Information Notice 1992-30, Falsification of Plant Records

Falsification of Plant Records
	ML031200393
Person / Time
Site:	Beaver Valley, Millstone, Hatch, Monticello, Calvert Cliffs, Dresden, Davis Besse, Peach Bottom, Browns Ferry, Salem, Oconee, Mcguire, Nine Mile Point, Palisades, Palo Verde, Perry, Indian Point, Fermi, Kewaunee, Catawba, Harris, Wolf Creek, Saint Lucie, Point Beach, Oyster Creek, Watts Bar, Hope Creek, Grand Gulf, Cooper, Sequoyah, Byron, Pilgrim, Arkansas Nuclear, Braidwood, Susquehanna, Summer, Prairie Island, Columbia, Seabrook, Brunswick, Surry, Limerick, North Anna, Turkey Point, River Bend, Vermont Yankee, Crystal River, Haddam Neck, Ginna, Diablo Canyon, Callaway, Vogtle, Waterford, Duane Arnold, Farley, Robinson, Clinton, South Texas, San Onofre, Cook, Comanche Peak, Yankee Rowe, Maine Yankee, Quad Cities, Humboldt Bay, La Crosse, Big Rock Point, Rancho Seco, Zion, Midland, Bellefonte, Fort Calhoun, FitzPatrick, McGuire, LaSalle, Fort Saint Vrain, Shoreham, Satsop, Trojan, Atlantic Nuclear Power Plant, Crane
Issue date:	04/23/1992
From:	Rossi C; Office of Nuclear Reactor Regulation
To:	;
References
	IN-92-030, NUDOCS 9204170113
	Download: ML031200393 (10)
	v • d • e

I

UNITED STATES

NUCLEAR REGULATORY COMMISSION

OFFICE OF NUCLEAR REACTOR REGULATION

WASHINGTON, D.C.

20555

April 23, 1992

NRC INFORMATION NOTICE 92-30: FALSIFICATION OF PLANT RECORDS

Addressees

All holders of operating licenses or construction permits for nuclear power

reactors and all licensed operators and senior operators.

Purpose

The U.S. Nuclear Regulatory Commission (NRC) is issuing this information

notice to alert addressees to the NRC's concern that plant mechanics, technicians, and operators may have falsified plant logs at several nuclear

power plants. The NRC is reminding plant mechanics, technicians, and operators

(both licensed and non-licensed) of the penalties that could result from

intentionally violating Federal regulatory requirements and criminal statutes.

The NRC is also reminding addressees that all personnel are subject to the

requirements of 10 CFR 50.9(a) which states that information required by

statute or by the Commission's regulations be complete and accurate in all

material aspects.

It is expected that recipients will review the information

for applicability to their facilities and consider actions, as appropriate, to

avoid similar problems.

However, suggestions contained in this information

notice are not NRC requirements; therefore, no specific action or written

response is required.

Description of Circumstances

On March 1, 1992, the shift superintendent for the Public Service Company of

New Hampshire's Seabrook Nuclear Station was conducting a surveillance, in

accordance with a personnel performance monitoring program, to verify that

operations department personnel were properly performing their assigned duties.

On this occasion, the shift superintendent reviewed the security department's

computerized card key entry records against locations in which an auxiliary

operator's (AO's) log entries had indicated that he had performed inspections.

The shift superintendent found that the AO had logged "SAT" (satisfactory) for

some plant areas, indicating that he had performed the required periodic

inspections, although the computerized security data indicated that some of

these areas had not been entered.

The shift superintendent's findings prompted the licensee to establish an

independent review team (IRT) to performi a comprehensive analysis of the

root cause(s) and the generic implications of this occurrence. The IRT

interviewed the individuals involved and the management and supervisory

staff and examined a wide range of historical records created or used since

the issuance of the full power operating license, including security logs,

9204170113

5/!

IN 92-30

April 23, 1992 operations logs and procedures, administrative program manuals, and training

lesson plans.

Discrepancies were found by the IRT, and some involved violations

of technical specifications and some involved licensed operators.

In response to the findings at Seabrook, random checks were conducted at the

Haddam Neck Plant and Millstone Nuclear Power Station. To date, no dis- crepancies have been identified at Haddam Neck. At Millstone, the Northeast

Nuclear Energy Company (the licensee) determined that several non-licensed

plant equipment operators (PEOs) had not completed certain inspection rounds

as represented in their logs. The Millstone licensee has since expanded its

evaluation to verifying the accuracy of log entries recorded by all PEOs.

The management at Millstone informed plant personnel of its findings and

expectations for recording log entries. The Millstone licensee also

established an IRT (with a representative from the Seabrook IRT acting in

an advisory status) to investigate its findings, to determine the extent of

the problem, and to determine corrective actions that should be taken.

At Oyster Creek, several non-licensed PEOs were involved with falsification of

records associated with routine plant log taking rounds. None of the records

involved were related to technical specifications. The discovery of the

falsified log entries was from an ongoing random investigation comparing

security door entry records with operator rounds.

As a result of discrepancies found at Seabrook, Oyster Creek, and Millstone, at least one indivie-a-yn his e-pT

tte-rmnn

iniated,-s-everaltudiv-tduals-

-

resigned, and several other individuals were suspended.

On January 28, 1992, two Instrumentation and Control technicians at the Vogtle

Electric Generating Plant, Unit 1, performed a surveillance on a portion of

the reactor trip system instrumentation. The Georgia Power Company (the

licensee) informed the NRC that the technicians failed to properly follow the

surveillance procedure and subsequently created the data that was entered on

the calibration data sheet.

NRC evaluation of each of these matters is continuing.

Discussion of Safety Significance

Maintenance of shift records, log sheets, and surveillance records, attention

to detail, and work ethics are important factors which contribute to the safe

operation of nuclear power plants. Complacency, by mechanics, technicians, or

licensed or non-licensed operators, cannot be tolerated. Similarly, manage- ment expectations and supervisory overview of rounds need to be clearly

communicated and monitored. All personnel involved in NRC-regulated activities

are responsible for complying with applicable NRC regulatory requirements and

other Federal laws.

Log keeping activities as well as surveillances

performed by licensed or non-licensed personnel are subject to the

requirements of 10 CFR 50.9(a) regarding completeness and accuracy of information.

IN 92-30

April 23, 1992 In addition, the administrative section of plant technical specifications

requires that written procedures be implemented covering the applicable proce- dures in Appendix A of Regulatory Guide 1.33, Quality Assurance Program

Requirements (Operation). Among the safety-related activities which Appendix A

states should be covered by written procedures are surveillances and log

entries.

Willful violations, committed by personnel at any level of a licensee's

organization, are of regulatory concern because the NRC must have reasonable

assurance that licensed activities will be conducted in a manner that will

protect the public health and safety. Such reasonable assurance is provided

in large part by the integrity and conscientiousness of each individual

performing licensed activities. Deliberate violations concerning matters

within the scope of an individual's responsibilities, including falsification

of records, will be considered for enforcement action against the individual

as well as the facility licensee. As provided in 10 CFR 50.5, "Deliberate

Misconduct by Unlicensed Persons," 56 Federal Register 40684, August 15, 1991, the NRC may take direct enforcement action against unlicensed personnel who

deliberately cause a licensee to be in violation of the Commission's regulations

or who provide false information to the licensee concerning licensed activities.

Addressees

may wish to take actions as appropriate to ensure that plant

personnel are properly performing their assigned duties.

Addressees

may also

wish to distribute copies of this information notice to all their employees.

This information notice requires no specific action or written response. If

you have any questions about the information in this notice, please contact

one of the technical contact(s) listed below or the appropriate Office of

Nuclear Reactor Regulation (NRR) project manager.

Charles E. Rossi, Director

Division of Operational Events Assessment

Office of Nuclear Reactor Regulation

Technical contact(s):

David C. Fischer, NRR

(301) 504-1154

Eugene M. Kelly, RI

(215) 337-5183

James A. Prell, RI

(215) 337-5108 Attachment:

List of gecently I sued NRC Information Notices

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IN 92-30

April 23, 1992

Page I of 1 I

II

I

LIST OF RECENTLY ISSUED

NRC INFORMATION NOTICES

Information

Date of

Notice No.

Subject

Issuance

Issued to

92-21, Spent Fuel Pool Re-

04/22/92

All holders of OLs or CPs

Supp. 1 activity Calculations

for-nuclear power reactors.

92-29 Potential Breaker Mis-

04/17/92

All holders of OLs or CPs

coordination Caused by

for nuclear power reactors.

Instantaneous Trip

Circuitry

92-28 Inadequate Fire Suppres-

04/08/92

All holders of OLs or CPs

sion System Testing

for nuclear power reactors.

92-27 Thermally Induced Acceler-

04/03/92

All holders of OLs or CPs

ated Aging and Failure of

for nuclear power reactors.

ITE/GOULD A.C. Relays Used

in Safety-Related Applic- ations

92-26 Pressure Locking of Motor-

04/02/92

All holders of OLs or CPs

Operated Flexible Wedge

for nuclear power reactors.

Gate Valves

92-25 Potential Weakness in

03/31/92

All holders of OLs or CPs

Licensee Procedures for A

for nuclear power reactor

Loss of the Refueling

Cavity Water

92-24 Distributor Modification to

03/30/92

All holders of OLs or CPs

Certain Commercial-Grade

for nuclear power reactors.

Agastat Electrical Relays

92-23 Results of Validation Test-

03/27/92

All holders of OLs or CPs

ing of Motor-Operated Valve

for nuclear power reactors

Diagnostic Equipment

and all vendors of motor- operated valve (MOV) diag- nostic equipment.

OL - Operating License

CP

Construction Permit