be 126 discriminatory, especially if the only distinguishing factor is that one individual has engaged in 127 protected activity and another has not.

128 Finally, remember the STAR principles (Stop, Think, Act, Review) before you implement an 129 adverse employment action. Your use of this simple human performance tool may one day 130 ensure that your employees are protected from discrimination, while sparing you from a charge 131 of instigating an unfair, potentially discriminatory action.

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 50 of 109 1.5. NEI Regulatory Working Group - August 5, 2021 - COMPLETE

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 51 of 109 From: Thompson, Catherine To: Saunders, Thomas Byron Cc: Jane Penny (jpenny@pennylegalgroup.com); Solorio, Dave

Subject:

RE: Saunders CO IA-19-027 - actions completed, list of actions included ll RE: RE: Saunders confirmatory order -

updates on required actions Date: Tuesday, August 17, 2021 7:22:45 AM EXTERNAL MAIL: Caution Opening Links or Files Hi Thomas, I just wanted to let you know that we are still reviewing your submittals. I hope to have everything finalized soon.

Thanks again, Catherine From: Saunders, Thomas Byron <TSAUNDER@southernco.com>

Sent: Thursday, August 05, 2021 6:09 PM To: Thompson, Catherine <Catherine.Thompson@nrc.gov>

Cc: Jane Penny (jpenny@pennylegalgroup.com) <jpenny@pennylegalgroup.com>; Solorio, Dave

<Dave.Solorio@nrc.gov>

Subject:

[External_Sender] Saunders CO IA-19-027 - actions completed, list of actions included ll RE: RE: Saunders confirmatory order - updates on required actions Catherine - I wanted to provide you with a final update on my actions taken to comply with confirmatory order IA-19-027.

I completed my final presentation today when I went through the approved material with the NEI Regulatory Issues Working Group as part of their August 5 meeting. I have attached the agenda for that meeting for you here.

I have also attached a summary of the actions taken and the dates the actions were taken or completed for your review. I hope that you find this listing clearly articulates the specific actions that I took to meet the requirements outlined in the aforementioned confirmatory order. With my review of the order and my final presentation this afternoon, I believe that 100% of the required actions have been completed.

Please let me know if you see any issues with my summary or need more detail about any of the specific items. Also, please let me know if I have missed or misinterpreted anything and I will address those gaps as required.

-Thomas 205.586.4266 From: Thompson, Catherine <Catherine.Thompson@nrc.gov>

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 52 of 109 Regulatory Issues Working Group Meeting DATE/TIME: August 5, 2021 2:30 PM - 5:30 PM LOCATION: See Webinar Info in Meeting Invitation TOPIC PROCESS WHO TIME Jim Connolly/

- Welcome/Introductions Meeting Intro Brad Berryman/ 2:30 - 2:45

- Review Agenda Jennifer Uhle

- Share Insights from recent Drop-ins/

Interactions

- Discuss Fleet/Station regulatory items of interest Fleet/Station Recent Events/ - Discuss emerging and/or generic Reports/

Interactions/ issues that have arisen at the NRUG Chair/

RUGs/ Owners RUG/OG meetings RUG Chairs/ 2:45 - 4:00 Group/ Round - Open discussion of topics not on Owners Group Table agenda Rep(s)

NEI 20-04 video/ rollout insights (+ poll)

NUPIC HEAF VLSSIR examples/regional perspective Break 4:00 - 4:15 Southern ADR

- Present/Discuss Thomas Saunders 4:15 - 4:45 Update Jim Slider/

Innovation - Update/Discuss Chris Nolan/ 4:45 - 5:25 Marty Murphy

- Overview of Day #2 Meeting Wrap-up - Recall NRC topics/industry leads Andrew Mauer 5:25 - 5:30 for the Day

- Conclude Meeting (+/)

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 53 of 109 Protected Activity and Employee Protection Experiences and best practices:

increasing awareness of the impacts of adverse employment decisions linked to or close in time to protected activity

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 54 of 109 Protected Activity and Employee Protection Importance of employee protection Criticality of follow-up in response to protected activity Criticality of follow-up when evaluating potentially adverse personnel decisions Historical Examples Lessons Learned

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 55 of 109 10 CFR 50.5 Deliberate Misconduct - NRC Licensees What is protected 10 CFR 50.7 Employee Protection - NRC activity? Licensees 10 CFR 52.4 What is Deliberate Misconduct - COL/new employee nuclear power facilities protection? 10 CFR 52.5 Employee Protection - COL/new nuclear power facilities

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 56 of 109 Test your knowledge:

Protected activity (§ 50.7(a)):Giving the NRC or an employer information about potential violations Adverse Action: Discharge and other actions that relate to compensation, terms, conditions, or privileges of employment Discrimination (§ 50.7(a)): taking an adverse action because an employee engaged in protected activities Enforcement action: NRC action can be taken against a licensee or an individual

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 57 of 109 Criticality of Followup When an employee has engaged in protected activity Before the implementation of adverse consequences

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 58 of 109 Examples of NRC findings of discrimination Releasing a contract employee who raised safety concerns in a prior assignment with a break in service Not selecting a candidate for an open position who had raised prior safety concerns Giving an employee a bad/negative performance appraisal because the employee had raised prior safety concerns Continued retaliation and discrimination against a research scientist at a reactor research facility for raising safety concerns

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 59 of 109 Requirements and best practices:

S.T.A.R Take time to process Engage with the the ramifications of appropriate support personnel decisions staff Need to have the Make a fully whole picture for informed decision full consideration

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 60 of 109 Q&A on Lessons Learned Have you faced situations like this? What was the outcome?

How do you differentiate between business decisions and adverse employment actions/discrimination?

Does your organization have the right processes set up?

Can you document legitimate discipline?

Any personal experiences to share?

Questions about my personal experience?

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 61 of 109 Employee protection Requirements and Lessons Learned concepts/definitions Best Practices Protected Activity and Employee Protection Summary

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 62 of 109

2. Site and Corporate Leadership Team Meeting - must complete by February 17, 2020 - COMPLETE on February 4, 2020 2.1. Vogtle 3&4 EVP staff meeting - November 20, 2019 - COMPLETE 2.2. Corporate staff/leadership meeting - Tuesday, February 4, 2020 - SNC CNO expanded staff mtg - held at V1&2 admin building - COMPLETE NOTE: USED SAME SLIDE DECK FOR BOTH LEADERSHIP PRESENTATIONS

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 63 of 109 Saunders, Thomas Byron From: Wilson, George <George.Wilson@nrc.gov>

Sent: Wednesday, November 20, 2019 2:36 PM To: Saunders, Thomas Byron Cc: Thompson, Catherine

Subject:

RE: Saunders confirmatory order - site leadership team meeting - presentation completed 20NOV EXTERNAL MAIL: Caution Opening Links or Files Thank you very much From: Saunders, Thomas Byron <TSAUNDER@southernco.com>

Sent: Wednesday, November 20, 2019 1:45 PM To: Wilson, George <George.Wilson@nrc.gov>

Cc: Thompson, Catherine <Catherine.Thompson@nrc.gov>

Subject:

[External_Sender] Saunders confirmatory order site leadership team meeting presentation completed 20NOV George I wanted to let you know that on November 20, 2019, I successfully completed my presentation to the site leadership team at Vogtle 3&4 on protected activity and employee protection, in accordance with the confirmatory orders terms. The meeting that I attended, presented, and engaged in the discussion with the leadership team was a staff meeting for the Executive Vice President for Vogtle 3&4 (Glen Chick). I used the same slide deck that was used with the ANS audience earlier this week for the presentation.

Sincerely, Thomas B. Saunders, Jr. PE Site Oversight Director l GPC Nuclear Development - Vogtle Units 3&4 Internal: 8.695.5659 l External: 706.826.5659 l Cell: 205.586.4266 1

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 64 of 109 Saunders, Thomas Byron From: Saunders, Thomas Byron Sent: Tuesday, February 4, 2020 2:17 PM To: Thompson, Catherine; Wilson, George

Subject:

RE: RE: RE: saunders confirmatory order - updates on required actions Sounds good, look forward to the conversation. Talk soon.

Thomas 205.586.4266 From: Thompson, Catherine <Catherine.Thompson@nrc.gov>

Sent: Tuesday, February 4, 2020 2:08 PM To: Saunders, Thomas Byron <TSAUNDER@southernco.com>; Wilson, George <George.Wilson@nrc.gov>

Subject:

RE: RE: RE: saunders confirmatory order updates on required actions EXTERNAL MAIL: Caution Opening Links or Files Thank you Thomas.

We still plan to have a conference call in the next few weeks about the RIC.

Catherine From: Saunders, Thomas Byron <TSAUNDER@southernco.com>

Sent: Tuesday, February 04, 2020 1:54 PM To: Wilson, George <George.Wilson@nrc.gov>; Thompson, Catherine <Catherine.Thompson@nrc.gov>

Subject:

[External_Sender] RE: RE: saunders confirmatory order updates on required actions George/Catherine - I wanted to let you know that I completed my presentation to the SNC corporate leadership team earlier today. The Chief Nuclear Officer, Pete Sena, has his monthly executive leadership team meeting for the month of February at the Vogtle 1&2 site today and I presented in that forum.

This action completes the three presentations internal to the SNC organization that I am required to make under the subject confirmatory order. All three have been completed ahead of the deadline of February 18, 2020.

The next presentation I will make as an action item associated with the confirmatory order will be the panel discussion at the RIC in March.

Thomas 205.586.4266 From: Wilson, George <George.Wilson@nrc.gov>

Sent: Tuesday, January 21, 2020 2:54 PM To: Saunders, Thomas Byron <TSAUNDER@southernco.com>; Thompson, Catherine <Catherine.Thompson@nrc.gov>

Subject:

RE: RE: saunders confirmatory order updates on required actions 1

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 65 of 109 Protected Activity and Employee Protection Experiences and best practices:

increasing awareness of the impacts of adverse employment decisions linked to or close in time to protected activity Single paragraph summary:

Protected Activity can be broadly defined as an individual reporting potential or alleged violations or noncompliances of regulated activity. There are multiple lessons learned across the industry related to the nexus of protected activity, employment decisions by management, and other associated discrimination activities. The personal and professional consequences for these adverse actions are severe. Awareness of those consequences and repercussions need to be expanded, and the general understanding of the specific circumstances that may apply to these situations can be improved.

Expanded summary:

A foundational priority of management in the nuclear industry must be ensuring that a healthy safety conscious work environment exists and that you foster and nurture that environment through your words and actions - a focus on protected activity and associated employee protection provisions are critical to maintain the right balance and ensure that your employees continue to feel free to raise safety concerns without fear of retaliation.

In the context of Nuclear Power and the associated activities that are conducted under licenses granted by the U.S. Nuclear Regulatory Commission (NRC), Protected Activity can be broadly defined as an individual providing information regarding potential or alleged violations or noncompliances to the regulations governing the associated licensed activity 1

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 66 of 109 to either the NRC, the employer, or the licensee.

There are very specific employee protection provisions and requirements related to the rights afforded to individuals who engage in protected activity that are designed to prevent discrimination and ensure that any alleged violations or noncompliances are given the full and necessary consideration of the impacts to the health and safety of the public.

Utilities, service companies, and organizations who engage in providing services to, supporting, building, or operating nuclear power facilities routinely leverage the broad skillset of the nationwide population of nuclear professionals who work throughout the industry.

These same organizations operate under the guidance of processes and protocols that have been developed to ensure that protected activity and employee protection provisions are a central tenant of their organizations nuclear safety culture. Nevertheless, the opportunity exists for gaps in the interface of those programs to create error traps related to inter and intraorganization communication, historical records and databases, human resources policies, and the routine conduct of an organizations business under a license granted by the NRC. When realized, these gaps may result in discrimination against employees for engaging in protected activity.

There are multiple lessons learned across the industry related to the nexus of protected activity, employment decisions by management, and other associated discrimination activities. The personal and professional consequences for these adverse actions are severe, for both individuals as well as the licensed organization, and are established as such to reinforce the importance of protected activity in protecting the health and safety of the public.

Awareness of the consequences and repercussions of these items needs to be expanded.

The industry knowledge base on these topics is deep, but the general understanding of the specific circumstances that often apply at the nexus of protected activity and employment decisions can be improved through increased communication on historical case studies and personal testimony.

I am here with you today to share my experiences and personal lessons learned in this area in the hopes that I can help others understand the gravity of employee protection and protected activity.

1

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 67 of 109 Protected Activity and Employee Protection Importance of employee protection Criticality of follow-up in response to protected activity Criticality of follow-up when evaluating potentially adverse personnel decisions Historical Examples Lessons Learned As nuclear professionals, we are all committed to maintaining a Safety Conscious Work Environment (SCWE) at our work sites where all employees and contractors feel free to raise concerns without fear of harassment, intimidation, retaliation or discrimination. The privilege to raise safety concerns without the fear of retaliation extends to Licensee employees, contractors, subs, suppliers, and consultants associated with nuclear power other nuclear services regulated by the Nuclear Regulatory Commission.

There are few key points that I believe are crucial in a leaders efforts to support and maintain the healthy nuclear safety culture as their work location. I would like to review those with you today to highlight the importance of protected activity and associated employee protection provisions that you may or may not have already institutionalized at your site or work location.

We will talk about:

1. The importance of employee protection

2. The criticality of followup in response to protected activity

3. The criticality of followup when evaluating potentially adverse personnel decisions

4. Historical examples

5. Lessons learned 2

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 68 of 109 10 CFR 50.5 Deliberate Misconduct - NRC Licensees What is protected 10 CFR 50.7 Employee Protection - NRC activity? Licensees 10 CFR 52.4 What is Deliberate Misconduct - COL/new employee nuclear power facilities protection? 10 CFR 52.5 Employee Protection - COL/new nuclear power facilities The concepts of Protected Activity and Employee Protection are outlined in several sections of the code of federal regulations as it applies to the licensing, construction, operations, and decommissioning of commercial nuclear power facilities and nuclear product related facilities that are governed by these sections of the code or operate under licenses issues by the Nuclear Regulatory Commission.

Broadly, these concepts are defined in parts 50 and 52:

10 CFR 52.4 - Deliberate Misconduct - COL/new nuclear power facilities 10 CFR 52.5 - Employee Protection - COL/new nuclear power facilities 10 CFR 50.5 - Deliberate Misconduct - NRC Licensees 10 CFR 50.7 - Employee Protection - NRC Licensees Critical to note that the protections afforded to employees by these provisions of the CFR extend to all employees - regardless of whether they are fulltime company employees, contractors, subcontractors, or temporary staff. The guidelines, protections, and rules apply equally regardless of employee/worker legal relationship. This is different than many standard HR policies and is critical to note for leaders who work with employee populations of mixed employment status.

3

CO IA-19-027 - Saunders Confirmatory Order - Summary of Actions Taken and Associated Correspondence 69 of 109 Test your knowledge:

Protected activity (§ 50.7(a)):Giving the NRC or an employer information about potential violations Discrimination (§ 50.7(a)): Discharge or taking away compensation, terms, conditions, or privileges Adverse Action: an employers actions taken because of an employees protected activity Enforcement action: NRC action can be taken against a licensee or an individual You may think you have a thorough understanding of protected activity - but you really know the by the book definition? Because thats the one that matters when we discuss to regulatory compliance and associated enforcement actions.