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{{Adams
#REDIRECT [[IR 05000219/2021402]]
| number = ML21176A049
| issue date = 07/28/2021
| title = NRC Investigation Report I-2020-007; NRC Inspection Report 05000219/2021402 & 07200015/2021401
| author name = Welling B
| author affiliation = NRC/RGN-I/DRS
| addressee name = Cowan P
| addressee affiliation = Holtec Decommissioning International, LLC
| docket = 05000219, 07200015
| license number = DPR-016
| contact person = Marjorie McLaughlin
| case reference number = EA-21-041, OI 1-2020-007
| document type = Letter, OI Investigation Report
| page count = 8
}}
See also: [[see also::IR 05000219/2021402]]
 
=Text=
{{#Wiki_filter:UNITED STATES
                              NUCLEAR REGULATORY COMMISSION
                                                REGION I
                                  2100 RENAISSANCE BOULEVARD, SUITE 100
                                      KING OF PRUSSIA, PA 19406-2713
                                              July 28, 2021
EA-21-041
Ms. Pamela B. Cowan
Senior Vice President
  and Chief Operating Officer
Holtec Decommissioning International, LLC
1 Holtec Blvd., Krishna P. Singh Technology Campus
Camden, NJ 08104
SUBJECT:        OYSTER CREEK NUCLEAR GENERATING STATION - NRC INVESTIGATION
                REPORT I-2020-007; NRC INSPECTION REPORT NOS. 05000219/2021402 &
                07200015/2021401
Dear Ms. Cowan:
This letter refers to the investigation initiated on March 13, 2020, by the NRC Office of
Investigations (OI) and conducted at Holtec Decommissioning International, LLCs (HDIs)
Oyster Creek Nuclear Generating Station (Oyster Creek). The investigation, which was
completed on March 11, 2021, evaluated whether a (now-former) training superintendent at
Oyster Creek, who was also responsible for performing armorer duties, deliberately failed to
perform firearms maintenance activities and falsified records related to those activities. Based
on the evidence gathered during the investigation, the NRC preliminarily determined that the
superintendent deliberately failed to perform certain required firearms maintenance activities for
calendar year 2019, that the superintendent deliberately falsified records related to these
activities, and that these falsified records were submitted to the NRC in response to an April 10,
2020, information request. A factual summary of the OI investigation is included as Enclosure 1
to this letter.
Based on the investigation, the NRC identified three apparent violations (AVs), two of which are
being considered for escalated enforcement action, including a civil penalty, in accordance with
the NRC Enforcement Policy. The current Enforcement Policy is available on the NRCs Web
site at http://www.nrc.gov/about-nrc/regulatory/enforcement/enforce-pol.html. The AVs being
considered for escalated enforcement action involved: (1) the deliberate failure of the
superintendent to perform required annual material condition inspections of firearms, contrary to
Title 10 of the Code of Federal Regulations (10 CFR) Part 73, Appendix B, Criterion VI.G,
Weapons, Personal Equipment, and Maintenance, and procedures required by the
Commission-approved Oyster Creek Training and Qualification Plan; and (2) the provision of
information to the NRC regarding the annual material inspections of firearms that was not
complete and accurate in all material respects, contrary to 10 CFR 50.9(a). The third violation,
not being considered for escalated enforcement action, involved the failure to perform the
required biennial firearms parts replacement.
Enclosure 2 provides a description of the AVs. Please be advised that the number and
characterization of AVs described in Enclosure 2 may change as a result of further NRC review.
 
P. Cowan                                            2
You will be advised by separate correspondence of the results of our deliberations on this
matter.
Before the NRC makes its enforcement decision regarding the AVs, we request that you provide
information in writing regarding HDIs corrective actions. The written response should include:
(1) the reason for the AVs or, if contested, the basis for disputing the AVs; (2) the corrective
steps that have been taken and the results achieved; (3) the corrective steps that will be taken;
and (4) the date when full compliance will be achieved. You should be aware that the
promptness and comprehensiveness of your actions will be considered in assessing any civil
penalty for the AVs. The guidance in the enclosed excerpt from NRC Information Notice 96-28,
"Suggested Guidance Relating to Development and Implementation of Corrective Action," may
be helpful.
The written response should be sent to the NRC within 30 days of the date of this letter. Your
response may reference or include previously docketed correspondence, if the correspondence
adequately addresses the required response. You should clearly mark the response as a
Response to Apparent Violations in NRC Investigation No. 1-2020-007; EA-21-041, and send
it to the U.S. Nuclear Regulatory Commission, ATTN: Document Control Desk, Washington,
DC 20555-0001 with a copy to the Regional Administrator, NRC Region I, 2100 Renaissance
Boulevard, Suite 100, King of Prussia, PA 19406. If an adequate response is not received
within the time specified or an extension of time has not been granted by the NRC, the NRC will
proceed with its enforcement decision or schedule a pre-decisional enforcement conference
(PEC).
In lieu of providing a written response, you may choose to provide your perspective on this
matter, including the significance, cause, and corrective actions, as well as any other
information that you believe the NRC should take into consideration, by: (1) requesting a PEC
to meet with the NRC and provide your views in person; or (2) requesting Alternative Dispute
Resolution (ADR) mediation.
If you choose to request a PEC, the meeting should be held within 30 days of the date of this
letter. The conference will include an opportunity for you to provide your perspective on these
matters and any other information that you believe the NRC should take into consideration
before making an enforcement decision. The decision to hold a PEC does not mean that the
NRC has determined that a violation has occurred or that enforcement action will be taken. This
conference would be conducted to obtain information to assist the NRC in making an
enforcement decision. The topics discussed during the PEC may include information to
determine whether a violation occurred, information to determine the significance of a violation,
information related to the identification of a violation, and information related to any corrective
actions taken or planned.
In lieu of a PEC, you may also request ADR with the NRC in an attempt to resolve this issue.
ADR is a general term encompassing various techniques for resolving conflicts using a neutral
third party. The technique that the NRC has decided to employ is mediation; a voluntary,
informal process in which a trained neutral (the mediator) works with parties to help them
reach resolution. If the parties agree to use ADR, they select a mutually agreeable neutral
mediator who has no stake in the outcome and no power to make decisions. Mediation gives
parties an opportunity to discuss issues, clear up misunderstandings, be creative, find areas of
agreement, and reach a final resolution of the issues. Additional information concerning the
NRC ADR program can be obtained at http://www.nrc.gov/about-
 
P. Cowan                                        3
nrc/regulatory/enforcement/adr.html. The Institute on Conflict Resolution (ICR) at Cornell
University has agreed to facilitate the NRC program as a neutral third party. Please contact ICR
at 877-733-9415 within 10 days of the date of this letter if you are interested in pursuing
resolution of this issue through ADR. The ADR mediation session should be held within 45
days of the date of this letter.
Either the PEC or the ADR would be closed to public observation because the NRCs
preliminary findings are based on an NRC OI report that has not been publicly disclosed.
However, the time and date of the PEC or ADR will be publicly announced. Please contact Fred
Bower, Chief, Security, Emergency Preparedness, and Incident Response Branch, NRC Region
I, at 610-337-5200 or Fred.Bower@nrc.gov within 10 days of the date of this letter to notify the
NRC which of the above options you choose.
In accordance with 10 CFR 2.390 of the NRC's "Rules of Practice," a copy of this letter, its
enclosures, and your response, if you choose to provide one, will be made available
electronically for public inspection in the NRC Public Document Room or 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. To the extent possible, your response
should not include any personal privacy, proprietary, or safeguards information so that it can be
made available to the public without redaction.
Please note that final NRC investigation documents, such as the OI report described above,
may be made available to the public under the Freedom of Information Act (FOIA), subject to
redaction of information appropriate under the FOIA. Requests under the FOIA should be made
in accordance with 10 CFR 9.23, Requests for Records. Additional information is available on
the NRC website at http://www.nrc.gov/reading-rm/foia/foia-privacy.html.
The AVs will be administratively tracked under Inspection Report Nos. 05000219/2021402 &
07200015/2021401. If you have any questions related to this matter, please contact Mr. Bower
at 610-337-5200 or Fred.Bower@nrc.gov.
                                                  Sincerely,
                                                                          Digitally signed by Blake D.
                                                  Blake D. Welling WellingDate: 2021.07.28 08:28:40 -04'00'
                                                  Blake D. Welling, Director
                                                  Division of Radiological Safety and Security
Docket No. 50-219
License No. DPR-16
Enclosures:
1. Factual Summary of NRC OI Case No. 1-2020-007
2. Apparent Violations Identified Through NRC OI Case No. 1-2020-007
3. NRC Information Notice 96-28, "Suggested Guidance Relating to Development and
    Implementation of Corrective Action"
cc w/encl:      Distribution via ListServ
 
 
ML21176A049
                                              Non-Sensitive                              Publicly Available
      SUNSI Review/ MMM*
                                              Sensitive                                  Non-Publicly Available
OFFICE          RI/ORA                RI/DRSS              RI/DRSS              RI/ORA                  RI/ ORA
                M McLaughlin via                            J Nicholson for A    B Klukan NLO via        R McKinley via
NAME                                  F Bower via email
                email                                        Dimitriadis via email email                    email
DATE            6/28/21                6/28/21              6/28/21              7/06/21                  7/02/21
OFFICE          OE                    NMSS                  NSIR                  OGC                      RI/DRSS
                                      M Burgess quick                            T Steinfeldt NLO via
NAME            D Furst via email                            S Lee via email                                BWelling via email
                                      review                                      email
DATE            7/26/21                7/26/21              7/09/21              7/21/21                  7/28/21
          *Concurrence on previous page                       
SUBJECT:      OYSTER CREEK NUCLEAR GENERATING STATION - NRC INVESTIGATION
              REPORT I-2020-007; NRC INSPECTION REPORT NOS. 05000219/2021402 &
              07200015/2021401Dated July 28, 2021
Distribution w/ encl
ADAMS (PARS)
SECY                                    RIDSSECYMAILCENTER
OEMAIL
OEWEB
M Doane, EDO                            RIDSEDOMAILCENTER
D Roberts, DEDM
M Lombard, OE                          RIDSOEMAILCENTER
J Peralta, OE
N Hasan, OE
D Furst, OE
J Lubinski, NMSS                        RIDSNMSSMAIL CENTER
R Lewis, NMSS
K Williams, NMSS
M Burgess, NMSS
M Gavrilas, NSIR                        RIDSNSIRMAILCENTER
S Prasad, NSIR
Enforcement Coordinators RII, RIII, RIV
        (M Kowal, J Cameron, D Dodson)
M Lemoncelli, OGC                      RIDSOGCMAILCENTER
T Steinfeldt, OGC
H Harrington, OPA                      RIDSOPAMAILCENTER
R Feitel, OIG                          RIDSOIGMAILCENTER
A Higgs, OI                            RIDSOIMAILCENTER
D DAbate, OCFO                        RIDSOCFOMAILCENTER
D Lew, RA                              R1ORAMAIL RESOURCE
R Lorson, DRA                            R1ORAMAIL RESOURCE
B Welling, DRSS                          R1DRSSMAIL RESOURCE
T Bloomer, DRSS                          R1DRSSMAIL RESOURCE
A Dimitriadis, DRSS
F Bower, DRSS
J Rey, DRSS
D Screnci, PAO-RI / N Sheehan, PAO-RI
D Tifft, SLO-RI
B Klukan, RI
R McKinley, RI
C Crisden, RI
D Garvin, RI
Region I OE Files (with concurrences)
 
                                              ENCLOSURE 1
            Factual Summary of NRC Office of Investigations (OI) Case No. 1-2020-007
In February 2020, while reviewing the 2019 firearms maintenance and testing logs provided to
the NRC by Oyster Creek Nuclear Generating Station (Oyster Creek) for an upcoming security
baseline inspection, NRC inspectors identified several inconsistencies suggesting that an
armorer potentially falsified the records. During the subsequent investigation by the NRC Office
of Investigations (OI), the NRC determined that the armorer most likely completed the required
firearms tests but apparently documented inaccurate dates on which tests for certain weapons
took place in October 2019. In testimony to OI, the armorer acknowledged that he may have
messed up and documented incorrect weapons and/or dates when completing the firearms
maintenance and testing logs.
However, during the investigation, the NRC also identified that the licensees 2019 firearms
maintenance and testing logs had apparently been changed to falsely indicate that the armorer
performed the required annual material condition inspections on firearms. Therefore, OI
considered whether the armorer knowingly failed to perform the inspections and whether he
falsified related inspection records submitted to the NRC. Namely, on the 2019 firearms records
the licensee submitted for the NRC inspection, the fields for date and performed by for the
annual material condition inspections were left blank, indicating to the NRC that the licensee did
not conduct this activity. On March 16, 2020, the armorer told the NRC security inspector that
Oyster Creek staff no longer performed this inspection and that the procedure was being
changed to remove the requirement. However, the armorer acknowledged that the procedure
change had not yet happened and that such a change required NRC approval. In response to
an April 10, 2020, information request from OI, the licensee resubmitted its firearms logs to the
NRC, and the date and performed by fields were filled out, which would indicate that the
licensee had completed the annual material condition inspections. The armorer informed OI
that he filled in these fields after talking to the NRC inspector. He stated that he probably did
not perform the inspections but maintained that he did not exactly remember what he did. The
NRC determined that the annual material inspections were not performed in 2019 due to the
armorers deliberate failure to perform them and that the armorer deliberately falsified the
records provided to the NRC to indicate that the inspections had been performed.
Separately, on March 16, 2020, the armorer told an NRC security inspector that he did not
perform biennial parts replacements on contingency rifles in 2019. The armorer acknowledged
to the inspector and to OI that he did not perform the parts replacement because the procedure
was being revised to remove the requirement. Unlike with the material inspection, the armorer
stated that he had discussed the parts replacement with his supervisor, and the armorer
believed that he had permission from his management to not perform this work. The armorer
also documented the failure to perform the replacement activity in an Issue Report. Therefore,
the NRC determined that the biennial parts replacement was not performed in 2019 as required,
but did not find sufficient evidence to conclude that this failure was willful.
 
                                          ENCLOSURE 2
                Apparent Violations Identified Through NRC OI Case No. 1-2020-007
APPARENT VIOLATIONS BEING CONSIDERED FOR ESCALATED ACTION
A. 10 CFR Part 73, Appendix B, Criterion VI.G, Weapons, Personal Equipment, and
  Maintenance, Section 3(a), Firearms maintenance program, requires that each licensee
  shall implement a firearms maintenance and accountability program in accordance with the
  Commission regulations and the Commission-approved training and qualification plan. The
  program must include, in part: (1) Semiannual test firing for accuracy and functionality; (2)
  Firearms maintenance procedures that include cleaning schedules and cleaning
  requirements; (3) Program activity documentation; and (4) Control and accountability
  (weapons and ammunition).
  The Oyster Creek Training and Qualification Plan is Appendix B to the sites Physical
  Security Plan. Section 20.5 of Revision 18 of the Training and Qualification Plan states, in
  part, that a testing and maintenance program for all assigned firearms is established to
  ensure that the firearms and related accessories function as intended. The program is
  described in facility procedures.
  Oyster Creek procedure SY-AA-150-103, Revision 0, Firearms Maintenance, Testing, and
  Accountability, constitutes the facility procedure for the testing, cleaning, and inspecting of
  security weapons. Step 4.2.4.2 states, in part, annually, perform the material condition
  inspection on all duty firearms. Step 2.3, in terms and definitions, defines "annual" as once
  per calendar year.
  Contrary to the above, from January 1, 2019, through December 31, 2019, the licensee did
  not implement a firearms maintenance and accountability program in accordance with
  Commission regulation and the Commission-approved training and qualification plan, in that,
  the licensee did not implement the firearms testing and maintenance program as described
  in facility procedures. Specifically, for calendar year 2019, the licensee did not annually
  perform the material condition inspection on all duty firearms
B. 10 CFR 50.9(a) requires, in part, that information provided to the Commission by a licensee
  or information required by the Commission's regulations to be maintained by the licensee
  shall be complete and accurate in all material respects.
  10 CFR 73.70(e) states, in part, that each licensee subject to the provisions of 10 CFR
  73.55 shall keep documentation of all tests, inspections, and maintenance performed on
  security related equipment used pursuant to the requirements of this part for three years
  from the date of documenting the event. 10 CFR 73.55(a)(1) indicates that the section
  applies to nuclear power reactor licensees that are licensed under 10 CFR Part 50.
  Contrary to the above, as of approximately April 10, 2020, information provided to the
  Commission by the licensee and that was required by the Commission's regulations to be
  maintained by the licensee was not complete and accurate in all material respects.
  Specifically, in response to an April 10, 2020, information request from the NRC, the
  licensee submitted to the NRC copies of the 2019 firearms maintenance logs that contained
  inaccurate information. The logs documented that annual material condition inspections had
 
  been performed on each of the licensees duty firearms; however, the licensee had not
  performed the inspections. This information is material to the NRC because the NRC
  requires testing and maintenance of weapons to ensure they are in acceptable working
  condition. Accurate recordkeeping of such activities ensures that the weapons maintenance
  program is fulfilling these requirements.
APPARENT VIOLATION BEING CONSIDERED FOR NON-ESCALATED ACTION
  10 CFR Part 73, Appendix B, Criterion VI.G, Weapons, Personal Equipment, and
  Maintenance, Section 3(a), Firearms maintenance program, requires that each licensee
  shall implement a firearms maintenance and accountability program in accordance with the
  Commission regulations and the Commission-approved training and qualification plan. The
  program must include, in part: (1) Semiannual test firing for accuracy and functionality; (2)
  Firearms maintenance procedures that include cleaning schedules and cleaning
  requirements; (3) Program activity documentation; and (4) Control and accountability
  (weapons and ammunition).
  The Oyster Creek Training and Qualification Plan is Appendix B to the sites Physical
  Security Plan. Section 20.5 of Revision 18 of the Training and Qualification Plan states, in
  part, that a testing and maintenance program for all assigned firearms is established to
  ensure that the firearms and related accessories function as intended. The program is
  described in facility procedures.
  Oyster Creek procedure SY-AA-150-103, Revision 0, Firearms Maintenance, Testing, and
  Accountability, constitutes the facility procedure for the testing, cleaning, and inspecting of
  security weapons. Step 4.2.5, states, replace the following components on duty rifles
  biennially: hammer spring, trigger spring, disconnector spring, extractor spring, ejector
  spring, and gas rings. SY-AA-150-103-F-04, Rifle Material Condition Inspection/
  Functionality/ Accuracy Tests states, in part, biennially, replace the following components on
  contingency rifles and note this as being completed in the weapons maintenance log. Step
  2.7 defines "biennial" as at least once every two years.
  Contrary to the above, as of January 1, 2020, the licensee did not implement a firearms
  maintenance and accountability program in accordance with Commission regulation and the
  Commission-approved training and qualification plan, in that, the licensee did not implement
  the firearms testing and maintenance program as described in facility procedures.
  Specifically, in calendar year 2019, the licensee did not complete the biennial replacement
  of components on duty and contingency rifles. The licensee had not replaced the rifle
  components since 2017.
                                                2
}}

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