ML20148F979

Notice of Violation from Insp on 960729-0802.Violation Noted:R Stewart Deliberately Failed to Provide Complete & Accurate Info During Preemployment Process & Include History of Criminal Convictions on Personal History Questionnaire

ML20148F979
Person / Time
Site:	Crystal River
Issue date:	04/04/1997
From:	NRC OFFICE OF INSPECTION & ENFORCEMENT (IE REGION II)
To:
Shared Package
ML19063D052	List: ML20148F979
References
50-302-96-07-01, 50-302-96-7-1, IA-97-018, IA-97-18, NUDOCS 9706050110
Download: ML20148F979 (3)

Text

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NOTICE OF VIOLATION

, Mr. Ronald Stewart IA 97-018

[HOME ADDRESS DELETED

UNDER 10 CFR 2.790]

During an NRC inspection conducted on July 29 through August ?,1996, a vi.olation of NRC requirements was identified. In accordance with the " General Statement of Policy and Procedures for NRC Enforcement Actions," NUREG-1600, j the violation is listed below:

J l 10 CFR 50.5(a)(2) states, in part, that no employee of a licensee may deliberately submit to a licensee information that the person submitting the information knows to be incomplete or inaccurate in some respect material to the NRC.

Contrary to the above, on or before February 17, 1996, Mr. Ronald

Stewart deliberately failed to provide complete and accurate information during the preemployment process at Florida Power Corporation's Crystal

River Plant. Specifically, Mr. Stewart failed to include his history of l criminal convictions on the Personal History Questionnaire, which was

, used as the basis for granting him unescorted access to the Crystal

, River site from February 17 through March 12, 1996. This information is material to the NRC in that verification of an individual's criminal history and suitability for the granting of unescorted access is an 4 essential element of the licensee's access authorization program

required by 10 CFR 73.56. (01013) j This is a Severity Level III violation (Supplement VII).

Pursuant to the provisions of 10 CFR 2.201, Mr. Ronald Stewart is hereby

required to submit a written statement or explanation to the U.S. Nuclear i Regulatory Commission, ATfN: Regional Administrator, NRC Region II, 101 Marietta Street, Suite 2900, Atlanta, Georgia 30323, within 30 days of the date of the letter transmitting this Notice of Violation (Notice). The reply should be clearly marked as a " Reply to Notice of Violation" and should include for each violation the following: (1) the reason for the violation, or, if contested, the basis for disputing the violation, (2) the corrective steps that have been taken and the results achieved, (3) the corrective steps that will be taken to avoid further violations, and (4) the date when full compliance will be achieved. Your response may reference or include previously docketed correspondence, if the correspondence adequately addresses the required response. If an adequate reply is not received within the time specified in this Notice, an order or a Demand for Information may be issued as to why such other ar. tion as may be proper should not be taken. Where good cause is shown, consideration will be given to extending the response time.

Under the authority of Section 182 of the Act, 42 U.S.C. 2232, this response shall be submitted under oath or affirmation.

Enclosure 1 970605011o 970404 PDR ADOCK 050003o2 G PDR

l Notice'of Violation 2 Because your res>onse will be placed in the NRC Public Document Room (PDR), to the extent possiale, it should not include any personal privacy, proprietary, l or safeguards information so that it can be placed in the PDR without i redaction. However, if you find it necessary to include such information, you  !

should clearly indicate the specific information that you desire not to be '

i placed in the PDR, and provide the legal basis to support your request for 4 withholding the information from the public.

Dated at Atlanta, Georgia j this 4th day of April 1997 l

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i EXCERPT FROM IRC INSPECTION REPORT NO. 50-302/ % -07 6.0 Access Authorization (TI 2515/127)

By letter dated May 27, 1992, the licensee submitted Revision 6 to the Crystal River Nuclear Plant PSP [ Physical Security Plan] committing to the requirements of 10 CFR 73.56 and NRC Regulatory Guide 5.66, Access Authorization Proaram for Nuclear Power Plants.

Upon discussion with licensee representatives, the inspector noted that four Williams Power Company employees had recently been terminated due to possible falsification. The inspector determined that the following contractors had falsified their Personal History Questionnaires (PHQs):

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A contractor was granted temporary unescorted access on January 18, 1996, and was terminated on April 12, 1996. The individual's access was terminated for falsification of the PHQ in which he failed to list previous criminal convictions. In addition, while employed at Crystal River, the contractor failed to report an arrest for Driving Under the Influence (DUI). The falsification was discovered by the licensee when the fingerprints were returned to the licensee.

A contractor was granted temporary unescorted access on February 7, 1905, and was terminated on April 12, 1996. The individual's access was terminated for falsification of the PHQ in which he failed to list previous felony convictions. The falsification was discovered by the licensee when the fingerprints were returned to the licensee.

A contractor was granted temporary unescorted access on February 17, 1996, and was terminated on March 12, 1996. The individual's access was terminated for falsification of the PHQ in which i- failed to list previous felony convictions. The falsmcation was discovered by the licensee when the fingerprints were returned to the licensee.

A contractor was granted temporary unescorted access on February 13, 1996, and was terminated on April 10, 1996. The individual's access was terminated for falsification of the PHQ in which he failed to list previous criminal convictions. Prior to the return of the fingerprints, the individual was arrested offsite on outstanding warrant charges. ~The return of the fingerprints noted this outstanding warrant also.

The inspector noted that the PHQ given to the individuals to complete clearly requested that the applicant provide information concerning any arrest, conviction, indictment, charge or fined offense within their lifetime.

The falsification of Access Authorization records discussed above is being considered further by the NRC. This will be tracked as Unresolved Item (URI) 96 07 03.

Enclosure 2

i April 4, 1997 IA 97-018 Mr. Ronald Stewart

[HOME ADDRESS DELETED UNDER 10 CFR 2.790]

SUBJECT:

NOTICE OF VIOLATION (NRC INSPECTION REPORT NO. 50 302/96-07)

Dear Mr. Stewart:

This refers to an NRC inspection conducted during the period July 29 through August 2,1996, at Florida Power Corporation's (FPC) Crystal River Nuclear Plant - Unit 3. The inspection included a review of an incident identified by FPC involving your apparent falsification of access authorization program i documentation associated with the Crystal River Plant. The report documenting the NRC ins 3ection contains Safeguards Information: however, an excerpt from the applica)le portion of the report is provided as Enclosure 2.

Based on the information develoaed by the licensee's investigation and our review of that investigation, t1e NRC has concluded that you engaged in deliberate misconduct in violation of 10 CFR 50.5(a)(2) when you deliberately failed to provide complete information on your Personal History Questionnaire (PHQ) during the preemployment process at Crystal River. Specifically, while you were employed by Brock and Blevins (a division of Williams Power Company),

you falsified the PHQ when you failed to include various instances of prior criminal convictions. Based on the incomplete information you provided on the PHQ, you were granted temporary, unescorted access to the Crystal River site from February 17 through March 12, 1996, pending completion of Federal Bureau of Investigation (FBI) fingerprint checks. Subsequently, Crystal River

)ersonnel became aware of your criminal history as a result of the five year Jackground investigation conducted by Williams Power Company, and the FBI fingerprint check confirmed multiple criminal convictions which you had omitted from your PHQ.

Pursuant to 10 CFR 73.56, the NRC requires each licensee to establish and maintain an access authorization program which provides a high degree of assurance that individuals granted unescorted access to protected and vital areas of nuclear power plants are trustworthy and reliable. Your omission of material information from your PHQ undermined this process. The NRC relies on complete and accurate documentation of activities and the integrity of individual workers at nuclear power facilities to assure compliance with regulatory requirements. Additionally, the NRC is concerned that you stated on your PHQ for Crystal River that you were previously employed and granted unescorted access at other nuclear sites; however, you failed to list these CERTIFIED MAIL NO. P 058 054 421 RETURN RECEIPT REQUESTED

1 R. Stewart 2 places of employment. This calls into question the accuracy of your representations on the PHQs you completed at other facilities. Therefore.

after consultation with the Director, Office of Enforcement, and the Deputy 2

Executive Director for Regulatory Effectiveness Program Oversight, Investigations, and Enforcement, the NRC has decided to issue the enclosed l 4

Notice of Violation (Notice) to you based on your violation of the NRC's '

regulations regarding deliberate misconduct. In accordance with the " General Statement of Policy and Procedures for NRC Enforcement Actions" (Enforcement Policy) NUREG 1600, the violation has been classified at Severity Level III.

The enclosed Notice carries no additional sanctions with it, i.e., the NRC is i placing no restrictions on your ability to seek employment in NRC-licensed '

activities in the future should you meet the applicable regulatory requirements. However, you should be aware that this letter and Notice will l be a matter of public record and will be published in NUREG-0940, a compilation of significant agency enforcement actions which is made available to NRC licensees and the public. You thould also be aware that any similar failures in the future could lead to additional civil or criminal actions being taken against you.

You are required to respond to this letter and should follow the instructions specified in the enclosed Notice when preparing your response. In your response, you should document the specific actions taken and any additional i actions you plan to prevent recurrence.

In accordance with Section 2.790 of the NRC's " Rules of Practice " Part 2. >

Title 10, Code of Federal Regulations, records or documents compiled for enforcement purposes are placed in the NRC Public Document Room (PDR). A copy of this letter with your address removed and your response will be placed in the PDR 45 days after the date of this letter unless you provide sufficient basis to withdraw this letter. Upon placement of these documents in the PDR, a copy of this enforcement action will also be provided to Florida Power Corporation.

Questions concerning this letter er the Notice may be addressed to Mr. Paul Fredrickson, Chief, Special Inspection Branch at 404 331-5596.

Sincerely.

Original Signed by L. A. Reyes Luis A. Reyes Regional Administrator

Enclosures:

1. Notice of Violation

2. Excerpt from Inspection Report No. 50-302/96 07

3. 10 CFR 50.5 Deliberate Misconduct f