Information Notice 1987-64, Conviction for Falsification of Security Training Records

Conviction for Falsification of Security Training Records
	ML031210636
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, Three Mile Island, 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, 05000000, Zimmer, Fort Saint Vrain, Shoreham, Satsop, Trojan, Atlantic Nuclear Power Plant
Issue date:	12/22/1987
From:	Rossi C; Office of Nuclear Reactor Regulation
To:	;
References
	IN-87-064, NUDOCS 8712160369
	Download: ML031210636 (12)
	v • d • e

IN 87-64 UNITED STATES

NUCLEAR REGULATORY COMMISSION

OFFICE OF NUCLEAR REACTOR REGULATION

WASHINGTON, D.C. 20555 December 22, 1987 NRC INFORMATION NOTICE NO. 87-64: CONVICTION FOR FALSIFICATION OF

SECURITY TRAINING RECORDS

Addressees

license or a con- All nuclear power reactor facilities holding an operating

struction permit and all major fuel facility licensees.

Purpose

their employees, and

This information notice is provided to alert recipients, by the U.S. Department

their contractors' employees to the criminal prosecutionCourt in Philadelphia, of Justice, and subsequent conviction in U.S. District Electric Company's

of two former contractor security employees at Philadelphia

Limerick Nuclear Generating Station.

for applicability to

It is expected that recipients will review the information preclude a similar

to

their facilities and consider actions, if appropriate, to (1) review and provide this

problem. In this regard, recipients may wish

in NRC licensed activi- notice to employees and contractors' employees involved keeping records, and

making and

ties, especially those employees involved inemployees that not only are licen-

(2) remind their own and their contractors' of NRC requirements, sees subject to civil enforcement action for violations

requirements are also subject

but individuals who intentionally violate these

to criminal prosecution.

those for dissemina- However, suggestions contained in this notice, including therefore, no specific

tion of this notice, do not constitute NRC requirements;

action or written response is required.

Description of Circumstances

that the training records

On September 25, 1984, the NRC received an allegation contractor at Limer- of an employee of Yoh Security, Inc., the former securityhad received certain

ick, had been falsified to indicate that the individual

such training. In

training when, in fact, the employee had not received conducted by the NRC's Office

response to this allegation, an investigation was

the NRC found that

of Investigations (01). On the basis of that Investigation, then-current and former

training and qualification records for more than 40 had been done at

armed guards had been falsified and that those falsifications

and management person- the direction of certain Yoh Security, Inc., supervisory Department of Justice.

to the

nel. The 0! investigation report was referred

871216

IN 87-64 December 22, 1987 Two former employees of Yoh Security, Inc., were subsequently convicted in U.S.

District Court in Philadelphia. On July 15, 1987, the former Site Manager of

Yoh Security, Inc., was sentenced to six months' imprisonment and fined

$30,000. The former Operations Captain was placed on'probation for five years.

Discussion:

Licensees have the responsibility for ensuring the safe performance of licensed

activities. In so doing, licensees must not only use trained individuals, provide adequate procedures, and maintain accurate records, but must also

exercise supervision over their employees and their contractors' employees to

ensure that procedures are followed and NRC requirements are met. While

violations of NRC requirements caused by inattention to detail and human error

are unacceptable to the NRC and may result in civil enforcement action, they do

not subject individuals to criminal prosecution. However, violations caused by

intentional acts may subject corporations, the individual wrongdoer, and others

who knew and condoned such acts to criminal prosecution. As evidenced by this

reported case, as well as other cases previously described in Information

Notices 85-97, 'Jail Term for Former Contractor Employee Who

Intent

ionally

Falsified Welding Inspection Records,' and 86-54, "Criminal Prosecution of a

Former Radiation Safety Officer Who Willfully Directed an Unqualified Individu- al to Perform Radiography," the criminal sanctions available may include a fine

and/or imprisonment.

No specific action or written response is required by this information notice.

If you have any questions about this matter, please contact the person

indicated below or the Regional Administrator of the appropriate regional

office.

Ctir54 Rossi, Director

Division of Operational Events Assessment

Office of Nuclear Reactor Regulation

Technical Contact:

Loren L. Bush, Jr., NRR

(301) 492-8080

Attachments:

1. Information Notice No. 85-97

2. Information Notice No. 86-54

3. List of Recently Issued NRC Information Notices

Attachment 1 SSINS No.: 6835 IN 85-97 UNITED STATES

NUCLEAR REGULATORY COMMISSION

OFFICE OF INSPECTION AND ENFORCEMENT

WASHINGTON, D.C. 20555 December 26, 1985 fE INFORMATION NOTICE NO. 85-97: JAIL TERM FOR FORMER CONTRACTOR EMPLOYEE WHO

INTENT

IONALLY FALSIFIED WELDING INSPECTION

RECORDS

Addressees

-

All nuclear power reactor facilities holding an operating license (OL) or a

construction permit (CP).

Purpose

This information notice is to inform licensees, contractors and their employees

of the criminal prosecution by the U.S. Department of Justice of a contractor

C inspector employed at the Seabrook Nuclear Power Station, and a resultant

Jail sentence. The individual intentionally falsified records of liquid penetrant

and magnetic particle testing of welding joints in piping, pipe braces and

structural steel. The NRC suggests that recipients review and provide widespread

dissemination of this notice to employees and contractors' employees involved in

safety-related activities, especially those employees involved in making and

keeping records. The NRC further suggests that recipients remind their own and

contractor employees that not only are licensees subject to civil enforcement

action for violations of NRC requirements, but individuals who intentionally

violate these requirements are also subject to criminal prosecution. The

suggestions for dissemination of this notice do not constitute NRC requirements;

therefore, no specific action or written response is required.

Description of Circumstances

In March 1983, management of Pullman Higgins (P-H), principal contractor for

construction of the Seabrook Nuclear Power Station, identified deficiencies in

a QC inspection report of liquid penetrant and magnetic particle testing. Rather

than assuming the deficiency to be an isolated occurrence, P-H investigated other

reports prepared by the individual and found similar deficiencies. As a result, the individual's employment was terminated in April 1983.

Subsequently, during an investigation conducted by the NRC's Office of

Investigation (01), the individual, after initial denial, admitted falsifying

the inspection reports in that he documented work as being complete and accept- able when, in fact, he had not performed the inspection of the work. Further, the individual also admitted that he had lied on his job application and resume

regarding his formal education and previous NDE certification. The case was

8512230036

IN 85-97 December 26, 1985 and on September 30, 1985, the U.S.

referred to the Department of Justicethat the individual was sentenced to six

Attorney in New Hampshire announced probation following his guilty plea to two

months imprisonment and three yearsunder 18 U.S.C. §1001, that he filed false

counts of an indictment charging, the NRC to be maintained.

statements on documents required by

Discussion:

ensure the safe construction and operation

Licensees have the responsibility to to ensure quality in all licensed

of nuclear power generating facilities must not only use trained individuals, activities. In so doing, licensees adequate procedures, but must also

maintain accurate records, and provide and their contractor employees to

-exercise supervision over their employees

NRC requirements. While violations

of NRC

assure adherence to procedures and to detail or human error are unacceptable

requirements caused by inattention enforcement action, they do not subject

to the NRC and may result in civil However, violations caused by intentional

individuals to criminal prosecution. knew

individual wrongdoer, and others wiho

acts may subject corporations, the prosecution. As evidenced by this reported

and condoned his acts to criminal may include a jail sentence.

case, the criminal sanctions available

is required by this informAtion notice.

No specific action or written responsematter, please contact the Regional

If you have any questions about this office or this office.

Administrator of the appropriate regional

war ran, Director

Divis of Emergency Preparedness

and gineering Response

Office of Inspection and Enforcement

Technical Contact:

Steve Burns, ELD

492-7268 Notices

Attachment: List of Recently Issued Information

Attachment 2 SSINS No.: 6835 IN 86-54 UNITED STATES

NUCLEAR REGULATORY COMMISSION

OFFICE OF INSPECTION AND ENFORCEMENT

WASHINGTON, D.C. 20555 June 27, 1986 IE INFORMATION NOTICE NO. 86-54: CRIMINAL PROSECUTION OF A FORMER RADIATION

SAFETY OFFICER WHO WILLFULLY DIRECTED AN

UNQUALIFIED INDIVIDUAL TO PERFORM RADIOGRAPHY

Addressees

All holders of an NRC license authorizing the possession of byproduct, source, or special nuclear material.

Purpose

This notice is provided to alert recipients and their employees of criminal

prosecution that can result for directing unqualified personnel to perform

licensed activities and making material false statements to the NRC. It is

expected that recipients will review this notice and disseminate it to all of

their employees. The NRC further suggests that recipients remind their employees

that not only are licensees subject to civil enforcement action for violations

of NRC requirements, but individuals who intentionally violate these requirements

may also be subject to criminal prosecution. However, suggestions contained

in this information notice do not constitute NRC requirements; therefore, no

specific action or written response is required.

Description of Circumstances

During an interview conducted by the NRC's Office of Investigations (01) on

May 15, 1984, the former District Manager and Radiation Safety Officer of the

Pittsburgh Testing Laboratories (PTL), Cleveland, Ohio, office admitted that

he had allowed an unqualified individual to perform radiography. Further, he

admitted that he was not truthful with an NRC inspector in August 1984, when

questioned regarding the use of unqualified individuals. As a result, on

May 24, 1984, the NRC issued an Order to PTL removing this individual from all

licensed activities. Subsequently, the case was referred to the Department

of Justice and on February 19, 1986, the U.S. District Judge in the Eastern

Division of the Northern District of Ohio accepted the individual's gullty

plea of deliberate violation of NRC requirements and fined the individual

$2,500. Further, PTL also pleaded guilty to deliberate violations and making

a material false statement to the NRC. As a result, PTL was fined $15,000 by

the Court. Subsequent to the Court's action, the NRC issued a proposed $58,000

civil penalty to PTL on April 17, 1986.

8606250024

IN 86-54 June 27, 1986 Discussion:

Licensees have the responsibility to ensure the safe performance of licensed

activities. In so doing, licensees must not only use trained individuals and

-provide adequate procedures, but must also exercise supervision over their

employees to ensure adherence to procedures and NRC requirements. Violations of

NRC requirements caused by inattention to detail or human error are unacceptable

to the NRC and may result in civil enforcement action. However, violations

caused by intentional acts also may subject corporations and the individual

wrongdoers to criminal prosecution. The criminal sanctions available may include

a prison sentence, as has occurred previously (Reference: IE Information Notice 85-97, copy attached), or may include a criminal fine as occurred in this case.

No specific action or written response is required by this information notice.

If you have any questions about this matter, please contact the Regional

Administrator of the appropriate NRC regional office, or this office.

JamesG. artlow, Director

Divis on of Inspection Programs

Office of Inspection and Enforcement

Technical Contact:

J. R. Metzger, IE

(301) 492-4947 Attachments:

1. IE Information Notice 85-97

2. List of Recently Issued IE Information Notices

Attachment 3 IN 87-64 December 22, 1987 Page 1 of I

LIST OF RECENTLY ISSUED

NRC INFORMATION NOTICES 1987 infornmation Date of '

Notice No. Subject Issuance Issued to

87-35, Supp. 1 Reactor Trip Breaker 12/16/87 All holders of OLs

Westinghouse Model DS-416, or CPs for nuclear

Failed to Open on Manual power reactors.

Initiation From the Control

Room

87-63 Inadequate Net Positive 12/9/87 All holders of OLs

Suction Mead In Low Pressure or CPs for nuclear

Safety Systems power reactors.

87-62 Mechanical Failure of 12/8/87 All holders of OLs

Indicating-Type Fuses or CPs for nuclear

power reactors.

87-61 Failure of Westinghouse 12/7/87 All holders of OLs

W-2-Type Circuit Breaker or CPs for nuclear

Cell Switches. power reactors.

87-60 Depressurization of Reactor 12/4/87 All holders of OLs

Coolant Systems in or CPs for PWRs.

Pressurized-Water Reactors86-108, Degradation of Reactor 11/19/87 All holders of OLs

Supp. 2 Coolant System Pressure or CPs for nuclear

Boundary Resulting from power reactors.

Boric Acid Corrosion

87-59 Potential RHR Pump Loss 11/17/87 All holders of OLs

or CPs for nuclear

power reactors.

OL = Operating License

CP = Construction Permit

f . :.

IN 87-64 December 22, 1987 Two former employees of Yoh Security, Inc., were subsequently convicted in U.S.

District Court in Philadelphia. On July 15, 1987, the former Site Manager of

Yoh Security, Inc., was sentenced to six months' imprisonment and fined

$30,000. The former Operations Captain was placed on probation for five years.

Discussion:

Licensees have the responsibility for ensuring the safe performance of licensed

activities. In so doing, licensees must not only use trained individuals, provide adequate procedures, and maintain accurate records, but must also

exercise supervision over their employees and their contractors' employees to

ensure that procedures are followed and NRC requirements are met. While

violations of NRC requirements caused by inattention to detail and human error

are unacceptable to the NRC and may result In civil enforcement action, they do

not subject individuals to criminal prosecution. However, violations caused by

intentional acts may subject corporations, the individual wrongdoer, and others

who knew and condoned such acts to criminal prosecution. As evidenced by this

reported case, as well as other cases previously described in Information

Notices 85-97, "Jail Term for Former Contractor Employee Who

Intent

ionally

Falsified Welding Inspection Records," and 86-54, "Criminal Prosecution of a

Former Radiation Safety Officer Who Willfully Directed an Unqualified Individu- al to Perform Radiography," the criminal sanctions available may include a fine

and/or imprisonment.

No specific action or written response is required by this information notice.

If you have any questions about this matter, please contact the person

indicated below or the Regional Administrator of the appropriate regional

office.

Charles E. Rossi, Director

Division of Operational Events Assessment

Office of Nuclear Reactor Regulation

Technical Contact:

Loren L. Bush, Jr., NRR

(301) 492-8080

Attachments:

1. Information Notice No. 85-97

2. Information Notice No. 86-54

3. List of Recently Issued NRC Information Notices

SEE PREVIOUS CONCURRENCES

9 *C/OGCB:DOJEA:NRR*PPMB:ARM *01 *NMSS

6 lE sfA/I CHBerlinger TechEd BBHayes GLSjoblom

12/14871 12/16/87 12/11/87 12/11/87 12/09/87

OGCB:DOEA:NRR *R I *RI *DD/DRIS:NRR *OE *D/OE

RJKiessel DJHolodJ WTRussell BKGrimes RPRosano Jileberman

10/13/87 10/13/87 10/13/87 10/27/87 11/09/87 11/09/87

I

IN 87-XX

December xx, 1987 Two former employees of Yoh Security, Inc., were subsequently convicted in U.S.