View source for PY-CEI-NRR-2407, Responds to NRC Re Violations Noted in Investigations Rept 3-98-005.Corrective Actions:Initiated Internal Investigation Into Matter to Discover Party Responsible for Falsification of Training Records

{{Adams
| number = ML20212H591
| issue date = 06/09/1999
| title = Responds to NRC Re Violations Noted in Investigations Rept 3-98-005.Corrective Actions:Initiated Internal Investigation Into Matter to Discover Party Responsible for Falsification of Training Records
| author name = Myers L
| author affiliation = CENTERIOR ENERGY
| addressee name = 
| addressee affiliation = NRC OFFICE OF INFORMATION RESOURCES MANAGEMENT (IRM)
| docket = 05000440
| license number = 
| contact person = 
| document report number = PY-CEI-NRR-2407, NUDOCS 9906240195
| title reference date = 05-10-1999
| document type = CORRESPONDENCE-LETTERS, INCOMING CORRESPONDENCE
| page count = 4
}}

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LowW. Atyers                                                                                                           440-280-5915 Vice Pres &nt                                                                                                      Fax:440-280-8029 June 9,1999 PY-CE!/NRR-2407L United States Nuclear Regulatory Commission Document Control Desk Washington, D.C. 20555 Perry Nuclear Power Plant Docket No. 50-440

==Subject:==
Reply to a Notice of Violation (NRC Office ofInvestigations Report No. 3-98-005)
Ladies and Gentlemen:
Enclosed is the Perry Nuclear Power Plant (PNPP) response to a Notice of Violation documented in NRC Office ofInvestigations Report No. 3-98-005, which was transmitted by {{letter dated|date=May 10, 1999|text=letter dated May 10,1999}}. One violation of NRC requirements was identified. In accordance with 10 CFR 2.201, the violation is being accepted as written.
The instructor's falsification of the training records was not only in violation of NRC requirements, but also not in compliance with the PNPP policy on the same subject. Once the company had concluded that the instructor's actions included knowing records falsifications, appropriate corrective actions were taken. The FirstEnergy Nuclear Operating Company is to augment existing policies and
                    - practices by reiterating to company employees the need to provide complete and accurate information and the potential sanctions, both internally and through the NRC enforcement process for failing to act in accordance with such requirements.
If you have questions or require additional information, please contact Mr. Henry L. Hegrat, Manager-Regulatory Affairs, at (440) 280-5606.
Very truly yours, for Lew W. Myers                                                                                   -
Enclosure cc: NRC Region ill Administrator NRC Resident Inspector NRR Project Manager j b b 't.1 i                         9906240195 990609 i
PDR     ADOCK 05000440 G                      PDR i

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* Enclosure
               ,                                                                                               PY-CEl/NRR-2407L Page1of3 L
REPLY TO NOTICE OF VIOLATION Re' statement of the Violation During an NRC investigation completed on January 29,1999, a violation of NRC requirements was identified.
L In accordance with the " General Statement of Policy and Procedure for NRC Enforcement Actions," NUREG-1600, the violation .is listed below:
10 CFR 50.9(a) requires, in part, that information required by the Commission's regulations to be maintained by the licensee must be complete and accurate in all material respects.
10 CFR 50.54(q) requires, in part, that a licensee authorized to possess and operate a nuclear power reactor must follow aM maintain in effect emergency plans which meet the standards in 10 CFR 50.47(b) and the
             - requirements in 10 CFR Part 50 Appendix E," Emergency Planning and Preparedness for Production and Utilization Facilities."
10 CFR Part 50, Appendix E, Section IV requires, in part, that the emergency response training program included a description of specialized initial training and pe~r iodic retraining to be provided to emergency response organization (ERO) personnel.
The " Emergency Plan for the Perry Nuclear Power Plant"(Emergency Plan), which implements the requirements of 10 CFR 50.54(q), is described in the Perry Operations Manual. Section No. 8.1.2.2, Revision
             . No.13, Procedure Intent Change (PIC) No.1, of the Emergency Plan, dated August 14,1996, requires, in part, that personnel assigned to the ERO, who have specified duties and responsibilities, must receive specialized training for their respective assignments. The Operations Manual also specifies the emergency plan training requirements, and describes the acceptable methods for documenting training that is conducted.
Contrary to the above, on January 14,1997, information required by the Commission's regulations was not maintained complete and accurate in all material respects. Specifically, an emergency preparedness instructor completed documentation (i.e., Course Completion Packages, Course Completion Package Cover Sheets, and Perry Training Section Course Completion Records) and signed course completion records, indicating that three specifically named employees attended and completed EP Training Course 0813," Radiation Monitoring Personnel," a course required by the Perry Emergency Plan. However, none of the individuals attended that course or signed the Perry Training Section Course Completion Record for that training course on January 14, 1997. This information is material to the NRC because it demonstrates compliance with 10 CFR 50.54(q) and 10 CFR Part 50, Appendix E, Section IV.F. (01014).
This is a ' Severity Level IV violation (Supplement VII).
EEPA The violation is accepted as written.
i             ' Reason for the Violation The subject Emergency Preparedness (EP) instructor has admitted falsifying the training records of three Perry Nuclear Power Plant (PNPP) employees. These irregularities in the PNPP Training Section Course Completion Records and Training Section Criterion Checklists were confirmed during the course of Ohio State Court litigation involving a former Perry employee. That employee had alleged that his signature and those of two of l
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.*               ,       ...                                                                                           Enclosure PY-CEl/NRR-2407L Page 2 of 3 his co-workers, as they appeared on the Course Completion Records and Criterion Checklists, were not authentic.
        ' As a result of extensive investigations conducted by FirstEnergy (FE), PNPP management confronted the EP instructor with findings of falsiHeation of these training documents as well as the cover sheets for twenty-one other Emergency Preparedness lesson plans. The EP instructor admitted to forging names and other material
        ' information in violation of 10 CFR 50.5, thus placing PNPP in violation of 10 CFR 50.9. The PNPP policies and practices manual requires a review for immediate employee discharge for falsification of records.
As the NRC stated in the cover letter to this notice of violation, the three individuals whose training records were falsified were not actually assigned to the Emergency Response Organization (ERO) call-out list. Two of the individuals completed the requisite training, including participation in a training drill, prior to assignment to the ERO. The third individual is no longer employed at PNPP and was, therefore, never assigned to the ERO.
At no time did any other individual at the PNPP assist with, have knowledge of, or participate in the falsification of training documents. Despite initial denials of such conduct by the EP instructor, FE continued its investigation by referring the alleged forgeries to the Lake County Ohio Regional Forensic Laboratory Document Examiner for expert analysis. Shortly thereafter, the instructor admitted that he had acted alone in the record falsincations.
Corrective Steos Alreadv Taken and Results Achieved The NRC recognized that FE and PNPP reacted quickly and appropriately to the discovery of the falsification of records in the following ways:
           + By initiating an internal investigation into the matter to discover the party responsible for the falsification;
* By cooperating with the NRC in its investigation and turning over the results of the internal investigation;
           + _ By immediately relieving the instructor of his duties at the PNPP and removing his unescorted access privileges:
Other steps taken in response to this violation include:
           * ' An internal audit of training records, during which PNPP employees were required to verify that documented training had been administered.
           + The two individuals remaining in the employment of PNPP completed EP Training Course 0813, Radiation Monitoring Personnel, on April 15,1997.
Corrective Steos that will be Taken to Avoid Further Violations i
The FirstEnergy Nuclear Operating Company (FENOC) is to reinforce the need to provide complete and                      1 accurate information with respect to NRC requirements to the company employees. This is to be completed by              l June 30,1999.
Date of Full Compliance Full compliance with 10 CFR 50.9 was achieved when the investigation report of the falsification of training records, dated May 4,1998, was provided to the NRC. These documents have been annotated as being falsified or purged from records.

   "l* e f. . "    i      ''                                                                                    Enclosure PY-CEl/NRR-2407L Page 3 of 3 COMMrITMENTS The FirstEnergy Nuclear Operating Company is to reinforce the need to provide complete and accurate information with respect to NRC requirements to the company employees. This is to be completed by June 30,1999.
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