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| issue date = 06/05/2009
| issue date = 06/05/2009
| title = NRC Office of Investigations Report Nos. 1-2008-023, 1-2008-044: Peach Bottom/Exelon Pec Letter EA-09-007, EA-09-059
| title = NRC Office of Investigations Report Nos. 1-2008-023, 1-2008-044: Peach Bottom/Exelon Pec Letter EA-09-007, EA-09-059
| author name = Lew D C
| author name = Lew D
| author affiliation = NRC/RGN-I/DRP
| author affiliation = NRC/RGN-I/DRP
| addressee name = Pardee C G
| addressee name = Pardee C
| addressee affiliation = Exelon Generation Co, LLC
| addressee affiliation = Exelon Generation Co, LLC
| docket = 05000277, 05000278
| docket = 05000277, 05000278
| license number = DPR-044, DPR-056
| license number = DPR-044, DPR-056
| contact person = KROHN P G, RI/DRP/PB4/610-337-5120
| contact person = KROHN P, RI/DRP/PB4/610-337-5120
| case reference number = 1-2008-023, 1-208-044, EA-09-007, EA-09-059
| case reference number = 1-2008-023, 1-208-044, EA-09-007, EA-09-059
| document type = Letter
| document type = Letter
Line 18: Line 18:


=Text=
=Text=
{{#Wiki_filter:UNITED STATES               NUCLEAR REGULATORY COMMISSION                                                         REGION I                                               475 ALLENDALE ROAD                               KING OF PRUSSIA, PA 19406-1415 June 5, 2009  
{{#Wiki_filter:UNITED STATES NUCLEAR REGULATORY COMMISSION REGION I 475 ALLENDALE ROAD KING OF PRUSSIA, PA 19406-1415 June 5, 2009 EA-09-007 EA-09-059 Mr. Charles G. Pardee Senior Vice President, Exelon Generation Company, LLC President and Chief Nuclear Officer, Exelon Nuclear 4300 Winfield Road Warrenville, IL 60555
 
EA-09-007 EA-09-059 Mr. Charles G. Pardee Senior Vice President, Exelon Generation Company, LLC President and Chief Nuclear Officer, Exelon Nuclear 4300 Winfield Road Warrenville, IL 60555  


==SUBJECT:==
==SUBJECT:==
NRC OFFICE OF INVESTIGATIONS REPORTS NO 1-2008-023, 1-2008-044  
NRC OFFICE OF INVESTIGATIONS REPORTS NO 1-2008-023, 1-2008-044


==Dear Mr. Pardee:==
==Dear Mr. Pardee:==


This letter refers to two recent investigations initiated by the NRC Office of Investigations (OI),
This letter refers to two recent investigations initiated by the NRC Office of Investigations (OI),
Region I, at the Exelon Generation Company LLC's Peach Bottom Nuclear Power Station (Peach Bottom), which reviewed the circumstances associated with incidents wherein two former employees either failed to inform you of information required to be reported, or reported information that was not accurate.
Region I, at the Exelon Generation Company LLCs Peach Bottom Nuclear Power Station (Peach Bottom), which reviewed the circumstances associated with incidents wherein two former employees either failed to inform you of information required to be reported, or reported information that was not accurate.
The first OI investigation (1-2008-023) was initiated on February 12, 2008, to determine whether a former maintenance supervisor at Peach Bottom, while an applicant for employment with Exelon, deliberately failed to provide complete and accurate information when completing a Personal History Questionnaire (PHQ) for unescorted access authorization (UAA) and subsequently gained unescorted access. PHQs are a means by which licensees collect information to make determinations about an individuals suitability for unescorted access, as required by 10 CFR 73.56 and the licensees Physical Security Plan. Based on the evidence developed during the OI investigation, the NRC concluded that, on June 18, 2007, the former maintenance supervisor deliberately violated NRC requirements when he provided incomplete and inaccurate information to Exelon on a PHQ. Specifically, the maintenance supervisor provided incorrect information regarding the character of his military service, his history of misconduct in the military, and the nature of his discharge from the military. A factual summary describing this investigation in detail is enclosed.
The second OI investigation (1-2008-044) was initiated on May 5, 2008, to determine whether a licensed Reactor Operator (RO) at Peach Bottom deliberately failed to report an arrest and criminal charges in accordance with the site security program procedures for UAA and the Behavioral Observation Program (BOP). Based on evidence developed during the OI investigation, the NRC concluded that the RO deliberately failed to report an arrest and criminal charges to Exelon for approximately six months. The RO was arrested and charged with driving under the influence (DUI) on October 13, 2007, and he did not report the incident to Exelon until April 28, 2008, after reading an article in a Peach Bottom newsletter that defined an arrest and described the responsibility of employees to report such events. A factual summary describing this investigation in detail is enclosed.


The first OI investigation (1-2008-023) was initiated on February 12, 2008, to determine whether a former maintenance supervisor at Peach Bottom, while an applicant for employment with Exelon, deliberately failed to provide complete and accurate information when completing a Personal History Questionnaire (PHQ) for unescorted access authorization (UAA) and subsequently gained unescorted access. PHQs are a means by which licensees collect information to make determinations about an individual's suitability for unescorted access, as required by 10 CFR 73.56 and the licensee's Physical Security Plan. Based on the evidence developed during the OI investigation, the NRC concluded that, on June 18, 2007, the former maintenance supervisor deliberately violated NRC requirements when he provided incomplete and inaccurate information to Exelon on a PHQ. Specifically, the maintenance supervisor provided incorrect information regarding the character of his military service, his history of misconduct in the military, and the nature of his discharge from the military. A factual summary describing this investigation in detail is enclosed.
C. Pardee                                       2 Based on review of the two OI reports, the NRC has identified two apparent violations of NRC requirements. The first apparent violation involves the willful failure of an applicant to have reported correct information on a PHQ, to obtain unescorted access, contrary to the requirements of 10 CFR 73.56 and Exelons Physical Security Plan. The second apparent violation involves the willful failure of an employed licensed RO to have reported his arrest and criminal charges in a timely manner, contrary to the requirements of Exelons implementing procedure, SY-AA-103-513, Behavioral Observation Program, Revision 6, required by the Peach Bottom Physical Security Plan and 10 CFR 73.20(c). These apparent violations are being considered for escalated enforcement action against Exelon in accordance with the NRC Enforcement Policy. The current Enforcement Policy is included on the NRCs Web site at www.nrc.gov; select What We Do, Enforcement, and then select Enforcement Policy.
The second OI investigation (1-2008-044) was initiated on May 5, 2008, to determine whether a licensed Reactor Operator (RO) at Peach Bottom deliberately failed to report an arrest and criminal charges in accordance with the site security program procedures for UAA and the Behavioral Observation Program (BOP). Based on evidence developed during the OI investigation, the NRC concluded that the RO deliberately failed to report an arrest and criminal charges to Exelon for approximately six months. The RO was arrested and charged with driving under the influence (DUI) on October 13, 2007, and he did not report the incident to Exelon until April 28, 2008, after reading an article in a Peach Bottom newsletter that defined an arrest and described the responsibility of employees to report such events. A factual summary describing this investigation in detail is enclosed.
Before the NRC makes an enforcement decision, we are providing you the opportunity to either (1) attend a Predecisional Enforcement Conference (PEC) or (2) respond in writing to the apparent violations within 30 days of the date of this letter. If you attend a PEC, it will be held at our office in King of Prussia, PA. Since the PEC will be based on the findings of two OI investigations, it will not be open for public observation, but will be transcribed. The purpose of the PEC or your written response is to discuss the apparent violations and the circumstances surrounding them, and to give you an opportunity to provide your perspective on these issues and any other information that you believe is relevant to the NRCs enforcement determinations.
C. Pardee 2 Based on review of the two OI reports, the NRC has identified two apparent violations of NRC requirements. The first apparent violation involves the willful failure of an applicant to have reported correct information on a PHQ, to obtain unescorted access, contrary to the requirements of 10 CFR 73.56 and Exelon's Physical Security Plan. The second apparent violation involves the willful failure of an employed licensed RO to have reported his arrest and criminal charges in a timely manner, contrary to the requirements of Exelon's implementing procedure, SY-AA-103-513, "Behavioral Observation Program," Revision 6, required by the Peach Bottom Physical Security Plan and 10 CFR 73.20(c). These apparent violations are being considered for escalated enforcement action against Exelon in accordance with the NRC Enforcement Policy. The current Enforcement Policy is included on the NRC's Web site at www.nrc.gov
Please contact us within 10 days of the date of this letter to establish a date for the PEC, if desired.
; select What We Do, Enforcement, and then select Enforcement Policy. Before the NRC makes an enforcement decision, we are providing you the opportunity to either (1) attend a Predecisional Enforcement Conference (PEC) or (2) respond in writing to the apparent violations within 30 days of the date of this letter. If you attend a PEC, it will be held at our office in King of Prussia, PA. Since the PEC will be based on the findings of two OI investigations, it will not be open for public observation, but will be transcribed. The purpose of the PEC or your written response is to discuss the apparent violations and the circumstances surrounding them, and to give you an opportunity to provide your perspective on these issues and any other information that you believe is relevant to the NRC's enforcement determinations. Please contact us within 10 days of the date of this letter to establish a date for the PEC, if desired.
As an alternative to a PEC, you may request Alternative Dispute Resolution (ADR) with the NRC. ADR is a general term encompassing various techniques for resolving conflict outside of court using a neutral third party. Additional information concerning the NRCs ADR program is described in the enclosed brochure (NUREG/BR-0317) and can be obtained on the NRCs Web site at http://www.nrc.gov/about-nrc/regulatory/enforcement/adr.html. The technique that the NRC has decided to employ is mediation. In mediation, a neutral mediator with no decision-making authority helps parties clarify issues, explore settlement options, and evaluate how best to advance their respective interests. The mediators responsibility is to assist the parties in reaching an agreement. However, the mediator has no authority to impose a resolution upon the parties. Mediation is a confidential and voluntary process. If the parties to the ADR process (the NRC and yourself) agree to use ADR, they select a mutually agreeable neutral mediator and share equally the cost of the mediators services. The Institute of Conflict Resolution (ICR) at Cornell University has agreed to facilitate the NRCs program as an intake neutral party.
As an alternative to a PEC, you may request Alternative Dispute Resolution (ADR) with the NRC. ADR is a general term encompassing various techniques for resolving conflict outside of court using a neutral third party. Additional information concerning the NRC's ADR program is described in the enclosed brochure (NUREG/BR-0317) and can be obtained on the NRC's Web site at http://www.nrc.gov/about-nrc/regulatory/enforcement/adr.html. The technique that the NRC has decided to employ is mediation. In mediation, a neutral mediator with no decision-making authority helps parties clarify issues, explore settlement options, and evaluate how best to advance their respective interests. The mediator's responsibility is to assist the parties in reaching an agreement. However, the mediator has no authority to impose a resolution upon the parties. Mediation is a confidential and voluntary process. If the parties to the ADR process (the NRC and yourself) agree to use ADR, they select a mutually agreeable neutral mediator and share equally the cost of the mediator's services. The Institute of Conflict Resolution (ICR) at Cornell University has agreed to facilitate the NRC's program as an intake neutral party. Intake neutrals perform several functions, including: assisting the parties in determining ADR potential for their case, advising parties regarding the ADR process, aiding the parties in selecting an appropriate mediator, explaining the extent of confidentiality, and providing other logistic assistance as necessary. Please contact ICR at 607-255-1124 within 10 days of the date of this letter if you are interested in pursuing resolution of this issue through ADR.
Intake neutrals perform several functions, including: assisting the parties in determining ADR potential for their case, advising parties regarding the ADR process, aiding the parties in selecting an appropriate mediator, explaining the extent of confidentiality, and providing other logistic assistance as necessary. Please contact ICR at 607-255-1124 within 10 days of the date of this letter if you are interested in pursuing resolution of this issue through ADR.
Please contact Mr. Paul Krohn at 610-337-5120 within 10 days of the date of this letter to notify the NRC of your decision to either participate in a PEC, provide a written response, or pursue ADR for each issue. If we have not heard from you within 10 days, the NRC will proceed with its enforcement decision.
Please contact Mr. Paul Krohn at 610-337-5120 within 10 days of the date of this letter to notify the NRC of your decision to either participate in a PEC, provide a written response, or pursue ADR for each issue. If we have not heard from you within 10 days, the NRC will proceed with its enforcement decision.
Since the NRC has not made a final determination in this matter, no violations are being issued at this time. In addition, please be advised that the number and characterization of the apparent violations described herein may change as a result of further NRC review. You will be advised by separate correspondence of the results of our deliberations on this matter.
Since the NRC has not made a final determination in this matter, no violations are being issued at this time. In addition, please be advised that the number and characterization of the apparent violations described herein may change as a result of further NRC review. You will be advised by separate correspondence of the results of our deliberations on this matter.
C. Pardee 3 In accordance with 10 CFR 2.390 of the NRC's "Rules of Practice," a copy of this letter and its enclosures will be made available electronically for public inspection in the NRC Public Document Room or from the Publicly Available Records (PARS) component of the NRC's document system (ADAMS). ADAMS is accessible from the NRC web site at http://www.nrc.gov/reading-rm.html (the Public Electronic Reading Room). 


Should you have any additional questions regarding this matter, please feel free to contact Mr. Paul Krohn at 610-337-5120.
C. Pardee                                    3 In accordance with 10 CFR 2.390 of the NRCs Rules of Practice, a copy of this letter and its enclosures will be made available electronically for public inspection in the NRC Public Document Room or from the Publicly Available Records (PARS) component of the NRCs document system (ADAMS). ADAMS is accessible from the NRC web site at http://www.nrc.gov/reading-rm.html (the Public Electronic Reading Room).
Sincerely,         /RA/       David C. Lew, Director       Division of Reactor Projects Docket No: 50-277/278 License No: DPR-44 & DPR-56  
Should you have any additional questions regarding this matter, please feel free to contact Mr.
Paul Krohn at 610-337-5120.
Sincerely,
                                              /RA/
David C. Lew, Director Division of Reactor Projects Docket No:     50-277/278 License No:     DPR-44 & DPR-56


==Enclosures:==
==Enclosures:==
: 1. Factual Summaries of OI Investigation Nos. 1-2008-023/1-2008-044 2. NUREG/BR-0317, "Post-Investigation ADR Program"
: 1.     Factual Summaries of OI Investigation Nos. 1-2008-023/1-2008-044
 
: 2.     NUREG/BR-0317, Post-Investigation ADR Program cc w/encl:
cc w/encl: C. Crane, President and Chief Operating Officer, Exelon Corporation   M. Pacilio, Chief Operating Officer, Exelon Nuclear W. Maguire, Site Vice President, Peach Bottom   J. Grimes, Acting Senior Vice President, Mid-Atlantic R. Hovey, Senior Vice President, Nuclear Oversight G. Stathes, Plant Manager, Peach Bottom J. Armstrong, Regulatory Assurance Manager, Peach Bottom J. Bardurski, Manager, Financial Control & Co-Owner Affairs R. Franssen, Director, Operations P. Cowan, Director, Licensing D. Helker, Licensing K. Jury, Vice President, Licensing and Regulatory Affairs J. Bradley Fewell, Associate General Counsel, Exelon   T. Wasong, Director, Training   Correspondence Control Desk D. Allard, Director, Bureau of Radiation Protection, PA Department of Environmental Protection S. Gray, Administrator, Maryland Power Plant Research Program S. Pattison, Secretary, SLO, Maryland Department of the Environment M. Griffen, Maryland Department of Environment Public Service Commission of Maryland, Engineering Division Board of Supervisors, Peach Bottom Township B. O'Connor, Council Administrator of Harford County Council Mr & Mrs Dennis Hiebert, Peach Bottom Alliance E. Epstein, TMI - Alert J. Johnsrud, National Energy Committee, Sierra Club Mr. & Mrs. Kip Adams C. Pardee 4 R. Fletcher, Dir, MD Environmental Program Manager, Radiological Health Program  Director, Nuclear Safety Project, Union of Concerned Scientists R. Ayers, Deputy Mgr, Harford County Div of Emergency Operations  E. Crist, Harford County Div of Emergency Operations  S. Ayers, Emergency Planner, Harford County Div of Emergency Operations R. Brooks, Cecil County Dept of Emergency Services 
C. Crane, President and Chief Operating Officer, Exelon Corporation M. Pacilio, Chief Operating Officer, Exelon Nuclear W. Maguire, Site Vice President, Peach Bottom J. Grimes, Acting Senior Vice President, Mid-Atlantic R. Hovey, Senior Vice President, Nuclear Oversight G. Stathes, Plant Manager, Peach Bottom J. Armstrong, Regulatory Assurance Manager, Peach Bottom J. Bardurski, Manager, Financial Control & Co-Owner Affairs R. Franssen, Director, Operations P. Cowan, Director, Licensing D. Helker, Licensing K. Jury, Vice President, Licensing and Regulatory Affairs J. Bradley Fewell, Associate General Counsel, Exelon T. Wasong, Director, Training Correspondence Control Desk D. Allard, Director, Bureau of Radiation Protection, PA Department of Environmental Protection S. Gray, Administrator, Maryland Power Plant Research Program S. Pattison, Secretary, SLO, Maryland Department of the Environment M. Griffen, Maryland Department of Environment Public Service Commission of Maryland, Engineering Division Board of Supervisors, Peach Bottom Township B. OConnor, Council Administrator of Harford County Council Mr & Mrs Dennis Hiebert, Peach Bottom Alliance E. Epstein, TMI - Alert J. Johnsrud, National Energy Committee, Sierra Club Mr. & Mrs. Kip Adams
 
C. Pardee 3  In accordance with 10 CFR 2.390 of the NRC's "Rules of Practice," a copy of this letter and its enclosures will be made available electronically for public inspection in the NRC Public Document Room or from the Publicly Available Records (PARS) component of the NRC's document system (ADAMS). ADAMS is accessible from the NRC web site at http://www.nrc.gov/reading-rm.html (the Public Electronic Reading Room). 
 
Should you have any additional questions regarding this matter, please feel free to contact Mr. Paul Krohn at 610-337-5120.          Sincerely,            /RA/      David C. Lew, Director Division of Reactor Projects
 
Distribution w/encl:  (via E-mail) S. Collins, RA M. Dapas, DRA D. Lew, DRP J. Clifford, DRP P. Krohn, DRP R. Fuhrmeister, DRP A. Rosebrook, DRP  E. Torres, DRP  J. Bream, DRP F. Bower, DRP, SRI M. Brown, DRP, RI    S. Schmitt, DRP, OA S. Campbell, RI OEDO H. Chernoff, NRR R. Nelson, NRR J. Hughey, PM NRR P. Bamford, Backup NRR A. DeFransico, ORA D. Roberts, DRS E. Wilson, OI K. Farrar, RC D. Holody, ORA C. Carpenter, OE OEMAIL ROPreports@nrc.gov Region I Docket Room (with concurrences)


SUNSI Review Complete:          PGK          (Reviewer=s Initials)  DOCUMENT NAME:  S:\ENF-ALLG\ENFORCEMENT\PROPOSED-ACTIONS\REGION1\EXELON PEC LETTER EA-09-007 EA-09-059 (HQ COMMENTS) (2) AED.DOC After declaring this document AAn Official Agency Record
C. Pardee                                  4 R. Fletcher, Dir, MD Environmental Program Manager, Radiological Health Program Director, Nuclear Safety Project, Union of Concerned Scientists R. Ayers, Deputy Mgr, Harford County Div of Emergency Operations E. Crist, Harford County Div of Emergency Operations S. Ayers, Emergency Planner, Harford County Div of Emergency Operations R. Brooks, Cecil County Dept of Emergency Services
@ it WILL be released to the Public.
To receive a copy of this document, indicate in the box: 
" C" = Copy without attachment/enclosure  " E" = Copy with attachment/enclosure  " N" = No copy OFFICE  RI/DRP  RI/DRP  RI/DRS  RI/DRS RI/OI  NAME  ARosebrook/AAR PKrohn/AAR for JTrapp/JT DRoberts/KH for EWilson/EW


DATE   05/14 /09 05/14 /09 05 /15 /09 05/15 /09 05/18 /09 OFFICE RI/ORA   RI/ORA HQ/OGC HQ/NRR HQ/OE NAME KFarrar/KF DHolody/AD for CMarco/ NLO MCheok/MC GBowman/GB DATE 05/19 /09 05/19 /09 06/03 /09 05/20/09 06/03/09 OFFICE RI/DRP     NAME DLew/ DCL DATE 06/04/09 OFFICIAL RECORD COPY}}
C. Pardee                                                          3 In accordance with 10 CFR 2.390 of the NRCs Rules of Practice, a copy of this letter and its enclosures will be made available electronically for public inspection in the NRC Public Document Room or from the Publicly Available Records (PARS) component of the NRCs document system (ADAMS). ADAMS is accessible from the NRC web site at http://www.nrc.gov/reading-rm.html (the Public Electronic Reading Room).
Should you have any additional questions regarding this matter, please feel free to contact Mr.
Paul Krohn at 610-337-5120.
Sincerely,
                                                                                /RA/
David C. Lew, Director Division of Reactor Projects Distribution w/encl: (via E-mail)                    M. Brown, DRP, RI                                    D. Holody, ORA S. Collins, RA                                        S. Schmitt, DRP, OA                                  C. Carpenter, OE M. Dapas, DRA                                        S. Campbell, RI OEDO                                  OEMAIL D. Lew, DRP                                          H. Chernoff, NRR                                      ROPreports@nrc.gov J. Clifford, DRP                                      R. Nelson, NRR                                        Region I Docket Room (with P. Krohn, DRP                                        J. Hughey, PM NRR                                    concurrences)
R. Fuhrmeister, DRP                                  P. Bamford, Backup NRR A. Rosebrook, DRP                                    A. DeFransico, ORA E. Torres, DRP                                        D. Roberts, DRS J. Bream, DRP                                        E. Wilson, OI F. Bower, DRP, SRI                                  K. Farrar, RC SUNSI Review Complete:                              PGK              (Reviewer=s Initials)
DOCUMENT NAME: S:\ENF-ALLG\ENFORCEMENT\PROPOSED-ACTIONS\REGION1\EXELON PEC LETTER EA-09-007 EA-09-059 (HQ COMMENTS) (2) AED.DOC After declaring this document AAn Official Agency Record@ it WILL be released to the Public.
To receive a copy of this document, indicate in the box: "C" = Copy without attachment/enclosure "E" = Copy with attachment/enclosure "N" = No copy OFFICE            RI/DRP                        RI/DRP                          RI/DRS                        RI/DRS                          RI/OI NAME              ARosebrook/AAR                PKrohn/AAR for                  JTrapp/JT                      DRoberts/KH for                EWilson/EW DATE               05/14 /09                     05/14 /09                       05 /15 /09                   05/15 /09                       05/18 /09 OFFICE           RI/ORA                         RI/ORA                           HQ/OGC                         HQ/NRR                         HQ/OE NAME             KFarrar/KF                     DHolody/AD for                   CMarco/ NLO                   MCheok/MC                       GBowman/GB DATE             05/19 /09                     05/19 /09                       06/03 /09                     05/20/09                       06/03/09 OFFICE           RI/DRP NAME             DLew/ DCL DATE             06/04/09 OFFICIAL RECORD COPY}}

Latest revision as of 05:04, 14 November 2019

NRC Office of Investigations Report Nos. 1-2008-023, 1-2008-044: Peach Bottom/Exelon Pec Letter EA-09-007, EA-09-059
ML091560130
Person / Time
Site: Peach Bottom  Constellation icon.png
Issue date: 06/05/2009
From: David Lew
Division Reactor Projects I
To: Pardee C
Exelon Generation Co
KROHN P, RI/DRP/PB4/610-337-5120
References
1-2008-023, 1-208-044, EA-09-007, EA-09-059
Download: ML091560130 (5)
v • d • e


Text

UNITED STATES NUCLEAR REGULATORY COMMISSION REGION I 475 ALLENDALE ROAD KING OF PRUSSIA, PA 19406-1415 June 5, 2009 EA-09-007 EA-09-059 Mr. Charles G. Pardee Senior Vice President, Exelon Generation Company, LLC President and Chief Nuclear Officer, Exelon Nuclear 4300 Winfield Road Warrenville, IL 60555

SUBJECT:

NRC OFFICE OF INVESTIGATIONS REPORTS NO 1-2008-023, 1-2008-044

Dear Mr. Pardee:

This letter refers to two recent investigations initiated by the NRC Office of Investigations (OI),

Region I, at the Exelon Generation Company LLCs Peach Bottom Nuclear Power Station (Peach Bottom), which reviewed the circumstances associated with incidents wherein two former employees either failed to inform you of information required to be reported, or reported information that was not accurate.

The first OI investigation (1-2008-023) was initiated on February 12, 2008, to determine whether a former maintenance supervisor at Peach Bottom, while an applicant for employment with Exelon, deliberately failed to provide complete and accurate information when completing a Personal History Questionnaire (PHQ) for unescorted access authorization (UAA) and subsequently gained unescorted access. PHQs are a means by which licensees collect information to make determinations about an individuals suitability for unescorted access, as required by 10 CFR 73.56 and the licensees Physical Security Plan. Based on the evidence developed during the OI investigation, the NRC concluded that, on June 18, 2007, the former maintenance supervisor deliberately violated NRC requirements when he provided incomplete and inaccurate information to Exelon on a PHQ. Specifically, the maintenance supervisor provided incorrect information regarding the character of his military service, his history of misconduct in the military, and the nature of his discharge from the military. A factual summary describing this investigation in detail is enclosed.

The second OI investigation (1-2008-044) was initiated on May 5, 2008, to determine whether a licensed Reactor Operator (RO) at Peach Bottom deliberately failed to report an arrest and criminal charges in accordance with the site security program procedures for UAA and the Behavioral Observation Program (BOP). Based on evidence developed during the OI investigation, the NRC concluded that the RO deliberately failed to report an arrest and criminal charges to Exelon for approximately six months. The RO was arrested and charged with driving under the influence (DUI) on October 13, 2007, and he did not report the incident to Exelon until April 28, 2008, after reading an article in a Peach Bottom newsletter that defined an arrest and described the responsibility of employees to report such events. A factual summary describing this investigation in detail is enclosed.

C. Pardee 2 Based on review of the two OI reports, the NRC has identified two apparent violations of NRC requirements. The first apparent violation involves the willful failure of an applicant to have reported correct information on a PHQ, to obtain unescorted access, contrary to the requirements of 10 CFR 73.56 and Exelons Physical Security Plan. The second apparent violation involves the willful failure of an employed licensed RO to have reported his arrest and criminal charges in a timely manner, contrary to the requirements of Exelons implementing procedure, SY-AA-103-513, Behavioral Observation Program, Revision 6, required by the Peach Bottom Physical Security Plan and 10 CFR 73.20(c). These apparent violations are being considered for escalated enforcement action against Exelon in accordance with the NRC Enforcement Policy. The current Enforcement Policy is included on the NRCs Web site at www.nrc.gov; select What We Do, Enforcement, and then select Enforcement Policy.

Before the NRC makes an enforcement decision, we are providing you the opportunity to either (1) attend a Predecisional Enforcement Conference (PEC) or (2) respond in writing to the apparent violations within 30 days of the date of this letter. If you attend a PEC, it will be held at our office in King of Prussia, PA. Since the PEC will be based on the findings of two OI investigations, it will not be open for public observation, but will be transcribed. The purpose of the PEC or your written response is to discuss the apparent violations and the circumstances surrounding them, and to give you an opportunity to provide your perspective on these issues and any other information that you believe is relevant to the NRCs enforcement determinations.

Please contact us within 10 days of the date of this letter to establish a date for the PEC, if desired.

As an alternative to a PEC, you may request Alternative Dispute Resolution (ADR) with the NRC. ADR is a general term encompassing various techniques for resolving conflict outside of court using a neutral third party. Additional information concerning the NRCs ADR program is described in the enclosed brochure (NUREG/BR-0317) and can be obtained on the NRCs Web site at http://www.nrc.gov/about-nrc/regulatory/enforcement/adr.html. The technique that the NRC has decided to employ is mediation. In mediation, a neutral mediator with no decision-making authority helps parties clarify issues, explore settlement options, and evaluate how best to advance their respective interests. The mediators responsibility is to assist the parties in reaching an agreement. However, the mediator has no authority to impose a resolution upon the parties. Mediation is a confidential and voluntary process. If the parties to the ADR process (the NRC and yourself) agree to use ADR, they select a mutually agreeable neutral mediator and share equally the cost of the mediators services. The Institute of Conflict Resolution (ICR) at Cornell University has agreed to facilitate the NRCs program as an intake neutral party.

Intake neutrals perform several functions, including: assisting the parties in determining ADR potential for their case, advising parties regarding the ADR process, aiding the parties in selecting an appropriate mediator, explaining the extent of confidentiality, and providing other logistic assistance as necessary. Please contact ICR at 607-255-1124 within 10 days of the date of this letter if you are interested in pursuing resolution of this issue through ADR.

Please contact Mr. Paul Krohn at 610-337-5120 within 10 days of the date of this letter to notify the NRC of your decision to either participate in a PEC, provide a written response, or pursue ADR for each issue. If we have not heard from you within 10 days, the NRC will proceed with its enforcement decision.

Since the NRC has not made a final determination in this matter, no violations are being issued at this time. In addition, please be advised that the number and characterization of the apparent violations described herein may change as a result of further NRC review. You will be advised by separate correspondence of the results of our deliberations on this matter.

C. Pardee 3 In accordance with 10 CFR 2.390 of the NRCs Rules of Practice, a copy of this letter and its enclosures will be made available electronically for public inspection in the NRC Public Document Room or from the Publicly Available Records (PARS) component of the NRCs document system (ADAMS). ADAMS is accessible from the NRC web site at http://www.nrc.gov/reading-rm.html (the Public Electronic Reading Room).

Should you have any additional questions regarding this matter, please feel free to contact Mr.

Paul Krohn at 610-337-5120.

Sincerely,

/RA/

David C. Lew, Director Division of Reactor Projects Docket No: 50-277/278 License No: DPR-44 & DPR-56

Enclosures:

1. Factual Summaries of OI Investigation Nos. 1-2008-023/1-2008-044
2. NUREG/BR-0317, Post-Investigation ADR Program cc w/encl:

C. Crane, President and Chief Operating Officer, Exelon Corporation M. Pacilio, Chief Operating Officer, Exelon Nuclear W. Maguire, Site Vice President, Peach Bottom J. Grimes, Acting Senior Vice President, Mid-Atlantic R. Hovey, Senior Vice President, Nuclear Oversight G. Stathes, Plant Manager, Peach Bottom J. Armstrong, Regulatory Assurance Manager, Peach Bottom J. Bardurski, Manager, Financial Control & Co-Owner Affairs R. Franssen, Director, Operations P. Cowan, Director, Licensing D. Helker, Licensing K. Jury, Vice President, Licensing and Regulatory Affairs J. Bradley Fewell, Associate General Counsel, Exelon T. Wasong, Director, Training Correspondence Control Desk D. Allard, Director, Bureau of Radiation Protection, PA Department of Environmental Protection S. Gray, Administrator, Maryland Power Plant Research Program S. Pattison, Secretary, SLO, Maryland Department of the Environment M. Griffen, Maryland Department of Environment Public Service Commission of Maryland, Engineering Division Board of Supervisors, Peach Bottom Township B. OConnor, Council Administrator of Harford County Council Mr & Mrs Dennis Hiebert, Peach Bottom Alliance E. Epstein, TMI - Alert J. Johnsrud, National Energy Committee, Sierra Club Mr. & Mrs. Kip Adams

C. Pardee 4 R. Fletcher, Dir, MD Environmental Program Manager, Radiological Health Program Director, Nuclear Safety Project, Union of Concerned Scientists R. Ayers, Deputy Mgr, Harford County Div of Emergency Operations E. Crist, Harford County Div of Emergency Operations S. Ayers, Emergency Planner, Harford County Div of Emergency Operations R. Brooks, Cecil County Dept of Emergency Services

C. Pardee 3 In accordance with 10 CFR 2.390 of the NRCs Rules of Practice, a copy of this letter and its enclosures will be made available electronically for public inspection in the NRC Public Document Room or from the Publicly Available Records (PARS) component of the NRCs document system (ADAMS). ADAMS is accessible from the NRC web site at http://www.nrc.gov/reading-rm.html (the Public Electronic Reading Room).

Should you have any additional questions regarding this matter, please feel free to contact Mr.

Paul Krohn at 610-337-5120.

Sincerely,

/RA/

David C. Lew, Director Division of Reactor Projects Distribution w/encl: (via E-mail) M. Brown, DRP, RI D. Holody, ORA S. Collins, RA S. Schmitt, DRP, OA C. Carpenter, OE M. Dapas, DRA S. Campbell, RI OEDO OEMAIL D. Lew, DRP H. Chernoff, NRR ROPreports@nrc.gov J. Clifford, DRP R. Nelson, NRR Region I Docket Room (with P. Krohn, DRP J. Hughey, PM NRR concurrences)

R. Fuhrmeister, DRP P. Bamford, Backup NRR A. Rosebrook, DRP A. DeFransico, ORA E. Torres, DRP D. Roberts, DRS J. Bream, DRP E. Wilson, OI F. Bower, DRP, SRI K. Farrar, RC SUNSI Review Complete: PGK (Reviewer=s Initials)

DOCUMENT NAME: S:\ENF-ALLG\ENFORCEMENT\PROPOSED-ACTIONS\REGION1\EXELON PEC LETTER EA-09-007 EA-09-059 (HQ COMMENTS) (2) AED.DOC After declaring this document AAn Official Agency Record@ it WILL be released to the Public.

To receive a copy of this document, indicate in the box: "C" = Copy without attachment/enclosure "E" = Copy with attachment/enclosure "N" = No copy OFFICE RI/DRP RI/DRP RI/DRS RI/DRS RI/OI NAME ARosebrook/AAR PKrohn/AAR for JTrapp/JT DRoberts/KH for EWilson/EW DATE 05/14 /09 05/14 /09 05 /15 /09 05/15 /09 05/18 /09 OFFICE RI/ORA RI/ORA HQ/OGC HQ/NRR HQ/OE NAME KFarrar/KF DHolody/AD for CMarco/ NLO MCheok/MC GBowman/GB DATE 05/19 /09 05/19 /09 06/03 /09 05/20/09 06/03/09 OFFICE RI/DRP NAME DLew/ DCL DATE 06/04/09 OFFICIAL RECORD COPY

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