In the Matter of Joseph Shea, Tennessee Valley Authority, Chattanooga, TN, 53423-53426 [2020-18928]

Download as PDF Federal Register / Vol. 85, No. 168 / Friday, August 28, 2020 / Notices respondents are encouraged to use electronic communications. SUPPLEMENTARY INFORMATION: Section 254 of the Balanced Budget and Emergency Deficit Control Act of 1985 requires the Office of Management and Budget (OMB) to issue a Sequestration Update Report by August 20th of each year. For fiscal year 2020, the report finds enacted appropriations to be at or below the caps after accounting for enacted supplemental appropriations. For fiscal year 2021, the report finds that actions to date by the House of Representatives for the 12 annual appropriations bills for fiscal year 2021 would breach the non-defense cap under OMB estimates if they were enacted into law. The Senate has not yet begun consideration of its 2021 appropriations bills; therefore, an evaluation of Senate compliance cannot be made at this time. Finally, the report contains OMB’s Preview Estimate of the Disaster Relief Funding Adjustment for FY 2021. Russell T. Vought, Director. [FR Doc. 2020–18941 Filed 8–27–20; 8:45 am] NATIONAL FOUNDATION ON THE ARTS AND THE HUMANITIES National Endowment for the Notice of meeting. Pursuant to the Federal Advisory Committee Act, as amended, notice is hereby given that 1 meeting of the Arts Advisory Panel to the National Council on the Arts will be held by teleconference or videoconference. DATES: See the SUPPLEMENTARY INFORMATION section for individual meeting times and dates. All meetings are Eastern time and ending times are approximate: SUMMARY: National Endowment for the Arts, Constitution Center, 400 7th St. SW, Washington, DC 20506. FOR FURTHER INFORMATION CONTACT: Further information with reference to these meetings can be obtained from Ms. Sherry Hale, Office of Guidelines & Panel Operations, National Endowment for the Arts, Washington, DC 20506; hales@arts.gov, or call 202/682–5696. SUPPLEMENTARY INFORMATION: The closed portions of meetings are for the purpose of Panel review, discussion, VerDate Sep<11>2014 17:16 Aug 27, 2020 Jkt 250001 BILLING CODE 7537–01–P PO 00000 Frm 00107 Fmt 4703 Sfmt 4703 The text of the Order is attached. Dated: August 24, 2020. For the Nuclear Regulatory Commission. George A. Wilson, Director, Office of Enforcement. Attachment—Order Prohibiting Involvement in NRC-Licensed Activities The U.S. Nuclear Regulatory Commission (NRC) is issuing an Order prohibiting involvement in NRClicensed activities to Mr. Joseph Shea, Vice President Nuclear Technology Innovation at Tennessee Valley Authority (TVA), for 5 years. The NRC has determined that Mr. Joseph Shea engaged in deliberate misconduct when he played a significant role in the decisionmaking process to place a former employee on paid administrative leave on October 15, 2018 and terminate the former employee on January 14, 2019, in part, for engaging in protected activity. The Order is effective on the date of issuance. DATES: The Order was issued on August 24, 2020. ADDRESSES: Please refer to Docket ID NRC–2020–0195 when contacting the NRC about the availability of information regarding this document. You may obtain publicly-available information related to this document using any of the following methods: • Federal Rulemaking Website: Go to https://www.regulations.gov and search for Docket ID NRC–2020–0075. Address questions about NRC docket IDs in Regulations.gov to Jennifer Borges; SUMMARY: Arts. ADDRESSES: SUPPLEMENTARY INFORMATION: [FR Doc. 2020–18950 Filed 8–27–20; 8:45 am] Nuclear Regulatory Commission. ACTION: Order; issuance. Arts Advisory Panel Meetings ACTION: [Docket No. IA–20–008; NRC–2020–0195] Dated: August 25, 2020. Sherry Hale, Staff Assistant, National Endowment for the Arts. AGENCY: National Endowment for the Arts AGENCY: NUCLEAR REGULATORY COMMISSION telephone: 301–287–9127; email: Jennifer.Borges@nrc.gov. For technical questions, contact the individual listed in the FOR FURTHER INFORMATION CONTACT section of this document. • NRC’s Agencywide Documents Access and Management System (ADAMS): You may obtain publiclyavailable documents online in the ADAMS Public Documents collection at https://www.nrc.gov/reading-rm/ adams.html. To begin the search, select ‘‘Begin Web-based ADAMS Search.’’ For problems with ADAMS, please contact the NRC’s Public Document Room reference staff at 1–800–397–4209, 301– 415–4737, or by email to pdr.resource@ nrc.gov. Order IA–20–008, issued to Mr. Joseph Shea on August 24, 2020, is available in ADAMS under Accession No. ML20219A676. FOR FURTHER INFORMATION CONTACT: Ian Gifford, Office of Enforcement, U.S. Nuclear Regulatory Commission, Washington DC 20555–0001; telephone: 301–287–9216, email: Ian.Gifford@ nrc.gov. evaluation, and recommendations on financial assistance under the National Foundation on the Arts and the Humanities Act of 1965, as amended, including information given in confidence to the agency. In accordance with the determination of the Chairman of September 10, 2019, these sessions will be closed to the public pursuant to subsection (c)(6) of section 552b of title 5, United States Code. The upcoming meeting is: Folk and Traditional Arts (review of applications): This meeting will be closed. Date and time: September 21, 2020; 11:30 a.m. to 1:30 p.m. In the Matter of Joseph Shea, Tennessee Valley Authority, Chattanooga, TN BILLING CODE 3110–01–P 53423 United States of America Nuclear Regulatory Commission In the Matter of Joseph Shea IA–20–008 Order Prohibiting Involvement in NRCLicensed Activities Immediately Effective I. Mr. Joseph Shea is employed as Vice President Nuclear Technology Innovation at the Tennessee Valley Authority (TVA). TVA holds Browns Ferry Units 1, 2 and 3 License Nos. DPR–33, DPR–52, and DPR–68 issued by the Nuclear Regulatory Commission (NRC or Commission) pursuant to Part 50 of Title 10 of the Code of Federal Regulations (10 CFR), on December 20, 1973, June 28, 1974 and July 2, 1976, respectively. The units are located on the Licensee’s site in Athens, Alabama. TVA holds Sequoyah Units 1 and 2 License Nos. DPR–77 and DPR–79 issued by the NRC pursuant to 10 CFR part 50, on September 17, 1980 and September 15, 1981, respectively. The units are located on the Licensee’s site in Soddy-Daisy, Tennessee. TVA holds Watts Bar Units 1 and 2 License Nos. E:\FR\FM\28AUN1.SGM 28AUN1 53424 Federal Register / Vol. 85, No. 168 / Friday, August 28, 2020 / Notices NPF–90 and NPF–96 issued by the NRC pursuant to 10 CFR part 50, on February 7, 1996 and October 22, 2015, respectively. The units are located on the Licensee’s site in Spring City, Tennessee. The licenses authorize the operation of these facilities in accordance with the conditions specified therein. II. On January 21, 2020, an investigation was completed by the U.S. Nuclear Regulatory Commission (NRC) Office of Investigations (OI) related to TVA (OI Report No. 2–2019–015). The purpose of the investigation was to determine whether a former corporate employee was the subject of employment discrimination for engaging in a protected activity in violation of Title 10 of the Code of Federal Regulations (10 CFR) 50.7, ‘‘Employee Protection.’’ Based on the evidence developed during the investigation and subsequent staff analysis, it appeared that Mr. Joseph Shea, as the Vice President of Regulatory Affairs at TVA, engaged in deliberate misconduct, in violation of 10 CFR 50.5, ‘‘Deliberate Misconduct,’’ that caused an NRC licensee to be in violation of 10 CFR 50.7, ‘‘Employee Protection.’’ Specifically, the NRC determined that a former corporate employee was placed on paid administrative leave on October 15, 2018, and terminated on January 14, 2019, by Mr. Joseph Shea, in part, for engaging in protected activity, including raising concerns about a chilled work environment. The former employee engaged in protected activity when expressing concerns to Mr. Joseph Shea regarding the chilled work environment that the former Director of Corporate Nuclear Licensing (CNL) was creating. Further, Mr. Joseph Shea received a copy of the TVA Office of General Counsel (OGC) draft report prepared by the TVA OGC attorney that identified the concerns of the former employee. Additionally, in a (internal TVA) complaint that the former Director of CNL provided to Mr. Joseph Shea on or about March 9, 2018, the former Director of CNL identified the former employee as the source of a chilled work environment complaint made to the NRC. The former employee suffered an adverse action when Mr. Joseph Shea played a significant role in the decisionmaking process to place the former employee on administrative leave and terminate the former employee. There is a nexus between the former employee’s protected activity of raising concerns about a chilled work environment and the termination of the VerDate Sep<11>2014 17:16 Aug 27, 2020 Jkt 250001 former employee. Mr. Joseph Shea stated during the predecisional enforcement conference that Mr. Joseph Shea terminated the former employee for being ‘‘disrespectful’’ to the former Director of CNL. However, the examples used in the TVA OGC report as evidence that the former employee was ‘‘disrespectful’’ to the former Director of CNL were: 1) raising concerns about a chilled work environment in a TVA OGC interview; and 2) raising concerns about reprisal from the former Director of CNL directly to Mr. Joseph Shea. Mr. Joseph Shea admitted that he did not counsel the former employee about the asserted disrespectful behavior. The NRC has determined that Mr. Joseph Shea played a significant role in the decisionmaking process to place the former employee on paid administrative leave on October 15, 2018 and terminate her on January 14, 2019, in part, for engaging in protected activities. Accordingly, the NRC has determined that Mr. Joseph Shea’s actions were deliberate and violated the requirements in 10 CFR 50.5, ‘‘Deliberate Misconduct.’’ The NRC considers deliberate violations of 10 CFR 50.7, ‘‘Employee Protection,’’ significant because of the potential that individuals might not raise safety issues for fear of retaliation. III. Based on the above, Mr. Joseph Shea, the Vice President Nuclear Technology Innovation at TVA, engaged in deliberate misconduct, in violation of 10 CFR 50.5, ‘‘Deliberate Misconduct,’’ that caused the Licensee to be in violation of 10 CFR 50.7, ‘‘Employee Protection.’’ The NRC must be able to rely on TVA and its employees to comply with NRC requirements, including the requirement prohibiting discrimination against an employee for engaging in protected activities. Consequently, given the significance of the underlying issues, Mr. Joseph Shea’s position within TVA that has a very broad sphere of influence, and the deliberate nature of the actions, the NRC lacks the requisite reasonable assurance that licensed activities can be conducted in compliance with the Commission’s requirements and that the health and safety of the public will be protected if Mr. Joseph Shea were permitted at this time to be involved in NRC-licensed activities. Therefore, Mr. Joseph Shea is prohibited from any involvement in NRC-licensed activities for a period of 5 years. Furthermore, pursuant to 10 CFR 2.202, the significance of Mr. Joseph Shea’s wrongdoing described above is such that this Order be immediately effective. Mr. Joseph Shea is required to PO 00000 Frm 00108 Fmt 4703 Sfmt 4703 notify the NRC of his first employment in NRC-licensed activities following the prohibition period. IV. Accordingly, pursuant to sections 103, 161b, 161i, 161o, 182 and 186 of the Atomic Energy Act of 1954, as amended, and the Commission’s regulations in 10 CFR 2.202, and 10 CFR 50.5, it is hereby ordered, immediately effective upon the date of issuance, that: 1. Mr. Joseph Shea is prohibited for 5 years from engaging in, supervising, directing, or in any other way conducting NRC-licensed activities. NRC-licensed activities are those activities that are conducted pursuant to a specific or general license issued by the NRC. 2. If Mr. Joseph Shea is currently involved with another licensee in other NRC-licensed activities, he must immediately cease those activities, and inform the NRC of the name, address, and telephone number of the employer, and provide a copy of this Order to the employer. 3. For a period of 1 year after the 5year period of prohibition has expired, Mr. Joseph Shea shall, within 20 days of acceptance of his first employment offer involving NRC-licensed activities, as defined in paragraph IV.1 above, provide notice to the Director, Office of Enforcement, U.S. Nuclear Regulatory Commission, Washington, DC 20555– 0001, the name, address, and telephone number of the employer or the entity where he is, or will be, involved in the NRC-licensed activities. In the notification, Mr. Joseph Shea shall include a statement of his commitment to compliance with regulatory requirements and the basis why the Commission should have confidence that he will now comply with applicable NRC requirements. The Director, Office of Enforcement, or designee, may, in writing, relax, rescind, or withdraw any of the above conditions upon demonstration by Mr. Joseph Shea of good cause. V. In accordance with 10 CFR 2.202, Mr. Joseph Shea must submit a written answer to this Order under oath or affirmation within 30 calendar days of its issuance. Mr. Joseph Shea’s failure to respond to this Order could result in additional enforcement action in accordance with the Commission’s Enforcement Policy. In addition, Mr. Joseph Shea and any other person adversely affected by this Order, may request a hearing on this Order within 30 calendar days of its issuance. Where good cause is shown, consideration will E:\FR\FM\28AUN1.SGM 28AUN1 Federal Register / Vol. 85, No. 168 / Friday, August 28, 2020 / Notices be given to extending the time to answer or request a hearing. A request for extension of time must be directed to the Director, Office of Enforcement, U.S. Nuclear Regulatory Commission, Washington, DC 20555–001, and include a statement of good cause for the extension. All documents filed in NRC adjudicatory proceedings, including a request for hearing and petition for leave to intervene (petition), any motion or other document filed in the proceeding prior to the submission of a request for hearing or petition to intervene, and documents filed by interested governmental entities that request to participate under 10 CFR 2.315(c), must be filed in accordance with the NRC’s E-Filing rule (72 FR 49139; August 28, 2007, as amended at 77 FR 46562; August 3, 2012). The EFiling process requires participants to submit and serve all adjudicatory documents over the internet, or in some cases to mail copies on electronic storage media. Detailed guidance on making electronic submissions may be found in the Guidance for Electronic Submissions to the NRC and on the NRC website at https://www.nrc.gov/sitehelp/e-submittals.html. Participants may not submit paper copies of their filings unless they seek an exemption in accordance with the procedures described below. To comply with the procedural requirements of E-Filing, at least 10 days prior to the filing deadline, the participant should contact the Office of the Secretary by email at hearing.docket@nrc.gov, or by telephone at 301–415–1677, to (1) request a digital identification (ID) certificate, which allows the participant (or its counsel or representative) to digitally sign submissions and access the E-Filing system for any proceeding in which it is participating; and (2) advise the Secretary that the participant will be submitting a petition or other adjudicatory document (even in instances in which the participant, or its counsel or representative, already holds an NRC-issued digital ID certificate). Based upon this information, the Secretary will establish an electronic docket for the hearing in this proceeding if the Secretary has not already established an electronic docket. Information about applying for a digital ID certificate is available on the NRC’s public website at https:// www.nrc.gov/site-help/e-submittals/ getting-started.html. Once a participant has obtained a digital ID certificate and a docket has been created, the participant can then submit adjudicatory documents. Submissions VerDate Sep<11>2014 17:16 Aug 27, 2020 Jkt 250001 must be in Portable Document Format (PDF). Additional guidance on PDF submissions is available on the NRC’s public website at https://www.nrc.gov/ site-help/electronic-sub-ref-mat.html. A filing is considered complete at the time the document is submitted through the NRC’s E-Filing system. To be timely, an electronic filing must be submitted to the E-Filing system no later than 11:59 p.m. Eastern Time on the due date. Upon receipt of a transmission, the EFiling system time-stamps the document and sends the submitter an email notice confirming receipt of the document. The E-Filing system also distributes an email notice that provides access to the document to the NRC’s Office of the General Counsel and any others who have advised the Office of the Secretary that they wish to participate in the proceeding, so that the filer need not serve the document on those participants separately. Therefore, applicants and other participants (or their counsel or representative) must apply for and receive a digital ID certificate before adjudicatory documents are filed so that they can obtain access to the documents via the E-Filing system. A person filing electronically using the NRC’s adjudicatory E-Filing system may seek assistance by contacting the NRC’s Electronic Filing Help Desk through the ‘‘Contact Us’’ link located on the NRC’s public website at https:// www.nrc.gov/site-help/esubmittals.html, by email to MSHD.Resource@nrc.gov, or by a tollfree call at 1–866–672–7640. The NRC Electronic Filing Help Desk is available between 9 a.m. and 6 p.m., Eastern Time, Monday through Friday, excluding government holidays. Participants who believe that they have a good cause for not submitting documents electronically must file an exemption request, in accordance with 10 CFR 2.302(g), with their initial paper filing stating why there is good cause for not filing electronically and requesting authorization to continue to submit documents in paper format. Such filings must be submitted by: (1) First class mail addressed to the Office of the Secretary of the Commission, U.S. Nuclear Regulatory Commission, Washington, DC 20555–0001, Attention: Rulemaking and Adjudications Staff; or (2) courier, express mail, or expedited delivery service to the Office of the Secretary, 11555 Rockville Pike, Rockville, Maryland 20852, Attention: Rulemaking and Adjudications Staff. Participants filing adjudicatory documents in this manner are responsible for serving the document on all other participants. Filing is PO 00000 Frm 00109 Fmt 4703 Sfmt 4703 53425 considered complete by first-class mail as of the time of deposit in the mail, or by courier, express mail, or expedited delivery service upon depositing the document with the provider of the service. A presiding officer, having granted an exemption request from using E-Filing, may require a participant or party to use E-Filing if the presiding officer subsequently determines that the reason for granting the exemption from use of E-Filing no longer exists. Documents submitted in adjudicatory proceedings will appear in the NRC’s electronic hearing docket which is available to the public at https:// adams.nrc.gov/ehd, unless excluded pursuant to an order of the Commission or the presiding officer. If you do not have an NRC-issued digital ID certificate as described above, click ‘‘cancel’’ when the link requests certificates and you will be automatically directed to the NRC’s electronic hearing dockets where you will be able to access any publicly available documents in a particular hearing docket. Participants are requested not to include personal privacy information, such as social security numbers, home addresses, or personal phone numbers in their filings, unless an NRC regulation or other law requires submission of such information. For example, in some instances, individuals provide home addresses in order to demonstrate proximity to a facility or site. With respect to copyrighted works, except for limited excerpts that serve the purpose of the adjudicatory filings and would constitute a Fair Use application, participants are requested not to include copyrighted materials in their submission. If a person other than Mr. Joseph Shea requests a hearing, that person shall set forth with particularity the manner in which his interest is adversely affected by this Order and shall address the criteria set forth in 10 CFR 2.309(d) and (f). If a hearing is requested by Mr. Joseph Shea or a person whose interest is adversely affected, the Commission will issue an Order designating the time and place of any hearings. If a hearing is held, the issue to be considered at such hearing shall be whether this Order should be sustained. Pursuant to 10 CFR 2.202(c)(2)(i), Mr. Joseph Shea or any other person adversely affected by this Order, may, in addition to demanding a hearing, at the time the answer is filed or sooner, move the presiding officer to set aside the immediate effectiveness of the Order on the ground that the Order, including the need for immediate effectiveness, is not based on adequate evidence but on mere suspicion, E:\FR\FM\28AUN1.SGM 28AUN1 53426 Federal Register / Vol. 85, No. 168 / Friday, August 28, 2020 / Notices unfounded allegations, or error. In the absence of any request for hearing, or written approval of an extension of time in which to request a hearing, the provisions specified in Section IV above shall be final 30 calendar days from the date this Order is issued without further order or proceedings. If an extension of time for requesting a hearing has been approved, the provisions specified in Section IV shall be final when the extension expires if a hearing request has not been received. AN ANSWER OR A REQUEST FOR HEARING SHALL NOT STAY THE IMMEDIATE EFFECTIVENESS OF THIS ORDER. For the Nuclear Regulatory Commission. George A. Wilson, Director, Office of Enforcement. [FR Doc. 2020–18928 Filed 8–27–20; 8:45 am] BILLING CODE 7590–01–P SECURITIES AND EXCHANGE COMMISSION [SEC File No. 270–824; OMB Control No. 3235–0500 [Corrected collection number]] Proposed Collection; Comment Request Upon Written Request, Copies Available From: Securities and Exchange Commission, Office of FOIA Services, 100 F Street NE, Washington, DC 20549–2736 Extension: Rule 608 Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (‘‘PRA’’) (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (‘‘Commission’’) is soliciting comments on the existing collection of information provided for in Rule 608 (17 CFR 242.608) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.). The Commission plans to submit this existing collection of information to the Office of Management and Budget (‘‘OMB’’) for extension and approval. Rule 608 specifies procedures for filing or amending national market system plans (‘‘NMS Plans’’). Selfregulatory organizations (‘‘SROs’’) filing a new NMS Plan must submit the text of the NMS Plan to the Commission, along with a statement of purpose, and, if applicable, specified supporting materials that may include: (1) A copy of all governing or constituent documents, (2) a description of the manner in which the NMS Plan, and any facility or procedure contemplated by the NMS Plan, will be implemented, (3) a listing of all significant phases of development and implementation VerDate Sep<11>2014 17:16 Aug 27, 2020 Jkt 250001 contemplated by the NMS Plan, including a projected completion date for each phase, (4) an analysis of the competitive impact of implementing the NMS Plan, (5) a description of any written agreements or understandings between or among plan participants or sponsors relating to interpretations of the NMS Plan or conditions for becoming a plan participant or sponsor, and (6) a description of the manner in which any facility contemplated by the NMS Plan shall be operated. Participants or sponsors to the NMS Plan must ensure that a current and complete version of the NMS Plan is posted on a designated website or a plan website after being notified by the Commission that the NMS Plan is effective. Each plan participant or sponsor must also provide a link on its own website to the current website to the current version of the NMS Plan. The Commission estimates that the creation and submission of a new NMS Plan and any related materials would result in an average aggregate burden of approximately 850 hours per year (25 SROs × 34 hours = 850 hours). The Commission further estimates an average aggregate burden of approximately 125 hours per year (25 SROs × 5 hours = 125 hours), for each of the SROs to keep a current and complete version of the NMS Plan posted on a designated website or a plan website, and to provide a link to the current version of the NMS Plan on its own website. In addition, the Commission estimates that the creation of a new NMS Plan and any related materials would result in an average aggregate cost of approximately $150,000 per year (25 SROs × $6,000 = $150,000). SROs proposing to amend an existing NMS Plan must submit the text of the amendment to the Commission, along with a statement of purpose, and, if applicable, the supporting materials described above, as well as a statement that the amendment has been approved by the plan participants or sponsors in accordance with the terms of the NMS Plan. Participants or sponsors to the NMS Plan must ensure that any proposed amendments are posted to a designated website or a plan website after filing the amendments with the Commission and that those websites are updated to reflect the current status of the amendment and the NMS Plan. Each plan participant or sponsor must also provide a link on its own website to the current version of the NMS Plan. The Commission estimates that the creation and submission of NMS Plan amendments and any related materials would result in an average aggregate PO 00000 Frm 00110 Fmt 4703 Sfmt 4703 burden of approximately 11,050 hours per year (25 SROs × 442 hours = 11,050 hours). The Commission further estimates an average aggregate burden of approximately 124 hours per year (25 SROs × 4.94 hours = 123.5 hours rounded up to 124) for SROs to post any pending NMS Plan amendments to a designated website or a plan website and to update such websites to reflect the current status of the amendment and the NMS Plan. In addition, the Commission estimates that the creation of a NMS Plan amendment and any related materials would result in an average aggregate cost of approximately $325,000 per year (25 SROs × $13,000 = $325,000). Finally, to the extent that a plan processor is required for any facility contemplated by a NMS Plan, the plan participants or sponsors must file with the Commission a statement identifying the plan processor selected, describing the material terms under which the plan processor is to serve, and indicating the solicitation efforts, if any, for alternative plan processors, the alternatives considered, and the reasons for the selection of the plan processor. The Commission estimates that the preparation and materials related to the selection of a plan processor would result in an average aggregate burden of approximately 283 hours per year (25 SROs × 11.33 hours = 283.33 rounded down to 233). In addition, the Commission estimates that the preparation and submission of materials related to the selection of a plan processor would result in an average aggregate cost of approximately $8,333 per year (25 SROs × $333.33 = $8,333.33 rounded down to $8,333). The above estimates result in a total annual industry burden of approximately 12,432 hours (850 + 125 + 11,050 + 124 + 283) and a total annual industry cost of approximately $483,333 ($150,000 + $325,000 + $8,333). Compliance with Rule 608 is mandatory. The text of the NMS Plans and any amendments will not be confidential, but published on a designated website or a plan website. To the extent that Rule 608 requires the SROs to submit confidential information to the Commission, that information will be kept confidential subject to the provisions of applicable law.1 The SROs are required by law to retain the records and information that are collected pursuant to Rule 608 for a period of not less than 5 years, the first 2 years in an 1 See, e.g., 5 U.S.C. 552 et seq.; 15 U.S.C. 78x (governing the public availability of information obtained by the Commission). E:\FR\FM\28AUN1.SGM 28AUN1

Agencies

[Federal Register Volume 85, Number 168 (Friday, August 28, 2020)]
[Notices]
[Pages 53423-53426]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2020-18928]


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NUCLEAR REGULATORY COMMISSION

[Docket No. IA-20-008; NRC-2020-0195]


In the Matter of Joseph Shea, Tennessee Valley Authority, 
Chattanooga, TN

AGENCY: Nuclear Regulatory Commission.

ACTION: Order; issuance.

-----------------------------------------------------------------------

SUMMARY: The U.S. Nuclear Regulatory Commission (NRC) is issuing an 
Order prohibiting involvement in NRC-licensed activities to Mr. Joseph 
Shea, Vice President Nuclear Technology Innovation at Tennessee Valley 
Authority (TVA), for 5 years. The NRC has determined that Mr. Joseph 
Shea engaged in deliberate misconduct when he played a significant role 
in the decisionmaking process to place a former employee on paid 
administrative leave on October 15, 2018 and terminate the former 
employee on January 14, 2019, in part, for engaging in protected 
activity. The Order is effective on the date of issuance.

DATES: The Order was issued on August 24, 2020.

ADDRESSES: Please refer to Docket ID NRC-2020-0195 when contacting the 
NRC about the availability of information regarding this document. You 
may obtain publicly-available information related to this document 
using any of the following methods:
     Federal Rulemaking Website: Go to https://www.regulations.gov and search for Docket ID NRC-2020-0075. Address 
questions about NRC docket IDs in Regulations.gov to Jennifer Borges; 
telephone: 301-287-9127; email: [email protected]. For technical 
questions, contact the individual listed in the FOR FURTHER INFORMATION 
CONTACT section of this document.
     NRC's Agencywide Documents Access and Management System 
(ADAMS): You may obtain publicly-available documents online in the 
ADAMS Public Documents collection at https://www.nrc.gov/reading-rm/adams.html. To begin the search, select ``Begin Web-based ADAMS 
Search.'' For problems with ADAMS, please contact the NRC's Public 
Document Room reference staff at 1-800-397-4209, 301-415-4737, or by 
email to pdr.resour[email protected]. Order IA-20-008, issued to Mr. Joseph 
Shea on August 24, 2020, is available in ADAMS under Accession No. 
ML20219A676.

FOR FURTHER INFORMATION CONTACT: Ian Gifford, Office of Enforcement, 
U.S. Nuclear Regulatory Commission, Washington DC 20555-0001; 
telephone: 301-287-9216, email: [email protected].

SUPPLEMENTARY INFORMATION: The text of the Order is attached.

    Dated: August 24, 2020.

    For the Nuclear Regulatory Commission.
George A. Wilson,
Director, Office of Enforcement.

Attachment--Order Prohibiting Involvement in NRC-Licensed Activities

United States of America Nuclear Regulatory Commission

In the Matter of Joseph Shea
IA-20-008

Order Prohibiting Involvement in NRC-Licensed Activities Immediately 
Effective

I.

    Mr. Joseph Shea is employed as Vice President Nuclear Technology 
Innovation at the Tennessee Valley Authority (TVA). TVA holds Browns 
Ferry Units 1, 2 and 3 License Nos. DPR-33, DPR-52, and DPR-68 issued 
by the Nuclear Regulatory Commission (NRC or Commission) pursuant to 
Part 50 of Title 10 of the Code of Federal Regulations (10 CFR), on 
December 20, 1973, June 28, 1974 and July 2, 1976, respectively. The 
units are located on the Licensee's site in Athens, Alabama. TVA holds 
Sequoyah Units 1 and 2 License Nos. DPR-77 and DPR-79 issued by the NRC 
pursuant to 10 CFR part 50, on September 17, 1980 and September 15, 
1981, respectively. The units are located on the Licensee's site in 
Soddy-Daisy, Tennessee. TVA holds Watts Bar Units 1 and 2 License Nos.

[[Page 53424]]

NPF-90 and NPF-96 issued by the NRC pursuant to 10 CFR part 50, on 
February 7, 1996 and October 22, 2015, respectively. The units are 
located on the Licensee's site in Spring City, Tennessee. The licenses 
authorize the operation of these facilities in accordance with the 
conditions specified therein.

II.

    On January 21, 2020, an investigation was completed by the U.S. 
Nuclear Regulatory Commission (NRC) Office of Investigations (OI) 
related to TVA (OI Report No. 2-2019-015). The purpose of the 
investigation was to determine whether a former corporate employee was 
the subject of employment discrimination for engaging in a protected 
activity in violation of Title 10 of the Code of Federal Regulations 
(10 CFR) 50.7, ``Employee Protection.''
    Based on the evidence developed during the investigation and 
subsequent staff analysis, it appeared that Mr. Joseph Shea, as the 
Vice President of Regulatory Affairs at TVA, engaged in deliberate 
misconduct, in violation of 10 CFR 50.5, ``Deliberate Misconduct,'' 
that caused an NRC licensee to be in violation of 10 CFR 50.7, 
``Employee Protection.'' Specifically, the NRC determined that a former 
corporate employee was placed on paid administrative leave on October 
15, 2018, and terminated on January 14, 2019, by Mr. Joseph Shea, in 
part, for engaging in protected activity, including raising concerns 
about a chilled work environment. The former employee engaged in 
protected activity when expressing concerns to Mr. Joseph Shea 
regarding the chilled work environment that the former Director of 
Corporate Nuclear Licensing (CNL) was creating. Further, Mr. Joseph 
Shea received a copy of the TVA Office of General Counsel (OGC) draft 
report prepared by the TVA OGC attorney that identified the concerns of 
the former employee. Additionally, in a (internal TVA) complaint that 
the former Director of CNL provided to Mr. Joseph Shea on or about 
March 9, 2018, the former Director of CNL identified the former 
employee as the source of a chilled work environment complaint made to 
the NRC.
    The former employee suffered an adverse action when Mr. Joseph Shea 
played a significant role in the decisionmaking process to place the 
former employee on administrative leave and terminate the former 
employee. There is a nexus between the former employee's protected 
activity of raising concerns about a chilled work environment and the 
termination of the former employee. Mr. Joseph Shea stated during the 
predecisional enforcement conference that Mr. Joseph Shea terminated 
the former employee for being ``disrespectful'' to the former Director 
of CNL. However, the examples used in the TVA OGC report as evidence 
that the former employee was ``disrespectful'' to the former Director 
of CNL were: 1) raising concerns about a chilled work environment in a 
TVA OGC interview; and 2) raising concerns about reprisal from the 
former Director of CNL directly to Mr. Joseph Shea. Mr. Joseph Shea 
admitted that he did not counsel the former employee about the asserted 
disrespectful behavior.
    The NRC has determined that Mr. Joseph Shea played a significant 
role in the decisionmaking process to place the former employee on paid 
administrative leave on October 15, 2018 and terminate her on January 
14, 2019, in part, for engaging in protected activities. Accordingly, 
the NRC has determined that Mr. Joseph Shea's actions were deliberate 
and violated the requirements in 10 CFR 50.5, ``Deliberate 
Misconduct.'' The NRC considers deliberate violations of 10 CFR 50.7, 
``Employee Protection,'' significant because of the potential that 
individuals might not raise safety issues for fear of retaliation.

III.

    Based on the above, Mr. Joseph Shea, the Vice President Nuclear 
Technology Innovation at TVA, engaged in deliberate misconduct, in 
violation of 10 CFR 50.5, ``Deliberate Misconduct,'' that caused the 
Licensee to be in violation of 10 CFR 50.7, ``Employee Protection.'' 
The NRC must be able to rely on TVA and its employees to comply with 
NRC requirements, including the requirement prohibiting discrimination 
against an employee for engaging in protected activities.
    Consequently, given the significance of the underlying issues, Mr. 
Joseph Shea's position within TVA that has a very broad sphere of 
influence, and the deliberate nature of the actions, the NRC lacks the 
requisite reasonable assurance that licensed activities can be 
conducted in compliance with the Commission's requirements and that the 
health and safety of the public will be protected if Mr. Joseph Shea 
were permitted at this time to be involved in NRC-licensed activities. 
Therefore, Mr. Joseph Shea is prohibited from any involvement in NRC-
licensed activities for a period of 5 years. Furthermore, pursuant to 
10 CFR 2.202, the significance of Mr. Joseph Shea's wrongdoing 
described above is such that this Order be immediately effective. Mr. 
Joseph Shea is required to notify the NRC of his first employment in 
NRC-licensed activities following the prohibition period.

IV.

    Accordingly, pursuant to sections 103, 161b, 161i, 161o, 182 and 
186 of the Atomic Energy Act of 1954, as amended, and the Commission's 
regulations in 10 CFR 2.202, and 10 CFR 50.5, it is hereby ordered, 
immediately effective upon the date of issuance, that:
    1. Mr. Joseph Shea is prohibited for 5 years from engaging in, 
supervising, directing, or in any other way conducting NRC-licensed 
activities. NRC-licensed activities are those activities that are 
conducted pursuant to a specific or general license issued by the NRC.
    2. If Mr. Joseph Shea is currently involved with another licensee 
in other NRC-licensed activities, he must immediately cease those 
activities, and inform the NRC of the name, address, and telephone 
number of the employer, and provide a copy of this Order to the 
employer.
    3. For a period of 1 year after the 5-year period of prohibition 
has expired, Mr. Joseph Shea shall, within 20 days of acceptance of his 
first employment offer involving NRC-licensed activities, as defined in 
paragraph IV.1 above, provide notice to the Director, Office of 
Enforcement, U.S. Nuclear Regulatory Commission, Washington, DC 20555-
0001, the name, address, and telephone number of the employer or the 
entity where he is, or will be, involved in the NRC-licensed 
activities. In the notification, Mr. Joseph Shea shall include a 
statement of his commitment to compliance with regulatory requirements 
and the basis why the Commission should have confidence that he will 
now comply with applicable NRC requirements.
    The Director, Office of Enforcement, or designee, may, in writing, 
relax, rescind, or withdraw any of the above conditions upon 
demonstration by Mr. Joseph Shea of good cause.

V.

    In accordance with 10 CFR 2.202, Mr. Joseph Shea must submit a 
written answer to this Order under oath or affirmation within 30 
calendar days of its issuance. Mr. Joseph Shea's failure to respond to 
this Order could result in additional enforcement action in accordance 
with the Commission's Enforcement Policy. In addition, Mr. Joseph Shea 
and any other person adversely affected by this Order, may request a 
hearing on this Order within 30 calendar days of its issuance. Where 
good cause is shown, consideration will

[[Page 53425]]

be given to extending the time to answer or request a hearing. A 
request for extension of time must be directed to the Director, Office 
of Enforcement, U.S. Nuclear Regulatory Commission, Washington, DC 
20555-001, and include a statement of good cause for the extension.
    All documents filed in NRC adjudicatory proceedings, including a 
request for hearing and petition for leave to intervene (petition), any 
motion or other document filed in the proceeding prior to the 
submission of a request for hearing or petition to intervene, and 
documents filed by interested governmental entities that request to 
participate under 10 CFR 2.315(c), must be filed in accordance with the 
NRC's E-Filing rule (72 FR 49139; August 28, 2007, as amended at 77 FR 
46562; August 3, 2012). The E-Filing process requires participants to 
submit and serve all adjudicatory documents over the internet, or in 
some cases to mail copies on electronic storage media. Detailed 
guidance on making electronic submissions may be found in the Guidance 
for Electronic Submissions to the NRC and on the NRC website at https://www.nrc.gov/site-help/e-submittals.html. Participants may not submit 
paper copies of their filings unless they seek an exemption in 
accordance with the procedures described below.
    To comply with the procedural requirements of E-Filing, at least 10 
days prior to the filing deadline, the participant should contact the 
Office of the Secretary by email at [email protected], or by 
telephone at 301-415-1677, to (1) request a digital identification (ID) 
certificate, which allows the participant (or its counsel or 
representative) to digitally sign submissions and access the E-Filing 
system for any proceeding in which it is participating; and (2) advise 
the Secretary that the participant will be submitting a petition or 
other adjudicatory document (even in instances in which the 
participant, or its counsel or representative, already holds an NRC-
issued digital ID certificate). Based upon this information, the 
Secretary will establish an electronic docket for the hearing in this 
proceeding if the Secretary has not already established an electronic 
docket.
    Information about applying for a digital ID certificate is 
available on the NRC's public website at https://www.nrc.gov/site-help/e-submittals/getting-started.html. Once a participant has obtained a 
digital ID certificate and a docket has been created, the participant 
can then submit adjudicatory documents. Submissions must be in Portable 
Document Format (PDF). Additional guidance on PDF submissions is 
available on the NRC's public website at https://www.nrc.gov/site-help/electronic-sub-ref-mat.html. A filing is considered complete at the 
time the document is submitted through the NRC's E-Filing system. To be 
timely, an electronic filing must be submitted to the E-Filing system 
no later than 11:59 p.m. Eastern Time on the due date. Upon receipt of 
a transmission, the E-Filing system time-stamps the document and sends 
the submitter an email notice confirming receipt of the document. The 
E-Filing system also distributes an email notice that provides access 
to the document to the NRC's Office of the General Counsel and any 
others who have advised the Office of the Secretary that they wish to 
participate in the proceeding, so that the filer need not serve the 
document on those participants separately. Therefore, applicants and 
other participants (or their counsel or representative) must apply for 
and receive a digital ID certificate before adjudicatory documents are 
filed so that they can obtain access to the documents via the E-Filing 
system.
    A person filing electronically using the NRC's adjudicatory E-
Filing system may seek assistance by contacting the NRC's Electronic 
Filing Help Desk through the ``Contact Us'' link located on the NRC's 
public website at https://www.nrc.gov/site-help/e-submittals.html, by 
email to [email protected], or by a toll-free call at 1-866-672-
7640. The NRC Electronic Filing Help Desk is available between 9 a.m. 
and 6 p.m., Eastern Time, Monday through Friday, excluding government 
holidays.
    Participants who believe that they have a good cause for not 
submitting documents electronically must file an exemption request, in 
accordance with 10 CFR 2.302(g), with their initial paper filing 
stating why there is good cause for not filing electronically and 
requesting authorization to continue to submit documents in paper 
format. Such filings must be submitted by: (1) First class mail 
addressed to the Office of the Secretary of the Commission, U.S. 
Nuclear Regulatory Commission, Washington, DC 20555-0001, Attention: 
Rulemaking and Adjudications Staff; or (2) courier, express mail, or 
expedited delivery service to the Office of the Secretary, 11555 
Rockville Pike, Rockville, Maryland 20852, Attention: Rulemaking and 
Adjudications Staff. Participants filing adjudicatory documents in this 
manner are responsible for serving the document on all other 
participants. Filing is considered complete by first-class mail as of 
the time of deposit in the mail, or by courier, express mail, or 
expedited delivery service upon depositing the document with the 
provider of the service. A presiding officer, having granted an 
exemption request from using E-Filing, may require a participant or 
party to use E-Filing if the presiding officer subsequently determines 
that the reason for granting the exemption from use of E-Filing no 
longer exists.
    Documents submitted in adjudicatory proceedings will appear in the 
NRC's electronic hearing docket which is available to the public at 
https://adams.nrc.gov/ehd, unless excluded pursuant to an order of the 
Commission or the presiding officer. If you do not have an NRC-issued 
digital ID certificate as described above, click ``cancel'' when the 
link requests certificates and you will be automatically directed to 
the NRC's electronic hearing dockets where you will be able to access 
any publicly available documents in a particular hearing docket. 
Participants are requested not to include personal privacy information, 
such as social security numbers, home addresses, or personal phone 
numbers in their filings, unless an NRC regulation or other law 
requires submission of such information. For example, in some 
instances, individuals provide home addresses in order to demonstrate 
proximity to a facility or site. With respect to copyrighted works, 
except for limited excerpts that serve the purpose of the adjudicatory 
filings and would constitute a Fair Use application, participants are 
requested not to include copyrighted materials in their submission.
    If a person other than Mr. Joseph Shea requests a hearing, that 
person shall set forth with particularity the manner in which his 
interest is adversely affected by this Order and shall address the 
criteria set forth in 10 CFR 2.309(d) and (f).
    If a hearing is requested by Mr. Joseph Shea or a person whose 
interest is adversely affected, the Commission will issue an Order 
designating the time and place of any hearings. If a hearing is held, 
the issue to be considered at such hearing shall be whether this Order 
should be sustained. Pursuant to 10 CFR 2.202(c)(2)(i), Mr. Joseph Shea 
or any other person adversely affected by this Order, may, in addition 
to demanding a hearing, at the time the answer is filed or sooner, move 
the presiding officer to set aside the immediate effectiveness of the 
Order on the ground that the Order, including the need for immediate 
effectiveness, is not based on adequate evidence but on mere suspicion,

[[Page 53426]]

unfounded allegations, or error. In the absence of any request for 
hearing, or written approval of an extension of time in which to 
request a hearing, the provisions specified in Section IV above shall 
be final 30 calendar days from the date this Order is issued without 
further order or proceedings. If an extension of time for requesting a 
hearing has been approved, the provisions specified in Section IV shall 
be final when the extension expires if a hearing request has not been 
received. AN ANSWER OR A REQUEST FOR HEARING SHALL NOT STAY THE 
IMMEDIATE EFFECTIVENESS OF THIS ORDER.

    For the Nuclear Regulatory Commission.

George A. Wilson,

Director, Office of Enforcement.

[FR Doc. 2020-18928 Filed 8-27-20; 8:45 am]
BILLING CODE 7590-01-P