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==SUBJECT:==
==SUBJECT:==
NRC INVESTIGATION REPORT NO. 1-2013-003 AND NRC INSPECTION REPORT NO. 05000247/2013013 AND 05000286/2013013
NRC INVESTIGATION REPORT NO. 1-2013-003 AND NRC INSPECTION  
 
REPORT NO. 05000247/2013013 AND 05000286/2013013


==Dear Mr. Ventosa:==
==Dear Mr. Ventosa:==
This letter refers to the investigation conducted by the U. S. Nuclear Regulatory Commission (NRC) Office of Investigations (OI) at Entergy Nuclear Operations, Inc. (Entergy) Indian Point Energy Center (IPEC). The OI investigation, which was completed on July 5, 2013, was conducted to determine whether a Security Coordinator for Access and Fitness for Duty (Coordinator) deliberately falsified access authorization records. The investigation was initiated after Entergy informed the NRC on September 13, 2012, that the Coordinator in question had potentially falsified information on possibly three access authorization forms related to workers being processed at IPEC to support a refueling outage at the James A. Fitzpatrick Nuclear Power Station (JAF). Entergy also informed the NRC at that time that Entergy conducted an investigation and terminated the Coordinator's employment with Entergy at IPEC.
This letter refers to the investigation conducted by the U. S. Nuclear Regulatory Commission (NRC) Office of Investigations (OI) at Entergy Nuclear Operations, Inc. (Entergy) Indian Point Energy Center (IPEC). The OI investigation, which was completed on July 5, 2013, was conducted to determine whether a Security Coordinator for Access and Fitness for Duty (Coordinator) deliberately falsified access authorization records. The investigation was initiated after Entergy informed the NRC on September 13, 2012, that the Coordinator in question had potentially falsified information on possibly three access authorization forms related to workers being processed at IPEC to support a refueling outage at the James A. Fitzpatrick Nuclear Power Station (JAF). Entergy also informed the NRC at that time that Entergy conducted an investigation and terminated the Coordinators employment with Entergy at IPEC.


Based on the evidence gathered during the OI investigation, including the Coordinator's admission to the Access and Fitness for Duty Supervisor at IPEC, the NRC concluded that on three separate occasions while processing access authorization applications, the Coordinator deliberately created false records maintained in the access authorization files regarding his contact with three individuals who were seeking site access. Specifically, the Coordinator recorded in the files that he had spoken to one individual regarding a financial matter disclosed on the personnel history questionnaire (PHQ); a second individual regarding the response to two questions on the PHQ; and to a third individual regarding the failure to report an arrest; when in fact, the Coordinator had not spoken to any of these three individuals.
Based on the evidence gathered during the OI investigation, including the Coordinators admission to the Access and Fitness for Duty Supervisor at IPEC, the NRC concluded that on three separate occasions while processing access authorization applications, the Coordinator deliberately created false records maintained in the access authorization files regarding his contact with three individuals who were seeking site access. Specifically, the Coordinator recorded in the files that he had spoken to one individual regarding a financial matter disclosed on the personnel history questionnaire (PHQ); a second individual regarding the response to two questions on the PHQ; and to a third individual regarding the failure to report an arrest; when in fact, the Coordinator had not spoken to any of these three individuals.


In the first two cases, the information was disclosed by the individuals and would not have likely triggered an interview of the individuals in accordance with regulatory requirements and the specific circumstance of the cases. Therefore, these facts did not cause Entergy to be in violation of any NRC requirements. In the third case, the Coordinator did not follow-up with the individual after discovering a discrepancy between the results of a FBI criminal history check and the criminal history submitted by the individual on the PHQ. This type of discrepancy would have triggered an interview with the individual for clarification, per regulatory requirements in 10 CFR 73.56(d)(7), which state, in part, that the licensee's reviewing official shall evaluate the  
In the first two cases, the information was disclosed by the individuals and would not have likely triggered an interview of the individuals in accordance with regulatory requirements and the specific circumstance of the cases. Therefore, these facts did not cause Entergy to be in violation of any NRC requirements. In the third case, the Coordinator did not follow-up with the individual after discovering a discrepancy between the results of a FBI criminal history check and the criminal history submitted by the individual on the PHQ. This type of discrepancy would have triggered an interview with the individual for clarification, per regulatory requirements in 10 CFR 73.56(d)(7), which state, in part, that the licensees reviewing official shall evaluate the  


UNITED STATES NUCLEAR REGULATORY COMMISSION   REGION I  2100 RENAISSANCE BOULEVARD, SUITE 100 KING OF PRUSSIA, PENNSYLVANIA 19406-2713 entire criminal history record of an individual who is applying for unescorted access or unescorted access authorization so as to determine whether the individual has a record of criminal activity that may adversely impact his or her trustworthiness and reliability.
UNITED STATES NUCLEAR REGULATORY COMMISSION  


If the Access and Fitness for Duty Supervisor (S upervisor) had not detected the criminal history discrepancy, completed the second review of the application, and conducted an interview with the individual, the Coordinator's actions would have caused a violation by Entergy. In this case, the Supervisor served as the reviewing official and a violation was prevented. Therefore, the NRC did not determine IPEC to be in violation.
==REGION I==
2100 RENAISSANCE BOULEVARD, SUITE 100 KING OF PRUSSIA, PENNSYLVANIA 19406-2713 entire criminal history record of an individual who is applying for unescorted access or unescorted access authorization so as to determine whether the individual has a record of criminal activity that may adversely impact his or her trustworthiness and reliability.


You are not required to respond to this letter. However, should you chose to respond, your response should be sent to the U.S. Nuclear Regulatory Commission, ATTN: Regional Administrator, Region I, 2100 Renaissance Boulevard, Suite 100, King of Prussia, PA 19406, and marked "Open by Addressee Only," within 30 days of the date of this letter, with a copy to the NRC Senior Resident Inspector at IPEC.
If the Access and Fitness for Duty Supervisor (Supervisor) had not detected the criminal history discrepancy, completed the second review of the application, and conducted an interview with the individual, the Coordinators actions would have caused a violation by Entergy. In this case, the Supervisor served as the reviewing official and a violation was prevented. Therefore, the NRC did not determine IPEC to be in violation.


In accordance with 10 CFR 2.390 of the NRC's "Rules of Practice," a copy of this letter, and your response if you choose to provide one, will be available electronically for public inspection in the NRC Public Document Room and from the NRC's Agencywide Documents Access and Management System (ADAMS), accessible from the NRC Web site at http://www.nrc.gov/reading-rm/adams.html. Should you have any questions regarding this letter, please contact Mr. Arthur Burritt at
You are not required to respond to this letter. However, should you chose to respond, your response should be sent to the U.S. Nuclear Regulatory Commission, ATTN: Regional Administrator, Region I, 2100 Renaissance Boulevard, Suite 100, King of Prussia, PA 19406, and marked Open by Addressee Only, within 30 days of the date of this letter, with a copy to the NRC Senior Resident Inspector at IPEC.


(610) 337-5069.
In accordance with 10 CFR 2.390 of the NRCs Rules of Practice, a copy of this letter, and your response if you choose to provide one, will be available electronically for public inspection in the NRC Public Document Room and from the NRCs Agencywide Documents Access and Management System (ADAMS), accessible from the NRC Web site at http://www.nrc.gov/reading-rm/adams.html.
 
Should you have any questions regarding this letter, please contact Mr. Arthur Burritt at (610) 337-5069.


Sincerely,
Sincerely,
/RA/ Darrell J. Roberts Director Division of Reactor Projects  
/RA/  
 
Darrell J. Roberts Director  
 
Division of Reactor Projects  
 
Docket Nos.
 
50-247 and 50-286 License Nos. DPR-26, DPR-64
 
cc: Distribution via ListServ entire criminal history record of an individual who is applying for unescorted access or unescorted access authorization so as to determine whether the individual has a record of criminal activity that may adversely impact his or her trustworthiness and reliability.


Docket Nos. 50-247 and 50-286 License Nos. DPR-26, DPR-64 cc: Distribution via ListServ entire criminal history record of an individual who is applying for unescorted access or unescorted access authorization so as to determine whether the individual has a record of criminal activity that may adversely impact his or her trustworthiness and reliability.
If the Access and Fitness for Duty Supervisor (Supervisor) had not detected the criminal history discrepancy, completed the second review of the application, and conducted an interview with the individual, the Coordinators actions would have caused a violation by Entergy. In this case, the Supervisor served as the reviewing official and a violation was prevented. Therefore, the NRC did not determine IPEC to be in violation.


If the Access and Fitness for Duty Supervisor (S upervisor) had not detected the criminal history discrepancy, completed the second review of the application, and conducted an interview with the individual, the Coordinator's actions would have caused a violation by Entergy. In this case, the Supervisor served as the reviewing official and a violation was prevented. Therefore, the NRC did not determine IPEC to be in violation.
You are not required to respond to this letter. However, should you chose to respond, your response should be sent to the U.S. Nuclear Regulatory Commission, ATTN: Regional Administrator, Region I, 2100 Renaissance Boulevard, Suite 100, King of Prussia, PA 19406, and marked Open by Addressee Only, within 30 days of the date of this letter, with a copy to the NRC Senior Resident Inspector at IPEC.


You are not required to respond to this letter. However, should you chose to respond, your response should be sent to the U.S. Nuclear Regulatory Commission, ATTN: Regional Administrator, Region I, 2100 Renaissance Boulevard, Suite 100, King of Prussia, PA 19406, and marked "Open by Addressee Only," within 30 days of the date of this letter, with a copy to the NRC Senior Resident Inspector at IPEC.
In accordance with 10 CFR 2.390 of the NRCs Rules of Practice, a copy of this letter, and your response if you choose to provide one, will be available electronically for public inspection in the NRC Public Document Room and from the NRCs Agencywide Documents Access and Management System (ADAMS), accessible from the NRC Web site at http://www.nrc.gov/reading-rm/adams.html.


In accordance with 10 CFR 2.390 of the NRC's "Rules of Practice," a copy of this letter, and your response if you choose to provide one, will be available electronically for public inspection in the NRC Public Document Room and from the NRC's Agencywide Documents Access and Management System (ADAMS), accessible from the NRC Web site at http://www.nrc.gov/reading-rm/adams.html. Should you have any questions regarding this letter, please contact Mr. Arthur Burritt at (610) 337-5069.
Should you have any questions regarding this letter, please contact Mr. Arthur Burritt at (610) 337-5069.


Sincerely,
Sincerely,
/RA/ Darrell J. Roberts  
/RA/  
 
Darrell J. Roberts Director
 
Division of Reactor Projects


Director Division of Reactor Projects
Docket Nos.


Docket Nos. 50-247 and 50-286 License Nos. DPR-26, DPR-64  
50-247 and 50-286 License Nos. DPR-26, DPR-64  


cc: Distribution via ListServ  
cc: Distribution via ListServ  


Distribution: (via email)
Distribution: (via email)
See next page DOC NAME: S:\Enf-allg\Enforcement\Proposed-Actions\Region1\Indian Point Falsification of Rec. Clst Ltr EA-13-172.docx ADAMS Accession No. ML13325A969 X SUNSI Review/ CJC X Non-Sensitive Sensitive X Publicly Available Non-Publicly Available OFFICE RI/ORA RI/DRP RI\DRS RI\DRS RI\OI RI/RC NAME C Crisden/CJC* A Burritt/TCS for* A Dimitriadis/AD* R Lorson/RL* J Teator/JAT* L Clark DATE 10/31/2013 11/4/2013 11/5/13 11/5/13 11/6/13 11/14/13 OFFICE RI\ORA OE OGC RI/DRP NAME D Holody/DJH* D Furst via email J Gilman via email D Roberts/DJR DATE 11/7/13 10/31/13 10/31/13 11/19/13
See next page  
*See previous concurrence Distribution: (via email)
W. Dean, RI, RA D. Lew, DRA D. Roberts, DRP
 
M. Scott, DRP
 
R. Lorson, DRS
 
J. Trapp, DRS A. Dimitriadis, DRS D. Screnci / N. Sheehan, OPA N. McNamara/ D. Tifft, RI


E. Monteith, RI D. Holody, RI R. Urban, RI M. McLaughlin, RI C. Crisden, RI
DOC NAME: S:\\Enf-allg\\Enforcement\\Proposed-Actions\\Region1\\Indian Point Falsification of Rec. Clst Ltr EA-13-172.docx ADAMS Accession No. ML13325A969


A. Burritt, DRP
X SUNSI Review/ CJC


T. Setzer, DRP L. McKown, DRP J. Petch, DRP J. S. Stewart, SRI
X Non-Sensitive


A. Patel, RI T. Lamb, RI D. Hochmuth, AA
Sensitive


C. O'Daniell, RI Enforcement Coordinators RII, RIII, RIV (C. Evans, S. Orth, H. Gepford)
X Publicly Available


D. Furst, OE
Non-Publicly Available


J. Gilman, OGC M. Halter, NRR S. Coker, NSIR J. Teator, OI
OFFICE RI/ORA RI/DRP RI\\DRS RI\\DRS RI\\OI RI/RC NAME C Crisden/CJC*
A Burritt/TCS for*
A Dimitriadis/AD*
R Lorson/RL*
J Teator/JAT*
L Clark DATE 10/31/2013 11/4/2013 11/5/13 11/5/13 11/6/13 11/14/13 OFFICE RI\\ORA OE OGC RI/DRP


S. Coughlin, OI M. Holmes, OI R1DRPMailResource R1 OE Files (with concurrences) ROPreportsResource@nrc.gov RidsNrrPMIndianPoint Resource
NAME D Holody/DJH*
D Furst via email J Gilman via email D Roberts/DJR


RidsNrrDorlLpl1-1 Resource
DATE 11/7/13 10/31/13 10/31/13 11/19/13
* See previous concurrence Distribution: (via email)
W. Dean, RI, RA D. Lew, DRA D. Roberts, DRP M. Scott, DRP R. Lorson, DRS J. Trapp, DRS A. Dimitriadis, DRS D. Screnci / N. Sheehan, OPA N. McNamara/ D. Tifft, RI E. Monteith, RI D. Holody, RI R. Urban, RI M. McLaughlin, RI C. Crisden, RI A. Burritt, DRP T. Setzer, DRP L. McKown, DRP J. Petch, DRP J. S. Stewart, SRI A. Patel, RI T. Lamb, RI D. Hochmuth, AA C. ODaniell, RI Enforcement Coordinators RII, RIII, RIV (C. Evans, S. Orth, H. Gepford)
D. Furst, OE J. Gilman, OGC M. Halter, NRR S. Coker, NSIR J. Teator, OI S. Coughlin, OI M. Holmes, OI R1DRPMailResource R1 OE Files (with concurrences)
ROPreportsResource@nrc.gov RidsNrrPMIndianPoint Resource RidsNrrDorlLpl1-1 Resource
}}
}}

Latest revision as of 01:57, 11 January 2025

IR 05000247-13-013 and 05000286-13-013, July 5, 2013, and Investigation Report 1-2013-003, Indian Point
ML13325A969
Person / Time
Site: Indian Point  Entergy icon.png
Issue date: 11/19/2013
From: Darrell Roberts
Division Reactor Projects I
To: Ventosa J
Entergy Nuclear Operations
Burritt A
References
1-2013-003, EA-13-172 IR 13-013, IR-1-2013-003
Download: ML13325A969 (4)
v • d • e


Text

November 19, 2013

SUBJECT:

NRC INVESTIGATION REPORT NO. 1-2013-003 AND NRC INSPECTION

REPORT NO. 05000247/2013013 AND 05000286/2013013

Dear Mr. Ventosa:

This letter refers to the investigation conducted by the U. S. Nuclear Regulatory Commission (NRC) Office of Investigations (OI) at Entergy Nuclear Operations, Inc. (Entergy) Indian Point Energy Center (IPEC). The OI investigation, which was completed on July 5, 2013, was conducted to determine whether a Security Coordinator for Access and Fitness for Duty (Coordinator) deliberately falsified access authorization records. The investigation was initiated after Entergy informed the NRC on September 13, 2012, that the Coordinator in question had potentially falsified information on possibly three access authorization forms related to workers being processed at IPEC to support a refueling outage at the James A. Fitzpatrick Nuclear Power Station (JAF). Entergy also informed the NRC at that time that Entergy conducted an investigation and terminated the Coordinators employment with Entergy at IPEC.

Based on the evidence gathered during the OI investigation, including the Coordinators admission to the Access and Fitness for Duty Supervisor at IPEC, the NRC concluded that on three separate occasions while processing access authorization applications, the Coordinator deliberately created false records maintained in the access authorization files regarding his contact with three individuals who were seeking site access. Specifically, the Coordinator recorded in the files that he had spoken to one individual regarding a financial matter disclosed on the personnel history questionnaire (PHQ); a second individual regarding the response to two questions on the PHQ; and to a third individual regarding the failure to report an arrest; when in fact, the Coordinator had not spoken to any of these three individuals.

In the first two cases, the information was disclosed by the individuals and would not have likely triggered an interview of the individuals in accordance with regulatory requirements and the specific circumstance of the cases. Therefore, these facts did not cause Entergy to be in violation of any NRC requirements. In the third case, the Coordinator did not follow-up with the individual after discovering a discrepancy between the results of a FBI criminal history check and the criminal history submitted by the individual on the PHQ. This type of discrepancy would have triggered an interview with the individual for clarification, per regulatory requirements in 10 CFR 73.56(d)(7), which state, in part, that the licensees reviewing official shall evaluate the

UNITED STATES NUCLEAR REGULATORY COMMISSION

REGION I

2100 RENAISSANCE BOULEVARD, SUITE 100 KING OF PRUSSIA, PENNSYLVANIA 19406-2713 entire criminal history record of an individual who is applying for unescorted access or unescorted access authorization so as to determine whether the individual has a record of criminal activity that may adversely impact his or her trustworthiness and reliability.

If the Access and Fitness for Duty Supervisor (Supervisor) had not detected the criminal history discrepancy, completed the second review of the application, and conducted an interview with the individual, the Coordinators actions would have caused a violation by Entergy. In this case, the Supervisor served as the reviewing official and a violation was prevented. Therefore, the NRC did not determine IPEC to be in violation.

You are not required to respond to this letter. However, should you chose to respond, your response should be sent to the U.S. Nuclear Regulatory Commission, ATTN: Regional Administrator, Region I, 2100 Renaissance Boulevard, Suite 100, King of Prussia, PA 19406, and marked Open by Addressee Only, within 30 days of the date of this letter, with a copy to the NRC Senior Resident Inspector at IPEC.

In accordance with 10 CFR 2.390 of the NRCs Rules of Practice, a copy of this letter, and your response if you choose to provide one, will be available electronically for public inspection in the NRC Public Document Room and from the NRCs Agencywide Documents Access and Management System (ADAMS), accessible from the NRC Web site at http://www.nrc.gov/reading-rm/adams.html.

Should you have any questions regarding this letter, please contact Mr. Arthur Burritt at (610) 337-5069.

Sincerely,

/RA/

Darrell J. Roberts Director

Division of Reactor Projects

Docket Nos.

50-247 and 50-286 License Nos. DPR-26, DPR-64

cc: Distribution via ListServ entire criminal history record of an individual who is applying for unescorted access or unescorted access authorization so as to determine whether the individual has a record of criminal activity that may adversely impact his or her trustworthiness and reliability.

If the Access and Fitness for Duty Supervisor (Supervisor) had not detected the criminal history discrepancy, completed the second review of the application, and conducted an interview with the individual, the Coordinators actions would have caused a violation by Entergy. In this case, the Supervisor served as the reviewing official and a violation was prevented. Therefore, the NRC did not determine IPEC to be in violation.

You are not required to respond to this letter. However, should you chose to respond, your response should be sent to the U.S. Nuclear Regulatory Commission, ATTN: Regional Administrator, Region I, 2100 Renaissance Boulevard, Suite 100, King of Prussia, PA 19406, and marked Open by Addressee Only, within 30 days of the date of this letter, with a copy to the NRC Senior Resident Inspector at IPEC.

In accordance with 10 CFR 2.390 of the NRCs Rules of Practice, a copy of this letter, and your response if you choose to provide one, will be available electronically for public inspection in the NRC Public Document Room and from the NRCs Agencywide Documents Access and Management System (ADAMS), accessible from the NRC Web site at http://www.nrc.gov/reading-rm/adams.html.

Should you have any questions regarding this letter, please contact Mr. Arthur Burritt at (610) 337-5069.

Sincerely,

/RA/

Darrell J. Roberts Director

Division of Reactor Projects

Docket Nos.

50-247 and 50-286 License Nos. DPR-26, DPR-64

cc: Distribution via ListServ

Distribution: (via email)

See next page

DOC NAME: S:\\Enf-allg\\Enforcement\\Proposed-Actions\\Region1\\Indian Point Falsification of Rec. Clst Ltr EA-13-172.docx ADAMS Accession No. ML13325A969

X SUNSI Review/ CJC

X Non-Sensitive

Sensitive

X Publicly Available

Non-Publicly Available

OFFICE RI/ORA RI/DRP RI\\DRS RI\\DRS RI\\OI RI/RC NAME C Crisden/CJC*

A Burritt/TCS for*

A Dimitriadis/AD*

R Lorson/RL*

J Teator/JAT*

L Clark DATE 10/31/2013 11/4/2013 11/5/13 11/5/13 11/6/13 11/14/13 OFFICE RI\\ORA OE OGC RI/DRP

NAME D Holody/DJH*

D Furst via email J Gilman via email D Roberts/DJR

DATE 11/7/13 10/31/13 10/31/13 11/19/13

  • See previous concurrence Distribution: (via email)

W. Dean, RI, RA D. Lew, DRA D. Roberts, DRP M. Scott, DRP R. Lorson, DRS J. Trapp, DRS A. Dimitriadis, DRS D. Screnci / N. Sheehan, OPA N. McNamara/ D. Tifft, RI E. Monteith, RI D. Holody, RI R. Urban, RI M. McLaughlin, RI C. Crisden, RI A. Burritt, DRP T. Setzer, DRP L. McKown, DRP J. Petch, DRP J. S. Stewart, SRI A. Patel, RI T. Lamb, RI D. Hochmuth, AA C. ODaniell, RI Enforcement Coordinators RII, RIII, RIV (C. Evans, S. Orth, H. Gepford)

D. Furst, OE J. Gilman, OGC M. Halter, NRR S. Coker, NSIR J. Teator, OI S. Coughlin, OI M. Holmes, OI R1DRPMailResource R1 OE Files (with concurrences)

ROPreportsResource@nrc.gov RidsNrrPMIndianPoint Resource RidsNrrDorlLpl1-1 Resource

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