ML062680108
| ML062680108 | |
| Person / Time | |
|---|---|
| Site: | Kewaunee  |
| Issue date: | 11/19/2003 |
| From: | Caldwell J Region 3 Administrator |
| To: | Congel F NRC/OE |
| References | |
| EA-03-105, FOIA/PA-2006-0113, IA-03-024, OI 3-2002-004 | |
| Download: ML062680108 (14) | |
Text
UNITED STATES NUCLEAR REGULATORY COMMISSION REGION III 801 WARRENVILLE ROAD LISLE, ILLINOIS 60532-4351 November 19, 2003 EA-03-105 IA-03-024 MEMORANDUM TO: Frank J..nel, Director I Ef ment FROM: James L.C ellC , Reg non1 Administrator
SUBJECT:
PROPOSE!D ENFORCEMENT ACTION FOR FITNESS FOR DUTY ISSUE AT KEWAUNEE NUCLEAR PLANT (OFFICE OF INVESTIGATIONS REPORT NO. 3-2002-004)
Attached for your review and concurrence Is a draft enforcement package (proposing a Severity Level III violation and a $60,000 civil penalty) to Nuclear Management Company for a willful violation, representing careless disregard, of the fitness for duty program at the Kewaunee Nuclear Plant. Also attached Is a closeout letter to the individual responsible for the violation.
Attachments:
As stated cc w/attachments:
D. Dambly, OGC J. Luehman, OE J. Dixon-Herrity, OE G. Longo, OGC R. Franovich, NRR CONTACT: Charles H. Well, EICS (630) 810-4372 '0,",aLia" in tnis record was deleted An accordance with the Freedom of Injormatioff Act~ exemptions
- 2. PROPO'ý- EN CEMENT ACTIO T R RELEASE WITHOUT T PPROVAL C F ENFORCEMENT November 19, 2003* EA-03-105 IA-03-024 MEMORANDUM TO: Frank J. Congel, Director, Office of Enforcement
/RA/ FROM: James L. Caldwell, Regional Administrator
SUBJECT:
PROPOSED ENFORCEMENT ACTION FOR FITNESS FOR DUTY ISSUE AT KEWAUNEE NUCLEAR PLANT (OFFICE OF INVESTIGATIONS REPORT NO. 3-2002-004)
Attached for your review and concurrence is a draft enforcement package (proposing a Severity Level III violation and a $60,000 civil penalty) to Nuclear Management Company for a willful violation, representing careless disregard, of the fitness for duty program at the Kewaunee Nuclear Plant. Also attached is a closeout letter to the Individual responsible for the violation, Attachments:
As stated cc w/attachments:
D. Dambly, OGC J. Luehman, OE J. Dixon-Herrity, OE G. Longo, OGC R. Franovich, NRR CONTACT: Charles H. Well, EICS (630) 810-4372 FILE NAME: G:\EICS\03-105 SLIII & CP -IA-03-024.wpd To receive a copy of this d,:ument, Indicate in the box: TC = Copy w/o att/encl TE = GOlatt/encl N = No copy OFFICE RIll 4111 1 E R110 J2 N Rill I Rill t I- E Rill N RIIl N INAME Well b I Be~o Reynolds -/3t56 s ceaytoR ell I DATE 10/03 1 03 1W 141 -- I /0)03 MI3 OFFICIAL RECORD COPY V PROPO ENFORCEMEN CTION, NOTSE WITHOUT THE PPROVAL OF THE DIR FICE OF ENF EMENT EA-03-105 Mr. Thomas Coutu Site Vice President Kewaunee Nuclear Plant Nuclear Management Company, LLC N490 Hwy 42 Kewaunee, WI 54216-9511
SUBJECT:
NOTICE OF VIOLATION AND PRI $60,000 (NRC OFFICE OF INVEE
Dear Coutu:
This refers to Information received by the U.S November 8, 2001, concerning the alleged fitness for duty (FFD) program at the Nu Mal Nuclear Plant. The Issue was investig by N and an apparent violation of the Ke ee FF Zimmerman Nuclear Power Syste ), a identified.
A summary of the 01 was d predecislonal enforcement con ce (P held onAu t 5, 2003,w &Z su'ION OF CIV111--NALTY
)RTS NO. 3-2002-004) ulatory Isslon (NRC) on Impler t the NRC required 1 ion's (NMC) Kewaunee an ffice of Investigations (01) ogram upervisor employed by Day and tractor he Kewaunee Nuclear Plant, was led to C on June 9, 2003, and a h ith NMC on July 16, 2003. A PEC was Based on d ng the"' C and 01 investigations, information you provided uly 16, and in your August 29, 2003, letter, and Information provided by ervhs on August 5, 2003, the NRC has determined that a violation of NR n o. The violation is cited in the enclosed Notice of Violation a ton Ivil Penalty (Notice) and the circumstances surrounding the viol are desc July 16 and August 19, 2003, letters. During the approximate time od of July/Aug D&Z employees told a D&Z supervisor that they refused to wor ith a third D&Z e e because they believed the other employee was "a drunk." the same time p ad, and after receiving the information that the other D&Z employee lieved to be aa nk," the supervisor detected an odor that may have been alcohol on ployee. Th supervisor stated he received FFD training as a part of general e traini unescorted access to the Kewaunee Nuclear Plant and he believed that eobserve the employee for signs of Impairment.
The supervisor stated that hhe employee and did not detect any sign of impairment; therefore, he did not initila y other requirement of the FFD program. Representatives of NMC at the PEC on July 16, 2003, Indicated that the supervisor was required to order a for-cause FFD test of the D&Z employee after the supervisor detected the possible odor of alcohol on the employee.
In PROPOS NFO CEMENT ACTO OT R RELEASE WITHOUT TH PPROVAL HED OR, OFFIC F ENFORCE -
view of the supervisor's training, having been Informed that the employee had an alleged alcohol consumption problem, and detecting the possible odor of alcohol on the employee, the supervisor's failure to have the D&Z employee submit to a for-cause FFD test is considered a willful violation, representing careless disregard, of the FFD program at the Kewaunee Nuclear Plant. Therefore, the violation has been categorized In accordance with the "General Statement of Policy and Procedure for NRC Enforcement Actions" (Enforcement Policy), NUREG-1600 at Severity Level II1. In accordance with the Enforcement Policy, a base civil penalty in the un 60,000 is considered for a Severity Level III violation.
Because this w s a willf , the NRC considered whether credit was warranted for Identificatio XoC n in accordance with the civil penalty assessment process in Section VI. Eof the !icy. WhiEdn the NRC recognizes that NMC performed several Inve tions to 1M 6; nevertheless, an allegation to the NRC, and not Indep ent a y N C, investigative activity that Identified the violation.
Ther is not warran Identification civil penalty adjustment factor. The NRC d that credit was "ranted for the Corrective Action civil penalty adjustment factor. C ions consisted of, but were not limited to: (1) coaching and counseling the D&Z s Inding all employees of the appropriate actions If an employee Is suspected elng ,3) modifying FFD procedures; and (4) Improving employee FFD tral Therefore, to emphasize the Importance of -on of tions and the need to maintain the work environment at a nucl o r om the effects of drugs and alcohol, I have been authorized, afconsu on ctor, Office of Enforcement, to Issue the enclosed Notice of Viol and P d I n of Civil Penalty (Notice) in the base amount of $60,000 for rity e I viol on. As described In our letter of Ju ,2003, tent lation of 10 CFR 50.9, "Completeness and Accura of Informati' rc"at Issue, was originally considered for enforce ]on. S to that Interviewed several witnesses and presenits at th C on July 16, 2003. Following, the PEC, NMC conducte Inten bmitted the results to the NRC with your August 29, 2003, letter, of th Indicated that several witnesses furnished significantly di ation than that provided In their earlier Interviews with 01. As a result ;a ter d not be conclusively determined because of the change, rmation, C staff has decided not to pursue enforcement action for this 0 Une 9, 2003, lette sodiscussed alleged employment discrimination at NMC's Beach Nuclear t that may have related to the FFD Issue at the Kewaunee Nuclear the I ation obtained by 01 during that Investigation (01 Report No. 3-2002 ul n ncluded that employment discrimination occurred.
A copy of the 01 senclosed with that letter. Also In that letter, we requested that NMVC a ntial "chilling effect" that may have resulted from that FFD Issue. From the Info on you presented at the PEC on July 16, 2003, it does not appear that a "chilling effect" occurred and we have no further questions in that regard. PROPOSE ONFORCEM 0OT RELEASE WITHOUT THE .ROVAL OF THE DIRECTOR, OFFICE FORCEMENT I" You are required to respond to this letter and should follow the Instructions specified in the enclosed Notice when preparing your response.
The NRC will use your response, in part, to determine whether further enforcement action is necessary to ensure compliance with regulatory requirements.
In accordance with 10 CFR 2.790 of the NRC's "Rules of Practice," a copy of this letter and its enclosure will be made available electronically for public inspection In the NRC Pulic Document Room or from the NRC's document system (ADAMS), acce ible froke NRC Web site at http:/lwww.nrc.gov/reading-rm/adams.html.
Should you to pond, your response, to the extent possible, should not Include any per;onal pn ietary, or safeguards information so that the response can be mad ilable *ic without redaction.
The NRC also includes significant enforcem 'ctions on it bte at ,A www.nrc.gov; select What We Do, Enforcement, thenJlnifican1.
0 .-'. I Mct Sincerely, Jam well Docket No. 50-305; 50-266; 50-301 License No. DPR-43; DPR-24; DPR
Enclosure:
Notice of Violation an Imposition of Clvi cc w/encl: D. Graham r, I Shairma te Llim osed.Burc jperations Commission sident;er, WýEPCo tive Vice President J. Cow Chief t Licensin D. Weea , Nuclear Asset Manager G. Are lanager, Regulatory Affairs J. R Esquire General Counsel J eil, Jr., Shaw, Pittman, is & Trowbridge Duveneck, Town Chairman Town of Two Creeks A. Bie, Chairperson, Wisconsin Public Service Commission PROPOS ENFOR EN T NOT F R RELEASE WITHOUT TH17 PRO VAL OF THE DIRECTOR, OFFICE NE~iT S. Jenkins, Electric Division Wisconsin Public Service Commission PROPOý ENFO TACTION,NO FOR RELEASE WHOT APPROVAL OF THE DIRECTOR, OFFI CEMENT ADAMS Distribution:
ADAMS PARS SECY CA WTravers, EDO SCollins, DEDR FCongel, OE JDyer, NRR RZimmerman, NSIR DDambly, OGC HBell, OIG GCaputo, 01 OPA GGrant, Rill CPederson, RIll SReynolds, Rill RCanlano, Rill PHiland, Rill JCreed, Rill PLouden, Rill TVegel, Rill CWelI, Rill f TMadeda, Rill JDixon-Herrity, OE GLongo, OGC RFranovich, NRR Enforcement Coordinators RI, RII, and RIV OE:EAS OE:ES OE:MA OE:WEB RAO:RIII OA.C:RIII SRI, Kewa WDR, DF lrrDipmlipb PL JRK1 PROP E FORCEMENT IONINO FOR RELEASE WITHOUT Tr APPROV OFT RECTOR, OFF E T NOTICE OF VIOLATION AND PROPOSED IMPOSITION OF CIVIL PENALTY Nuclear Management Company, LLC Kewaunee Nuclear Plant Docket No. 50-305 License No. DPR-43 EA-03-105 A During an NRC Investigation concluded on November 29, 2002, a viol requirements was identified.
In accordance with the "Gene IStatem Procedure for NRC Enforcement Actions," NUREG-16003,1V RC penalty pursuant to Section 234 of the Atomic Energy Ad_ f 1954, as 42 U.S.C. 2282, and 10 CFR 2.205. The particular A n and forth below: o.y and rnpose a civil Act), pOnalty arpset 10 CFR 26.20 requires, in part, that each licensi and Implement written policies and procedures c performance objectives and specific requireme, to address the abuse of legal drugs (e.g. alcoli to 10 CFR Part 2 tablish ),'neet the general 26, Including policies 10 CFR 26.24(a) requires, in part, programs for persons subject to 11 substance abuse, Including testinS credible Information that an emi mical testing de ans to deter and detect ;Possible after receivng cau!Kewaunee Nuclear Power for Duty Program," Revisk 10 CFR Part 26 with th effeof drug and N ' 0appl'rNui Nov Adr er 16 rat on n abuse ,rsons ninisPve Directive (NAD) 01.04, "Fitness 1 , I*mplements the requirements of rk environment that is free from the of NAD 01-04 provides, in part, that applied for or who have been granted r Power Plant.Sectri the K ProX 01.Vdures that have been established to Implement nt Fitness for Duty Program. General Nuclear 'Be Oral Observed Just Cause Testing," is one of the ýi described In Section 7 of NAD 01.04.nenting'Section 2.0 of procedure apr Power Plant.Revision A, April 18, 1995, provides, in part, that the to all persons granted unescorted access to the Kewaunee Nuclear ection NP 1.4.4 provides, In part, that the licensee Is committed to a program of bservation of employees, contractors, and vendors for indication of any on havior which may impair job performance.
When such behavior Is detected, rrective measures shall be taken, including an investigation of the circumstances and an evaluation of the risk Involved In continuing unescorted access to the Kewaunee Nuclear Power Plant.PROPOSE NFORCEME TION, NO SE WITHOUT THE PROVAL OF THE D ,FICE OFMEN EMENT Contrary to the above, during July and August 2001 a supervisor for Day and Zimmerman Nuclear Power Systems (D&Z), a contractor at the Kewaunee Nuclear Plant, failed to take corrective measures after receiving credible Information about on the-job behavior which may impair the performance of a D&Z employee.
Specifically, two (D&Z) employees told the supervisor that they refused to work with another employee because the other employee was "a drunk." The supervisor subsequently detected the possible odor of alcohol on the D&Z employee, who was repoled as "a drunk," and the employee had unescorted access to the protect d area -e Kewaunee Nuclear Plant. After detecting the possible odor of hotl he D&Z employee, the supervisor failed to initiate an investigajtion of t: stances and failed to perform an evaluation of the risk in contin, a 3o all ! i~idual unescorted I Aft access to the protected area of the Kewaunee Ný@ar Powe.}ii... This is a Severity Level III violation (Suppleme Civil Penalty -$60,000 Pursuant to the provisions of 10 CFR 2.201, Nuclear Mz hereby required to submit a written statement or explai Enforcement, U.S. Nuclear Regulatory Commission, Violation and Proposed Imposition of Civil Penal as a "Reply to a Notice of Violation, EA-03-1 0 (1) admission or denial of the alleged viola if denied, the reasons why, (3) the correc steps achieved, (4) the corrective steps that e tak a when full compliance will be achieve an ad a specified in this Notice, an order o man r Infom should not be modified, suspen r revo or why should not be taken. Conside may en to cause sh Under the -of Se e shall be 4° d'und -ffirmati aT Lompany, LLC (Licensee) is 0 ctr Office of In 3 date of this Notice of e). Thl ]Id be clearly marked includ, ch alleged violation:
siolation if admitted, and ken and the results violations, and (5) the date ot received within the time n may be issued as why the license ,h other action as may be proper nding the response time for good Act, 42 U.S.C. 2232, this response Within the as pr e response required above under 10 CFR 2.201, the Licensee ma vii pe r addressed to the Director, Office of Enforcement, U.S. Nuclear, R ommi h a check, draft, money order, or electronic transfer payable to e Uni States in the amount of the civil penalty proposed above or may t st impos vil penalty in whole or in part, by a written answer addressed to the ector, Office o ent, U.S. Nuclear Regulatory Commission.
Should the Li e fall to answer e time specified, an order Imposing the civil penalty will be Is Should the Li ee elect to file an answer in accordance with 10 CFR 2.205 ting the civil pe , in whole or in part, such answer should be clearly marked as an er to a Notice iolation" and may: (1) deny the violation listed in this Notice, in whole (2) de trate extenuating circumstances, (3) show error in this Notice, or (4) show the penalty should not be Imposed. In addition to protesting the civil penalty art, such answer may request remission or mitigation of the penalty.
In requesting mitigation of the proposed penalty, the factors addressed in Section VI.B.2 of the Enforcement Policy should be addressed.
Any written answer in accordance with PROPOSED FORC F RELEASE W1 OUT THE ROVALOF CT-OR9 OFFMCE FENEORCJMENT 10 CFR 2.205 should be set forth separately 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 Licensee 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 penalty due which subsequently has been determinein accordance with the applicable provisions of 10 CFR 2.205, this matter ay e. rred to the Attorney General, and the penalty, unless compromised, remitted, or at .m ay be collected by civil action pursuant to Section 234c of the Act,2 U.S. The response noted above (Reply to Notice of ViolationUfter with pfj ýivil penalty adi Answer to a Notice of Violation) should be addressed t rank J. . Enforcement, U.S. Nuclear Regulatory Commission, White I-t NI otg h ' $ Pike, Rockville, MD 20852-2738, with a copy to the R inistrator, U. j r Regulatory Commission, Region Ill, and a copy to the dent Inspector a Kewaunee Nuclear Plant Because your response will be placed In the NRC possible, It should not Include any personal privac that it can be placed in the PDR without reda is necessary to provide an acceptable resp response that Identifies the information Ihoul response that deletes such Information you re specifically Identify the portions of y spon detail the bases for your claim of hIding create an unwarranted invasion rsonal a( 10 CFR 2.790(b) to support a est for ok information If safeguard ation Is provide of p cribed I PuBirc Do (PDR), to the extent , tryrds Information so nal priv roprietary Information rovd racketed copy of your da redacted copy of your st Iof such material, you must at you o have withheld and provide in expla* y the disclosure of Information will ,y or -ide the Information required by lin fidential commercial or financial provide an acceptable response, please '3.21.Dated PROPOSSE 'NFORC ENT 6,NTF RELEýAS ITUT-~ TH~ ROVAL OF THE DIRECTOR, OFFICE OFt ORCEMENT IA IDA[Homne Address Deleted Under 10 CFR 2.790(a)]
SUBJECT:
NRC OFFICE OF INVESTIGATIONS Deal -AL/ This refers to an Investigation conducted by the U.S. Ni Office of Investigations (01) into an apparent violationa (FFD) program at the Kewaunee Nuclear Plant. The. the operator of the Kewaunee Nuclear Plant, also 01 Investigation was provided to you on June conference (PEC) was held with you on Au)RT NO.y Commission (NRC) red fitness for duty knt Company (NMC), a C summary of the a al enforcement a prei Based on Information NMC during a PEC on NMC, and Information that a violation of NRC period of July/August another D employei time peno after after dete C observation Therefore, you submit toFE s developed by thetC and In , Information provided by July 16, 200 rma n August 29, 2003, letter from you provid u# ng tih ugust 5, 03, PEC, the NRC has concluded requirem urr In sum ry, during the approximate time 2001, at I two D plo told you that they refused to work with e be hey beli ployee was "a drunk.' Within the same e Info the D&Z employee was ma drunk," you h een ac ol on that employee. -You told the NRC staff that oe, you watched the employee and did not make any hat th could not perform his assigned responsibilties.
- tanunder the FFD program (e.g. having the employee isoto-he NRC staff that you received FFD training during ccess to the Kewaunee Nuclear Plant. At the PEC on July 16, icated that you were required to order a for-cause FFD test of e tected the possible odor of alcohol on the employee.
ur prior knowledge that the employee had. an alleged alcohol d after you detected the possible odor of alcohol on the employee, D&Z employee submit to a for-cause FFD test is considered a willful careless disregard, of the FFD program at the Kewaunee Nuclear Plant. isidered a deliberate violation and after consultation with the Director, the NRC has decided not to take enforcement action against you in this g this decision, the NRC determined that your actions caused NMC to be PROPO E[CEMENT AR NOT F R RELEASEWIT OUT TI' PPROVAL OF-THE'D1RECTOR, OFFIC FENF M NT in violation of the NRC approved FFD program at the Kewaunee Nuclear Plant. Enclosed is a copy of the Notice of Violation Issued to NMC.As described in our letter of June 10, 2003, a potential violation of 10 CFR 50.9, "Completeness and Accuracy of Information," associated with the FFD Issue, was originally considered for enforcement action. Subsequent to that letter, NMC interviewed several witnesses and presented the results of the interviews at the PEC with NMC on July 16, 2003. Folowing, that PEC, NMC conducted additional interviews and submitted the results to the NR August 20, 2003. The results of these Interviews indicated that several witnesses is 'significantly different information to NMC than that provided in their As a result, the facts of the matter could not be conclusively determin e6-caus bth'-ihanged information, and the NRC staff has decided not to pursudlrfforcemenr 0 -1614Jhis matter..Please feel free to contact James R. Creed, Security' you have any questions.
Mr. Creed can be reached a Le number You are not required to respond to this letter. However, please mark It as "Response to IA-03-024" and providi copy to the Enforcement Officer, U. S. Nuclear Reguftc 801 Warrenville Road, Lisle, IL 60532-4351 withl choose to respond, your response should not safeguards information.
If personal privac an acceptable response, then please pro a bra the information that should be protecte d a re such Information.
If you request wit ing of .ma portions of your response that yooL to ha ithhelc your claim of withholding (e.g., e why disclos unwarranted Invasion of perso rivacy vide 10 CFR 2.7 (b) to suppo estfor WX a informatiX ry ys se to provide a response, al Administrator, with a Co egon III, sof theIs letter. If you rrsOna ,proprietary, or rmati necessary to provide ,r response that identifies ur response that deletes U must specifically identify the d provide in detail the bases for of Information will create an formation required by idential commercial or financial Normally .- compi cement purposes are placed in the NRC Public Electronic R link .nrc.gov/reading.rm/ADAMS.html.
Since the NRC is not taking enfo ion ag u In this case, a copy of this letter, or a copy of your response if! ly, wi t be placed In the electronic reading link. However, all final NR oI]ments, he final NRC report, are official agency records and may be made 1 able to the p r the Freedom of Information Act (FOIA), subject to a red n of information rdance with the FOIA. -Sincerely, Cynthia D. Pederson, Director Division of Reactor Safety PROPOSED E RCEM T ACTION,NO REL SE WITHOUýT THE AP VAL OF THE FFICE OF E
'8 , Docket No. 50-305 License No. DPR-43
Enclosure:
Letter to NMC with Notice of Violation and Proposed Imposition of Civil Penalty -$60,000 PROPOSE NFORC MENT NoNOT F R RELEASE UT THE ROVAL OF RECTOR, OFFICE ORCEMENT Distribution:
WTravers, EDO SCollins, DEDR FCongel, OE JDyer, NRR RZimmerman, NSIR DDambly, OGC HBell, OIG GCaputo, 01 GGrant, Rill SReynolds, Rill JCreed, Rill CWeil, Rill JDixon-Herrity, OE GLongo, OGC RFranovich, NRR NOT FOR RELEASE WITHOUT APPROVAL OF THE DIRECTOR, OE PROPOý EN RCE ACTION, OT FORR ELEE WITHOUT T7 OPROVAL OTHE DIRECTOR, O e-F ENFO CEMENT