ML20236N229

Discusses Investigation Repts 4-97-022S & 4-98-014 Completed on 980213,predecisional EC Conducted on 980331 & Forwards Notice of Violation Re Falsification of Surveillance Test Record at Plant

ML20236N229
Person / Time
Site:	Palo Verde
Issue date:	07/10/1998
From:	Merschoff E NRC OFFICE OF INSPECTION & ENFORCEMENT (IE REGION IV)
To:	Mccarter A AFFILIATION NOT ASSIGNED
Shared Package
ML17313A499	List: ML20236N229
References
IA-98-014, IA-98-14, NUDOCS 9807150055
Download: ML20236N229 (6)

Text

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[p mcw k umTED STATES 8 , *7 3 NUCLEAR REGULATORY COMMISSION

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% ***** 'w ,g' AHUNGTON TEXAS 7f;011 W 1 July 10, 1998 IA 98-014 Mr. Alan K. McCarter

[HOME ADDRESS DELETED PURSUANT TO 10 CFR 2.790]

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SUBJECT:

NOTICE OF VIOLATION (NRC Investigation Report Nos. 4-97-022S and 4-1998-014)

Dear Mr. McCarter:

This refers to the above-cited investigations conducted by the NRC's Office of Investigations (01) involving the apparent falsification of a surveillance test record at the Palo Verde Nuclear Generating Station, and to our letter to you dated March 20,1998. Our letter identified an apparent violation related to your involvement in the potential record falsification. Specifically, the incident involved you, a licensed operator at the time, and other licensed individuals of the control room operations staff, apparently falsifying a surveillance test record on March 10,1993, by indicating that a surveillance had been conducted within the required one hour time period, when in fact it had been conducted several hours later. Our March 20 letter informed you thr.

based on the information you provided to 01, we believe we understand your involvement in and your perspective of the circumstances of the incident and the significance of the issues. As a result, we did not believe it necessary to conduct a predecisional enforcement conference with you in order to enable the NRC to make an enforcement decision. However, before making an enforcement decision, the NRC provided you with an opportunity to either respond to the apparent violation in writing or request a predecisional enforcement conference. You neither responded in writing nor requested a conference, therefore, the NRC is making its decision based on the available information.

On March 31,1998, the NRC conducted a closed, transcribed predecisional enforcement conference held with Arizona Public Service (APS) Company, your employer, in order to discuss this incident. Information obtained during the conference confirmed the circumstances surrounding the incident. Specifically, as a result ofits evaluation of this information, the NRC has concluded that you and other licensed members of the control room staff decided to record an incorrect time for a surveillance test such that the records indicated the surveillance had been performed within the required one-hour timeframe when, in fact, the surveillance had been k performed several hours later. During the conference, APS also informed the NRC of the !i actions APS had taken against you and the other members of the control room crew as a result of this incident. The actions against you included having your operating license terminated, a one week suspension without pay, quarterly performance reviews, and other requirements with .

which you must comply.

The NRC considers your actions a serious breach of the trust and integrity expected of licensed P personnel in the nuclear industry. Further, your actions caused the facility licensee to be in violation of NRC requirements for which the NRC has taken escalated enforcement action (see 9807150055 980710 PDR ADOCK 05000528 G PDR

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enclosed Notice of Violation and Proposed imposition of Civil Penalty to APS). After reviewing all the circumstances of this case, including the action already taken against you by your employer, the fact that the incident occurred over five years ago, and your cooperation during the NRC's investigation, the NRC has limited its action to issuance of the enclosed Notice of Violation (Notice) to you. The violation has been categorized at Severity Level IV in accordance with the " General Statement of Policy and Procedures for NRC Enforcement Actions,"

NUREG-1600. You should be aware, however, that the NRC will consider imposing stronger sanctions should you engage in misconduct involving NRC-licensed activities in the future.

You are required to respond to this letter and should follow the instructions specified in the enclosed Notice when preparing your response. In your response, you should document the specific actions taken and any additional actions you plan to prevent recurrence. The NRC will use your response, in part, to determine whether further enforcement action is necessary to ensure compliance with regulatory requirements. {

Further, you should be aware that should you apply for a Part 55 license in the future, you will be required to address the issue of trustworthiness in accordance with 10 CFR 55.31(b).

In accordance with 10 CFR 2.790 of the NRC's " Rules of Practice," a copy of the correspondence related to this enforcement action will be placed in the Public Document Room (PDR) under your employer's docket number as well as the docket number assigned to your license under the provisions of 10 CFR Part 55. This includes the NRC's letter to you dated March 20,1998, and this letter with its enclosure. As indicated below, we are providing a copy l

of this letter to Arizona Public Service and to your attorney.

Sincerely, 7

Ellis W. Merscho Regional Adminis rator Docket Nos. 50-528,50-529,50-530,55-50192 License Nos. NPF-41, NPF-51, NPF-74, OP-50210-2

Enclosures:

1. Notice of Violation

2. Letter dated July 10,1998 to James M. Levine cc w/ Enclosure 1 only:

James M. Levine, Senior Vice President, Nuclear Arizona Public Service Company P.O. Box 53999 Phoenix, Arizona 85072-3999

G Mr. Donald P. Irwin, E Hunton & Williams 951 East Byrd Street Richmond, Virginia 23219 i

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Mr. Alan K. McCarter - IA 98-014 bcc (w/Enci 1 only): -

PDR -

LPDR NUDOCS SECY EC's: RI, Ril, Rlli CA PA (0-2G4)

EDO (0-17G21) OlG (T-5D28)

DEDO (0-17G21) LIEBERMAN, OE (0-7H5)

OE:EAFile (0-7H5) 01 (0-3E4) l CHANDLER, OGC (0-15818) GOLDBERG, OGC (0-15B18)

NRR (0-12G18) BOGER, NRR/ADP (0-12G18)

NRR PROJECT MANAGER OC/DAF (T-9E10)

AEOD (T-4D18) RWise RA Reading File GSanborn-EAFile RIV Files MIS Coordinator PAO-Henderson RSLO (Hackney)

LWilliamson, Ol DRP Branch Chief E-MAIL DISTRIBUTION:

OEMAll JDyer (JED2)

TPGwynn (TPG)

EMerschoff (EWM)

GSanborn (GFS) WBrown (WLB)

BHenderson (BWH) CHackney (CAH)

DKunihiro (DMK1) GMVasquez (GMV)

Art Howell(ATH) Chamberlain (DDC)

KPerkins (KEP) DKirsch (DFK)

SENIOR RESIDENT KBrockman (KEB)

JPellet (JLP) PHarrell (PHH)

OEMAIL DNelson (DJN)

SRothstein (SAR2)

DOCUMENT NAME: G:\EA\ FINAL \lA98014.FNL G:lACASES\lA98014.FNL (when issued)

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SRomstein MShrius MFleldsh JGolE h l EMersc@ dieberman 07/ /98 07/[ k'98 M/98 Ok//f'/98 h/30/98 07/ /98 1110000

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