TVA Employee Concerns Program by Tennessee Valley Authority

TVA Employee Concerns Program (Non-Nuclear Organizations)

A Supervisor’s/Manager’s Handbook

Introduction What is on your employees’ minds?

Table of Contents 1. Introduction 2. T VA’s Policy Regarding Expressing Concerns and Differing Views 3. Roles of Supervisors and Managers 5. Receiving and Handling Concerns 10. P reventing Harassment, Intimidation, Retaliation and Discrimination (HIRD) 12. T he Employee Concerns Program, Non-Nuclear 13. Resources and Contacts

Reflection: Wouldn’t it be nice to know what your employee’s are thinking about especially when it comes to their views, concerns and suggestions about ways to solve problems and increase work place efficiency? TVA strongly encourages an atmosphere where employees can freely express their views, concerns and suggestions without fear of retaliation. Being able to have open discussions about workplace issues will help managers and supervisors obtain valuable information, especially about the safe and efficient operation of our business. This handbook is designed to help managers and supervisors maintain an environment of open expression by encouraging conversation and receiving and handling concerns in a timely manner. Information is also included on TVA’s Policy regarding Expressing Concerns and Differing Views (Communications Practice 5 which will soon be converted to SPP- 11.8.4). In addition there is an overview of the Employee Concerns Program for Non-Nuclear organizations, which was chartered in April 2010 to provide a confidential, alternate avenue for the expression of differing views and concerns.

Expressing Concerns and Differing Views (currently Communications Practice 5 and soon to be TVA-SPP-11.8.4) What TVA encourages the voluntary expression of concerns and differing views involving all aspects of its activities in all of its operating groups. It places special emphasis on differing views on substantive public health, environmental and safety matters. Employees are strongly encouraged to seek resolution of concerns and differing views with their immediate supervisor and to proceed up their management chain if necessary to achieve resolution. However, differing views may be voiced to any management level at any time. TVA encourages and protects the concerns and differing views of employees regarding all aspects of TVA’s construction projects and operations. Every employee is entitled to have differing views heard by management when the employee considers the issue significant and the view differs from a management decision which has been made or is pending. It is TVA policy that every responsible view is valuable and should be heard and appropriately considered in decision-making processes.

Any person found guilty of acts of reprisal, such as acts of intimidation, harassment or discrimination against an employee because the employee expressed a differing view, is subject to disciplinary action, up to and including termination.

Who is covered by the policy? All employees and contractors Why does the policy exist? TVA encourages the voluntary expression of concerns and differing views. This policy is communicated to employees to encourage their cooperation and participation at all working levels, thus furthering the employees’ fulfillment of duties, productive efforts and observance of standards. Reflection: Perception is reality when it comes to matters involving the work environment. Roles of Supervisors and Managers All employees: • Are encouraged to resolve issues directly with their line management so corrective action may be handled promptly and at the working level. • Are encouraged to express their views about significant issues through their chain of command if not resolved.

This means that managers and supervisors have a very important role in receiving and handling concerns. Specifically, supervisors are responsible for: • Ensuring the implementation of the policy • Communicating the policy to employees • Ensuring that differing views are heard and appropriately considered in decisionmaking processes • Providing protective measures to encourage participation without fear of reprisal • Referring unresolved issues through the chain of command as far as necessary

Reflection: Is there a peer or superior that you admire because he/she easily establishes a bond of trust within their work group? Why does building trust seem to come easily to them? Can you learn from their success? Line Management does all of the above in addition to the following: • Monitors the work place to ensure that there is an environment conducive to open expression • Receives, investigates and provides for the resolution of concerns and differing views • Pursues concerns and differing views whether they are received directly or brought to them by their Employee Concerns Program • Monitors and addresses trends

Receiving and Handling Concerns Key Definitions Intimidation and Harassment Concerns (IH): Pertain to actions taken to prevent proper execution of tasks or responsibilities, or use of undue pressure to reach a goal unrelated to assigned tasks or responsibilities. Also known as Harassment, Intimidation, Retaliation and/or Discrimination (HIRD). Management and Personnel Concerns (MP): Those concerns related to policies, management attitude and effectiveness, organization structures, personnel management and personnel training and qualification. Misconduct or Wrongdoing Concerns (MW): Concerns related to violations of TVA conduct, ethics codes and policies or violations of Federal or State laws or regulations. Protected Activity: Identification and communication of an issue that is believed to impact any aspect of site activities. Safety Conscious Work Environment (SCWE): Setting in which employees are encouraged to raise safety concerns to their own management or other internal and/or external organizations without fear of retaliation—where concerns are promptly reviewed, appropriately resolved and timely feedback is provided to those raising concerns.

Technical Concerns (TECH): Concerns related to the technical adequacy of critical systems, structures, components or programs (including those related to worker safety). The First Step - Discussing the Concern Individuals are encouraged to discuss their concerns with their immediate supervisor first. When an individual presents a concern you should: • Clarify the concern by repeating what you heard the concerned individual say. Ask questions about anything that you do not understand • If the concerned individual reports to any of your subordinates, you should encourage discussion with them first. However, it is not appropriate to insist that the individual do so if they feel uncomfortable or if they indicate that resolution at lower levels has or will not be successful. General Listening Tips: • Listen closely, eliminate distractions and give your undivided attention to the employee. • Do not interrupt. Maintain an open and objective demeanor. • Use neutral expressions or gestures showing interest or understanding. • Most people need some indication they are being heard. You want to provide encouragement, but without interrupting. • Concentrate on the subject at hand.

• Recognize that people speak slower than we can listen. Think and compensate for this condition when listening.

Reflection: Identify an instance in the past 30 days or so where you proactively encouraged a worker to discuss a safety concern. Did the employee do so? If not, why not? Safety Related Concerns - All discussions should begin with an assessment of whether there is an issue related to safety. You will need to ask if the employee feels that either of the two conditions below exist, and be prepared to take immediate action if the answer is yes. Imminent Danger Condition - Any conditions or practices in the workplace where a danger exists that could possibly cause death or serious physical harm immediately or before the imminence of such danger can be eliminated through normal procedures. Serious Condition - A situation where there is a substantial probability that death or serious physical harm could result from an existing condition.

Note: Imminent danger conditions are addressed immediately by the manager in charge of the workplace in accordance with TVA Safety Procedure 12, “Workplace Regulatory Compliance Inspections,” until an investigation is conducted by Corporate Safety. The Second Step - Asking the right questions During the discussion be sure to ask the following questions: • What is the specific concern? • What will be the impact if the concern is not addressed? • Who or what organization caused the concern? • How should the concern be resolved? • Who should be responsible for the resolution? • Does the employee feel threatened or afraid about the consequences of speaking out? • Does the employee wish to have their identity remain confidential or anonymous? The Third Step - Validating the Concern Conduct an investigation to validate the concern and get any other perspectives: • Talk to those involved. • Review documents related to the concern. • Do your best to maintain confidentiality when requested (recognizing that in some instances, the investigation could result in others deducing the identity of the concerned individual. Depending upon the circumstances surrounding

the concern, let the concerned individual know this might be the case in advance). • Follow up with the concerned individual to let them know the status of your efforts. • Request assistance from Employee Concerns, Human Resources, OIG or other sources if necessary.

Reflection: Always remember that concerns of differing views may be voiced to any management level at any time. The Fourth Step - Resolution and Follow Up • During the investigation of the concern you will need to determine if input is needed from those up the chain of command, technical experts or others. • Once a solution to the concern is identified, the concerned individual should be contacted to determine if the solution is satisfactory. • If the concerned individual is not satisfied they should be encouraged to express their concern up the chain of command or contact the Employee Concerns Program. • The most important action is to make sure that the employee is aware of actions taken to address the concern. Even if they disagree with the outcome, your actions will demonstrate support for expression of concerns and differing views. Validation, follow up and resolution should occur within 30 days of the initial contact.

Preventing Harassment, Intimidation, Retaliation, and Discrimination (HIRD) One of the most important elements of a work environment where employees can freely express views and opinions, is the ability to speak up without fear of HIRD. TVA takes HIRD very seriously. Any person found guilty of acts of HIRD against an employee because the employee expressed a differing view is subject to disciplinary action, up to and including termination. Key Definitions Protected Activity: An employee or contractor identifies an issue that he or she believes impacts any aspect of site activities and communicates that concern to co-workers, supervisors, senior managers, the ECP or any responsible regulatory authority. Adverse Action: The individual involuntarily undergoes an adverse change in employment conditions, however slight, that may “chill” his or her willingness to raise an issue or concern, i.e., subject to a negative environment. Identification and reporting the following activities are protected • Violation of state or federal law or regulation • Economic waste • Gross misconduct, mismanagement, incompetence or inefficiency • Abuse of authority • Danger to the health or safety of workers or the public, environment or security

• Willful omission • A violation of policy, procedure or work practice

A refusal to obey an illegal order is also a form of protected activity. • An “illegal order” is a directive to violate a federal or state law, rule, or regulation. • Any order to work in conditions that would unreasonably threaten the health or safety of employees or the public. Protected Activity is not Affected by the Validity of the Concern • The substantive validity of the concern is irrelevant. • An erroneous concern about safety, discrimination, security, mismanagement, fraud, etc, is still protected. • The employee does not have to be right in order to be protected. Examples of Adverse Actions as the Result of Protected Activity • Discipline (any form) • Negative performance evaluation • Demotion • Shift change • Decrease in responsibilities • Transfer • Hostile work environment

The Employee Concerns Program When the concerned individual determines that his or her efforts to resolve issues and concerns through the chain of command are not appropriate, or when such efforts have been unsuccessful, TVA provides the Employee Concerns Program (ECP) as an alternate avenue. The Employee Concerns Program will hear the concern, investigate the issues and follow up on resolution. The ECP may also refer the issue as appropriate, and will involve management as much as possible. The ECP also provides the option of confidentiality or anonymity when requested by the Concerned Individual. The ECP not only offers an alternate concerns resolution process, it will: • Educate and train employees and supervisors about the importance of expressing concerns and differing views. • Increase awareness of TVA’s policy regarding expressing concerns and differing views. • Help to create an environment that encourages the expression of concerns and differing opinions without fear of retaliation. • Track, trend and report the various types of concerns facing TVA. • Elevate unresolved issues appropriately and timely. • Assist in getting concerns into the proper channels for resolution.

• Provide key stakeholders with statistical reports of types of concerns received, closed or unresolved (To protect anonymity and confidentiality of concerned individuals, reports will be limited to statistical summaries only). The prompt resolution of any concerns related to safety issues will be particularly emphasized.

Resources and Contacts Some of the resources available to assist you in receiving and handling concerns and differing views are provided below. A more comprehensive list of resources available, and specific concerns that should be referred to areas with expertise and special authority for addressing, are provided in Expressing Concerns and Differing Views (Communications Practice 5 soon to be converted to SPP 11.8.4) • Employee Concerns Program - 865-632-8500 or e-mail empconcerns@tva.gov. • DASHO - 423-751-4096 • Office of Inspector General - 877-866-7840 or https://www.oigempowerline.com/ • Human Resources, Shared Services and Employee Relations - 423-751-2154 • Equal Opportunity Compliance - 865-632-2515 • Ethics Program Manager or the Designated Agency Ethics Official - 865-632-4222