Information Notice 2000-04, 1999 Enforcement Sanctions for Deliberate Violations of NRC Employee Protection Requirements
| ML003679856 | |
| Person / Time | |
|---|---|
| Issue date: | 02/25/2000 |
| From: | Cool D, Marsh L NRC/NMSS/IMNS, Operational Experience and Non-Power Reactors Branch |
| To: | |
| Petrone, C | |
| References | |
| IN-00-004 | |
| Download: ML003679856 (8) | |
UNITED STATES
NUCLEAR REGULATORY COMMISSION
OFFICE OF NUCLEAR REACTOR REGULATION
OFFICE OF NUCLEAR MATERIAL SAFETY AND SAFEGUARDS
OFFICE OF ENFORCEMENT
WASHINGTON, D.C. 20555
February 25, 2000
NRC INFORMATION NOTICE 2000-04: 1999 ENFORCEMENT SANCTIONS FOR
DELIBERATE VIOLATIONS OF NRC EMPLOYEE
PROTECTION REQUIREMENTS
Addressees
All U.S. Nuclear Regulatory Commission licensees.
Purpose
The U.S. Nuclear Regulatory Commission (NRC) is issuing this information notice to remind
licensees and their employees of the sanctions that could result from deliberately violating NRC
Employee Protection requirements. Licensees are expected to review this information notice, distribute it to management and staff involved in licensed activities, including senior
management at nuclear power plants, fuel cycle facilities, and byproduct materials facilities and
consider appropriate actions to avoid similar problems. No written response is required.
Discussion
The NRC places a high value on nuclear industry employees freedom to raise potential safety
concerns both to licensee management and to the NRC without fear of reprisal or actual
harassment and intimidation. Section 211 of the Energy Reorganization Act (ERA), as
amended and 10 CFR 19.20, 30.7, 40.7, 50.7, 60.9, 61.9, 70.7, 72.10, and 76.7 provide that no
employer may discharge or otherwise discriminate against any employee with respect to
compensation, terms, conditions, or privileges of employment because the employee engaged
in certain protected activities. These protected activities include notifying an employer of an
alleged violation of the Atomic Energy Act or the 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 these acts, or commencing, testifying, assisting, or participating in any manner
in a proceeding under these acts. Licensees and contractors are responsible for ensuring that
they do not discriminate against their employees for engaging in such protected activities.
Licensees and contractors that discriminate against their employees who engage in protected
activities are subject to sanctions by the NRC. These sanctions include notices of violation
(NOVs) and civil penalties (CPs).
In addition, under the Deliberate Misconduct Rule (see 10 CFR 30.10 and 10 CFR 50.5)
licensee and contractor employees, including senior managers, are subject to sanctions by the
NRC for discrimination against other employees who engage in protected activities. These
IN 2000-04 February 25, 2000 sanctions include orders barring individuals from NRC licensed activities. Significant NRC
enforcement actions are published in NUREG-0940 and can be accessed through the NRC
Office of Enforcements home page at www.nrc.gov/OE. The NRC enforcement policy
accessed through this home page explains the sanctions in more detail.
Significant 1999 Enforcement Actions and Sanctions
(1)
On March 9, 1999, the NRC issued a Severity Level II NOV and proposed CP in the
amount of $88,000 to Northeast Nuclear Energy Company in connection with a violation
of Section 50.7 at the Millstone Station in August 1997 (enforcement action (EA)97-461). The action was based upon a violation involving discrimination against two
contract employees at Millstones Motor Operated Valve (MOV) Department. Their
terminations were recommended by the then MOV supervisor and supported by the then
MOV Manager, both of whom were also contract employees. Although each
termination constituted a separate instance of discrimination, the staff combined the
terminations into one violation. The licensee paid the civil penalty on March 31, 1999.
(2)
On April 6, 1999, the NRC issued a Severity Level II NOV to Northeast Nuclear Energy
Company for Section 50.7 violations associated with the demotion of two supervisors
during a November 1993 reorganization, and the termination of an electrical engineering
supervisor in the Engineering Services Department at Millstone Unit 2 in August 1995 (EA 98-325).
(3)
On April 6, 1999, the NRC issued a Severity Level II NOV to the vice president for
nuclear engineering services at Northeast Nuclear Energy Companys Millstone Station
(individual action (IA)99-012). The finding was based on an investigation which
concluded that the vice president had discriminated against a supervisor in the
Performance Engineering group and a supervisor in the Engineering Mechanics group
at Millstone because of their involvement in protected activities (see paragraph 2 above).
(4)
On May 20, 1999, the NRC issued a Severity Level II NOV and proposed CP in the
amount of $110,000 in connection with a Section 50.7 violation in July 1997 at First
Energy Nuclear Operating Companys Perry Nuclear Power Plant (EA 99-012). The
action is based upon a violation involving a Perry radiation protection manager who
discriminated against a radiation protection supervisor for engaging in protected
activities. The manager had orally counseled the supervisor the day before the
supervisors scheduled deposition in a Department of Labor matter and placed a
memorandum documenting the counseling session in the supervisors personnel file.
(5)
On June 2, 1999, the NRC issued a Severity Level II NOV and proposed CP in the
amount of $4,400 to Corielle Institute for Medical Research (EA 99-060). The action is
based on a violation of 10 CFR 30.7 for discrimination against a lab technician. The
technician was terminated after raising safety concerns to his management and the
NRC regarding unnecessary exposure to employees from the use of P-32 in a
laboratory. The licensee responded and paid the civil penalty on June 23, 1999.
IN 2000-04 February 25, 2000 (6)
On July 28, 1999, the NRC issued a Severity Level IV NOV to Public Service Electric
and Gas Company (EA 99-055). The action is based on a violation of 10 CFR 50.7 for
discrimination against a nuclear mechanical technician. The technician received a
negative performance appraisal in retaliation for raising safety concerns about the repair
of a safety-related valve.
(7)
On August 3, 1999, the NRC issued a Severity Level III NOV and proposed CP in the
amount of $55,000 to North Atlantic Energy Services Corporations (NAESC) Seabrook
facility (EA 98-165). The action is based on a violation of 10 CFR 50.7: a licensee
contractor discriminated against a contract electrician because of the electricians
involvement in protected activity. Specifically, the contractor electrician was selected for
layoff on January 16, 1998, at least in part, because he had raised a concern to the
licensees quality control inspector on January 7, 1998. The concern regarded a wiring
discrepancy in the control panel of the control building air-conditioning system. The
licensee replied and paid the civil penalty on September 2, 1999.
(8)
On August 3, 1999, the NRC issued a Severity Level III NOV (EA 98-338) to Williams
Power Corporation (WPC) for the discrimination described in paragraph 7 above. The
action is based on a violation of 10 CFR 50.7: the WPC discriminated against a WPC
electrician for raising a concern about a wiring discrepancy in a control panel.
(9)
On August 3, 1999, the NRC issued a Severity Level III NOV (IA 99-003) to the WPC
foreman who engaged in the deliberate misconduct that caused NAESC to be in
violation of 10 CFR 50.7 by discriminating against an electrician employed by WPC at
NAESCs Seabrook facility (see paragraph 7 above).
(10)
On September 24, 1999, the NRC issued a confirmatory order (effective immediately) to
Morrison Knudsen Corporation (MK), a construction engineering firm engaged in
activities at multiple reactor and nuclear materials facilities (EA 98-081). The order also
encompassed MKs affiliate, SGT, LLC . The enforcement action was based on the
results of an NRC investigation which concluded that MK had discriminated against a
corporate group welding engineer (GWE) for raising safety concerns. Specifically, the
investigation concluded that MK removed the corporate GWE from his position and
transferred him to an MK project in Parkersburg, WV, as a site welding engineer, after
he delivered adverse reports to MK management about the quality of welding
procedures used by MK to replace steam generators at the Point Beach and D.C. Cook
nuclear power plants.
The confirmatory order requires, in part, that MK and SGT, LLC: (1) hire an independent
consultant to conduct audits, to review their employees concerns programs, and to train
supervisors and managers; (2) conduct annual mandatory continuing training programs;
(3) integrate a cultural assessment survey developed by the consultant into its overall
program for improving the work environment and safety culture; and (4) post
IN 2000-04 February 25, 2000 Section 211 Confirmatory Order, of the Energy Reorganization Act, as amended, and
NRC Form 3 to inform their employees of the confirmatory order, and their right to raise
safety concerns to management and the NRC without fear of retaliation.
(11)
On September 30, 1999, the NRC issued a Severity Level III NOV to Illinois Power
Company for a violation of Section 50.7 at the Clinton Power Station in January 1997 (EA 98-464). The action was based upon a violation by a supervisor in the Quality
Verification (QV) Department who discriminated against a QV inspector for having
engaged in protected activities. Specifically, in 1994 the QV inspector had provided
information to the NRC on potential violations nuclear safety. As a result, the QV
supervisor did not recommend the QV inspector for promotion to lead QV inspector.
(12)
On September 30, 1999, the NRC issued a Severity Level III NOV to the QV manager at
Illinois Power Companys Clinton Power Station (IA 99-045). The finding was based on
an investigation concluding that the QV manager had discriminated against a QV
inspector thus violating 10 CFR 50.7 (see paragraph 11 above).
(13)
On November 3, 1999, the NRC issued a Severity Level II NOV and proposed CP in the
amount of $110,000 to Commonwealth Edison Company in connection with a violation
of Section 50.7 at the Zion Generating Station (EA 98-518). The action was based upon
a violation involving the actions of a shift operations supervisor (SOS). The SOS
discriminated against a senior reactor operator (SRO) who had recommended on
October 14, 1997, that a component water pump be removed from service to
troubleshoot an oil leak and who had raised a safety concern about the performance of
a safety-related diesel generator load-sequencing timer. The SOS deferred the SROs
participation in the shift manager qualification process (which a prior SOS had
previously instructed him to begin) and, on October 24, 1997, lowered the SROs
performance appraisal which had been prepared by the SROs shift manager.
(14)
On November 3, 1999, the NRC issued a Severity Level II NOV to the SOS for a
violation involving discrimination against an SRO at Commonwealth Edison Company
(IA 99-052) (see paragraph 13 above).
(15)
On December 20, 1999, the NRC issued a Severity Level II NOV and proposed
imposition of civil penalty in the amount of $88,000 to the United States Enrichment
Corporation (USEC)(EA 99-110). The action is based on a violation involving a
manager of safety, safeguards, and quality who discriminated against a quality systems
(QS) manager for engaging in a protected activities. Specifically, the QS manager had
engaged in protected activities regarding the lack of completeness in the Paducah plant
quality assurance plan (QAP). In addition, the QS manager asserted that non-QAP-
related activities were negatively impacting his groups responsibilities, as outlined in the
QAP. In part, because of these protected activities, the QS manager was transferred to
a non-managerial training department position.
IN 2000-04 February 25, 2000 (16)
On December 20, 1999, the NRC issued a Severity Level II NOV to the USEC manager
of safety, safeguards, and quality for deliberate misconduct that caused USEC to be in
violation of 10 CFR 76.7(a) (IA 99-059). The misconduct involved his discrimination
against the QS manager for that manager having engaged in protected activities (see
paragraph 15 above).
No specific action or written response is required by this information notice. If you have any
questions about this matter, please call the contact listed below or the appropriate NRC
regional office.
/RA/
/RA/
Donald A. Cool, Director
Ledyard B. Marsh, Director
Division of Industrial and
Events Assessment, Generic Communications
Medical Nuclear Safety
and Non-Power Reactors Branch
Office of Nuclear Material Safety
Division of Regulatory Improvement Programs
and Safeguards
Office of Nuclear Reactor Regulation
Contact: Michael Stein, OE
301-415-1688 E-mail: mhs@nrc.gov
Attachments:
1. List of Recently Issued NMSS Information Notices
2. List of Recently Issued NRC Information Notices
IN 2000-04 February 25, 2000 (17)
On December 20, 1999, the NRC issued a Severity Level II NOV to the USEC manager
of safety, safeguards, and quality for deliberate misconduct that caused USEC to be in
violation of 10 CFR 76.7(a) (IA 99-059). The misconduct involved his discrimination
against the QS manager for that manager having engaged in protected activities (see
paragraph 15 above).
No specific action or written response is required by this information notice. If you have any
questions about this matter, please call the contact listed below or the appropriate NRC
regional office.
/RA/
/RA/
Donald A. Cool, Director
Ledyard B. Marsh, Director
Division of Industrial and
Events Assessment, Generic Communications
Medical Nuclear Safety
and Non-Power Reactors Branch
Office of Nuclear Material Safety
Division of Regulatory Improvement Programs
and Safeguards
Office of Nuclear Reactor Regulation
Contact: Michael Stein, OE
301-415-1688 E-mail: mhs@nrc.gov
Attachments:
1. List of Recently Issued NMSS Information Notices
2. List of Recently Issued NRC Information Notices
DOCUMENT NAME: C:\\IN2000-01.wpd
ACCESSION NO. ML003679856
TEMPLATE # NRR-052 To receive a copy of this document, indicate in the box C=Copy w/o attachment/enclosure E=Copy with attachment/enclosure N = No copy
OFFICE
IMNS
Tech Ed
REXB
IMNS
IMNS
D:NMSS:IMNS
NAME
MStein*
PKleene*
CPetrone*
RW Borchardt*
KRamsey*
DCool*
DATE
2/ 07/00
1/ 29/00
2/ 07/00
2/08/00
2/10/00
2/11/00
C:REXB:DRIP
LMarsh
2/ /00
OFFICIAL RECORD COPY
Attachment 1
February 25, 2000 LIST OF RECENTLY ISSUED
NMSS INFORMATION NOTICES
_____________________________________________________________________________________
Information
Date of
Notice No.
Subject
Issuance
Issued to
_____________________________________________________________________________________
2000-03 High-Efficiency Particulate Air
Filter exceeded Mass Limit
Before Reaching Expected
Differential Pressure
02/22/2000
All NRC licensed fuel-cycle
conversion, enrichment, and
fabrication facilities
2000-02
Failure of Criticality Safety
Control to Prevent Uranium
Dioxide (UO2) Powder
Accumulation
02/22/2000
All NRC licensed fuel-cycle
conversion, enrichment, and
fabrication facilities
99-33
Management of Wastes
Contaminated With
Radioactive Materials
12/28/99
All medical licensees
99-32
The Effect of the Year 2000
Issues on Medical Licensees
12/17/99
All NRC medical licensees
99-31
Operational Controls to Guard
Against Inadvertent Nuclear
Critically
11/17/99
All NRC licensed fuel cycle
conversion, enrichment and
fabrication facilities
99-30
Failure of Double Contingency
Based on Administrative
Controls Involving Laboratory
Sampling and Spectroscopic
Analysis of Wet Uranium
Waste
11/8/99
All fuel cycle licensees and
certificates performing laboratory
analysis to determine uranium
content, in support of
administrative criticality safety
controls
99-29
Authorized Contents of Spent
Fuel Casks
10/28/99
All power reactor licensees and
spent fuel storage licensees and
applicants
99-28
Recall of Star Brand Fire
Protection Sprinkler Heads
9/30/99
All holders of licenses for nuclear
power, research and test
reactors, and fuel cycle facilities
99-27
Malfunction of Source
Retraction Mechanism in
Cobalt-60 Teletherapy
Treatment Units
9/2/99
All medical licensees authorized
to conduct teletherapy treatments
Attachment 2
February 25, 2000 LIST OF RECENTLY ISSUED
NRC INFORMATION NOTICES
_____________________________________________________________________________________
Information
Date of
Notice No.
Subject
Issuance
Issued to
_____________________________________________________________________________________
2000-03 High-Efficiency Particulate Air
Filter exceeded Mass Limit
Before Reaching Expected
Differential Pressure
02/22/2000
All NRC licensed fuel-cycle
conversion, enrichment, and
fabrication facilities
2000-02
Failure of Criticality Safety
Control to Prevent Uranium
Dioxide (UO2) Powder
Accumulation
02/22/2000
All NRC licensed fuel-cycle
conversion, enrichment, and
fabrication facilities
2000-01
Operational Issues Identified in
Boiling Water Reactor Trip and
02/11/00
All holders of licenses for nuclear
power reactors
99-34
Potential Fire Hazard in the
use of Polyalphaolefin in
Testing of Air Filters
12/28/99
All holders of licenses for nuclear
reactors and fuel cycle facilities
99-33
Management of Wastes
Contaminated With
Radioactive Materials
12/28/99
All medical licensees
99-32
The Effect of the Year 2000
Issues on Medical Licensees
12/17
All NRC medical licensees
99-31
Operational Controls to Guard
Against Inadvertent Nuclear
Criticality
11/17/99
All NRC licensed fuel cycle
conversion, enrichment and
fabrication facilities
99-30
Failure of Double Contingency
Based on Administrative
Controls Involving Laboratory
Sampling and Spectroscopic
Analysis of Wet Uranium
Waste
11/8/99
All fuel cycle licensees and
certificates performing laboratory
analysis to determine uranium
content, in support of
administrative criticality safety
controls
99-29
Authorized Contents of Spent
Fuel Casks
10/28/99
All power reactor licensees and
spent fuel storage licensees and
applicants