ML20149J100
Text
_ __
i
-l
.\\rimn.i Public Sers ice I
.m.
3 =:..r.m u :a :s
= ;;,
- :- wo am m ::m 102-03583-WLS/AKK/ACR l
en. m ru.m January 11.1996 i
I 4 at ;/ d. i 8 561 t E '.
I e
Mr. L. J. Callan Regional Administrator, Region IV U S. Nuclear Regulatory Commission J
611 Ryan Plaza Drive. Suite 400 4
Arlington, TX 76011-8064
References:
1.
Letter dated November 27, 1995, from L. J. Callan, NRC, to William L. Stewart. APS.
2.
Letter 001-00655/OMD. dated April 21, 1994, from O. Mark DeMichele, APS. to James Taylor, NRC.
3.
Letter 212-01246/WFC/RJS. dated October 1,
1993, from 1
Wilham F. Conway, APS. to B. H. Faulkenberry, NRC.
4 Letter 212-01232/WFC/RJS, dated August 20, 1993 from l
William F. Conway. APS, to B. H. Faulkenberry, NRC.
5.
Letter 212-01034/WFC/RJS, dated August 10,
- 1993, from William F. Conway, APS, to B. H. Faulkenberry. NRC.
1
Dear Mr. Callan:
t
Subject:
Palo Verde Nuclear Generating Station (Palo Verde)
Units 1,2 and 3 Docket Nos. STN 50-528/529/530 Response to an Apparent Violation This letter responds to your November 27,1995 letter concerning an " apparent violation" of 10 C.F.R. @ 50.7 that occurred in December 1991 at Palo Verde. Although APS has previously provided the NRC with considerable information on this matter in the above referenced letters. APS would like to provide the NRC with information that APS considers relevant to the NRC's decision regarding potential enforcement action.
As requested in your letter. this response discusses: (1) the reason for the apparent i
violation: (2) the corrective steps that have been taken and the results achieved; (3) the corrective steps that will be taken to avoid further violations; and (4) the date when full compliance was achieved.. This response also provides the NRC with APS' perspective i
l 9707200041 970723 PDR FOIA HAVENST97-223 PDR
Mr. L. J. Callan Response to an Apparent Violation Page 15 Should you need additional information, please contact Ms Angela Krainik at (602) 393-5421.
Sincerely, e
t, k
\\M WLS/AKK/ACR/pv Attachments cc:
Document Control Desk All w/ enclosures B. E. Holian K. E. Johnston K. E. Perkins G F. Sanborn
[
Mr, L J. Callan -
Response to an Apparent Violation Page 2 I
on the significance of the violation (severity level) as well as information that APS believes is important relative to the NRC's civil penalty assessment process. Finally, this response provides information on: (1) APS' view of the adequacy of the initial efforts to investigate the l&C technician's claim that he was the subject of discrimination i
and (2) APS' view of the effectiveness of our corrective actions since many were initiated as long as three years ago and have had time to be evaluated. In some cases, this response references previously docketed correspondence when that correspondence adequately addresses the information requested.
l.
~ Overview' A.
APS Self-Assessed: Self identified: and Self-Reported On January 27. 1992. a contract instrumentation and control (l&C) technician filed a Section 210 complaint with the Department of Labor (DOL) against APS alleging that he had not.been hired to work the 1992 Unit 1 refueling outage because he engaged in protected activity. Based on initial investigative findings. APS denied the charge and a tnal was held before an Administrative Law Judge (ALJ), On May 10. 1993. the DOL ALJ issued a Recommended Decision and Order (recommended decision) finding that the contract l&C technician had been discnminated against, in violation of Section 210 of the Energy Reorganization Act, because he engaged in protected activities. In light of the findings made by the ALJ, APS immediately initiated efforts to more fully investigate the claim that led to the i
decision After issuance of the ALJ's recommended decision on May 10,1993. APS senior management became concerned with some of the findings in the recommended decision and promptly initiated an investigation. APS hired a former chairman of the NRC. Marcus Rowden. who.
ith the assistance of counsel trained in the conduct of corporate investigations conducted an independent investigation of the matter.
l Moreover, a parallel review occurred. under the direction of APS' Corporate Counsel, of privileged material to assure that nothing in that material would call into question the findings resulting from the documents that were available in the public record. APS also hired new trial counsel to assist the Company in responding to the recommended decision. Both the privileged and non-privileged reviews consisted of re-interviewing i
witnesses who had testified dunng the DOL hearing, re-examining documents that had been produced dunng the proceeding. and conducting a comparison between the ALJ's findings and the facts as understood by APS prior to the hearing.
For a cetaded discussion of the facts associated with this matter APS requests that the NRC rev ew Attachment ' to the Acril 21 1994 submittat from Mark DeMichele sPS President and Chief Execut;ve Of$cer to James Taylor Executive Director for Operations NRC (Reference 2)
Mr L J Callan Response to an Apparent Violation Page 3 i
in the course of the privileged review. dunng an interview with legal counsel the Unit 1 l&C supervisor who made the decision not to hire the contract technician admitted. that his prior sworn testimony dunng the DOL hearing was untruthful regarding his awareness of the contract technician's past protected activities and his reasons for not selecting the ccntract technician The supervisor had previously stated to APS and to the ALJ that at the time of the employment decision he had no knowledge that the contract technician had raised safety concerns at Palo Verde and other nuclear power plants and that his basis for not selecting the contract technician related to certain job requirements that the technician did not fulfill.
However. on August 6,1993. the Unit 1 l&C supervisor informed counsel that he had previously learned of the contract technician's involvement in protected activities from 1
the Unit 2 I&C supervisor and that thereafter he determined he would not select the contract technician to work the refueling outage. Upon identifying this inforrnation. APS promptly reported it to the NRC on August 10. 1993. pursuant to 10 C.F.R. s 50.9 (Reference 5)
In summary had it not been for APS' proactive decision to promptly conduct an extensive self-assessment after issuance of the ALJ's decision the supervisor's admission of misconduct which forms the basis for the apparent violation.
might never have been discovered.
In fact. the NRC Office of Investigations' (01) synopsis attached to your November 27.1995 letter gives credit to APS for discovering and reperting the Unit 1 l&C supervisor's misconduct where it states:
After the DOL decision there were numerous inquines by APS of their employees and attorneys about what transpired in an August 10.1993 letter. APS informed the NRC that the Unit 1 APS supervisor had admitted on August 6,1993 that he declined to hire a contractor employee because he learne1 of the employee's (sic) protected activity Therefore. not only did APS identify and obtain through its comprehensive self-assessment an admission by the Unit 1 I&C supervisor of his misconduct APS also promptly reported it to the NRC.
i i
l l*
Mr. L J. Callan l,..
Response to an Apparent Violation Page 4 II,~
Response to an Apparent Violation As discussed below. the misconduct of the Unit 1 l&C supervisor in December.
I
}
1991 caused APS to be in apparent violation of 10 C F.R. @ 50.7. Based upon our review of the NRC's Enforcement Policy. the apparent violation should be appropriately categorized as a Severity Level lil violation because it involved the actions of an individual in first line supervision. However, notwithstanding the apparent violation. the NRC should exercise discretion and refrain from imposing a civil penalty in this matter.
l APS deserves credit for identifying and reporting the supervisor's misconduct to the NRC. We also deserve credit for the prompt and comprehensive corrective actions that were taken in response to the apparent violation. These include: (1) taking immediate
. actions against the Unit 1 l&C supervisor: (2) fully cooperating with the NRC's investigation; (3) entering into a settlement agreement with the contract technician; and (4) taking a number of actions to ensure that employees and contractors working at s
Palo Verde feel free to raise concerns. Based on the many positive results that have been achieved. we believe that these efforts havc been successful in assuring that an environment exists at Palo Verde where employees and contractors feel free to raise concerns without fear of retaliation 1
A.
Statement of AcoJrent Violatiom i
An APS supervisor caused APS to be in apparent violation of 10 C.F.R. @
50 7 when he declined in December 1991 to hire a contract I&C technician for a Palo Verde Unit 1 refuehng outage B.
B_eason for thAApparent Violation in December 1991. an APS supervisor was informed by a co-worker that a contract l&C technician had engaged in protected activity by raising safety concerns it Palo Verde and other nuclear power plants The supervisor inappropriately considered this information in deciding not to hire the contract technician for the Unit 1 1992 refueling outage. The supervisor has indicated that he made this decision on his own and no one at APS encouraged. pressured, or ordered him not to select the contract I&C technician. The supervisor's actions were in violation of APS' policies as well as an apparent violation of NRC regulations.
C.
C.orrective Steps and Results Achieved APS believes that it has acted appropriately at each step of the process.
In response to the complaint filed by the contract technician. APS hired its longtime outside counsel to handle the case on the Company's behalf.
This counsel had adequately represented APS in these types of matters in the past, and there was no 1
r,
,..)
Mr. L. J Callan 4
Response to an Apparent Violation PageS reason to believe that they would do otherwise in Inis matter, As discussed above, after the issuance of the ALJ's recommended decision on May 10, 1993, senior management became concerned about several issues raised in the recommended decision and initiated an investigation to determine the validity of the ALJ's conclusions.
This included a non-privileged rev.ew as well as a detailed review of privileged documentation. These APS initiatives led to APS identifying the Unit 1 I&C supervisor's misconduct and promptly reporting this fact to the NRC. Furthermore, in response to I
this admission APS took immediate actions against the offending employee; fully cooperated with the NRC's investigation; reached a settlement with the contract technician; and took a number of additional actions to ensure that employees and s
contractors working at Palo Verde feel free to raise concerns. APS believes that it_ has
)
taken prompt and comprehensive corrective actions in response to this matter and that j
these actions have resulted in an atmosphere at Palo Verde where employees and contractors feel free to raise concerns without fear of retribution.
a 1.
APS took immediale actions against the offending employee -
On the same day that APS obtained an admission from the Unit 1 I&C supervisor about his misconduct. his site access was suspended and he was placed on administrative leave. Subsequently. he was terminated for his misconduct. Additionally, although he l
denied any role in any improper actions, the Unit 2 I&C supervisor, who informed the Unit 1 l&C supervisor about the contract technician's protected activity, also had his site access suspended and later reached an agreement with APS that he would never return to work for the Company.
2.
APS fully coooerated - From the outset. APS fully cooperated with the NRC's investigation of this matter.
After issuance of the ALJ's May 10, 1993 j
recommended decision the NRC's initial response was to send APS a July 7,1993 j
letter requesting information relative to actions that APS was undertaking to ensure that a potential chilling effect did not exist at Palo Verde. APS responded to the NRC's letter on August 20.1993 (Reference 4). On August 17,1993, presumably as a result of APS identifying and reporting to the NRC the Unit 1 I&C supervisor's admission of misconduct, the NRC's Office of Investigations initiated an investigation to determine j
whether the contract I&C technician had been discriminated against.
APS fully cooperated with the NRC 01 investigation. The Company assisted in making both management and non-management employees available for interviews and in some cases, re-interviews. The Company provided numerous documents to the NRC and responded to specific requests for additional facts and information.
Furthermore, because of the unique circumstances of this case. APS took the unusual action of partially waiving its attorney-client privilege with regard to this matter in order to j
facilitate the NRC's investigation, The timely full cooperation of APS in this matter reflected the highest integnty on the part of the management team.
Mr. L. J. Callan Response to an Apparent Violation Page 6 3.
APS settled with the contract technician - On December 15, 1993 APS entered into a settlement agreement with the contract technician. As a result of this settlement, the parties agreed to amicably resolve their differences and seek the dismissal of all pending actions and legal proceedings between the parties.
APS also agreed to provide certain compensation to the contract technician. On June 19, 1995, the Secretary of Labor issued an order approving the settlements and dismissing the proceedings that were pending before the DOL. APS and the contract technician also entered into a separate settlement agreement that resolved potential matters under state law. As discussed in your November 27,1995 letter, APS' actions in amicably resolving this matter with the contract technician should be considered a part of APS' corrective actions for the apparent violation.
APS' initiatives in this regard should be afforded favorable consideration because compelling evidence exists that the contract technician made material omissions in providing background information as part of his access authorization.
Nevertheless, APS entered into a settlement agreement with the contract technician. This action was taken, in part, so as not to give a false impression that APS was defending the inappropriate actions of the supervisor. Compare 10 C.F.R.
i 9 50.7(a)(1) with 10 C.F.R. 50.7(a)(3) (Individuals who deliberately cause a violation of NRC regulations are not afforded the protections of 10 C.F.R. @ 50.7). See also Letter dated May 5.1995 from James L. Milhoan, NRC to William T. Cottle HL&P, withdrawing a notice of violation and proposed civil penalty based in substantial part on similar access authorization omissions made by this contract technician, EA 93-056.
t 4.
APS has taken comorehensive actions to ensure that employees and contractors feel free 10 raise concerns - The supervisor's decision not to select the contract l&C technician to work the refueling outage occurred in December 1991, over four years ago. Since that time, APS has comprehensively reviewed and changed its programs to assure that employees feel free to raise safety concerns. Specifically, APS nas taken an integrated series of initiatives to: (1) provide i
further assurance that Palo Verde employees and contractors understand that APS management encourages the identification and resolution of employee concerns; and (2) convey management's expectation that these concerns be addressed and resolved 4
in an open, direct and professional manner. These actions include: (1) extensive evaluation and assessment of employee attitudes and relevant Palo Verde programs; (2) cultural changes; and (3) programmatic improvements. As acknowledged in your letter, many of these initiatives have been previously described by APS to the NRC in docketed correspondence. In particular, Attachment 2 of an April 21,1994 submittal from Mark DeMichele, APS President and Chief Executive Officer, to James Taylor, Executive Director for Operations, NRC (Reference 2), presents a detailed account of the initiatives taken by APS to assure that there is an atmosphere at Palo Verde which
i l
Mr L J. Callan i
Response to an Apparent Violation
~-
Page 7 I
~
encourages employees to freely raise concerns We request that the NRC review these previous submittals pnor to making any decisions about enforcement, in addition, APS' efforts in this area have not ended with the actions described in Attachment 2 of APS' April 21,1994 submittal to the NRC and the other APS letters referenced above, in fact, as described below, APS continues to take actions to ensure that an environment and a process exists at Palo Verde which encourages the raising of concerns.
a.
Efforts to Resolve Employee issues - APS has established an integrated process for addressing employee concerns. This process, known as the " integrated Palo Verde Management / Issues Tracking and Resolution Process" (Integrated Issues Resolution Process), allows employees to raise personnel or technical concerns either formally or informally.
Although APS encourages the resolution of issues at the front-line management level, the Integrated Issues Resolution Process allows for the rnore formal review of: (1) employee issues through the Management issues Tracking Resolution (MITR) process; and (2) technical concerns through the filing of a Condition Reporting / Disposition Request (CRDR), or the Differing Professional Opinion process (DPO).2 Both MITR and CRDR are streamlined processes that provide a complete program for addressing and resolving concerns.
The DPO process was designed primanly as an appeal to a CRDR, however, employees may also use it when they have an opinion about a technicalissue that differs from a management accepted technical position. These programs provide for periodic feedback, timely resolution, and a right of review by the responsible area Vice President if the employee desires. The Integrated Issues Resolution Process is depicted in the diagram in Attachment 1.
Senior management also continues to be actively involved in this area. For example, I issued a November 29,1994 memorandum (Attachment 2) which sets forth my expectation that "[t]he expedient and effective resolution of issues raised by employees is a top prio ty for all of us serving in a leadership capacity." To emphasize this commitment, I requested that all leaders at Palo Verde include a target in their 1995 Performance Enhancement Plan (PEP) regarding the need to:
Promote an open and positive work environment in which employees feel free to raise issues. Assure that any issues raised are effectively addressed and that all MITRs and The MITR program is administered by the Palo Verde Chent Services Department (Human Resources) and the CRDR program and the DPO process are administered by the Strategic Analysis Group
Mr. L J. Callan Response to an Apparent Violation Page 8 Employee Concerns are processed within the appropriate time frames.
Furthermore. APS has elevated the responsibility for overseeing employee issues to the Nuclear Officer level. On December 12, 1994, I issued a memorandum (Attachment 3) to all Palo Verde employees informing them that effective January 2.1995. the Employee Concerns Program (ECP) will report to the Vice President. Nuclear Support, and that this change represents the next step in consolidating and improving our process for dealing with employee issues. In addition to providing oversight of ECP. the current Vice President, Nuclear Support, Gregg Gverbeck, has been designated with the task of monitoring all employee issues at Palo Verde. He meets weekly with the leaders of ECP and Palo Verde Client Services to be briefed on current employee issues and ensure that they are being effectively and thoroughly addressed within appropnate time frames. This group also meets monthly with me to review ongoing employee issues and determine whether there are any potential emerging trends in a particular area. To determine whether any trends may be developing, employee issues are trended a number of different ways in a monthly report entitled Employee /ssues t/pdate. This trending system includes an evaluation of employee issues by type, departments, leaders, as well as how long it takes to close issues that are being addressed through MITRs. DPOs and Employee Concerns.
Furthermore. once a month during one of my staff meetings, the Director of Palo Verde Client Services reviews this information with the Palo Verde management team so that they can have an understanding of how well we are doing in addressing employee issues.
b, Open Communications and Recognition of Employee Contributions - APS has also made a concerted effort to increase communications with employees and celebrate successes.
In fact. in the spirit of open and comprehensive communications that I am promoting at Palo Verde, I issued a communiqus in the form of an F Y.l. to all employees regarding your November 27, 1995 letter (Attachment 4). A copy of your letter was also posted on bulletin boards at the site.
My purpose in doing this was to emphasize the importance of open i
communications to our employees and let them know that: (1) APS recognizes the significance of this matter: (2) employees are strongly encouraged to bring forward their concerns. and (3) harassment or intimidation of anyone working at Palo Verde will not be tolerated.
Additionally. we use other communication vehicles to ensure that the expectations regarding an open environment are understood and met. For example. each week all employees are sent a copy of the Palo Verde News which is used as a forum to provide information to employees on a number of different topics concerning Palo Verde. including the Integrated issues Resolution Process.
(See
Mr. L. J. Callan Response to an Apparent Violation Page 9 articles from Palo Verde News discussing resolution of employee issues. ).
I also periodically hold "All Hands" meehngs with Palo Verde employees with the next meetings scheduled on January 10.11 and 12,1996. I use these meetings as an opportunity to discuss important issues with employees. At each of these meetings, I make a point of emphasizing the importance of employees raising concerns, as well as my personal commitment to addressing employee issues.
Finally, although not directly tied to APS' efforts to resolve employee issues, I believe that it is important to recognize our employees for a job well done. This year, Palo Verde has completed three refueling outages in record time, demonstrating the ability to complete a full scope of refueling and maintenance activities for continued safe plant operations. To acknowledge these achievements, at the conclusion of each outage, celebration parades were held at the site.
APS employees at Palo Verde were also given three extra vacation days in 1995 in recognition of their hard work on the outages. Even more noteworthy, Palo Verde set a record for capacity factor at 83.6 % for 1995. I believe that a combination of our efforts to resolve employee issues. increase communications, and celebrate successes have resulted in increased employee morale. This improvement in morale has promoted teamwork throughout the site and is an important factor with regard to our greatly improved plant performance.
c.
Actions With Regard to Contractors - APS' actions in the area of employee concems has not been limited to APS employees.
APS also recognizes that contractors working at Palo Verde must also feel free to raise concerns without fear of retaliation. On September 21.1994 the Palo Verde Employee Relations Manager sent a memorandum (Attachment 6) to all Palo Verde contractors informing them of the integrated Issues Resolution Process. On June 2,1995, a meeting was held with Fluor Daniels, the largest contractor at Palo Verde, to discuss with Fluor Daniels' management the importance of the integrated issues Resolution Process and ensure that they are committed to addressing employee issues at Palo Verde A
discussion of the Integrated issues Resolution Process is also provided by the Employee Concerns Department Leader at new hire presentations for contractor employees.
Moreover, when an APS contractor, The Atlantic Group (TAG), was found by a DOL ALJ to have discriminated against a former contract employee who worked at Palo Verde APS took swift action in the form of a June 12,1995 letter from me to TAG's President (Attachment 7). In this letter, APS requested that TAG inform APS of the actions that TAG has taken to ensure that its site representative "will promote and foster an open and positive work environment in which all employees feel free to raise issues without fear of retribution."
Additionally, I reiterated APS' expectation that "all managers working at Palo Verde, including
~
Mr. L. J. Callan
,['
Response to an Apparent Violation Page 10 q.
I contractor management promote and foster an open and positive work environment in which all APS and contractor employees working at Palo Verde feel free to raise issues without fear of retribution."3 More recently, a similar letter was sent to approximately 170 companies performing work for Palo Verde. (A sample of the letter sent to the contracting companies is contained in Attachment 8). Therefore. APS has also taken a number of steps to ensure that contractors working at Palo Verde feel free to raise concerns without fear of retribution.
j l
S.
Results achieved - The actions described above represent a significant commitment in APS' resources, management time and attention.
APS believes that these actions have been and will continue to be effective in assuring that an appropriate work environment exists at Palo Verde where all employees and contractors feel free to raise concerns without fear of retribution. The successes that APS has enjoyed in this area are illustrated by the positive trends with regard to employee issues. The number of complaints to the DOL, as well as allegations to the j
NRC, have decreased dramatically in the last few years (Attachment 9). Likewise, the time it takes to resolve intemal complaints (MITRs and Employee Concerns) is 33 working days for 1995 as compared to 53 in 1994. Furthermore, recent investigations 7
conducted by NRC 01 at Palo Verde support this view. In letters dated August 4,1995 l
and November 21.1995, the NRC informed APS that NRC 01 did not substantiate a number of claims of discrimination that were under review at Palo Verde.
i D.
Corrective Steps That Will Be Taken To Avoid Further Violations 1
APS believes that our integrated Palo Verde Management / Issues Tracking and Resolution Process which encourages employees to raise management or technical concerns either informally with their front-line management or formally through programs such as MITRs and CRDRs is working well. This is evidenced by the increased employee morale and many other positive trends that are currently ongoing I
at Palo Verde. Therefore, from a programmatic standpoint, we do not believe that any additional actions need to be taken.
However. APS recognizes the importance of not becoming complacent in this area We have committed to the NRC to have our Nuclear Assurance Department j
conduct a yearly audit of the Integrated issues Resolution Process, and we will make 4
any necessary refinements. We have also developed an internal Integrated issues Resolution Process Self-Assessment.
The purpose of the self-assessment is to measure the effectiveness of the Integrated Issues Resolution Process.
The self-j l
assessment will be conducted by interviewing a random sample of employees who had On June 30 1995 TAG responded to my June 12.1995 letter.
=.
Mr. L. J. Callan
~
Response to an Apparent Violation Page 11 i
issues addressed through the Integrated issues Resolution Process. The results will be reported to Palo Verde management on a quarterly basis.
l We will continue to communicate to management, employees, and contractors the importance of maintaining an environment where all personnel working at Palo Verde feel completely free to raise concerns without fear of retribution.
Management will also continue to be held accountable for effectively and thoroughly addressing issues within appropriate time frames. For example, as part of the Palo Verde Business Plan for 1995, we included a target regarding the amount of time it j
takes to resolve employee issues addressed through the MITR process or by the j
Employee Concerns Program. A similar target is also included in the 1996 Business Plan.
Additionally, this statistic is tracked in a report entitled Palo Verde Nuclear Generating Station Monthly Trend Report. This report is available to all employees for their review. 0 contains a copy of the slides entitled "1995 issues Resolution" from the December edition of the Monthly Trend Report. In addition, the annual site access training at Palo Verde includes a section on workers' rights and responsibilities.
APS will also continue to promote awareness of our programs and processes for resolving issues to our employees and managers. For example, the Director of Palo Verde Client Services developed a communication plan for the Integrated issues Resolution Process.
This plan is designed to put in place a mechanism for communicating to employees the differences between the various programs available to them (MITR. CRDR, DPO and Employee Concerns) and better identify which program will best serve their needs. To accomplish this goal, a poster was developed and posted on bulletin boards throughout the site. This poster informs employees about available programs to address their concerns and provides them with phone numbers to call for additionalinformation. Attachment 11 is a reduced version of the poster. In addition to the poster, we have developed a brochure on the Integrated issues Resolution Process which vill be sent to all APS employees and contractors working at Palo Verde.
The brochure contains a personal message from me emphasizing the importance of raising concerns. It also contains four inserts which provide employees with detailed instructions on how to resolve issues through each of our four programs (MITR, CRDR, DPO, and Employee Concerns). A draft copy of the brochure is contained in Attachment 12.
Moreover, as a part of our internal self-assessment, we are planning to randomly survey employees at Palo Verde in order to determine the effectiveness of our communications regarding the Integrated Issues Resolution Process.
1 i
l
- ~
Mr. L. J. Callan Response to an Apparent Violation
~
Page 12 E.
Qaje When Full Compliance Was Achieved With regard to the apparent violation under review by the NRC, APS was in full compliance when we took disciplinary action against the offending Unit 1 l&C supervisor in August 1993 and provided remedial compensation to the contract technician in accordance with the settlement agreement reached on December 15, 4
1993. Nonetheless, we recognize that our efforts to assure compliance in this area are necessarily ongoing and evolving.
These efforts include effective programs and management support to address employee concerns on a daily basis, as well as prompt investigation and corrective actions to address specific incidents of non-compliance by APS employees.
111.
APS' Perspective on the Significance of the Violation (Severity Level), and Information Relative to the NRC's Civil Penalty Assessment Process' A.
Significance of the_ Violation For purposes of determining the severity level of a violation of the NRC's employee protection provisions, the NRC's Enforcement Policy ties the severity level of the violation to the level of management who committed the violation. The Enforcement Policy desenbes three levels of management.
They are: (1) senior corporate management (Severity Level 1); (2) plant management above first-line supervision (Severity Level 11); and (3) first-line supervision (Severity Level lil). Based upon our understanding of the NRC's application of the Enforcement Policy in this area, the three levels of management can be defined as upper-level, mid-level, and lower-level management.
In applying these three levels of management to the management organization in place at Palo Verde in the 1991 timeframe, upper-level management would be considered the Nuclear Vice Presidents, mid-level management would be considered the Directors and Managers and lower-level management would be considered the Supe visors and Foremen. In this case, the apparent violation clearly involves the actions of a supervisor or a member of lower-level management. This view is supported by a review of the supervisor's job responsibilities as well as the fact that he reported to a manager, a member of mid-level management. Therefore, although the Unit 1 l&C supervisor had foremen reporting to him, based upon a review of his job responsibilities his reporting relationship within the organi2.ation, and our understanding of the NRC's application of the Enforcement Policy in this area, the Unit 1 I&C supervisor should be considered a first line supervisor for purposes of the Enforcement Policy.
The NRC s current Enforcement Pohey is being referred to for purposes of tnis discussion. See 60 Fed Reg 34 481 (June 301995) However if after evaluation of the facts of this matter, the NRC believes that the poor version of the Enforcement Pokey is most favorable to APS. then in accordance with the discussion in footnote 1 of your letter APS would recuest that that version aDply i
e l
Mr. L. J Callan
[
Response to an Apparent Violation Page 13 Such a violation is specificaDy set forth in the Enforcement Policy as a Severity Level Ill violation.
See Enforcenn! Policy. Supplement Vll. C.
4.
Furthermore, there should be no question here that the supervisor acted alone. He stated in August 1993 and again in May and August 1995 that he made this decision on his own. that no one told him not to select the contract technician, and that he told no i
one that protected activity played any part in his nonselection decision. These facts were substantiated by APS' internal investigation. The investigation conducted by the NRC's Office of Investigations also did not substantiate the involvement of others at APS in disenminating against the contract technician.
B.
Information Relative to NRC's Civil Penalty Assessment Process Notwithstanding the apparent Severity Level lli violation that is attributable to the supervisor's misconduct. NRC should exercise its discretion and refrain from issuing a civil penalty. In applying the facts of this case to the decisional points in the Enforcement Policy's civil penalty assessment - process, APS deserves credit for identifying and reporting the violation to the NRC. APS also deserves credit for its prompt and comprehensive corrective actions that were taken in response to this matter. See Enforcement Policy,Section VI. B. 2.
i For example, once placed on notice of possible wrongdoing, APS took all i
of the actions necessary to warrant the exercise of discretion under the Enforcement Policy See Enforcement Policy, Section Vll. B. 5.
Prior to any investigation by the NRC's Office of Investigation. APS uncovered the key evidence - the admission of misconduct by the supervisor - supporting that an apparent violation had occurred.
Upon identifying this key fact. APS promptly reported it to the NRC ar)d the DOL. APS took immediate corrective action by suspending, and then terminating the supervisor.
This immediate action was taken in a highly visible and public manner including the issuance of a press release. APS also conducted site-wide meetings to assure that all personnel clearly understood management's expectations in this area as well es jhe basis for the various actions taken by the Company in response to his matter.
Moreover, as more fully discussed in Section 11. C. 3. above, despite the applicability o'f 10 C F.R. @ 50.7 (a)(3), APS entered into a settlement agreement with the contract i
technician.
Beyond the specific response to the apparent violation, APS has taken extraordinary corrective actions to assure its place as an industry leader in creating an j
environment where individuals feel free to raise issues without fear of retaliation. These actions are desenbed above in great detail as well as in previous letters to the NRC (References 2. 3. 4. and 5). In summary, a civil penalty is not warranted because APS identified and reported the key evidence supporting the apparent violation. Additionally, following identification. APS took prompt corrective actions to remedy the specific i
J
~
Mr. L. J. Callan 1
Response to an Apparent Violation Page 14 i
I violation as well as broad and comprehensive corrective actions to preclude recurrence.
APS' record has been exemplary in this area since the matter which is the subject of l
this apparent violation occurred. Accordingly, applying the various factors contained in the Enforcement Policy. the NRC should exercise discretion and not impose a civil penalty for this matter.
IV.
Response to NRC Request to Provide Specific Information t
A.
APS' View of the Adeauacy of its initial Efforts to investigate th_a Contract l&C Technician's Claim that he was the Sublect of 4
Discrimination.
I APS' position on the adequacy of the initial investigation into the contract l&C technician's claims of discrimination is discussed in detail on pages 17-35 and 94-96 of Attachment 1 to APS' April 21,1994 submittal to the NRC (Reference 2).
l B.
APS' View of_the Effectlyeness of its Corrective Actions Since Many were Initiated as Long as Three Years Ag_q.
As desenbed in greater detail in Section 11. C. 4 and 5 above, APS believes that it has taken comprehensive and effective actions over the years to ensure that an environment exists at Palo Verde where APS employees and contractors feel free to raise concerns without fear of retribution. This belief is supported by the many i
positive trends that are currently ongoing at Palo Verde, not only with regard to employee issues. but in many other areas as well, such as plant performance and safety Although APS has acknowledged in the past that some of our earlier actions to encourage appropriate behavior may not have been fully effective (Reference 4), we believe that when looked at as a whn!s, the actions we have taken in this area have been appropriate and have met o' exceeded industry expectations and efforts in this evolving area.
V.
Conclusion APS believes that its efforts in this area have been successfulin assuring that an environment exists at Palo Verde where APS employees and contractors feel free to raise concerns without fear of retnbution. However we will not become complacent.
We will continue to promote a spirit of open communications at Palo Verde and stress to employees and contractors the importance of raising concerns. Additionally, I can assure you that management will continue to effectively and thoroughly address issues within appropriate time frames.
1
STATE OF ARIZONA
)
) ss.
COUNTY OF MARICOPA-)
- 1. W. L Stewart, represent that I am Executive Vice President - Nuclear, Arizona Public Service Company (APS), that the foregoing document has been signed by me on behalf of APS with full authority to do so, and that to the best of my knowledge and belief, the statements made therein are true and correct.
W. L. Stewart i
Sworn To Before Me This /#~/ Day Of 'It'/my'1996.
~
/
A
(
/^
s 4
\\
on fra
'/
y Notary Public My Commission Expires OFFICIAL SEAL
@sowyAS,IcS5us==
- r%9llsi.e%
/O. / - 9 7 l
n
.a--,
e.
-- ~.
ATTACIIMENT 1
Problem Resolution
~
~
~
![-----
Integrated Palo Verde Management / Issues Tracking and Resolution Process t'
a--
cc cefc,ency Ce 9C
- C C.PM l
i Y
]
l rrnmeciate Leccer
.t y
1 i
Decer ment Leader INFORMAL 3C-C are"cor Da v l
Gu>ce'r e y
FORMAL V
Management Technical 4
l l'
Mim CRDR 1
Y Y
,g
[
Marcgement g
- Osea j<
Monagement Y
V Ecurry Process l
Ddering Prof. Opniong Areo Vice Pres.
-4 i
V l
Closec Appeal Processes 13-2 w n =., we,.o,c.n.,o,ings,o,,on; mw
ATTACHMENT 2 l
1 l
l l
i l
~~
APS Arizona Public Service Company COMPANY CORRESPONDENCE oATE-Nos ember 29.1994 To Distnbution sta #
(see list below1 Ent a FRO W L Stewan \\
Est #
8 l.390)
SUBJECT:
EMPLOYEE ISSUE RESOLUTION The expedient and efTective resolution ofissues raised by employees is a top priority for all of us serving in a leadership capacity.
To emphasize this commitment, please assure that all leaders in your organization include a target in resolving employee issues in their 1995 PEP forms.
Human Resources has drafted the following as an example
" Promote an open and positive work environment in which employees feel free to raise issues Assure that any issues raised are efTectively addressed and that all AflTRs and Employee Concerns are processed within the appropriate time frame.s "
Your leaders may modify this language to suit the needs of their participation areas. The important point
{
is that we establir.h personal accountability for issues resolution with everyone on the management team.
Ifyou have any questions or need help with this, please call Scott Macfarland at 82-6179.
SEM/WLS/sda -
Distribution' J M. Levine J A Bailey JE tcDonald 1
M K. Shelton C.K Seaman S M. Terrigino cc: S E. Macfarland File #. 94-001-350 ID #: 001-00690-WLS i
?
s 9
l 1
,m,-
~
~ ' ' " * '
' ' - ^ " ~ * - ^
~
P ATTACHMENT 3
APS Arizona Public Service Company cC*/ PAN V CORRESPONOENcE DATE December 12,1994 TO All Palo Verde Employees Sta a Ent #
g)(
q'N
..s mom W L Stewan St 0 9082 Eat #
8j.3900 SUBJECT Emplo3cc Concerns Program Repomng Changes Effective January 2,1995, the Employee Concerns Program (ECP) will report to Bert Simpson, Vice President Nuclear Support This change represents the next step in consolidating and improving our process for dealing with employee issues I would like to take this opportunity to recognize the accomplishment of the ECP during the 18 months it was under the leadership of Craig Seaman. Director Nuclear Assurance We have made good progress To be among the best in the industry in this area though, there is still more work to do I hope you will alljoin me in pledging your support to Mr Simpson to ensure that we achieve that goal WLS/sda cc B Simpson J Levine J Bailey M Shelton C Seaman ID# 001-00692-WL5 File:
94-001-350
ATTACHMENT 4 l
s w-
=
g g
J
.s
\\. ;.C~
m..
1 H: l i/l % -
)
- H a
m s i s..
1 i
1i J
i i
Dec. 8,1995
\\
1 Tiie inlio wirig is ci tr:eisaige to att err:pic. cei 1:r.)in lit:1Mc1. art. Iri:r:e spir:t ojopen and l0tnfrCI:C':i:; C ::'!!:'!::ll.;al' * *:.- : ?. ;! * \\ ': F.!i ..".'t igi.!Cid':l'dj i.I:s ! alt':! !dYd!!'f!?:d?l.
s l
. $.t,.. 6. $
$ 1., I..,,,, l ( l e, is
- s. "\\
e
..r
..,L 6L.
.[
.t s
.6 g
4 i
i e
i J
1 3
- g hn b.t )\\ e"l PC'r.,
3 C b... ! * 's t
.N
' l'rtil 'j C *.c ' ?n'"lission w!!n
- \\ l i
s
..,e(,,,,.
3..
.t
.4,
.t'
=
i n. s N'
.4 s.$
t.
. L.
..A J.3
.. \\
.4
- g..
'J r O T' : g ' ' /. '. 5 J r ' " ' n a t ' o r a c. i " ' ' '
i
"') 'i 4 a ' C '. ', '
C""'
he aPraren:
l I
l
. R,.,.
,,.s
...t.
,it...
- 3
- ..4.
=%.s, c.
.c
.1. !, ) Q I...t..s.
s s
.s i
s u ' e '. : s i ' r.i. "'. t i s ' ' tit ear-J g
i i
I l
l
" De J e "' J e r ! " '.
s -
Jt'
.1 : '. C.;.
' " ' O r "i a.. o 'nat j JontraCI l
1 s
A IeJhn;aa:1".JJCndaiC.'.
s s
~ rai w N*t'i Ju '.s f r".3 lt Pa}O Verde and i
Otrerrus.earpi>herJ.a: Is J
EJ ' ' ' J r : d : J '
.,c J. "".;3 :n!Ormation in d e c i d :.'. C r.01
- o '. r t O' c -
' t I ':' ' '..:thng outage.
%..e superVisoi nas ;nd;Ja! d * '.a! at "'.adt 'n;5 deCidlOP. on als OWn, ant. DO One at t
J 1
i 4
i APS encourageJ. pressured, or ordered him.ot :o,e!ee: the contrac :echnician. The 1
i l
>upervisor s accons were :n.: 02::on ic.\\PS Jobc:es, as we!! a< an apparent violation 0:
4 NRC reculations. On.\\las, 1i.19e:, a Department of Labor Adm:nistrative Law Judge 3
s I
- ssued a recom~. ended de.:sw-Gndmg '.a: Se contrac::echms:an had been subiected to j
I
'.'[(
\\
l1/
~
~
\\
l
2 disenminauon when the supemsor decided not :o nice him to work the refueling outage.
The NRC will use mformauon we provide in deciding whether to take enforcement accon. :n paracuiar, the NRC reque3:s dat we Jiscuss de circumstances of the apparent violanon, as well as the corrective steps that have been taken and the results achieved.
We will respond to the NRC by Januarv i 1,1996, and the response will be made available in the NRC's Public Document Room. The NRC's November 27,1995 letter to
'APS will be posted on bulletin boards at Palo Verde.
In the four years since this event, we have undertaken a number ofinitiatives to ensure that an environment exists at Palo VerJe where employees and contractors feel free to raise concerns without fear of retribution. These efforts include the institution of a comprehensive program that strongiv encouraces employees and contractors to bring forwarJ concerns and ensure that plant safety is maintained.
This program includes the integrated Palo Verde Nianagement/ Issues Tracking and Resolution Process, which encourages emplovees to raise management or technical concerns either mformally with their front line management, or formally through NIITRs, CRDRs, Differing Professional Opinions or Emplovce Concerns. Of course, employees and contractors always have the right to take concerns directly to the NRC if they desire.
Additionally, harassment or intimidanon of any employee or contractor who raises safety concerns, either internally or externally, cannot and will not be tolerated.
4 I want to reemphasize that our success ultimately is tied to our abilitv to communicate with one another on allissues. In that regard,I wanted to provide you with this update and ask for your continuing dihgence and assistance in fostering cooperation and professionahsm at Palo Verde.
1
ATTACIIMENT 5 l
t I
~~7~ '
Apnl 24,1995 i
A{
A
)
b.1 b
l i
l i
i j
Strong Palo Verde Performance j
Boosts 1st Quarter Earnings i
A stnking Palo Verde performance put THIS WEEK aonar, m <3e pocget, o, ssaresoiacrs.
j I ast Wednesdav, the Pinnacle West t :apaa l
L'mt 1 outage work connnued wnh Corporanon board or directors declared a ec ntnue l
< rmeal path achunes on xhedu!c and a quarteriv dnidend ot 22.3 cents per share or l
new sarerv traskmg satem m piase ommon stock. payable lune I s
i to make progress The net mcome for the quarter ended at j
+ Outage workers are shaung ame trom s24.o million or 2 Aents per share or common reducing our costs.
'he schedule agam Pace ;
stock compared wah 521.o million or 23 cents l
per share for the same period last year.
)
l
+ 5aterv tratking hke vou s e never seen a Chairman Richard Snell attributed t:rs
~
and we continue to I
j before PJge 4 quarter resu!!s to improved Palo \\.erde i
1 enjoy the e=ceHent
+ la er trv tugime' I carn how t )utage and t in-ane s hedaiers meg!c on a daik i
' growth charactenstics l'a si s Page 4 CRDRs Reach Milestone i
10,000 Submitted j
i of our region.
\\ 'maH group of super sleuths is i
working in the.\\taintenance ' support Ten thousand ot'annhing is a signtricant i
department's oil testmg lab. Page 3.
quantitv. even bv Palo Verde standards. Yet.
- Richard Snell.
1 on April 14, the number of submittals to the i
+ Wednesday is not iust another day. It's Condition Report /Disposiuon Request l
chairman.
Protessional Secretaries Dav Page n.
t CRDR > Program reached that mark.
~
Cre ted in.\\tav 1991, the CRDR Procram l
1 Pinnacle West
+ One employee collected enough brings immediate attention to any plant pennies to make a ditserence. See condition a worker thinks is not nght.The P
PLE, page prograrn is admtmstered by the Strategi -
s CapitalCorporation I
see CRDR,page 8 l
i l
lL._.,
1
CRDR,from cover Analysis group but requires the attention to detati of all workers to succeed.
Richard Rogalski,engineerIII, Employees submit 30 to 40 CRDRs each participated in a 24-hour relay for Easter week. And durmg outages the weekly number Seals this past weekend. He collected $325 typically increases to 65 or 70 because there are in pennies which was donated to the more workers and work being performed puts charity.
many systems under a microscope.
]
Strategic Analysis evaluators or engineers Ron Younger,seniorengineer, l
make an initial review of each report. Almost Strategic Analysis, has been designated all then are screened by the CRDR Review project rru rager for the Instatute for Committee comprised ofleaders from Nuclear PowerOperation's Plant Operations, Engineering, Maintenance, Evaluation ofPalo Verde scheduled in Nuclear Assuranee, Nuclear Regulatory AtYairs October.Youngerwillleada teamef and Radiological Protection.
experts that will work with Institute The commitree usually cla.ssities CRDRs evaluators to ensure Palo Verde's into one or three types: Tvpe 1 - Significant, involvement in the evaluation is efficient Type 2 - Adverse or Type 3 - Review, the and responses are provided quickly.
least urgent level. As part of the screening, a CRDR owner is assigned who becomes Employee Anniversaries This Week responsible for the corrective actions.
Sigmticant or Adverse items are expected to be
- 10. Year I
evaluated bv the owner within 30 davs.
A reduction to three types is new to Palo Michael Gregory, Valve Services Verde. Maior changes were made to the Frank Jimenez, Unit 2 Operations Corrective Action Program in Februars to Miles Koudelka, Emergency Planning simplifv classitications. This reduced the Charles Reynolds, Unit i Shift Operations number of categones trom tive Roxanna Van Dillen, Licensing The easv-to complete form may be James Webb, Transient Analysis i
dropped otf at anv unit control room, the rifth ik>or of Unit Ts operations Support Center or 5 Year the CRDR Control Room on Building B's third tloor. EB Timothy Bierney,I&C Maint Stacey Carmen,NIRM Tammy Corbin-Tenmson,NIRM Nixon Graham,Maint Sycs HarryHilderman, Operations RachelJordan DesignI&C David Lackey, Stores GaryShanker,Engineermg Assurance RonnieTurnbow,Maint Svts
" N :995 Palo Verde Nuclear Generating Station Palo Verde NEWS 8
Solving EmployesissueS MITR process. MITRs are assigned to department leaders and it becomes the leader's One MITR At ATime 7,sponsidig. to address and resolve the issue within 30 days.Only the employee who Problems,..... issues or" concerns are ongmates the MITR can grant an extension to terms people use to desen.be situations where the 30-day deadline.
their opinion differs with someone else s. It can An issue that had lasted six months was be even more of a problem uf that "someone resolved in 45 days, according to Russell else,, oversees your work. But regardfess of the Dorian, utility worker. Dorian brought the
'The MITR term you use to express a conflict, Palo Verde issue tolu.s management for resolution without has a tool tot resolution.
success. Three weeks later, he sought the help MITR - an acronym for Management processtook the of Human Resources.
Issues Tracking Resolution - is a mecham.sm "The system worked well for me,,, Dorian that employees use for issue resolution. A
- #I'#
confrontationalaspect relatively new and unfamiliar process, it
- "I resuhed directly from a Nuclear Regulatorv MITRs are being resolved within 28 days on outofthesituation Commission evaluation of Palo Verde stating
- 8#'
that employee issues were not being resolved in However, the process took a bit longer for
" lI*#I
- ""#f-Y Tom Sloan, Security safety analyst.
andweworked toa Developedin 1994 by Human Resources "It took almost 4-1/2 months to resolve my personnel, the MITR process has a target to timeline that was fair.
resolve issue within 30 calendar davs.
Employee Concerns, my management and For example, Jim Furnia's issue was resolved fmally a vice president were involved.
rd recommend rtto within two weeks after he tiled a MITR. Betbre Some issues are a little more complex and using the process, Furnia, a Maintenance take more than 30 days to resolve, according to anyone who's having Services team leader, had spent a great deal of Macfarland.
time trying to resolve issues mformally, but "Like anyth.mg,it takes a little while to get it
" U "'5" # "'
right," he said.
drfficultiesgetting I had no idea what a MITR was when I tirst Regardless of the time, Sloan was satisfied met with my Human Resources
- "I' * *
- problems resolved!'
representative," Furnia said. "What I found is "The bottom line.is that myissue was that it's a positive tool to professionally address resolved fairly and equitably," Sloan said. "I
- Jim Fumia, issues, not people or personalities.
was esPecially impressed with the level of "The MITR process took the c mmitment t this process that goes all the teamleader confrontational aspect out of the situation and wayt the vice presidentiallevel.
we worked to a timeline that was fair," he said.
Outstanding MITR issues are tracked by "I'd recommend it to anyone who's having Maintenance Services senior management, according to Bert difficulties getting problems resolved.,,
Simps n,vice president - Nuclear Support.
Most MITR issues are sensitive to both the He reviews MITR status and resolution with employee and management, according to Scott Bill Stewan on a monthlybasis.
Macfarland, Employee Relations manager.
"Seni r management takes MITR issues "The process is designed to desensitize very seri usly," he said. " Employee concerns highly emotional issues," he said. "It puts both and issues are high priority." B parties on the same plane and,with intervention,gets to the root of the problem."
Management involvement is the key to the h 15.1995 Palo Verde Nuclear Generatine Station No u,r4 wwc A
CRDR Program Supports classification and evaluation guidelines in INPO 1 GoalIn October pl ce. B th Hne rg niz d ns and the Nudear -
Assurance group are more focused on sohing This is the third article in a series to keep Palo pr blems r ther thanjust managing them or Verde employees informed and readyfor the cl sing CRDRs.
upcomingINPO inspection.
Reporting ofnear missesis another important contribution. This is vital for A program doesn't have to be new to be evaluating trends, said O'Keefe.
effective in helping achieve an Institute of But people are the mostimportant Nuclear Power Operation I rating during Palo ingredient, he said. Palo Verde workers see the Verde's October inspection.
Problems. By recognizing and comm unicating i
The Condition Report / Disposition Request, them, workers might prevent others from or CRDR orocess, promises to be a bright spot dealing with the same issues in the future while in INPO's October evaluation of Palo Verde c ntributing to theplant's success. E Disposition Request,cr because it's much more etTective than it was during previous evaluations.
CRDR process, "U e CRDR process wasn't an INPO 1
~O P S
SUMMARY
progra n the last time evaluators were here,"
promises to bea s id Tim O'Keefe, Strategic Analysis senior Week Ending July 7 engmeer. "The process wasn't consistently and routinely finding problems."
bnght spotinINPO's Unit 1 Although Nuclear Assurance had already Unit I was at 99 percent powerin its identified and corrected the program's 36th day on-line.The Unit has been Octoberevaluation of deficiencies prior to the June 1994 INPO operating at 99 percent power while evaluation, it took time to mature, O'Keefe performing high-rate blowdowns in an PaloVerde because rt's said.
effort to reduce sulfate concentrations in World class nuclear plants with INPO 1 the steam generators.
much more effective ratings have the ability to identify and correct On July 1,a worker who fell problems. This is essential for continuous approximately four feet from a truck i"E thanit was dunng strained and sprained the left elbow. The The CRDR process allows correction of njuryis recordable.
indhidual issues so they don't become major previous evaluations.
problems. But more importantly, CRDRs allow Unit 2 for trending ofindividual issues to determine where larger scale corrective measures may be Unit 2 was at 100 percent power m its 100th d yon-line.
necessary.
What changed with the CRDR program since thelast INPO visit?
According to O'Keefe, the process was too Unit 3 was at 100 percent powerinits complex and problems weren't always properly 202nd day on-line.
classified. Also,evaluationsweren'talways complete and there was a lack of follow through on identified issues.
E Now the processis simplified with ulv 10. I 995 Palo Verde Nuclear Generating Station Palo Verde NEWS 3
MITR Process Resolves is presented t the employee who can either accept or reject it. If the emplovee accepts Leader, Frontline Conflicts the resolution, the MITR is closed. If not, the employee can appeal through tue equity Palo Verde otIers many paths to pr cess or through their vice president, employees looking for solutions to concerns depending on the issue at hand.
and problems. The Management issues "The process has been very successful so Tracking and Resolution, or MITR process, f r," Shelton said. "Since February 1994 is one of those paths.
when the program began,88 MITRs have Part of the integrated issues Resolution been nied. All except four recently filed Process, MITRs are used to resolve MITRs have been resolved."
management issues that cannot be worked As with all Palo Verde issue resolution "Since February 1994 out between employees and their leaders.
Programs, the MITR process is not intended Management issues are non-technical, t discourage employees from discussing when the program human resource type concerns such as pay c ncerns with the NRC or other outside and equity. The process uses objective third parties who investigate issues and develop rg nizations.
began,88 MITRs have
" Employees may do so at anytime solutions.
without fear of retaliation," Shelton said.
To initiate a MITR, employees must work Questions? Client Services 393-6929. 035 been fded. Allexcept with their leader,a Client Services representative or an Employee Concerns l
four recently fded representative, who will help them fill out WASTE, from cover the paperwork. This ensures employees understand the process, according to storage facilityin Nevada and begin MlTRs have been Marlene Shelton, director, Client Services.
acceptmg commercial spent fuel at the site "We want to be sure concerns are by January 1998. Current law expressly resolved?
addressed through the proper issue forbids co-location of an interim storage resolution program and that employees facility with a permanent repository and Marlene Shelton, know their rights and obligations," she said.
rules out Yucca Mountain, Nev. as a "Having someone explam the process up Potentialinterim storage site.
- director, front helps maximize understanding and Robbie Aiken, APS government relations reduce uncertainty and stress."
representative, said that this action is a Employees may remain anonymous,if Positive 6rst step toward a de6nitive answer Gent Services desired. In this case an Employee Concerns to the spent fuel storage issue.
or Human Resou es representative acts as a "The bill's overwhelmingbiparti m j
mediator between the employee and support will be significant in moving the l
department leader. While the mediator legislation through Congress for final knows who the employee is, the person's approval," he said. "This is not rocket identity is not disclosed, science legislatively. What we need, and 1 Once a MITR is initiated,it is assigned to think Bill Stewart said it best, is a ' national a leader who works with Client Services to pad' for utilities to ship their spent fuel to."
develop a fair and equitable resolution. The A national pad is a flat concrete structure leader has 30 days to investigate the concern designed and built for the storage of dry and develop a resolution. Extendingbeyond casks containing spent fuel.
30 days requires an agreement between the As the congressional support builds employee and the leader.
momentum, Aiken said he is optimistic that Once a resolution has been developed,it the legislation will be ready for final house approvalthis fall 035 j
% w '100:
PMo Verde Nuclear Generatine Oatinn nuu,a,ocmc
CHORs Help Prevent DPOs Offers Appeal Path Escalation of Problems For CRDR Resolutions Lessons learned is what the Condition All employees are encouraged to express -
)
Reporting / Disposition Request program is opinions based on their professional all about.
judgment, in a highly technical environment Known by its acronym CRDR,its purpose such as the one at Palo Verde, people's is to resolve conditions that could adversely opinions may differ.
i affect the safe, reliable and economic When there is a disagreement, employees production of electricity, according to Tim are urged to speak with their leaders to O'Keefe, senior engineer, Strategic Analysis resolve the concern. Ifa problem can't be group.
resolved, they should initiate a CRDR.
"Whether a concern relates to safety, If the filing employee disagrees with the equipment use or the feasibility of a new CRDR's response, the individual can use the process," he said, "the CRDR program Differing Professional Opinion - DPO -
Correcting ensures issues are reviewed obj.ectivelyand process.
resolutions are developed."
"Although DPO was designed primarily conditions before they Correcting conditions before they become as an appeal to a CRDR, employees may use big ps oblems is the primary objective.
the process when they have an opinion become big problems
" Employees must report the little things,"
about a technicalissue that differs from O'Keefe said,"so they don't become big established policy," Tim O'Keefe, senior is the primary things."
engineer, Strategic Analysis,said.
Passinglessonslearned between Employees must complete a DPO form organizations supports continually and submit it to their leader. The leader objective.
improving plant performance. Sharing the reviews the form and forwards it to the information helps ensure problems don't Strategic Analysis Group.
recur.
Strategic Analysis reviews the DPO and "All CRDRs are looked at so we can assigns it to a member of senior identify and focus on potential problem management for resolution within 30 days.
areas to prevent more serious situations Since the program began in February from developing," O'Keefe said.
1994, all five DPOs filed have been resolved.
Anyone at Palo Verde can submit a in two cases, the opinion expressed by the CRDR to his or her leader. Once submitted, originating employee was adopted by senior the leader has three days to review it, initiate management, O'Keefe reported.
corrective actions and Srward it to Strategic
" Leaders take each issue seriously. They Analysis group, which controls the process.
seek to understand the originator's Most CRDRs are resolved within 30 to 60 viewpoint and take the actions required to days. However, sometimes opinions differ, implement the right solution," he said. "The When that happens, employees are fact that Palo Verde has a process to resolve encouraged to express their viewpoints these kinds of problems in a professional through the Differing Professional Opinion and non-confrontational fashion is a real
- DPO - process.
strength."
CRDR forms are available in Framemaker Employees who are not satisfied with a on Unix stations, forms drawers, the CRDR DPO resolution can approach Employee room or Strategic Analysis, both in building Concerns.
B,3rd floor.
Questions? Tim O'Keefe 393-5682. M Questions? CRDR control desk 393-5758 or 5788. E Ithust M.1995 Palo Verde Nuclear Generating Station Palo Verde NEWS 5
Electronic CRDR Forms acknowledgment from the industry for what ;
Now Ava.lable On Vista we've done and what we're doing.
i
.. w,,re not getting the recognition we
~
deserve from the industry. This is the best CRDR forms are the first of many site-way to start getting it."
specific forms to make their debut Beginning Oct. 2,25 INPO evaluators will electronically in Vista e-mail.
put Palo Verde under an industrial-strength This is a major milestone in the microscope - watching how employees movement toward electronically processing perform, listening to what they say about information, according to Shila Tijerina.
the plant,looking at how they work as a NIRM technical publishing team leader.
team and reviewing Palo Verde programs.
Electronic forms are simple to access, Evaluators are likely to be anywhere at complete and send.
any time, Levine said, including office "The electronic CRDR form should prove buildings and other support areas.
to be a benefit with the upcoming outage Anyone can be interviewed by an INPO and INPO visit," she said.
evaluator, he said. Employees should relax Technical Publishing and Information and do things the way they normally do Technology formed a partnership to provide them.
electronic forms on site. The list of available "This is a positive thing," Levine said.
forms will continue to grow as new forms
" Don't get nervous ifyou are approached by are added to the system.
an INPO evaluator. Show them your The electronic forms may be accessed in abilities. Stick to the program. Help them Vista mail by choosing the " Forms" menu.
understand what you are doing and be then selecting the " Electronic Forms" option yourself."
and then " Site Specific Forms."
INPO evaluators can be valuable sources Some printers may not have sufficient ofinformation as well. In any conversation, memory to print forms. Sending the form to employees should feel free to ask an a network-connected printer should evaluator's opinion or inquire how other eliminate the problem.
nuclear plants do business, he said.
Questions? Shila Tijerina 393-6045, or Unit 3's fifth refueling outage is scheduled Ann Orr 393-6623.
4 to begin Oct.14.
Two days later, on Oct.16, a team of 18 INPO, from cover training academy evaluators will begin a week-long accreditation renewal review of f 11 wed by a one week accreditation visit
, Maintenance, Radiation Protection and by INPO's National Academy for Nuclear Chemistry programs. The visit, preceded by Training. All are chances for Palo Verde a self-evaluation submitted to the INPO employees to gain widespread recognition team, willinclude interviews with for what they do all the time-run one of employees.
the best nuclear plants m America, Levine Lessons from INPO evaluations should said.
help improve operations and contribute to
" Success next month will boil down to a collection ofindividual efforts," he said.
rising production, lower costs and shorter refueling outages, Lev.me said.
" A lot of this is pride and getting
.g g,
g,
,, he said. "Do j
we want to get credit for those things? Then let's show them we're as good as the indicators say."3 i
i Cor*cmboe ' ' 'COC palo Verde NWIcar Oneratinc Ddn N A W "C lO
UNDERWATER, from page 3 Employco Concerns Program is Safety Net
..used to identify and locate damaged pipe
~
sections prior to failure.
Initially, Palo Verde's Employee Once the system is on board, the first Concerns department was set up to address objective is to target a one-to three-mile only nuclear and industrial safety concerns.
section of pipeline, put in the hydrophones But because Palo Verde's management team and test the area for two or three weeks to wants an opportunity to hear all employee establish a baseline sound level, Rittenhouse issues, the program evolved and serves as a said.
safety net for the Integrated Issues "The hydrophones can listen for the Resolution Process.
sound of prestressed wire breaking and In addition to the Employee Concerns eventually may be used to identify cracking Program, the IIRP includes Management concrete," she said. "Since sound traveh at a Issues Tracking Resolution, Condition known speed in water, we'll be able to Reporting / Disposition Request and pinpoint problem areas between any two Differing Professional Opinion programs.
hydrophones."
Although these programs are in place, the "The advantage to this detection system is fastest and most ef6cient way for employees that its nondestructive and the pipe doesn't to get problems resolved is by working with have to be uncovered," Rittenhouse said.
their immediate leaders.
"We'll be able to listen to the effects of the Employees are encouraged to work corrosion process. Where the pipe is within their own organizations, according to distressed, we should get lots of noise." g Peter Rail, employee concerns department leader.
If emplovees choose to work outside their APS Bulletin Boards immediate departments, they may use the For Company Use Only
!!RP or go immediately to Employee Concerns.
A new set of guidelines is in place "While we act primarily as a safety net, regarding company bulletin boards. APS.
Employee Concerns representatives are Personal designated boards are for company-related available to discuss concerns with all information only.
employees," Rail said. "If necessary, we will All C mPany information should be sent investigate any issue while maintaining items, such as "for safe-to the Strategic Communications credibility and confidentiality department. Members from the group will And the program works. The number of signs, may be placed ensure the message is being delivered in the employees in the department recently went most ef6cient way and work with area from six to two because there are fewer on department owners to post information.
concerns.
With section leader approval, personal "This is a good sign," Rail said.
bulletin boards.
items, such as "for sale" signs, may be "The reduced number ofissues reported placed on department bulletin boards.
to our office is a direct reflection on Palo Area owners are responsible for ensuring Verde's leadership and employee boards are kept neat and up to-date.
teamwork." m Questions? lanet Terry 393-6060. E f ec'embe' 25 1995 Palo Verde Nudear Generatine Palo Verde NEWC 4
p ATTACIIMENT 6
- PS
~
ARIZONA PUIl!JC SI'RVICE C051PANY c.:. L :.. _. a.
Dn'
..L.n :c!.5 E5' lC51 4
ll DNE:
Sep:ernber 23..%4 f
s, 8
~
P\\.,.
S Cc n:ract empicyees / jf,j,
.v:
.,u i
o Sectt E. N!acfar:and el,f. /[.(u*
j j
RONf:
5:a."
~4C6
</ M E_n.*
3:.6179 8,'
.,, /
i i v
.c._c y.
o.
- m...,.' O 4,.
4.
S US.'ECT INTEGRATED RESOLUTION PROCESS Hur.an Reseurces ~:u:J like to ic: ever.s centrac: em.e!c.see at ?VNGS k cw : hat the In:ecrated Resciution
?: xe<s at ?alo Verde :s a.a:!ab:e to esener.e werbng here. !!you hase a techmcal er safery concern you
- J o throult he C.:n:::::en Reecr: Dis. position Rec.ues: C'd' )R.) rarecess. If..cu have a mana. cement
- t-
'-.: : cer-2 c 1.J
' it:c ug$. r.e 5:ar.agemen: ;s e Tracan; and Res0lu::an (NirTR) process.
W. esree that ne ma -
"f
- ur er,r: ems at ?VNOS r... te resched 'traugn ycut Contract Site R: re: : air.c r.J :'r he ?VNOS super.u:'7 :n :.ca assigned area. Hewe.cr. :n :hese s:tuat ens where :h:s c: he ca s e. a. e, : ; d
.e :.s u i knew r.a: :".eee proce3ses a.e asacao:e :: :.eu s
". e. :cm.ir. Re.seurce E: - ".cc Re.:.::cr.s Rep:csen:a:r.c assigr.ed to centrac: cts at ?VNGS ts Joe N!cL2ren it - u nase any cues:: ens aNc: an.
- he processes er ;f ycu hase concerns that :.au need to talk about. ycu can ntac: Jue at es: ens: m '. ~' Sceper :.C'.
.: a --- 'r: ant :c. e ' -
. :.e we r:u.J p cfc: :o rc.sc:se ar. :ssues :n:
r.a.h. hese processes are ne:
dr ncJ tc.ec
- ::cr n:
c
. n.c cu ;Je 2..cr:.es. ycu fee. : bat yeu reed ic speak to an out. side ager.c.<
, n. 2 :U t. s o._, a :.-
me. ;;c;ue :ee. ::ee ta da so.
- e
'r.a ?ubhc Ser.1cc waru e er. emp;cyee ar.: centrac:or : ::c! the, can cper.h discuss concerns with A.-
managemer: and ecer.e :cmpt and rece snab:e copenses.
SENLJCNL'h
Integrated Palo Verde Management / Issues Tracking and Resolution Process
\\
Issue or Concern
'1mmmmmmmmmmmmmmmmier V
Immediate Supervisor l
V Informai Manager
- 30. Calendar Day
=
Closed l
Guideline U
F '*
Management MITR l
u Management l Closed l
Formal 30 Calendar Day Guideline Employee Can Request f
Extension
- m. -
-- \\
u k c.. to.,.,. ~
4, Equi Process Area Vice Pres.
C:-.
W h.
4 c..
."....y
. a..*
.' '. C.*J.-
D'y *.h
- ' 4
- k. :
- i 73 -
....w..'
- 2,'7 :
c.
., r-W..
?
r?~a 1 TTre":
... p r ap.....' : < >.-. "r". ?. '." :'
- ... '. s a b :..,s...
..., e.. r:.r., :
- s...
- s..
- -w.c p;
- i. :,w...,.. r#..c. e n. v..wa..$cG.'D;:,...... c.. J ? 2.21'
- 1 :.' ~
T.- :. s.M J?' ht
's.,.3.. ;.s'* w
, s...-
3 ;.r. ;.g: m.
.?
?...
- T.-.c
> v,.,.....,:. w.n.n.u, re.,-
^^
.. =W e.
.&:y.a.s.. :#..
.s m
..q CIosed Gy
.1 r=~aT.ir.=?3 " #. %..N.. -W.q. g y
!.%24..... a...... i.l
. i ~,'-
.:. :.:. w.~. : -... ee..'hi. X'4..,. v.~....
- Appeal Processes.'..
.. n...-. -.
Employee Concerns Program
ATTACIIMENT 7
'~
e' Arvona Punin wrme ( wnpans
.e
=
001-01716-WLS June 12,1995 Mr Dennis McLaughlin, President The Atlantic Group North Commerce Park 5426 Robinhood Road Norfolk, VA 23513 Re Depanment of Labor Administrative Law Judge's Recommended Decision and Order Dear Mr McLaughlin APS has received the Depanment of Labor (DOL) Administrative Law Judge's ( ALJ) Recommended Decision and Order in Maged Gah_alla v. The Atlantic Group, Case No 94-ERA 9 (May 16.1995)
Please describe the actions that The Atlantic Group (TAG) has taken or is planning to take, in response to the ALJ's recommended decision, including the ALJ's recommended findings with regard to the conduct of T AG's site representatise at Palo Verde. In panicular, please describe TAG's actions to assure that its site icpresentative will promote and foster an open and positive work environment in which all employees feel free to raise issues without fear of j
retribution Also, please describe TAG's actions to address any potential chilling effect
]
resulting from the ALJ's decision Finally, please describe the policies and programs that TAG has in place to assure that TAG employees and management are aware of the imponance of raising and resolving issues, as well as the mechanisms TAG has in place for raising issues i
i I
6
.e-
.-s
The Ailanne Group mimi'16 WLS June 11 Iw5
)
Page It is APS' expectation that all managers working at Palo Verde, including contractor management, promote and foster an open and positive work environment in which all APS and contractor employees working at Palo Verde feel free to raise issues without fear of retribution Further, any issues raised must be effectively and thoroughly addressed within appropriate time frames Additionally, all APS and contractor employees at Palo Verde have the right to raise issues directly with the NRC. Harassment and intimidation of employees who raise issues, either internally or externally, cannot and will not be tolerated Although your contract with APS more fully discusses your obligations regarding the right of employees to raise issues, I wanted to take this opportunity to remind you of these important obligations Thank you for your attention to this matter and I await your timely response if you has e any questions, please call me at (602) 250-3900 Sincerely,
- i rL
$$%4 i
i 4
3 1
L
F'
~.
4 ATTACIIMENT 8
APS Arizona Public Senice Corr.pany PALO VERDE NUCLEAR GENERATING STATION P O BOX 52034 PHOENIX. ARIZONA 85072-2034 TO CONTRACT COMPANY:
SUBJECT RESOLUTION OF !SSUES RAISED BY E.\\fPLOYEES This sets fonh the expectations of Anzona Public Service Company (APS) relative to the obligations of Contract Companies at PVNGS to comply with all laws including Section 211 of the Energy Reorganization Act of 1974 IEllu as amended,42 U S C. Section SSSI (198S),
and the Nuclear Regulaton Commission's (NRC) regulations,10 CFR Section 50 7 The NRC has established explicit regulaton requirements which prohibit any employer. including a Commission Licensee or a contractor or subcontractor of a Commission Licensee, from disenminating against any employee who engages in cenain " protected activities" identified by the statute and the regulations Such activities include but are not limited to providing information to the NRC concern:ng possible siolations of requirements imposed under the Atomic Energy Act or ERA requesting the NRC to institute action against his/her employer, and testifying m any NRC proceeding Discrmmatien for engaging in protected activity is broadly construed to include r.ot only discharge but other actions that relate to compensation.
terms, conditions and pnuleges of employmem This letter is intended to remind your Company that as a contractor with personnel and subcontractor personnel who may engage in protected actisities, you must notify.-1PS immediately of any disenminate claim related in any way to PVNGS and afford APS the opponunity to panicipate as it deems appropnate Then your Company must conduct a thorough and prompt investigation of the claim and advise APS of the findings, conclusions, and actions planned to resolve the matter Additionally, you should notify all subcontractors of their obligations under Section 211 of the ERA, as amended, and 10 CFR Section 50 7
\\
4 Page:
)
438-013 76-CDC.WDP September 27,1995 APS, as the Commission Licensee, vill determine the extent ofits involvement and may elect to perform an independent investigation and'or review to ascertain that appropriate action is being taken by your Company or your subcontractor to resolve the matter. I would also request inat you inform APS of the policies, programs and mechanisms your company has in place to ensure that contractor employees and management are aware of the importance of raising and resching issues.
Thank you for your full cooperation in this matter If you have any questions, please call me at (602)393 6006 Sin rely.
S J
kQ Carl D. Churchman Director, Materials Mgmt & Budgets
G O
l rrrACIDIENT 9
CONFIDENTIAL l
Department of Labor issues i
10 10 l
9 ll l
8 i
7 1
i 6
f
~....
W..
5
- +...
- 2 ~.: -
8 c.-
~.. -
- v e >;?[. g s ;G :;:y p;a, x.- u; e
~ '
r s u _' '_' ~-lL i
};'
4 3
3 i
2 1
1 1
0 0
0 0
l 1988 1989 1990 1991 1992 1993 1994 1Q95 2095 3O95 4Q95
~-
--,,....,,.,,,-,-v-
-,,,,----m,-.-,-,---
--,--_-,-n
CONFIDENTIAL t
Allegations to NRC Concerning PVNGS 70 60 i
50 40 a
- %.a.
30
~
2 22 20 i
---w ---------------------
10
s------------
4 3
3 0
r-1989 1990 1991 1992 1993 1994 1995 1Q95 2O95 3Q95 4Q95
,-o,.
YTD
ATTACHMENT 10 l
I i
\\
41.1995 issues Resolution Definition: The time required to resolve employee issues through the MITR process, or through the employee concerns program Month Average Days Goal Jan 17 45 Feb 22 45 Mar 23 45 Apr 33 45 May 35 45 Jun 49 45 Jul 25 45 Aug 31 e5 Sep 33 45 Oct 46 45 Nov 38 45 Dec 7
45 Data Source: Deborah Leuthold - 393-6352 indicator Owner: Marlene Williams - 393-6318
i
'. F 4
0 O
O J
C i
h<
s'" m E m ' s !
i i
- HEEEE e E55551 EEEEEEEEiB I
t
$ [h'Ml'Un'.i'MMfMMR)4S%%E r-' ~~ 4,,
(,Q Y
C$,C 4 f
[,.
V RPit'n, mas #Q ?
Z s
,~
%}M'%%%CWlku%wzaikan m T
u auk a
i
~
f' Q
g:m m nerrgg m ;m p?n %p m W
a L
fI!Mdl$qhfegMiy$NNIS$dl3kk$
r; i gy Vn d$b3NN 5
i G
gere mune.
m b' m m m n ey$yge y$$yy$1?$N h,,;'
g&l, N
I l
i n$,_:$
' L.cb.a,x s,,,%\\,?i1Lte,9;su. v. e,l.,.. a..u.%+.u k 6sw %,,:.u %_O
- 3.. -
9, I
c+
i 1
m;~y;+~c a ry;w, w. x :~r w
- .. ', 2 w,
,. 'uMm.:s ':a.k; 1,n?
- ng 7' ' x u wn;;g O
I
.- >+
,JMa yg ' ';;,<.4%: -g w &. M o a%&lan 3
l mw'i.m,fe'e;f ww-m:,h,nn,rrw,w{s,:. la,+,..,.l:^ma$$g$,
- ),;,, f,,,-
n k:5,, 8h
, bf
^ 8fll,l;
{,'j.Q.,, '.if,'l$$r i({ f,
t,,
..p
, s.,
f$b
?A e$'i$h b $$Y
$' bhh $
f
~
i l
l JT:/<'4'M'"'1n ;nYGu Y
, ~y. yi+:Wy'y l
1 u,g.
I'.dibdw :
l l
l l
aums l
n
__,c 4
4 O
i rrrACIISIENT I1 s
anddon'tknow i
whereto turn?
i T,i y
..c,@
[je i
c' ?
i.sgib mgg' l
- .1
3
~
l 4:m 4[C50h
.,2 c.-
.. db
.. pF V9p' p&
l c.;; : t f #
3/*
.,.g;fi;~ ~
er j
v l
l i
393-6352 MITR --people problems i
i 393-5758 CRDR -- technical / safety l
concerns l
393-5682 DPO -- escalation of l
technical / safety concerns 4
393-2704 Employee Concerns -- any 1
i type of problem or issue
ATTACIIMENT 12
t.mpt (c RMed~..
)
(ou and Your Leader At Palo Verde,we strive to maintain an
'" "i'"" * * "' i"
- h i' h '
- P' Y '"' '""
Problem Resolution address all types of concerns with their leaders. lf you identify a problem, we Resources em encourage you to sit down with your leader to g
resolve it. Addressing issues this wayis the Ont most efrective means of solving a problem.
Not all problems can be resolved l
between leaders and employees.however.
That is why the MITR 393-6352 Integrated issues er Itesolution Process Comprised of four CRDR 393-5758 IUl'n7 was developed.
G programs that meet different needs, the IIRP l
- ensures your pro blem will be addressed i
<luickly and equitably.
Familiarize yourself with the programs DPO 393-5682 i
j ilescribed in this brochure. Your willingness to raise concerns will help ensure Palo Verde i
remains a safe, reliable and cost-effective plant that will achieve world. class status.
Employee 393-2702 Bill Stewart Concerns executive vice president-Nuclear i
i Palo Verde Nuclear Generating Station i
l
People Problems Employee Concerns Program These no+ technical, human-relations issues deal When employees feel their concerns has e not with prot,lems hk e pay. equity and harassment-been addressed through MITR. chi >R or When cirployees cannot resof we these kinds of DPO. they can contact the Employec Con (eros issues wnh their !caders they can turn to the Program - ECP. Employees also should use
}
Management Issues Tracking and Resolution -
ECP when they feel they (an't approath their MITR -- program.
management or lluman Hesources. l~CP ensures employees are proicceed from retaliation of any kind and oIIers anonymity.
I Confidentiality l
Safaty Concerns Palo ve,de strives to maintain an atmosphere These are issues that can affect the safetyof in which employees feel they can speak openly Palo Verde emplo)ees and the public.
about concerns. At times, however, some Fmployees must bring these concerns to their employees may not feel they can (to so.
[
leaders' attention immediately for resolution A nonymous resolution is, therefore..n adable l
through the Conthison Reporting / Disposition through two programs - MITR and I CP. In l
Request - CRDR - process or the Industrial cases n which anonymityis not requested.
i Safety Depariment.
information is released only on a need-to4 now basis, to maintain confidentiality.
i A Few Last Words TechnicallProcedural Problems Each of us at Palo Verde is responsible for the Technical problems deal with engineering, safe and effective operation of the plant and for equipment. design and operating innes.
creating a work environment in whnh These issues are addressed through the employees andleaders work together toward
^
CRDR or Differing Professional Opimon ~
common goals.To achieve this,we all must take DPO - programs. DPGs generally are filed responsibility for reporting concerns. If at any as an appeal when an employee does not time you have a concern. you are encouraged to agree with a CRDR resolution.
rmise it to your leader. Ifit cannot be resolved informally with your leader, you have an alternative course of action through tlR P programs. Employees may, at any iime, tliscuss concerns with the Nuclear Regulatory Commission and other outside agencies without fear of retaliation.
i w
e 6
w -- -
- ~ - - -
l
\\
ECP ECP i
1 +
.,c.~... r,.,,..
1%,, c.,,,,,.,.
l l
How ECP Works Possible Outcomes I
The Employee Concerns Programis available to As with allllRP program esolutions,the I
P n!! Palo Verde and conteact employees.
solution may or may not suppori the employce's opinion.
i Employees should contact ECP when they do not feel their issues were addressed at otherlevels or i
if they feel they cannot approach their management or Human Resources.
When employees feeltheir concerns have not been addressed, or at any time.ther may try When employees contact ECP.they are to resolve the issue externally. Ali employees i
interviewed to determine the specifics of the have the eight to speak freely with external agencies at any time.
- n. who the employee has discussed it with, con-what formal action has been taken and if the employee wants to remain anonymous.
Based on employee responses. Employee I
Concerns pursues resolution.
(
9 p
k w
l F
f 1
n i
i b
e.,..w,-
w
.-+ - -
--=w
.,rw,
-m-
.c m
- u m
2
,O h
gp e
y a r n u h
m e
t t
hi w ie d
d e v v lo ld ra n e a
c a ta i
e e
g pl n mlo o n. h el h o a
me r o pr e s pF Og e
uP c
t P a r e.
t s
nd h n o n t
t Da lu t ind e
t o
s s i r
n r u
d e mo e
r e
md r
h oie c
r a
r h e
t os p pd a n a
wi po ts s
e o
e 4
el e
e e
u 's C
yi f ie n
e n
n r
e g s e i ee v s r
a r c s o
oe ef o
h d r
n e y a s.
lpt n
l o
h lod wlo py a
mo a
t
- l. i r n.
it e
pt e y mi ie p e r s e
wb e, i h
.s a
l v m t
mh a
a e
Ot i e T. d liwe it eE j.
P i s
n s
m y
o e m
0 nhi
-r D
l t
e h h n3 bh a
e t
a u t
n a o
io n i r b wt n
it s
A ot i m
t ol c
s uh o u t
l e
i a
t md e
c t
loin w t
n
.,igit loi t
e g
e c
n w
y b a s
n o s o o s
r j, te n u
e u
pn c
O mI or tr igr e a
u O
wi lp y r
s o
s r e
t e
ma s
e o
s o s hi c Tf S af i e T v a s E m P
is o
l r
b u
s c
D o
e P
R s
r r n y
n e
o, k o
a e i t
m l
d tu o i m a
s a
ae e
s ml.
.r l
l n e a n i e e o ly e s
os s y m
s r
a re o e o
e f
pi r ol n a pl pn h
p A
r a a t
a d F
m n
n ai f
s p
h e
c e
n o e r i. y e toi e o o
.t I
e e igi s
y f
ws oh te d s
c e
o d e lpo e o.
k is t
s n l p i s ef g o l
s r a a r m
n.
e a ms pt e io S
0, c
a r m
r p e n r
u in e
s n n t
r t
u r.
e s
r u
e oti f to e r
~
oi y e d o a
mr o tui.
e e l
nhf i
d c
f f F
e f
o, R t
e s
c e
n nd e
4 g r s e n
d e oOd d r g D
o s
r h R ro e
a e
u a m
l r
dP i s D. i is o
e c
e tc ts s
e e
C g
e s
a r
r d a a
b a
e a e e a a
my a
a s
r s lE y yb t
rg O o n in.c yh t
wD o
s l
e n ehO m
s s
l inX n
P lpn t
e a
e e biP r
m O
ll ip N
o mie a i o
D f A h n wo e n g c h lpt n
e OTU e a d e c S
mrs n r e P
a u
e i a gli I
n A ojmt Ef c a f DV o P
g in D
i l
F
4. '.
- CRDR C R-D R c..o
. mar
.as.v.,s.. n.,.au c s e ar...,m.,,,,,,,
Filing a CRDR Possible Outcomes The CRDR program controls and resolns conditions that could adntselyaffect the safe, When a resolution is devet*P'a
''8vc reliable and economic produnion of electrioty.
anions are taLen if necusaryme m;nE emp3oyce rece.ives a copy of the CRDR as notification of tesolution, Anyone at palo Verde may submit a CRDR to their le ader.
When employees and their lead Forms are available in form de awers.the tesolve a technicalis:Ue.cmployen may appeal Control Room.on VISTA in Electronic Forms.
a den..sson through the Diff p, r" in Framemaker on UNIX work stations or in the Opinion process.
CRDR room or Strategic Analysis. located in Admin B on the third Door.
After seceiving a CRDR leaders have three days to reviewit. initiate corrective action and forward it to Strategic Analysis.
If the issue requires no further action, the CRDR will be closed. If the leader could not resolve the issue or if corrective actions a re under way, the CRDR Review Committee will a ssign the issue to the origina ting or other leader for resolution.
i r
~!
I f
I t
i l
t
- t
MITR MITR as...:<~~r an.a T n s. g a a,.i.s.. r.g...
* = *r *~== !* * = a T*.e si-tk ues-o. t..c..
Filing a MITR develop a resolution. The leader wi!! ha ve 30 MITRs are used to resolve huma n-r ela tions days to investigate the concern and des clop a issues such as pay. equiry and harassment. that ecsolution. Extensions require agreement cannot bc worked out between employees and between the employee a nd leader, theirle aders.
Possible Outcomes To Glc MITRs. employees must worL theough Once a resolution has been developed,it wiu one of the following-be presented to the employee who ca n either accent oc reject the solution. Acceptance
. The employee's leader doses the MITR.
A lluman Resources representative Recourse An Employee Concerns Program Employees who disagree with a resolution can representative appeal through the Equity process or their area vice president.
Whomever the employee chooses will help him or her with the paperwork and explain the If an employee is dissatisGed at any time process. This ensures employees know their during the process, he or the may contact rights and obligations.
Employee Concerns.
Employees may GIc anonymously, if desired. In this case en Employee Concerns or Human Resources representative will act as a mediator between the employee and depa rtment leader.
No one except the mediator will know who the fi!ing employee is.
Once opened the MITR will be assigned to a leader who will work with Oicnt Services to k
I e
k g
l 8
m