Information Notice 1987-64, Conviction for Falsification of Security Training Records
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.
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
D/DOEA:NRR C/OGCB:DOEA:NRR *PPMB:ARM 01 *NMSS
CERossi CHBerl ingerr/ TechEd BB a s GLSjoblom
3A:
tOG 12/ /87 12/4I/87 12/11/87 12////87 12/09/87
4DGC :DOEA:NRR *RI *RI *DD/DRIS:NRR *OE *D/OE
RJKiessel DJHolody WTRussell BKGrimes RPRosano JLieberman
tntt%7 10/13/87 10/13/87 10/27/87 11/09/87 11/09/87 MA "WJl
IN 87-XX
November xx, 1987 armed guards had occurred, and that those falsifications were performed at the
direction of certain Yoh Security, Inc., supervisory and management personnel.
The 0! investigation report was referred to the Department of Justice.
Two of the 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
assure adherence to procedures and NRC requirements. 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 Notice Nos.
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 Individual 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 B Mf
D/DOEA:NRR C/OGCB:DO EA:NRR PPMB:ARM 01 ASS dJt
CERossi CHBerlinger TechEd a/t BBHayes LSjoblom
11/ /87 11/ /87 1 i-,M/ j/87 11/ /87 1.2/ /87
- OGCB:DOEA:NRR *RI *RI *DD/DRIS:NRR *OE *D/OE
RJKiessel DJHolody WTRussell BKGrimes RPRosano JLieberman
10/13/87 10/13/87 10/13/87 10/27/87 11/09/87 11/09/87
IN 87-XX
October xx, 1987 armed guards had occurred, and those falsifications were performed at the
direction of certain Yoh Security, Inc., supervisory and management personnel.
The 01 investigation report was referred to the Department of Justice.
Two of the 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
assure adherence to procedures and NRC requirements. 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 his acts to criminal prosecution. As evidenced by this reported
case, as well as other cases previously described in Information Notice Nos.
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 Individual 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 Regional
Administrator of the appropriate regional office or this office.
Charles E. Rossi, Director
Division of Operational Events Assessment
Office of Nuclear Reactor Regulation
Technical Contact:
Richard P. Rosano, OE
(301) 492-7429 Attachments:
1. Information Notice No. 85-97
2. Information Notice No. 86-54
3. List of Recently Issued NRC Information Notices
- SEE PREVIOUS CONCURRENCES
D/DOEA:NRR C/OGCB:DOEA:NRR PPMB:ARM 01 NMSS
CERossi CHBerlinger TechEd BBHayes GLSJoblom
10/ /87 10/ /87 10/ /87 10A47 10/ /87
- OGCB:DOEA:NRR *RI *RI DD/DIbS JRR OE--tC D/OE Asn
RJKiessel DJHolody WTRussell Et-hB KGA*i7 RPRosano JLieatian
10/13/87 10/13/87 10/13/87 1 0 11/9 /87 19/9/87 CA
IN 87-XX
September xx, 1987 armed guards had occurred, and those falsifications were performed at the
direction of certain Yoh Security, Inc., supervisory and management personnel.
The 01 Investigation report was referred to the Department of Justice.
Two of the 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
assure adherence to procedures and NRC requirements. 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 his acts to criminal prosecution. As evidenced by this reported
case, as well as other cases previously described in Information Notice Nos.
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 Individual 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 Regional
Administrator of the appropriate regional office or this office.
Charles E. Rossi, Director
Division of Operational Events Assessment
Office of Nuclear Reactor Regulation
Nah.I udsaP.IOF20
? ,A
Technical Contact:
I.
Attachments:
1.
9 7 f
Information Notice No. 85-97 fi 6
17
2. Information Notice No. 86-54
3. List of Recently Issued NRC Information Notices 0
D/DOEA:NRR C/OGCB:DOEA:NRR PPMB:ARM NMSS D/OE
CERossi CHBerlinger TechEd GLSioblom JLietierman
10/ /87 10/ /87 10/ /87 10/ /87 10/ /87 OGCB:DOEA:NRJ RI RT DD/DRIS:NRR OE
RJKiessel DJHolody WTRussell BKGrimes RPRo! ;ano
10//a/87 6I 10//JI87 Adz 10/13/87 10/ /87 10/ /87 atf4e rll#