IA-86-331, Partially Withheld Ltr Discussing Allegation 4-85-A-102 Re Original QA Vault Documents at Plant.Util Required to Inform NRC of Corrective Actions for Violations Noted During Inquiry.Results of Investigation Encl.W/O Encl

Partially Withheld Ltr Discussing Allegation 4-85-A-102 Re Original QA Vault Documents at Plant.Util Required to Inform NRC of Corrective Actions for Violations Noted During Inquiry.Results of Investigation Encl.W/O Encl

ML20235E103
Person / Time
Site:	Wolf Creek
Issue date:	05/01/1986
From:	Emerson M NRC OFFICE OF INSPECTION & ENFORCEMENT (IE REGION IV)
To:	AFFILIATION NOT ASSIGNED
Shared Package
ML20235E045	List: IA-86-331, Partially Withheld Ltr Discussing Allegation 4-85-A-102 Re Original QA Vault Documents at Plant.Util Required to Inform NRC of Corrective Actions for Violations Noted During Inquiry.Results of Investigation Encl.W/O Encl ML20235E042 ML20235E069 ML20235E072 ML20235E080 ML20235E089 ML20235E103
References
FOIA-86-331 NUDOCS 8707100421
Download: ML20235E103 (4)

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Reference:

Allegation 1[o.4-85-A-102 j

This refers to my letter to you dated October 7,1985, which indicated that we had requested our inspectors look into your concerns regarding original QA vault documents at the Wolf Creek facility.

Our inquiry regarding this matter has been completed, and our findings areWith regar documented in an enclosure to this letter.

requirements identified during our inquiry KG6E is required toOur inform us in vriting of the corrective actions theysuch have taken, or plan to take.

actions to insure proper resolution.

b inspectors will continue to o serveI assure Should youyoufind that thatwethe will NRCmonitor was such actions compliance with regulatory requirements.

unable to substantiate part of your concern, this does not necessary mean weit means on find the facts as you stated them to be untrue, h to obtain objective evidence to corroborate your statementsAsthroug a regulatory interviews, document reviews, and/or direct observation.importance along with insu agency, objectivity is of utmost with regulatory requirements.

Ve have benefitted from hearing about your concerns Ve take andourf eel that our actions safety 1.n this matter have been responsive to those issues.

responsibilities to the public very seriously and will continue to do so vigorously within the bounds of our lawful authority.

Sincerely, c

// - -

Mark Emerson Allegations Coordinator Enciosure: As stated ec: Allegation File Information in this record was deleted in accordance I with the Fredom of Inf Act, F0IA-exempt' k- -

l 8707100421 870701 PDR FOIA STEPHEN 86-331 PDR

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b ENCLOSURE On following up on the concerns, the inspector interviewed QARR personnel and also personnel in maintenance and the warehouse. ' The information below was furnished by the individuals interviewed.

- On two occasions (around July 1985)' of ficial records, documents that the been previously accepted and filed in the QARR had mistakenly been returned to the. field without the proper procedures being followed. J Records were mistakenly returned once to the warehouse and once to maintenance . In the maintenance instance, the mistake was identified by

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the individual receiving the records in the field and the records were returned to QARR. 3 The events appear to have been caused' by the method used at the tim'e for making changes, submitted from the field, to documents already filed in the QARR. Changes to records in the QARR are made by submitting a supplemental / correction report (S/CR) to the QARR. When the S/CR was received, personnel would pull the records affected by the change, and during the process of checking the S/CR against the records would place -

both in the same file drawer that was used as a pickup point for records being returned to the field. In the two cases where the QARR records were returned to the field, a runner mistakenly picked up the S/CR and the records that were-being checked and returned both to the field (only the S/CR should have been returned to the field). After these two incidents happened, the practice of placing QARR records in the same file drawer happened, the practice of placing QARR records in the- same file drawer with documents being retuned to the field was stopped.

Two contributing factors to these incidents may have been:

1. A large number of documents were being received in the QARR at the time due to the plant being in the startup phase.

2. Due to the large volume of work, a number of temporary employees were being used in the QARR.

Conclusion:

The allegation is substantiated in that on at least two occasions records were mistakenly returned to the field.

Spacific parts of the allegation not directly addressed above are repeated and discussed below:

1. Allegation: In at least one instance, the originals had been thrown away i

' af ter being returned from the vault to the warehouse. Vault personnel I then obtained "Information Only" copies from the warehouse files and

' placed these copies in the vault as originals.

You do not think that copies were available for all documents that were i thrown away.

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Enclosure Findings: Substantiated - Some of the QA records mistakenly returned to the warehouse were thrown away. The two QARR personnel who rebuilt the records stated that all records were retrieved-copies of warehouse records were used where originals could not be located. The records were rebuilt using the S/CR and transmittal sheet (copy attached) to verify that the rebuilt records were complete. According, to QARR personnel, a 100 percent search of procurement document transmittal sheets, identified by File No. K09-004 was performed to rebuild files. Missing pages were replaced with copies fron the warehouse files.

2. Allegation: When originals that had been incorrectly sent to the field were returned to the vault, the transmittal sheet and computer record were revised so that the records would indicate the original had not left ,

the vault.

Findings: Could neither substantiate nor refute this statement.

Individuals interviewed stated that they knew of no cases where transmittal sheet dates were altered, however, in the two instances discussed above, the documents were placed back in the vault on the original transmittal without updating the dates. Therefore, in these two instances the available documentation does not reflect the fact that the files lef t the QARR and were returned at a later date.

3. Allegation: Individuals in the field frequently called the vault and told them the vault had mistakenly sent them originals.

Findings: Could neither substantiate nor refute this statement.

Individuals interviewed stated that they did ,ot know of any cases where this had happened.

Since you had stated that these concerns had been expressed to Quality First (Q1) at your termination interview, the Q1 file for this concern was reviewed, after it had been investigated and closed by Q1. The concerns expressed to the NRC inspector were more detailed and therefore, substantially different from those expressed to Q1. The Q1 investigator substantiated the allegations given to Q1.

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