Information Notice 1988-26, Falsified Pre-Employment Screening Records
UNITED STATES
NUCLEAR REGULATORY COMMISSION
OFFICE OF NUCLEAR REACTOR REGULATION
WASHINGTON, DC 20555
May 16, 1988 NRC INFORMATION NOTICE'NO. 88-26:
FALSIFIED PRE-EMPLOYMENT SCREENING RECORDS
Addressees
All holders of operating licenses or construction permits for nuclear power
reactors and all major fuel facility licensees.
Purpose
This information notice is being provided to alert addressees to the falsifi- cation of pre-employment screening records at nuclear facilities.
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 do not constitute
NRC requirements; therefore, no specific action or written response is required.
Description of Circumstances
In 1984, individuals working for a contractor at the Surry Nuclear Plant alleged
that the contractor had encouraged them to provide false information on employ- ment applications concerning their length of service in order to avoid the
background checks that are needed to satisfy security screening requirements.
The Nuclear Regulatory Commission's (NRC) Office of Investigations conducted
an investigation of the activities of Powerplant Specialists, Inc. (PSI),
Costa Mesa, California, who in a joint venture with Southwestern Engineering
Company, Los Angeles, California, was modifying moisture separator reheater
internals at both the North Anna Power Station and the Surry Nuclear Plant.
This investigation showed that in order to obtain unescorted access for Its
employees, PSI provided false certifications and supporting documentation, such
as backdated employment applications and W-4 Federal tax forms, to show at least
three years prior employment with PSI.
The false certifications would have led to exemption of these individuals from
the screening requirements of the licensee's NRC-approved physical security plan
implemented in accordance with 10 CFR 50.34(c).
Discussion:
The NRC has issued IE Circular No. 78-17, "Inadequate Guard Training/
Qualification and Falsified Training Records," dated October 13, 1978; IE
Information Notice No. 82-07, "Inadequate Security Screening Programs," dated
IN 88-26 May 16, 1988 March 16, 1982; IE Information Notice No. 83-15, "Falsified Pre-Employment
Screening Records," dated March 23, 1983; and NRC Information Notice 87-64,
"Conviction for Falsification of Security Training Records" dated December 22,.
1987. These documents alerted licensees to the possibility that contractors
might submit falsified security records to meet licensee commitments to the
NRC.
This information notice is intended to alert licensees to the potential prob- lems associated with falsified employment records and the attendant risk to
site security. Audits required by 10 CFR 73.55(g) and associated security plan
commitments are intended to provide assurance that records are accurate and
complete. Licensees currently employing PSI or similar contractors who will
conduct the pre-employment screening should be aware of the potential for
record falsification and the need for appropriate audits.
Licensees are also
encouraged to notify the NRC of any Instances of the use of falsified screening
records they may discover.
No specific action or written response is required by this information notice.
If you have any questions about this matter, please contact the technical
contact listed 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:
Dick Rosano, Office of Enforcement
(301) 492-0740
Attachment: List of Recently Issued NRC Information Notices
Attachment
May 16, 1988 LIST OF RECENTLY ISSUED
NRC INFORMATION NOTICES
Information
Date of
Notice No.
Subject
Issuance
Issued to
88-25
88-24
88-23
88-22
Minimum Edge Distance for
Expansion Anchor Bolts
Failures of Air-Operated
Valves Affecting Safety-
Related Systems
Potential for Gas Binding
of High-Pressure Safety
Injection Pumps During a
Loss-of-Coolant Accident
Disposal of Sludge from
Onsite Sewage Treatment
Facilities at Nuclear
Power Stations
Inadvertent Criticality
Events at Oskarshamn
and at U.S. Nuclear
Power Plants
Unauthorized Individuals
Manipulating Controls and
Performing Control Room
Activities
Questionable Certification
of Class lE Components
5/16/88
5/13/88
5/12/88
5/12/88
5/9/88
5/5/88
4/26/88
All holders of OLs
or CPs for nuclear
power reactors.
All holders of OLs
or CPs for nuclear
power reactors.
All holders of OLs
All holders of OLs
or CPs for nuclear
power reactors.
All holders of Ols
or CPs for nuclear
power reactors.
All holders of OLs
or CPs for nuclear
power, test and
research reactors, and all licensed
operators.
All holders of OLs
or CPs for nuclear
power reactors.
88-21
88-20
88-19
88-18 Malfunction
Radiography
of Lockbox on
Device
4/25/88
All NRC licensees
authorized to
manufacture, distribute, and/or operate radio- graphic exposure
devices.
OL = Operating License
CP = Construction Permit
IN 88-26 May 16, 1988 March 16, 1982; IE Information Notice No. 83-15, "Falsified Pre-Employment
Screening Records," dated March 23, 1983; and NRC Information Notice 87-64,
"Conviction for Falsification of Security Training Records" dated December 22,
1987. These documents alerted licensees to the possibility that contractors
might submit falsified security records to meet licensee commitments to the
NRC.
This information notice is intended to alert licensees to the potential prob- lems associated with falsified employment records and the attendant risk to
site security. Audits required by 10 CFR 73.55(g) and associated security plan
commitments are intended to provide assurance that records are accurate and
complete. Licensees currently employing PSI or similar contractors who will
conduct the pre-employment screening should be aware of the potential for
record falsification and the need for appropriate audits. Licensees are also
encouraged to notify the NRC of any instances of the use of falsified screening
records they may discover.
No specific action or written response is required by this information notice.
If you have any questions about this matter, please contact the technical
contact listed 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:
Dick Rosano, Office of Enforcement
(301) 492-0740
-
Attachment: List of Recently Issued NRC Information Notices
Transmitted by memo to T. Martin from James Lieberman dated April 8, 1988.
- SEE PREVIOUS CONCURRENCES
- OGCB:DOEA:NRR
BMann
DRosano
04/18/88
04/18/88
- C/OGCB:DOEA:NRR
CHBerlinger
05/03/88
- D/OE
JLieberman
04/18/88
- PPMB:ARM
TechEd
04/27/88
- D/DRIS:NRR
JGPartlow
04/2/8RR
- D/SGTR:NMSS
RBurnett
05/09/88
- D/OI
BHayes
05/09/88 f. 1
__ _
4_
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I
,ff.
A
IN 88-XX
May xx, 1988 March 16, 1982; IE Information Notice No. 83-15, "Falsified Pre-Employment
Screening Records," dated March 23, 1983; and NRC Information Notice 87-64,
"Conviction for Falsification of Security Training Records" dated December 22,
1987. These documents alerted licensees to the possibility that contractors
might submit falsified security records to meet licensee commitments to the
NRC.
This information notice is intended to alert licensees to the potential prob- lems associated with falsified employment records and the attendant risk to
site security. Audits required by 10 CFR 73.55(g) and associated security plan
commitments are intended to provide assurance that these certifications are
supported by accurate and complete records.
Licensees currently employing PSI
or similar contractors who will conduct the pre-employment screening should be
aware of the potential for record falsification and the need for appropriate
audits. Licensees are also encouraged to notify the NRC of any instances of
the use of falsified screening records they may discover.
No specific action or written response is required by this information notice.
If you have any questions about this matter, please contact the technical
contact listed 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:
Dick Rosano, Office of Enforcement
(301) 492-0740
Attachment:
List of Recently Issued NRC Information Notices
Transmitted by memo to T. Martin from James Lieberman dated April 8, 1988.
- SEE PREVIOUS CONCURRENCES
D/DOEA:NRR
CERossi
05/ /88
- OGCB:DOEA:NRR
- OE
BMann
DRosano
04/18/88
04/18/88 C(*'h
- C/OGCB:DOEA:NRR
CHBerlinger
05/03/88
- D/OE
JLieberman
04/18/88
- PPMB:ARM
TechEd
04/27/88
- D/DRIS:NRR
JGPartlow
04/22/88 D/SGTR:NMSS
RBurnett6 G
M
o ;.. kg2
05A? /88 byplhost
- D/OI
BHayes
04/ /88
IN 88-XX
April xx, 1988 No. 82-07, "Inadequate Security Screening Programs," dated March 16, 1982;
IE Information Notice No. 83-15, "Falsified Pre-Employment Screening Records,"
dated March 23, 1983; and NRC Information Notice 87-64, "Conviction for Falsi- fication of Security Training Records" dated December 22, 1987.
These docu- ments alerted licensees to the possibility that contractors might submit
falsified security records to meet their commitments to the NRC.
This information notice is intended to alert licensees to the potential prob- lems associated with falsified employment records and the attendant risk to
site security. Audits required by 10 CFR 73.55(g) and associated security plan
commitments are intended to provide assurance that these certifications are
supported by accurate and complete records. Licensees currently employing PSI
or similar contractors who will conduct the pre-employment screening should be
aware of the potential for record falsification and the need for appropriate
audits.
No specific action or written response is required by this information notice.
If you have any questions about this matter, please contact the technical
contact listed 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:
Dick Rosano, Office of Enforcement
(301) 492-0740
Attachment:
List of Rpcentlv Issued NRr Tnfnrmatinn Nnt4irc
Transmitted by memo to T. MO kftfrom T6 "< -e4 L-ft,'-
dated
t-j/
1 /
_
,
-
_,
.
,
A
- SEE PREVIOUS CONCURRENCES
- OGCB:DOEA:NRR
BMann
04/18/88
- OE
DRosano
04/18/88 D/DOEA:NRR
CERossi
04/ /88
- D/OE
JLMebernman
04/18/88 C/O49 EA: NRR
CHijerl inger
Qg&3/88
- D/DRIS:NRR
I
JGPartlow
04/22/88
- PPMB:ARM
TechEd
04/97/88 XID/OI
BHayes
04/ /88 NUM S
F
- -
)PA e7
IN 88-XX
April xx, 1988 Discussion:
The NRC has previously issued IE Circular No. 78-17, dated October 13, 1978, titled, "Inadequate Guard Training/Qualification and Falsified Training
Records,' IE Information Notice No. 82-07, dated March 16, 1982, titled,
"Inadequate Security Screening Programs," IE Information Notice No. 83-15, dated March 23, 1983, titled, "Falsified Pre-Employment Screening Records", and
NRC Information Notice 87-64, dated December 22, 1987, titled "Conviction for
Falsification of Security Training Records". These NRC notifications served to
alert licensees to the possibility that contractors might submit falsified
security records to meet their commitments to the NRC.
This information notice is intended to alert licensees to the potential prob- lems associated with falsified employment records and the attendant risk to
site security. Audits required by 10 CFR 73.55(g) and associated security plan
commitments are intended to provide assurance that these certifications are
supported by accurate and complete records. Licensees currently employing PSI
or similar contractors to conduct preemployment screening should be aware of
the potential for record falsification and the need for appropriate audits.
No specific action or written response is required by this information notice.
If you have any questions about this matter, please contact the technical
contact listed 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:
Dick Rosano, OE
(301) 492-0740
Attachment: List of Recently Issued NRC Information Notices
Transmitted by memo to
_
from
dated
- SEE PREVIOUS CONCURRENCES
D/DOEA:NRR
C/OGCB:DOEA:NRR PPMB:ARM
CERossi
CHBerlinger
TechEd A*"e
04/ /88
04/ /88
04/A7/88
- OGCB:DOEA:NRR
- OE
- D/OE
D/DRIS:NRR
X 0D/0f
BMann
DRosano
JLieberman
JGPanlow
BHayes
04/18/88
04/18/88
04/18/88
0A4C 88
04/ /88 P11.~
IN 88-XX
April xx, 1988 Discussion:
The NRC has previously issued IE Circular No. 78-17, dated October 13, 1978, titled, "Inadequate Guard Training/Qualification and Falsified Training
Records," IE Information Notice No. 82-07, dated March 16, 1982, titled,
"Inadequate Security Screening Programs," IE Information Notice No. 83-15, dated March 23, 1983, titled, "Falsified Pre-Employment Screening Records", and
NRC Information Notice 87-64, dated December 22, 1987, titled "Conviction for
Falsification of Security Training Records". These NRC notifications served to
alert licensees to the possibility that contractors might submit falsified
security records to meet their commitments to the NRC.
This information notice is intended to alert licensees to the potential prob- lems associated with falsified employment records and the attendant risk to
site security. Audits required by 10 CFR 73.55(g) and associated security plan
commitments are intended to provide assurance that these certifications are
supported by accurate and complete records. Licensees currently employing PSI
or similar contractors to conduct preemployment screening should be aware of
the potential for record falsification and the need for appropriate audits.
No specific action or written response is required by this information notice.
If you have any questions about this matter, please contact the technical
contact listed below or t the Regional Administrator of the appropriate
regional office.
Charles E. Rossi, Director
Division of Operational Events Assessment
Office of Nuclear Reactor Regulation
Technical Contact:
Pick Rosano,:BE
f,,.--7(301) 492-0740
bi#( 6 EI~arcoax
Attachment: List of Recently Issued NRC Information Notices
Transmitted by memo to
from
dated
D/DOEA:NRR C/OGCB:DOEA:NRR
CERossi
CHBerlinger
FA N
04/ /88
04/ /88 OGCB:DO
a:NRR
'
t/
r
D/OI
PPMR:ARM
BMann 7t.q
DRosano
eberman
BHayes
TechEd
04//P/88
04//T/88
04/if/88
04/ /88
04/ /88
01 0
S*tr
IN 88-XX
April xx, 1988 No. 82-07, "Inadequate Security Screening Programs," dated March 16, 1982;
IE Information Notice No. 83-15, "Falsified Pre-Employment Screening Records,"
dated March 23, 1983; and NRC Information Notice 87-64, "Conviction for Falsi- fication of Security Training Records' dated December 22, 1987. These docu- ments alerted licensees to the possibility that contractors might submit
falsified security records to meet their commitments to the NRC.
This information notice is intended to alert licensees to the potential prob- lems associated with falsified employment records and the attendant risk to
site security. Audits required by 10 CFR 73.55(g) and associated security plan
coumitments are intended to provide assurance that these certifications are
supported by accurate and complete records. Licensees currently employing PSI
or similar contractors who will conduct the pre-employment screening should be
aware of the potential for record falsification and the need for appropriate
audits.
No specific action or written response is required by this information notice.
If you have any questions about this matter, please contact the technical
contact listed 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:
Dick Rosano, Office of Enforcement
(301) 492-0740
Attachment: List of Recently Issued NRC Information Notices
Transmitted by memo to T.MO W'f'lfrom Ta
14"-
datedE P If
J
f U
- SEE PREVIOUS CONCURRENCES
?h
5 D/DOEA:NRR
CERossi
04/ /88
- D/OE
JLieberman
04/18/88 C/O'TCV:OfiEA:NRR
CHDerlinger
Q§V3/88
- D/DRIS:NRR
JGPartlow
04/22/88
- OGCB:DOEA:NRR
BMann
04/18/88
- OE
DRosano
04/18/88
- PPMB:ARM
TechFd
04/27/FS
BHayes
Nr
0flls (/%