Information Notice 1999-06, 1998 Enforcement Sanctions As a Result of Deliberate Violations of NRC Employee Protection Requirements

1998 Enforcement Sanctions As a Result of Deliberate Violations of NRC Employee Protection Requirements

ML031040488
Person / Time
Site:	Beaver Valley, Millstone, Hatch, Monticello, Calvert Cliffs, Dresden, Davis Besse, Peach Bottom, Browns Ferry, Salem, Oconee, Mcguire, Nine Mile Point, Palisades, Palo Verde, Perry, Indian Point, Fermi, Kewaunee, Catawba, Harris, Wolf Creek, Saint Lucie, Point Beach, Oyster Creek, Watts Bar, Hope Creek, Grand Gulf, Cooper, Sequoyah, Byron, Pilgrim, Arkansas Nuclear, Three Mile Island, Braidwood, Susquehanna, Summer, Prairie Island, Columbia, Seabrook, Brunswick, Surry, Limerick, North Anna, Turkey Point, River Bend, Vermont Yankee, Crystal River, Haddam Neck, Ginna, Diablo Canyon, Callaway, Vogtle, Waterford, Duane Arnold, Farley, Robinson, Clinton, South Texas, San Onofre, Cook, Comanche Peak, Yankee Rowe, Maine Yankee, Quad Cities, Humboldt Bay, La Crosse, Big Rock Point, Rancho Seco, Zion, Midland, Bellefonte, Fort Calhoun, FitzPatrick, McGuire, LaSalle, Fort Saint Vrain, Shoreham, Satsop, Trojan, Atlantic Nuclear Power Plant
Issue date:	03/19/1999
Revision:	0
From:	Cool D A, Matthews D B NRC/NMSS/IMNS, Division of Regulatory Improvement Programs
To:
References
IN-99-006, NUDOCS 9903180272
Download: ML031040488 (11)

UNITED STATESNUCLEAR REGULATORY COMMISSIONOFFICE OF NUCLEAR REACTOR REGULATIONOFFICE OF NUCLEAR MATERIAL SAFETY AND SAFEGUARDSOFFICE OF ENFORCEMENTWASHINGTON, D.C. 20555March 19, 1999NRC INFORMATION NOTICE 99-06: 1998 ENFORCEMENT SANCTIONS AS A RESULTOF DELIBERATE VIOLATIONS OF NRC EMPLOYEEPROTECTION REQUIREMENTS

Addressees

All U.S. Nuclear Regulatory Commission licensees.

Purpose

The U.S. Nuclear Regulatory Commission (NRC) is issuing this information notice to remindlicensees and their employees of the sanctions that could result from deliberately violating NRCrequirements in the area of employee protection. It is expected that licensees will review thisinformation notice, distribute it to management and staff involved with licensed activities,including senior management at nuclear power plants, and consider actions, as appropriate, toavoid similar problems. No written response is required.DiscussionThe NRC places a high value on nuclear industry employees being free to raise potential safetyconcerns to both licensee management and to the NRC without fear of reprisal or actualharassment and intimidation. Section 211 of the Energy Reorganization Act (ERA), and 10CFR 19.20, 30.7, 40.7, 50.7, 60.9, 61.9, 70.7, and 72.10, provide that no employer maydischarge or otherwise discriminate against any employee with respect to compensation, terms,conditions, or privileges of employment because the employee engaged In certain protectedactivities. These protected activities include notifying an employer of an alleged violation of theAtomic Energy Act or ERA, refusing to engage in any practice made unlawful by those Acts,testifying before Congress or In a Federal or State proceeding regarding any provision of theseActs, or commencing, testifying, assisting, or participating In any manner In a proceeding underthese Acts. Licensees and contractors are responsible for ensuring that discrimination does notoccur against their employees for engaging in such protected activities. Licensees andcontractors who discriminate against their employees for the employees' protected activities aresubject to sanctions by the NRC. These sanctions Include Notices of Violation (NOVs) and CivilPenalties.<i;>2 ?Dk :I Ae Afjq00(

<2 '- In 99-06March 19, 1999 In addition, under the Deliberate Misconduct Rule (see e.g., 10 CFR 30.10 & 10 CFR 50.5),licensee and contractor employees, including senior managers, are subject to sanctions by theNRC for discrimination against other employees for these employees' protected activities.These sanctions Include Orders barring Individuals from licensed activities. Significant NRCenforcement actions are published In NUREG-0940 and can be accessed through the NRCOffice of Enforcement's Home Page at www.nrc.gov/OE.Descriptions of Significant 1998 Enforcement Actions and Sanctions(1) On January 16, 1998, an NOV (EA 97-451) was issued to Construction ProductsResearch, Inc. (CPR) and Five Star Products, Inc. (Five Star) based on a Severity Level Iviolation of 10 CFR 50.7. Specifically, CPR and Five Star, a subcontractor andcontractor to Commission licensees, respectively, through the actions of the presidentand vice-president of CPR and the president and vice-president of Five Star,discriminated against the former Director of Research of CPR. This discriminationresulted from the former Director raising safety concerns to the NRC regarding thequality of testing products CPR and Five Star supplied to nuclear power plants, andcooperating with the NRC in connection with the NRC's investigation of CPR and FiveStar. CPR and Five Star were also the subject of an Order, dated December 1, 1995,prohibiting CPR, Five Star, and H. Nash Babcock from providing or supplying theirservices and products, including grout and concrete, certified as meeting 10 CFRPart 50, Appendix B requirements, to NRC licensees. CPR and Five Star responded tothe NOV on February 13, 1998.(2) On June 9, 1998, the NRC Issued to South Texas Project Electric Generating Station(STP) a Confirmatory Order Modifying License (Effective Immediately) (EA 97-341) for aviolation of 10 CFR 50.7 requirements. The violation involved the licensee subjectingfour employees to a hostile work environment created by the conduct of a formermanager who retaliated against these employees for engaging in protected activities.The Confirmatory Order confirmed STP's commitments to ensure that Its process foraddressing employee protection and safety concerns would be enhanced. At the sametime, the staff announced that It was exercising enforcement discretion under SectionVIl.B.6 of the Enforcement Policy and would not pursue an NOV or Civil Penalty In thiscase primarily because: (1) the licensee settled the four employee protection complaintsprior to an evidentiary hearing before, and prior to a finding that discrimination hadoccurred by, the United States Department of Labor; (2) the licensee took effectivecorrective actions as outlined In the Order; (3) the licensee had planned actions tomonitor the safety environment and to promote an atmosphere conducive to the raisingof safety concerns by employees without fear of retaliation; and (4) the licensee's overallsustained performance In the area of employee protection had been goo In 99-06March 19, 1999 Description of Withdrawal of Significant 1997 Enforcement Action and SanctionOn February 9, 1998, the NRC issued Information Notice 98-04 which stated that onOctober 31, 1997, an NOV and Proposed Imposition of a $10,000 Civil Penalty was issued toMattingly Testing Services, Inc. (MTSI) (EA 97-180) based on a Severity Level IlIl violation of10 CFR 30.7. On September 15, 1998, the NRC withdrew the NOV and Proposed Imposition ofCivil Penalty to MTSI based upon further review of the evidence, and MTSI's commitment toInstitute a new policy regarding cooperative maintenance of a safety conscious workenvironment. Withdrawal of the NOV completes the action with regard to this case.No specific action or written response is required by this Information notice. If you have anyquestions about this matter, please call the contact listed below or the appropriate NRCregional office.0onld A. Co David B. Matthews, DirectorDivision of Industrial an Division of Regulatory Improvement ProgramsMedical Nuclear Safety Office of Nuclear Reactor RegulationOffice of Nuclear Material Safetyand SafeguardsContact: Michael Stein, OE301-415-1688E-mail: mhs@nrc.gov

Attachments:

1. List of Recently Issued NMSS Information Notices2. List of Recently Issued NRC Information Notices

'-_'Attachment 1IN 99-06March 19, 1999Page 1 of ILIST OF RECENTLY ISSUEDNIMSS INFORMATION NOTICESInformation Date ofNotice No. Subject Issuance Issued to99-05 Inadvertent Discharge of Carbon 318/99 All holders of licenses for nuclearDioxide Fire Protection Systemand Gas Migrationpower, research, and test reactor,and fuel cycle facilities99-0499-0399-02Unplanned Radiation Exposuresto Radiographers, Resulting fromfailures to follow Proper RadiationSafety ProceduresExothermic Reactions InvolvingDried Uranium Oxide Powder(Yellowcake)Guidance to Users on theImplementation of a NewSingle-Source Dose-Calculation Formalism and RevisedAir-Kerma Strength Standardfor Iodine-125 Sealed SourcesDeterioration of High-EfficiencyParticulate Air Filters in aPressurized Water ReactorContainment Fan Cooler Unit3/81991/29/991/21/991120/99All radiography licensees.All operating uranium recoveryfacilities that produce oxidepowder (U30.) (yellowcake)All medical licensees authorized toconduct brachytherapytreatments.All holders of licenses for nuclearpower, research and test reactors;and fuel cycle facilities.99-0198-33RegulatoryNRC Regulations ProhibitAgreements that Restrict orDiscourage an Employee fromParticipating In Protected Activities8128/98All holders of a NuclearCommission license98-3097-91Supp. 1Effect of the Year 2000Computer Problem on NRCLicensees and Certificate HoldersRecent Failure of ControlCables Used on AmershamModel 660 Posilock RadiographySystems8/12/988/10198All material and fuel cyclelicensees and certificate holdersAll industrial radiographylicensee '-' Attachment 2IN 99-06March 19, 1999Page 1 of ILIST OF RECENTLY ISSUEDNRC INFORMATION NOTICESInformation Date ofNotice No. Subject Issuance Issued to99-05 Inadvertent Discharge of Carbon 318199 All holders of licenses for nuclearDioxide Fire Protection Systemand Gas Migrationpower, research, and test reactor,and fuel cycle facilities99-0499-0399-0299-0198-45Unplanned Radiation Exposuresto Radiographers, Resulting fromfailures to follow Proper RadiationSafety ProceduresExothermic Reactions InvolvingDried Uranium Oxide Powder(Yellowcake)Guidance to Users on theImplementation of a NewSingle-Source Dose-Calculation Formalism and RevisedAir-Kerma Strength Standardfor Iodine-125 Seated SourcesDeterioration of High-EfficiencyParticulate Air Filters In aPressurized Water ReactorContainment Fan Cooler Unit3/81991/291991121/9901/20199All radiography licensees.All operating uranium recoveryfacilities that produce oxidepowder (U30.) (yellowcake)All medical licensees authorizedto conduct brachytherapytreatments.All holders of licenses for nuclearpower, research and test reactors;and fuel cycle facilities.All holders of operating licensesfor nuclear power reactors, exceptthose that have permanentlyceased operations and havecertified that fuel has beenpermanently removed from thereactor.Cavitation Erosion of Letdown Line 12/15198Orifices Resulstin In Fatigue Crackingof Pipe WeldsOL Operating LicenseCP = Construction Permit

! s~-'In 99-06March 19, 1999 Description of Withdrawal of Significant 1997 Enforcement Action and SanctionOn February 9, 1998, the NRC issued Information Notice 98-04 which stated that onOctober 31, 1997, an NOV and Proposed Imposition of a $10,000 Civil Penalty was issued toMattingly Testing Services, Inc. (MTSI) (EA 97-180) based on a Severity Level IlIl violation of10 CFR 30.7. On September 15, 1998, the NRC withdrew the NOV and Proposed Imposition ofCivil Penalty to MTSI based upon further review of the evidence, and MTSI's commitment toinstitute a new policy regarding Cooperative maintenance of a safety conscious workenvironment. Withdrawal of the NOV completes the action with regard to this case.No specific action or written response is required by this information notice. If you have anyquestions about this matter, please call the contact listed below or the appropriate NRCregional office.Orig /s/'d byLarry W. Carper FORDonald A. Cool, DirectorDivision of Industrial andMedical Nuclear SafetyOffice of Nuclear Material Safetyand SafeguardsOrig /s/'d byScott F. Wwberyy FORDavid B. Matthews, DirectorDivision of Regulatory Improvement ProgramsOffice of Nuclear Reactor RegulationContact: Michael Stein, OE301-415-1688E-mail: mhs@nrc.gov

Attachments:

1. List of Recently Issued NMSS Information Notices2. List of Recently Issued NRC Information Notices*See Previous ConcurrenceDOCUMENT NAME: S:\DRPMSEC\99-06.INTo receive a copy of this document, indicate in the box C=Copy wlo attachment/enclosure E=Copy with attachment/enclosure N = No copyOFFICE lOE I l OE I l OE L (A)C:P CBllNAME MStein* RBorchardt* JLieberman* RDennig*DATE 2/25/99 1 2/5/99 1 2/25/99 3/8/99I. .OFFICFD:IMNSID:DRIP / I[ NAME DCooI* DMaftheDATE 3/8/99 99___ A,OFFICIAL RECORD COPY J yI- In 99-06March 15, 1999 Description of Withdrawal of Significant 1997 Enforcement Action and SanctionOn February 9, 1998, the NRC issued Information Notice 98-04 which stated that onOctober 31, 1997, an NOV and Proposed Imposition of a $10,000 Civil Penalty was issued toMattingly Testing Services, Inc. (MTSI) (EA 97-180) based on a Severity Level IlIl violation of10 CFR 30.7. On September 15,1998, the NRC withdrew the NOV and Proposed Imposition ofCivil Penalty to MTSI based upon further review of the evidence, and MTSI's commitment toinstitute a new policy regarding Cooperative maintenance of a safety conscious workenvironment. Withdrawal of the NOV completes the action with regard to this case.No specific action or written response is required by this information notice. If you have anyquestions about this matter, please call the contact listed below or the appropriate NRCregional office.Donald A. Cool, DirectorDivision of Industrial andMedical Nuclear SafetyOffice of Nuclear Material Safetyand SafeguardsDavid B. Matthews, DirectorDivision of Regulatory Improvement ProgramsOffice of Nuclear Reactor RegulationContact: Michael Stein, OE301-415-1688E-mail: mhsenrc.gov

Attachments:

1. List of Recently Issued NMSS Information Notices2. List of Recently Issued NRC Information Notices*See Previous ConcurrenceDOCUMENT NAME: S:\DRPMSEC\99006.inTo receive a copy of this document, indicate in the box C=Copy wlo attachment/enclosureE=Copy with attachment/enclosure N = No copyOFFICE OE I IK OE I OE [ (A)C:PECB INAME MStein* RBorchardt* } JLieberman* RDennig*DATE 21225/99 2/5/99 12/25/99 13/8/99 1OFFICED:IMNSID:DRPM.INAME DCool* DMatthewsDATE 3/8/99 3/ /99__ _ __ _ ant,OFFICIAL RECORD COPY

'- ~IN 99-xxFebruary xx, 1999 Description of Withdrawal of Significant 1997 Enforcement Action and SanctionOn February 9, 1998, the NRC issued Information Notice 98-04 which stated that onOctober 31, 1997, an NOV and Proposed Imposition of a $10,000 Civil Penalty was issued toMattingly Testing Services, Inc. (MTSI) (EA 97-180) based on a Severity Level IlIl violation of10 CFR 30.7. On September 15, 1998, the NRC withdrew the NOV and Proposed Imposition ofCivil Penalty to MTSI based upon further review of the evidence, and MTSI's commitment toinstitute a new policy regarding Cooperative maintenance of a safety conscious workenvironment. Withdrawal of the NOV completes the action with regard to this case.No specific action or written response is required by this information notice. If you have anyquestions about this matter, please call the contact listed below or the appropriate NRCregional office.Donald A. Cool, DirectorDivision of Industrial andMedical Nuclear SafetyOffice of Nuclear Material Safetyand SafeguardsDavid B. Matthews, DirectorDivision of Regulatory Improvement ProgramsOffice of Nuclear Reactor RegulationContact: Michael Stein, OE301-415-1688E-mail: mhs@nrc.gov

Attachments:

1. List of Recently Issued NMSS Information Notices2. List of Recently Issued NRC Information Notices*See Previous ConcurrenceDOCUMENT NAME: S:\DRPMSEC\INH&198.WPDTo receive a copy of this document, indicate in the box C=Copy wlo attachmentlenclosure E=Copy with attachmentlenclosure N = No copyOFFICE OE l _NAME MSt2/2 -RBorchardt* (_ _nigDATE 12/25/99 2 / 5 / 9 9 l I 9 99 3/ 19D:IMNS7 ,1IOFFICFD:DRPMINAME DMatthewsDATE =__ 2/ /99-odr --IOFFICIAL KtloUKU) COvr Penalty to MTSI based upon further review of the evidence, and MTSI's co itment to institutea new policy regarding Cooperative Maintenance of a Safety Conscious ork Environment.Withdrawal of the NOV completes the action with regard to this case.No specific action nor written response is required by this info ion notice. If you have anyquestions about this matter, please call the contact listed below r the appropriate NRC regionaloffice.Donald A. Cool, Director David B. M ews, DirectorDivision of Industrial and Division Reactor Program ManagementMedical Nuclear Safety Office o uclear Reactor RegulationOffice of Nuclear Material Safetyand SafeguardsContact: Michael Stein, OE301-415-1688E-mail: mhsenrc.gov

Attachments:

1.2.MStein Rborchardt DCool DMatthews J3L rman2/9 /99 2/ < /99 2/ /99 2/ /99 /99G:\inh&i98.wpd/I (4) On June 9, 1998, the NRC issued to South Texas Project Electric Generating Station (STP) aConfirmatory Order Modifying License (Effective Immediately) (EA 97-341) for a violation of10 CFR 50.7 requirements. The violation involved the licensee subjecting four employees toa,/hostile work environment created by the conduct of a former manager who retaliated against/these employees for engaging in protected activities. The Confirmatory Order confirme TP'scommitments to ensure that its process for addressing employee protection and safety, oncernswould be enhanced. At the same time, the staff announced that it was exercising orcementdiscretion under Section VII.B.6 of the Enforcement Policy and would not purs an NOV orcivil penalty in this case primarily because: 1) the licensee settled the four e loyee protectioncomplaints prior to an evidentiary hearing before, and prior to a finding th discrimination hadoccurred by, the United States Department of Labor; 2) the licensee too effective correctiveactions as outlined in the Order; 3) the licensee had planned actions t monitor the safetyenvironment and to promote an atmosphere conducive to the raisin of safety concerns byemployees without fear of retaliation; and 4) the licensee's ove sustained performance in thearea of employee protection had been good.(5) On September 15, 1998, the NRC withdrew an NOV d Proposed Imposition of CivilPenalty (EA 97-180) to Mattingly Testing Services, Inc SI) based upon further review of theevidence, and MTSI's commitment to institute a new licy regarding Cooperative Maintenanceof a Safety Conscious Work Environment. With al of the NOV completes the action withregard to this case.No specific action nor written response is req d by this information notice. If you have anyquestions about this matter, please call the c ntact listed below or the appropriate NRC regionaloffice.Donald A. Cool, Director David B. Matthews, DirectorDivision of Industrial and Division of Reactor Program ManagementMedical Nuclear Safety Office of Nuclear Reactor RegulationOffice of Nuclear Material Safety/and SafeguardsContact: Michael SteirOE301-415-16/8E-mail: n~bsgnrc.gov

Attachments:

/I/1.2.MStein R orchardt DCool DMatthews JLieberman11/.!99 ' I/ '99 1/ /99 1/ /99 1/ /99G:\inh&698.mhs discretion under Section VII.B.6 of the Enforcement Policy and would not pursue an NOV orcivil penalty in this case primarily because: 1) the licensee settled the four employee protectioncomplaints prior to an evidentiary hearing before, and prior to a finding that discrimination hadoccurred by, the United States Department of Labor; 2) the licensee took effective correctiveactions as outlined in the Order; 3) the licensee had planned actions to monitor the safetyenvironment and to promote an atmosphere conducive to the raising of safety concerns byemployees without fear of retaliation; and 4) the licensee's overall sustained performance in thearea of employee protection had been good.(5) On September 15, 1998, the NRC withdrew an NOV and Proposed Imposition of ilPenalty (EA 97-180) to Mattingly Testing Services, Inc. (MTSI) based upon furth eview of theevidence, and MTSI's commitment to institute a new policy regarding Coopera e Maintenanceof a Safety Conscious Work Environment. Withdrawal of the NOV complet the action withregard to this case.No written response is required by this information notice. If you h e any questions about thismatter, please call the contact listed below or the appropriate NR regional office.Donald A. Cool, Director David B. ews, DirectorDivision of Industrial and Division Reactor Program ManagementMedical Nuclear Safety Office Nuclear Reactor RegulationOffice of Nuclear Material Safetyand SafeguardsContact: Michael Stein, OE301-415-1688E-mail: mhs(nrc.govMStein DCool DMatthews JLieberman111/99 lI4/9,f 1/ /99 1/ /99 1/ /99