IR 05000344/1990040
| ML20029A654 | |
| Person / Time | |
|---|---|
| Site: | Trojan File:Portland General Electric icon.png |
| Issue date: | 02/25/1991 |
| From: | Martin J NRC OFFICE OF INSPECTION & ENFORCEMENT (IE REGION V) |
| To: | Cross J PORTLAND GENERAL ELECTRIC CO. |
| References | |
| EA-91-005, NUDOCS 9103010020 | |
| Download: ML20029A654 (5) | |
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i1 900CLEAM RfeULATORY COMIWWON eseeNy
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nock.s no.60-344 uc.nse no. Ner-1
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i Portland General Electric ATTN: Mr. James E. Cross Vice President, Nuclear
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1215.W. Saloon Street
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Portland, Oregon 97204 SLBJECT:. NOTICE OF VIOMTION AND PROPOSED INPOSITION OF CIVIL PENALTY - $50,000 (INSPECTION kEPORT NO. 60344/90-40)
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i 10, 1990 through I
This letter nfers to the inspection conducted on December 1991 at the Trojan Nucleap Plant. The purpose of this Inspection January 3
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was to debraine, whether the facility s licensed operator sedical examinations met the requirements established by ANSI /ANS-3.4-1983, "Medict1 Certification and Monitoring of Personnel Requiring Operator Licenses for Nuclear Power Plants," and by applicable portions of 10 CFR Parts 50 and 55. This inspection identified three apparent violations of these requirements. /i report on tHs and a report on the January 17, 1991,-
inspection was issued on January 11, 1991, February 1, 1991.
enforcement conferenr.e was sent to you on
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The vloiations, which are dsscribed in the enclosed Notice ef Virlfation and
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Proposed Imposition of Civil Penalty (Notice), involved:
(1) i', accurate certi-fication to the NRC that candidates for operator licenses had f oceived complete
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medical examinations; (t) failure to notify the NRC regarding'on;icen6ed opentor al who had developed a potentially incapacitating medical condit and(3)incom-plate documentation of medical histories and qualifications data. These violations
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eccurred from July 29, 1987 until identification by the NRC on January 3,1991.
'The root cause of the violations appears to have been a breakdown in your program to ensure coupliance with these requirements.
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T The violations have safety sinnificance in that one licenser' cerator had a medical I
condition for an extended per' od which may have prevented ; :
s safely performing
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N.ncomplete and That violation combined with the rep his licensed duties.
t incorrectly certified medical examinations of licensed operwes collectively represent a breakdown in the control of licensed activities, which indicates a
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potentially significant lack of attention toward licensee responsibilities.
Therefore, in accordance with the " General Statement of Policy and Procedure for N8tC Enforcement Actions," (Enforcement Policy) 10 CFR Part 2. Appendix C (1990),-
the violations have been classified in the aggregate as a Severity Level III problem.
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CERTIFIED Malt RETURN RECH PT REQUESTED
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, Port 1cnd General E1cetric 2-
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i the NRC staff recognizes that, sub' sequent to the event, you defined and implemen-i
- i ted a nvised medical records program which should ensure your licensed operators'
eedical examinations meet the requirements of ANSI /ANS 3.41983. In addition, I
the prompt corrective actions you took, after this problem was identified by the NRC, ensured that all licensed operators received a complete medical examination l
prior *o going on shif t.
Finally we understand that you have broadened your
corrm Ive action to include a rev,iew of other medical records ereas, and that
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L you are sponsoring a utility conference to share lessons learned from this event with other Regian V licensees.
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i To emphasize the famrtance of ensuring that all licensed operators are medically
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qualified, that suc1 deteminations are timely and properly documented, and that any discrepancies are aggressively and thoroughly pursued, I have been autho-rized, after consultation with the Director, Office of Enforcement. and the Deputy Executive Director for Nuclear Reactor Regulation, Regional Operations,
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to issue the enclosed Notice of Violation and Proposed Imposition and Research,lty in the amount of $50,000 for the Severity Level III problem.
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of Civil' Pena This is the base value of a civil penalty for a Severity tevel III problem.
The
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escalation and mitigation factors in the Enforcement Policy were considered a5
! j discussed below.
t While you had identified prior to the inspection the need for significant
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revision to your medical records program, no revision nor any licensee investi-
gation into the possible problems arising from this candition had been initiated
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prior to the NRC ins action.
Further each one of several events that could have
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triggered an investi ation by the lice,nsee into this area, such as approving an
- In-tuse Position ad pting ANSI /ANS-3.4-1983 failed to produce an effective
evaluation of the medical records program. Yherefore,escalationofthecivil penalty by 50% of the bne amount is warranted for identification and reporting.
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However, based on your prompt, aggressive and very extensive corrective actions F
after the violations were identified, mitigation of the civil penalty by 50%,of
the base amount is warrantud for effective corrective actions.
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Tfie other adjustment factors in the Policy were considered and be further
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adjustment to the base civil penalty is considered appropriate.
On balance,
no adjustment of the base civil penalty has been deemed appropriate.
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You are required to respond to this letter and should follow the instructions i
A-specified in the enclosed Notice when preparing your response.
In your-
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response, you should document the specific act' ons taken and any additional
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actions you plan to prevent recurrence of the violations and to ensure complete,
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fully documented medical examinations. After reviewing your response to this including your proposed corrective actions and the results of future Notice [ ions, the NRC will determine whether further NRC enforcement action is
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inspec t
necessary to ensure comp 1f ance with NRC regulatory requirements.g,,
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Wortland General Electric-3-
2n accordance with 10 CFK 2.790 of the NRO's " Rules of Practice a copy of this r
letter and its enclosure will be placed in the NRC Public Document f:oom. The tesponses directed by this letter and the enclosed Notice are not subject to the clearance procedure of the Office of Management and Budget as required by the Paperwork Reduction Act of 1980, Pub. L. No.96-511.
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John 8. Martin Regional Administrator
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Enclosure: Notice of Violation
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and Proposed Imposition of Civil Penalty
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te w/ enclosure:
S. Bauer Regulation Branch Manager, PGE T. D. Walt, General Manager of Technical Functions, PGE W. Robinson, General Manager (Trojan Nuclear Plant)
L A. Girard, Vice President and General Counsel (Trojan Nuclear Plant)
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Portland General Electric DISTRIBUTION: w/ enc 1 PDR LPDR SECY CA JSniezek, DEDR JLieberman, OE JGoldberg, OGC TMurley, NRR JPartlow, NRR
Dlange, NRR
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JRoe, NRR RGailo, OLB JDyer, PD-5 JCaldwell, OED0 Enforcement Coordinators-Resident,1,,RJII,,,RJV,AV R1, RI
'Ir. spec tor Fingram, GPA/PA DWilliams, IG Bilayes, 01 EJordan, AEOD Wiroskoski, OE Day fi1E EA File DCS IIMoomey, State of Oregon, DOE RV DISTRIBUTION:
JMartin RZimmerman DKirsch PMorrill
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(RE. QUEST COPY ] FEQJEST COPY ] REQUEST COPY ]
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gRIBUTION:
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910TICE OF VIOLATION l-AND
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i' c PROPOSED IMPOSITION OF CIVIL PENALTY
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portland General Electric Company Docket No. 50 344 i -
Trojan Nuclear Plant License No. NPF-1 l
EA 91-005
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L During an NRC inspection conducted on December 10 1990 through January 3,1991, l !
three violations of NRC requirements were identified.
$naccordancewiththe
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- General Statament of Policy and Procedure for NRC Enforcement Actions, Comm
" 10 CFR Part 2. Appendix C (1990) (Enforcement polin), the Nuclear Regulatory
proposes to impose a civil penalty pursuant to Section 234 of the Atomic Energy
Act of 1954. as amended (Act)Il penalty are set forth below:42 U.S.C. 2282,-and 10
violations and associated civ
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10:CFR 55.23 requires an authorized representative of the facility licensee
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j to certify, to the NRC, the medical fitness of an operator license appli-cent by completing and si ning Form NRC-396 " Certification of Medical
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ExaminationbyFacilityLfcensee." FormNRb396isacertificationthat a medical examination has been conducted in accordance with ANSI /ANS
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3.4 - 1983 or ANSI /ANS 15.4 - 1977 (N380).
I Contrary to the above, on October 6, 1987, December 17.-1987, April.18
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1989, March 21, 1988;. November 29, 1988, and June 21, 1990, an authorized facility representative certified on Form NRC-396 that operator licensing
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medical examinations were performed in accordance with the guidance-i contained in ANSI /ANS 3.4 - 1983 or ANS/ANS 15.4 - 1977 (N380) when, in f
fact, they were not for twelve applicants.
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10 CFR 55.25 requires the facility licensee to notify the NRC within 30
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days if, during the tem of a licensed operator's license the facility j
licenseelearnsthattheoperatorhasdevelopedaphysicalormental
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condition that causes the operator to fall-to meet the requirements of
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10 CFR 55.21. -
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- f Contrary to the above the facility licensee failed to notify the NRC within 30 days of the diagnos,is of a Itcensed operator's medical condition of
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which the facility licensee was aware, and which caused the respective
operator to fail to meet the requirements of 10 CFR 55 M3(a)(1). Specifi-
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cally, on November 2 1989 and January 13,his medical examination a1988, a lice w ed disclosedtothefacIlitylicenseeduring
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h condition which may cause sudden incapac< tation (severe migraine headaches).
He also disclosed to the facility that he controlled these headaches by
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routinely taking prescription medications for sigraine headaches in such dosages that they could be expected to incapacitate him and that delays
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_in taking these medications could also be expected to in, capacitate him.
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L Notice cf Violation-2-
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10 CFR 55.27 requires the facility licensee to document and maintain the results of medical and each operator's or senior operator' qualifications data, test results, license period.
s medical history for the current l'
Contrary to the above, the facility licensee failed to completely document the results of each operator's or senior operator's medical history and medical qualifications data. Specifically numerous data blocks were lef t blank on 19 licensed operators' medica,l examination records, including blocks for physician's summary and elaboration of medical-history, heart, vascular, pupils, ears; weight, and cross visual field.
This is a Severity Level III probles (Supplement I).
Cumulative Civil Penalty - $50,000 (assessed equally among the three violations.)
Pursuarit to the provisions of 10 CFR 2.201, Portland General Electric Company
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(Licensee) is hereby required to submit a written statement or explana'. ion to the Director Office of Enforcement, U.S. Nuclear Regulatory Commission, within 30 days of the date of this Notice of Violation and Proposed Imposition of Civil
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Pentity (Notice).
This reply should be clearly marked as a * Reply to a Notice
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of Violation" and should intiude for each alleged violation:
(1)admissionor denial of the alleged violation, (2) the reasons for the violation if admitted, and if denied, the reasons why, (3) the corrective steps that have been taken
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I and the results achieved. (4) the corrective steps that will be taken to avoid further violations and (5) tM date when full compliance will be achieved.
If an adequate reply Is not received within the time s)ecifiod in this Notice, an order may be issued to show cause why the license siould not be modified, suspended, or revoked or why such other action as may be proper should not be taken.
Consideration may be given to extending the response time for good cause
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shown.
Under the authority of Section 182 of the Act, 42 U.S.C. 2232, this
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response shall be submitted under oath or affirmation.
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Within the same time as provided for the response required above under 10 CFR 2.201, the Licensee may pay the civil penalty by I.,tter addressed to the
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-Director, Office of Enforcement U.S. Nuclear Regulatory Commission, with a check, draft, money order, or electronic transfer payable to the Treasurer of TL-the United States in the amount of the civil penalty proposed above, or may protest imposition of the civil penalty in whole or in part, by a written
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. answer addressed to the Director, Office cf Enforcement, U.S. Nuclear Regulatory f
Commission.
Should the Licensee fati to answer within the time specified, an order imposing the civil penalty will be issued.
Should the Licensee elect to file an answer in accordance with 10 CFR 2.205 protesting the civil penalty, a
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in whole or in part such answer should be clearly marked as an " Answer to a
's Notice of Violation 3 and may:
(1) deny the violations listed in this Notice lf in whole or in (2) demonstrate extenuating circumstances (3)showerror in this Notice,part[4) show other reasons why the penalty should not be imposed.
1-or t
l In addition to protesting the civil penalty in whole or ]n part, such answer
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may request remission or mitigation of the penalty, i.g
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In requesting mitigation of the proposed penalt Section V.B o' 10 CFR Part 2. Ap>endix C (1990)y, the factors addressed in
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from the statement or explanation in reply pursuant to 10 CFR 2.201, but may incorporate parts of the 10 CFR 2.201 reply by specific reference (e.g., citing page and paragraph numbers) to avoid repetition. The attention of the Licensec is directed to the other provisions of 10 CFR 2.205, regarding.the procedure for imposing a civil penalty.
Upon failure to pay any civil 1>enalty due which subsequently hes been determined in accordance with the applica)1e referred to the Attorney General, provisions of 10 CFR 2.205, this matter may be arid the penalty, unless compromised, remitted, or altigated, may be collected by civil action pursuant to Section 234c of the Act, 42 U.S.C 2282c.
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The response noted above (Reply to Notice of Violation, letter with payment of
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civil penaltyIce of Enforcement, U.S. Nuclear Regulatory Commission, ATTH:
and Answer to a Notice of Violation) should be addressed to:
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Director Off Document Control Desk, Washington, D.C. 20555 with copies to the Regional Administrator, U.S. Nuclear Regulatory Commission, Region V, and to the NRC Resident Inspector at the Trojan Nuclear Plant.-
F E NUCLEAR REGULATORY COMMISSION 4 44
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ohn B. Martin Regional Administrator
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Dated at Walnut Creek, California
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the 2f day of February 1991
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