ML12306A068

OI Report 4-2006-0025

ML12306A068
Person / Time
Site:	Callaway
Issue date:	12/08/2008
From:	NRC Region 4
To:
References
FOIA/PA-2012-0126, RIV-2006-A-0033, 4-2006-0025
Download: ML12306A068 (9)

Text

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• Fl L SE LYPREDE ALEO0 EM T1ICR TN December 8, 2008 01 Report No.: 4-2006-025, issued 12/3/08 Callaway Plant Allegation No.: RIV-2006-A-0033 Responsible Branch: DRS/OB A hard copy of the subject 01 report is being made and will be distributed separately to regional personnel involved in reviewing this report. The exhibits to the report are available from ACES upon request. The investigation involved supplemental interviews to determine if a 5b757 (C) 1had been willfully inattentive to duty (sleeping) and whether other violations of station procedure took place. This investigation was initiated 4/26/2006 and closed as unsubstantiated on 1/30/2007. Subsequently, the alleger identified new information that led the ARB to reopen the case on 11/9/2007 for additional interviews. After completing the additional interviews, the allegation remains NOT SUBSTANTIATED.

O did NOT SUBSTANTIATE that this concern involved wrongdoing. If you disagree with this conclusion or believe that further discussion of this conclusion is warranted, please respond to the sender of this e-mail with a cc to R4ALLEGATION within 3 weeks of the date of this e-mail. In addition, as discussed below, R4ALLEGATION requires a response regarding any technical concerns associated with this case that are still open, and any planned enforcement action that is related to this case.

To assure that closure letters to the alleger and licensee are accurate and properly coordinated, the responsible branch is to provide R4ALLEGATION a response that:

1) provides information about any planned enforcement action related to this case, including non-escalated action; and

2) provides status or closure information for any other concerns associated with this case that are still open. Closure information must address each of the specific concerns and provide justification for closure. To the extent that such issues are discussed in the 01 report, information from the report may be used in closing the remaining concerns.

Copies of the 01 exhibits are available upon request. ACES will not close this allegation with the alleger or the licensee until R4ALLEGATION receives a response from the responsible branch chief.

Distribution of hard copies to:

Jones, Fuller, Haire, C.Maier, R4ALLEGATION DRS: Caniano/Pruett (one copy), Lantz DRP- Chamberlain, Vegel, Gaddy

UNITED STATES NUCLEAR REGULATORY COMMISSION

, OFFICE OF INVESTIGATIONS FIELD OFFICE, REGION IV 612 EASTLAMAR BLVD, SUITE 400 ARLINGTON, TEXAS 76011-4125

ý'GýF" ":54iQ N1 LY-I December 3, 2008 MEMORANDUM TO: Elmo E. Collins, Regional Administrator Region IV FROM: (b)(7)(C) cting Field Office Directo Office of Investigations Field Office, Region IV

SUBJECT:

CALLAWAY PLANT: SUPPLEMENTAL INTERVIEWS CON UCTED

• RFARDINL LEEPING ON DUTY BY A j(b)(7)(C) 7 1(b)()'(C )AND POTENTIAL VIOLATIONS OF STATION PROCEDU (CASE NO. 4-2006-025/RIV-2006-A-0033)

On (b)(7)(C) Michael S. PECK, Senior Resident Inspector, Region IV (RIV), Nuclear Rpmilfnry r,, ~ &ia- ithe Callaway Plant (Callaway), received information from (b)(7)(C) lCailaway, regarding another L(b)(7)(C) 1(bT)(7c) Isleeping while on shift and management's failure to take action on the violation.

(b)(7)(C) reported that he discussed the slee inq issue with 1(b)(7)C)I Callaway, and (b)(7)(C)away, on several occasions and they failed to take any action. Subse uently,(bX7)(c) reported his concern to the Employee Concerns Program (ECP' in (b)(7)(c) nd, after an ECP investigation, (b)7)(C)

On April 26, 2006, a RIV Allegation Review Board (ARB) discussedI allegations and requested the. Office. f Investigations (01), RIV, conduct an invistoatio-n intol(b)(7)(C)I allegations of (sleeping while on duty and management's failure to correm ine ,ssue.

Subsequently, Ol:RIV initiated an investigation on the same date [April 26, 2006] to determine if I(b)( 7)(C) __jvas willfully inattentive to duty and if Callaway management willfully failed to take appropriate corrective action regarding the alleged inattentiveness [01 Case No. 4-2006-025 /

Allegation No. RIV-2006-A-0033].

Elmo E. Collins On January 30, 2007, Or's investigation was closed as unsubstantiated with the following conclusions regarding four (4) specific allegations as stated:

Allegation No. 1:

An investigation was initiated to determine if al (b)(7)(C) employed by Callaway, was willfully inattentive to duty. Specifically, the NRC received an allegation that members of a reactor operating crew reported their()(7)(C) allegedly had been asleep or inattentive on duty.

The investigation concluded that Callaway management had followed AmerenUE's (Callaway] procedures and conducted the Behavioral Observation Program (BOP) evaluations of[(b)(77(c) laf te r they were notified by the(b7u)( Ithat there were concerns abo p(b)(Fc)for inattentiveness on duty. A review of jPotential documents and testimony obtainer Irnmnrea tor personnel disclosed no evidence or witnesses to support the allegationj D)( 7)(C) was inattentive or observed asleep on duty; however, testimony was provided which reported Fa ppeared to be inattentive, or in the process of becoming inattentive, on various occasions, in the classroom during training sessions. Testimonv )rovided by control room personnel disclosed that during peer checks of (b)(7)(C) in the control room, he was responsive and did not exhibit any inattentive beavior. he AmerenUE Procedure ODP-ZZ-00001, Section 2.1.3., instructed that personnel should not give the appearance of sleeping in the control room, but the instruction did not define the chara tics of what was determined to be "appearance of sleeping." Although (b)(7)(C) was observed by training instructors "nodding" or "asleep" during training c asses, there was no violation of the AmerenUE Procedures ODP-ZZ-00001 as this procedure relates to guidance specific to conduct in the control room and shift turnover briefings.

Based on the evidence developed durin the investigation, Ol:RIV determined the allegation that aL )(C7c Iemployed by AmerenUE, Callaway, was willfully inattentive to duty was not substantiated.

Allegation No. 2:

An investigation was initiated to determine if management had potentially violated station procedures by failing to take action regarding a fitness for duty concern and potentially violated station procedures. Specifically, the NRC received an allegation that members of Callaway management failed to take the appropriate action when concerns were reported that a [b)(7 )(C) :was inattentive on duty. It was further alleged Callaway management did not take any action regarding the concerns until they were forced by the ECP.

Elmo E. Collins The inve n d that beginning in April 2005,1(b)(7)(C) were aware of (b)(7)(C) su bs~qeallet v *rlucn alertness

'ed and perfor an observation of (b)(7)(c) es duringcrew ladhis training classes members and by followed 1(b)(7)(C) ant(7)(C) his'(b)(7)(C)

IIn crew members followedb e(b)(7)(c) reported concerns that (b)(7)(c) occasion. appeared to be "drowsy" in the control room. Based on (b )(7 )(C ) i The decision was mad o (b)(7)(C) nhot due tQo-.

any alertness issues. No specific date was scheduled for the (b)(7)(C) w pnade the decision toli (b)(7)(C) fthe "on fin(b)(7)(c) ECP received a coina to du ttentive )n duty ucted and an investigation. A review of documents and testimon obtained during thisinvestigation provided evidence that m(a1ll*vwv mqnagement (bo)(7i)(C) were aware of concerns about rhavior an[ lin performance in April 2005 and subs equently decided to 1()7)C p)(7(c)Ilb Upon receipt of information thattf)()(c) lalleaedly was cinattentive to donY, ' onducted a BOP atvarious times and interviewed reactor personnel, but alleciation. Subsequent to the ECP's invetiLbation of l(b)(7)(C)found nd evidence.to theIsbstantiate the (b)(7)(C)

Based on the evidence developed during the investigation, the allegation that Callaway's management violated station procedures by failing to take the appropriate action when concerns were reported that a I(b)(7)(C) Iwas intetv nduty until forced by the ECP was not substantiated.

Elmo E. Collins 4 Allegation No. 3:

An investigation was initiated to determine ifthe licensee failed to follow Fitness For Duty Program reporting requirements and potentially violated station procedures. Specifically, the NRC received an allegation that Callaway's reactor operator personnel had observed a E(b)(7)(c) apparently inattentive on duty and failed to follow the established fitness fodkduty procedures to resolve the problem.

The investigation found evidence which established that Callaway's reactor operator personnel had observed al(b)(7)(C) _exhibiting behaviors during training which would be considered "inattentive" on duty ifthose behaviors had occurred in the control room.

The investigation also determined that, although the existing procedures at Callaway specifically stated that reactor operator personnel are required to inform the Superintendent, Operations 9 Senior Training Supervisor, of any MndjFin hat may affect license duties, theLL)( ho reported their concerns to the1(b'( 7 )(C) followed the establoshp&nusftpry practice at Callaway of reporting fitness for duty concerns to the ,)), ho in turn forwards those concerns to Callaway's management *[) 'J Documentary and testimonial evidence obtained in this investigation showed that Callaway'sI(b)(7)(C) jactions and responses to the allegation that a 1(b)(7)(C) jwas inattentive-to duty, were in accordance with the licensee's fitness for duty procedures.

Based on the evidence developed during the investigation, the allegation that the licensee failed to follow Fitness For Duty Program reporting requirements and potentially violated station procedures was not substantiated, Allegation No. 4:

An investigation was initiated to determine if al (b)(7)(c) lemployed by Callawav. was willfully inattentive to duty- Snifinllv the NRC rprpivnd an All~natinn that a (b)(7)(C)

(b)(7)(C)

A review of documents and testimony obtained from. reactor personnel disclod evidence or witnesses to SUOrt the lleation tha(b)(7)(C)

(b)(7)(C)

W T' F PUBLIC 13l OS THOUT APP OVAL OF FIELPZFl E (ZIRECTOR, OFFICEýOF INVESTIGATTIO=

0ICILALU UE LY -01INV IGATION WNFOR N

Elmo E. Collins Based on the evidence developed during the investigation, the allegation that a)(c) C (b)(7)(C) lexited the control room area on more than one occasion for 4- hours -,

(b)(7)(C)

On November 2, 2007, the ARB reconvened to discuss additional information Drovided by OIRIV a he r et fth ARe Specifically, (b)(7)(C) ~Callaway, as a (b)(7)(C) newwtns ho could provide testimony that he, observe b))()n the control room. rp)ctjrovided this information subsequent to the closure of t _e inrtia' investigation and after he had obtained documents from the NRC's investigation [01 Case No. 4-2006-035] under the Freedom of Information Act.

(b()()(b)(7)(c) L On November 9, 2007, subsequent to 01's case closure, additional field work was initiated by OL:RIV at the request of the ARB (Enclosure).

On Februa 081 1 was interviewed by OI:RIV in Columbia, Missouri. During I(b)(7(c) Iinterview. he testified that on two occasions during the summer/fall 2005. he 7

witnessedI(b)( )(C) j In fbh.Cnnrol room and on one occasion he observedL(b)7)(C) inattentive in the presence of Ldurina a meeting (Exhibit 1). [(b)(7)(C) Ifurther stated that on both occasions he observed (b)(7)(C) Ihowever, on the second occaso n empted to wa e-w (b)(7)(C) with loud noises I(b)(7c) Iwas non-responsive. (b(7)(C) -stated that the firs ime e observed (b)(7)(7c (b)(7)(C) [was in the summer of 2405 [NFI]. [(b)(7)(C) recalled that (b)(7)(C) Ynade a noise at the window. (b)(7)(C) F stated that he observed l(b)(7)(C) Ir q-nne ti ng summer of 2005 [NFI] but (b)(7)(C) even though hel(b)(7)(c) noises in the control room. (b)(7)(C) Istated t at (b)(7)(C) 1(b)(7)(C) Although he could not remember the ate, l(b)(7)(c) Ismetime during 2005, he attended a maintenance meeting with (b)(7)(C) Ibut left the meeting in frustration because(b)T(7c) Iwas inattentive to the point of being incoe(b)(7)(c) a nd ale t hold a cnversation. (b)((c) n I(b)(7)(C)

I advised that when he complained to linattetveness. heI(b)(C told him that he would address the issue with (b)(7)(C) further advised that ht never dis -- d these three "inattentiveneg-p-* inr"i nfQ uithl(b)(7)(C) ersonally but he j(G ldid report the incidents to° On March 14, 2008 a review nf rrd rnar-er transaction history information (entry/exit times) disclosed that (b)(7)(C) Iwere in the control room at the same time on several dates for short during the time frames whenl (b)(F)C) periods of times lndividrij;l whn wrrIeein also present in theroomcontrol room the control tgeether were identified from the card reader transaction printouts as potential witnesses tol(b)(7)(C) 1 alleged inattentiveness (Exhibit 2).

Elmo E. Collins 6 During July/August 2008, numerous interviews of former and current Callaway personnel were conducted by OI:RIV. As a result, 39 interviews were conducted onsite at Callaway by O[:RIV (reference Exhibits 3 - 41) and 10 screening/telephone contacts were subsequently conducted for individuals who were not available for onsite interview, as follows:

(b)(7)(C)

NOTE: Due to various reasons, approximately four (4) individuals identified on the card reader transaction histories as potential witnesses were unavailable for interview with OI:RIV.

Subsequently, the individuals who were identified as potential witnesses and who may have been in a position to observe activity in the control room during the summer/fall of 2005 were contacted b Ol:RIV; however, no additional testimony was pri to upport the allegation ha(7b)()(C) *as inattentive on duty. During interviews of LIbi7(c Exhibit 15) and (b)(7)(C ]Exhibit 29), they testified that they do not recall any conversations with b7C eg ardingl(b7)(C) or any inattentiveness issues.

The RIV staff requested no further action; therefore, this supplementary investigation for 01 Case No. 4-2006-025 is hereby closed as not substantiated,

Enclosure:

Exhibits 1 -41 cc w/enclosure:

C. Carpenter, OE cc w/o enclosure:

C. Marco, OGC E. Leeds, NRR (Attn: G. Cwalina, OAD, NRR NO FO PU I I OUE THU OA F OF

Enclos ure: Exhibits 1 -41 Exhibit s 1 Transcript of Interview witib7Z dated February 4, 2008 (154 pages).

2 Notes from Card Reader Transaction Histories Review, various dates (4 pages).

3 Transcript of Interview with (b)(7)(c) dated July 8, 2008 (17 pages).

wwth (b)(7)(C)

(\ 4 Transcript of Interview with dated July 8, 2008 (25 pages).

5 Transcript of Interview withi(C) dated July 8, 2008 (17 pages).

6 Transcript of Interview with )(7)(c) dated July 8, 2008 (14 pages).

7 Transcript of Interview with (b)(7)(c) Jdated July 8, 2008 (14 pages).

8 Transcript of Interview with (b)(7)(C) ated July 8, 2008 (14 pages).

9 Transcript of Interview withTc 2008(220pages daeJuly 8,

10 Transcript of Interview witht7Dat ed July 8, 2008 (29 pages).

11 Transcript of Interview withl b7)(C) dated July 8, 2008 (21 pages).

12 Transcript of Interview with (b)()c) dated July 8, 2008 (12 pages).

(b)(7)(C) 13 Transcript of Interview witt dated July 8, 2008 (16 pages).

14 Transcript of Interview with (b)(7)(C) dated July 8, 2008 (11 pages).

(b)(7)(C) 15 Transcript of Interview with Lated July 9, 2008 (28 pages).

16 Transcript of Interview with (b)(7)(C) dated July 9, 2008 (13 pages).

17 Transcript of Interview with (b)(7)(c) dated July 9, 2008 (12 pages).

18 Transcript of Interview with b)(T)c) dated July 9, 2008 (10 pages).

19 Transcript of Interview witfhb)(7)(C) dated July 9, 2008 (16 pages).

Transcript of Interview withl (b)(7)(c) Jdated July 9, 2008 (14 pages).

20 OT RPUBLIC S LOSURESWITH TP OALR FIELD F CE DIRECT R, FICE OF /IN STIG TINS JGN IV DFFIC USE 0 LY - INVESTIGG Tb INFOR ON

\OFFF IA SEO0 -01 VIESTT INF MA 21 Transcript of Interview wit!] ated July 9, 2008 (13 pages).

(b)(7)(C)pJ 22 Transcript of Interview witd dated July 9, 2008 (15 pages).

2e b)(7)(C) J 23 Transcript of Interview wit!] dated July 9, 2008 (17 pages).

24 Transcript of Interview witlh (bT)(C) ldated July 9, 2008 (14 pages).

25 Transcript of Interview wit (b)(7)(C) -]dated July 9, 2008 (29 pages).

2 Transcript of Interview with b)(7)(c)ated July 9, 2008 (16 pages).

26 Transcript of Interview with (b)(7)(C) dated July 9, 2008 (16 pages).

29 Transcript of Interview with dated July 9, 2008 (13pages).

30 Transcript of Interview wit (b)(7)(c)Z dated July10, 2008 (19 pages).

29 Transcript of Interview witl"(7C) dated July 10,2008(17 pages).

30 Transcript of Interview witl (b)(7)(c) dated July 10, 2008 (19 pages).

31 Transcript of Interview witIT(b)7)(c) dated July 10, 2008 (17 pages).

32 Transcript of Interview witid(b)(7)(c) ated July 10, 2008 (18 pages).

33 Transcript of Interview witdl (b)(7)(c) dated July 10, 2008 (19 pages).

34 Transcript of Interview witl (b)(T)c) dated July 10, 2008 (18 pages).

35 Transcript of Interview with (b)(7)(c) dated July 10, 2008 (18 pages).

36 Transcript of Interview wit (b)(7)(c) h I dated July 11, 2008 (16 pages).

37 Transcript of Interview with (b)(7)(C) idated July 11, 2008 (16 pages).

38 Transcript of Interview with (b)FC) 7 I dated July 11, 2008 (16 pages).

39 Transcript of Interview with (b)(7)(C) dated July 11, 2008 (18 pages).

40 Transcript of Interview withl (b)(7)C) I dated July 11, 2008 (12 pages).

41 Transcript of Interview witil(b)(7)(c) dated August 14, 2008 (20 pages).