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{{#Wiki_filter:I IUNITED STATESNUCLEAR REGULATORY COMMISSIONOFFICE OF NUCLEAR REACTOR REGULATIONWASHINGTON, D.C. 20555April 23, 1992NRC INFORMATION NOTICE 92-30: FALSIFICATION OF PLANT RECORDS
{{#Wiki_filter:I I UNITED STATES NUCLEAR REGULATORY
 
COMMISSION
 
===OFFICE OF NUCLEAR REACTOR REGULATION===
WASHINGTON, D.C. 20555 April 23, 1992 NRC INFORMATION
 
NOTICE 92-30: FALSIFICATION
 
OF PLANT RECORDS


==Addressees==
==Addressees==
All holders of operating licenses or construction permits for nuclear powerreactors and all licensed operators and senior operators.
All holders of operating
 
licenses or construction
 
permits for nuclear power reactors and all licensed operators
 
and senior operators.


==Purpose==
==Purpose==
The U.S. Nuclear Regulatory Commission (NRC) is issuing this informationnotice to alert addressees to the NRC's concern that plant mechanics,technicians, and operators may have falsified plant logs at several nuclearpower plants. The NRC is reminding plant mechanics, technicians, and operators(both licensed and non-licensed) of the penalties that could result fromintentionally violating Federal regulatory requirements and criminal statutes.The NRC is also reminding addressees that all personnel are subject to therequirements of 10 CFR 50.9(a) which states that information required bystatute or by the Commission's regulations be complete and accurate in allmaterial aspects. It is expected that recipients will review the informationfor applicability to their facilities and consider actions, as appropriate, toavoid similar problems. However, suggestions contained in this informationnotice are not NRC requirements; therefore, no specific action or writtenresponse is required.
The U.S. Nuclear Regulatory
 
Commission (NRC) is issuing this information
 
notice to alert addressees
 
to the NRC's concern that plant mechanics, technicians, and operators
 
may have falsified
 
plant logs at several nuclear power plants. The NRC is reminding
 
plant mechanics, technicians, and operators (both licensed and non-licensed)  
of the penalties
 
that could result from intentionally
 
violating
 
Federal regulatory
 
requirements
 
and criminal statutes.The NRC is also reminding
 
addressees
 
that all personnel
 
are subject to the requirements
 
of 10 CFR 50.9(a) which states that information
 
required by statute or by the Commission's
 
regulations
 
be complete and accurate in all material aspects. 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 are not NRC requirements;  
therefore, no specific action or written response is required.Description
 
of Circumstances
 
On March 1, 1992, the shift superintendent
 
for the Public Service Company of New Hampshire's
 
Seabrook Nuclear Station was conducting
 
a surveillance, in accordance
 
with a personnel
 
performance
 
monitoring
 
program, to verify that operations
 
department
 
personnel
 
were properly performing
 
their assigned duties.On this occasion, the shift superintendent
 
reviewed the security department's
 
computerized
 
card key entry records against locations
 
in which an auxiliary operator's (AO's) log entries had indicated
 
that he had performed
 
inspections.
 
The shift superintendent
 
found that the AO had logged "SAT" (satisfactory)
for some plant areas, indicating
 
that he had performed
 
the required periodic inspections, although the computerized
 
security data indicated
 
that some of these areas had not been entered.The shift superintendent's
 
findings prompted the licensee to establish
 
an independent
 
review team (IRT) to performi a comprehensive
 
analysis of the root cause(s) and the generic implications
 
of this occurrence.
 
The IRT interviewed
 
the individuals
 
involved and the management
 
and supervisory
 
staff and examined a wide range of historical
 
records created or used since the issuance of the full power operating


==Description of Circumstances==
license, including
On March 1, 1992, the shift superintendent for the Public Service Company ofNew Hampshire's Seabrook Nuclear Station was conducting a surveillance, inaccordance with a personnel performance monitoring program, to verify thatoperations department personnel were properly performing their assigned duties.On this occasion, the shift superintendent reviewed the security department'scomputerized card key entry records against locations in which an auxiliaryoperator's (AO's) log entries had indicated that he had performed inspections.The shift superintendent found that the AO had logged "SAT" (satisfactory) forsome plant areas, indicating that he had performed the required periodicinspections, although the computerized security data indicated that some ofthese areas had not been entered.The shift superintendent's findings prompted the licensee to establish anindependent review team (IRT) to performi a comprehensive analysis of theroot cause(s) and the generic implications of this occurrence. The IRTinterviewed the individuals involved and the management and supervisorystaff and examined a wide range of historical records created or used sincethe issuance of the full power operating license, including security logs,92041701135/!
IN 92-30April 23, 1992 operations logs and procedures, administrative program manuals, and traininglesson plans. Discrepancies were found by the IRT, and some involved violationsof technical specifications and some involved licensed operators.In response to the findings at Seabrook, random checks were conducted at theHaddam Neck Plant and Millstone Nuclear Power Station. To date, no dis-crepancies have been identified at Haddam Neck. At Millstone, the NortheastNuclear Energy Company (the licensee) determined that several non-licensedplant equipment operators (PEOs) had not completed certain inspection roundsas represented in their logs. The Millstone licensee has since expanded itsevaluation to verifying the accuracy of log entries recorded by all PEOs.The management at Millstone informed plant personnel of its findings andexpectations for recording log entries. The Millstone licensee alsoestablished an IRT (with a representative from the Seabrook IRT acting inan advisory status) to investigate its findings, to determine the extent ofthe problem, and to determine corrective actions that should be taken.At Oyster Creek, several non-licensed PEOs were involved with falsification ofrecords associated with routine plant log taking rounds. None of the recordsinvolved were related to technical specifications. The discovery of thefalsified log entries was from an ongoing random investigation comparingsecurity door entry records with operator rounds.As a result of discrepancies found at Seabrook, Oyster Creek, and Millstone,at least one indivie-a-yn his e-pT tte-rmnn iniated,-s-everaltudiv-tduals- -resigned, and several other individuals were suspended.On January 28, 1992, two Instrumentation and Control technicians at the VogtleElectric Generating Plant, Unit 1, performed a surveillance on a portion ofthe reactor trip system instrumentation. The Georgia Power Company (thelicensee) informed the NRC that the technicians failed to properly follow thesurveillance procedure and subsequently created the data that was entered onthe calibration data sheet.NRC evaluation of each of these matters is continuing.Discussion of Safety SignificanceMaintenance of shift records, log sheets, and surveillance records, attentionto detail, and work ethics are important factors which contribute to the safeoperation of nuclear power plants. Complacency, by mechanics, technicians, orlicensed or non-licensed operators, cannot be tolerated. Similarly, manage-ment expectations and supervisory overview of rounds need to be clearlycommunicated and monitored. All personnel involved in NRC-regulated activitiesare responsible for complying with applicable NRC regulatory requirements andother Federal laws. Log keeping activities as well as surveillancesperformed by licensed or non-licensed personnel are subject to therequirements of 10 CFR 50.9(a) regarding completeness and accuracy of information.


IN 92-30April 23, 1992 In addition, the administrative section of plant technical specificationsrequires that written procedures be implemented covering the applicable proce-dures in Appendix A of Regulatory Guide 1.33, Quality Assurance ProgramRequirements (Operation). Among the safety-related activities which Appendix Astates should be covered by written procedures are surveillances and logentries.Willful violations, committed by personnel at any level of a licensee'sorganization, are of regulatory concern because the NRC must have reasonableassurance that licensed activities will be conducted in a manner that willprotect the public health and safety. Such reasonable assurance is providedin large part by the integrity and conscientiousness of each individualperforming licensed activities. Deliberate violations concerning matterswithin the scope of an individual's responsibilities, including falsificationof records, will be considered for enforcement action against the individualas well as the facility licensee. As provided in 10 CFR 50.5, "DeliberateMisconduct by Unlicensed Persons," 56 Federal Register 40684, August 15, 1991,the NRC may take direct enforcement action against unlicensed personnel whodeliberately cause a licensee to be in violation of the Commission's regulationsor who provide false information to the licensee concerning licensed activities.
security logs, 9204170113
5/!
IN 92-30 April 23, 1992 operations
 
logs and procedures, administrative
 
program manuals, and training lesson plans. Discrepancies
 
were found by the IRT, and some involved violations
 
of technical
 
specifications
 
and some involved licensed operators.
 
In response to the findings at Seabrook, random checks were conducted
 
at the Haddam Neck Plant and Millstone
 
Nuclear Power Station. To date, no dis-crepancies
 
have been identified
 
at Haddam Neck. At Millstone, the Northeast Nuclear Energy Company (the licensee)
determined
 
that several non-licensed
 
plant equipment
 
operators (PEOs) had not completed
 
certain inspection
 
rounds as represented
 
in their logs. The Millstone
 
licensee has since expanded its evaluation
 
to verifying
 
the accuracy of log entries recorded by all PEOs.The management
 
at Millstone
 
informed plant personnel
 
of its findings and expectations
 
for recording
 
log entries. The Millstone
 
licensee also established
 
an IRT (with a representative
 
from the Seabrook IRT acting in an advisory status) to investigate
 
its findings, to determine
 
the extent of the problem, and to determine
 
corrective
 
actions that should be taken.At Oyster Creek, several non-licensed
 
PEOs were involved with falsification
 
of records associated
 
with routine plant log taking rounds. None of the records involved were related to technical
 
specifications.
 
The discovery
 
of the falsified
 
log entries was from an ongoing random investigation
 
comparing security door entry records with operator rounds.As a result of discrepancies
 
found at Seabrook, Oyster Creek, and Millstone, at least one indivie-a-yn
 
his e-pT tte-rmnn iniated,-s-everaltudiv-tduals-
-resigned, and several other individuals
 
were suspended.
 
On January 28, 1992, two Instrumentation
 
and Control technicians
 
at the Vogtle Electric Generating
 
Plant, Unit 1, performed
 
a surveillance
 
on a portion of the reactor trip system instrumentation.
 
The Georgia Power Company (the licensee)
informed the NRC that the technicians
 
failed to properly follow the surveillance
 
procedure
 
and subsequently
 
created the data that was entered on the calibration
 
data sheet.NRC evaluation
 
of each of these matters is continuing.
 
Discussion
 
of Safety Significance
 
Maintenance
 
of shift records, log sheets, and surveillance
 
records, attention to detail, and work ethics are important
 
factors which contribute
 
to the safe operation
 
of nuclear power plants. Complacency, by mechanics, technicians, or licensed or non-licensed
 
operators, cannot be tolerated.
 
Similarly, manage-ment expectations
 
and supervisory
 
overview of rounds need to be clearly communicated
 
and monitored.
 
All personnel
 
involved in NRC-regulated
 
activities
 
are responsible
 
for complying
 
with applicable
 
NRC regulatory
 
requirements
 
and other Federal laws. Log keeping activities
 
as well as surveillances
 
performed
 
by licensed or non-licensed
 
personnel
 
are subject to the requirements
 
of 10 CFR 50.9(a) regarding
 
completeness
 
and accuracy of information.
 
IN 92-30 April 23, 1992 In addition, the administrative
 
section of plant technical
 
specifications
 
requires that written procedures
 
be implemented
 
covering the applicable
 
proce-dures in Appendix A of Regulatory
 
Guide 1.33, Quality Assurance
 
Program Requirements (Operation).
 
Among the safety-related
 
activities
 
which Appendix A states should be covered by written procedures
 
are surveillances
 
and log entries.Willful violations, committed
 
by personnel
 
at any level of a licensee's
 
organization, are of regulatory
 
concern because the NRC must have reasonable
 
assurance
 
that licensed activities
 
will be conducted
 
in a manner that will protect the public health and safety. Such reasonable
 
assurance
 
is provided in large part by the integrity
 
and conscientiousness
 
of each individual
 
performing
 
licensed activities.
 
Deliberate
 
violations
 
concerning
 
matters within the scope of an individual's
 
responsibilities, including
 
falsification
 
of records, will be considered
 
for enforcement
 
action against the individual
 
as well as the facility licensee.
 
As provided in 10 CFR 50.5, "Deliberate
 
Misconduct
 
by Unlicensed
 
Persons," 56 Federal Register 40684, August 15, 1991, the NRC may take direct enforcement
 
action against unlicensed
 
personnel
 
who deliberately
 
cause a licensee to be in violation
 
of the Commission's
 
regulations
 
or who provide false information
 
to the licensee concerning
 
licensed activities.


==Addressees==
==Addressees==
may wish to take actions as appropriate to ensure that plantpersonnel are properly performing their assigned duties.
may wish to take actions as appropriate
 
to ensure that plant personnel
 
are properly performing
 
their assigned duties.


==Addressees==
==Addressees==
may alsowish to distribute copies of this information notice to all their employees.This information notice requires no specific action or written response. Ifyou have any questions about the information in this notice, please contactone of the technical contact(s) listed below or the appropriate Office ofNuclear Reactor Regulation (NRR) project manager.Charles E. Rossi, DirectorDivision of Operational Events AssessmentOffice of Nuclear Reactor RegulationTechnical contact(s): David C. Fischer, NRR(301) 504-1154Eugene M. Kelly, RI(215) 337-5183James A. Prell, RI(215) 337-5108Attachment: List of gecently I sued NRC Information Notices
may also wish to distribute
 
copies of this information
 
notice to all their employees.
 
This information
 
notice requires no specific action or written response.
 
If you have any questions
 
about the information
 
in this notice, please contact one of the technical
 
contact(s)  
listed below or the appropriate
 
Office of Nuclear Reactor Regulation (NRR) project manager.Charles E. Rossi, Director Division of Operational
 
===Events Assessment===
Office of Nuclear Reactor Regulation
 
Technical
 
contact(s):  
David C. Fischer, NRR (301) 504-1154 Eugene M. Kelly, RI (215) 337-5183 James A. Prell, RI (215) 337-5108 Attachment:  
List of gecently I sued NRC Information
 
Notices
 
m z ,-0190 rn Z 0 FQ)m 0>0 CD C e I D mC C,0 cn"3 an 0 2*oi G)C)z0=i CJ > 0 O = a U)0 nU)G) m'ii >~s r s Attachment
 
IN 92-30 April 23, 1992 Page I of 1 I I I I I LIST OF RECENTLY ISSUED NRC INFORMATION
 
NOTICES Information
 
Date of Notice No. Subject Issuance Issued to 92-21, Spent Fuel Pool Re- 04/22/92 All holders of OLs or CPs Supp. 1 activity Calculations
 
for-nuclear
 
power reactors.92-29 Potential
 
Breaker Mis- 04/17/92 All holders of OLs or CPs coordination
 
Caused by for nuclear power reactors.Instantaneous
 
Trip Circuitry 92-28 Inadequate
 
Fire Suppres- 04/08/92 All holders of OLs or CPs sion System Testing for nuclear power reactors.92-27 Thermally
 
Induced Acceler- 04/03/92 All holders of OLs or CPs ated Aging and Failure of for nuclear power reactors.ITE/GOULD
 
A.C. Relays Used in Safety-Related
 
Applic-ations 92-26 Pressure Locking of Motor- 04/02/92 All holders of OLs or CPs Operated Flexible Wedge for nuclear power reactors.Gate Valves 92-25 Potential
 
Weakness in 03/31/92 All holders of OLs or CPs Licensee Procedures
 
for A for nuclear power reactor Loss of the Refueling Cavity Water 92-24 Distributor
 
Modification
 
to 03/30/92 All holders of OLs or CPs Certain Commercial-Grade
 
for nuclear power reactors.Agastat Electrical
 
Relays 92-23 Results of Validation
 
Test- 03/27/92 All holders of OLs or CPs ing of Motor-Operated
 
Valve for nuclear power reactors Diagnostic
 
Equipment
 
and all vendors of motor-operated valve (MOV) diag-nostic equipment.
 
OL -Operating
 
License CP
 
* Construction
 
Permit
 
IN 92-30 April 23, 1992 In addition, the administrative
 
section of plant technical
 
specifications
 
requires that written procedures
 
be implemented
 
covering the applicable
 
proce-dures in Appendix A of Regulatory
 
Guide 1.33, Quality Assurance
 
Program Requirements (Operation).
 
Among the safety-related
 
activities
 
which Appendix A states should be covered by written procedures
 
are surveillances
 
and log entries.Willful violations, committed
 
by personnel
 
at any level of a licensee's
 
organization, are of regulatory
 
concern because the NRC must have reasonable
 
assurance
 
that licensed activities
 
will be conducted
 
in a manner that will protect the public health and safety. Such reasonable
 
assurance
 
is provided in large part by the integrity
 
and conscientiousness
 
of each individual
 
performing
 
licensed activities.
 
Deliberate
 
violations
 
concerning
 
matters within the scope of an individual's
 
responsibilities, including
 
falsification
 
of records, will be considered
 
for enforcement
 
action against the individual
 
as well as the facility licensee.
 
As provided in 10 CFR 50.5, "Deliberate
 
Misconduct
 
by Unlicensed
 
Persons," 56 Federal Register 40684, August 15, 1991, the NRC may take direct enforcement
 
action against unlicensed
 
personnel
 
who deliberately
 
cause a licensee to be in violation
 
of the Commission's


mz,-0190rn Z0 FQ)m0>0CDCeI DmCC,0cn"3an02*oiG)C)z0=i CJ > 0O = a U)0 nU)G) m'ii >~s rsAttachmentIN 92-30April 23, 1992Page I of 1IIIIILIST OF RECENTLY ISSUEDNRC INFORMATION NOTICESInformation Date ofNotice No. Subject Issuance Issued to92-21, Spent Fuel Pool Re- 04/22/92 All holders of OLs or CPsSupp. 1 activity Calculations for-nuclear power reactors.92-29 Potential Breaker Mis- 04/17/92 All holders of OLs or CPscoordination Caused by for nuclear power reactors.Instantaneous TripCircuitry92-28 Inadequate Fire Suppres- 04/08/92 All holders of OLs or CPssion System Testing for nuclear power reactors.92-27 Thermally Induced Acceler- 04/03/92 All holders of OLs or CPsated Aging and Failure of for nuclear power reactors.ITE/GOULD A.C. Relays Usedin Safety-Related Applic-ations92-26 Pressure Locking of Motor- 04/02/92 All holders of OLs or CPsOperated Flexible Wedge for nuclear power reactors.Gate Valves92-25 Potential Weakness in 03/31/92 All holders of OLs or CPsLicensee Procedures for A for nuclear power reactorLoss of the RefuelingCavity Water92-24 Distributor Modification to 03/30/92 All holders of OLs or CPsCertain Commercial-Grade for nuclear power reactors.Agastat Electrical Relays92-23 Results of Validation Test- 03/27/92 All holders of OLs or CPsing of Motor-Operated Valve for nuclear power reactorsDiagnostic Equipment and all vendors of motor-operated valve (MOV) diag-nostic equipment.OL -Operating LicenseCP
regulations


* Construction Permit
or who provide false information


IN 92-30April 23, 1992 In addition, the administrative section of plant technical specificationsrequires that written procedures be implemented covering the applicable proce-dures in Appendix A of Regulatory Guide 1.33, Quality Assurance ProgramRequirements (Operation). Among the safety-related activities which Appendix Astates should be covered by written procedures are surveillances and logentries.Willful violations, committed by personnel at any level of a licensee'sorganization, are of regulatory concern because the NRC must have reasonableassurance that licensed activities will be conducted in a manner that willprotect the public health and safety. Such reasonable assurance is providedin large part by the integrity and conscientiousness of each individualperforming licensed activities. Deliberate violations concerning matterswithin the scope of an individual's responsibilities, including falsificationof records, will be considered for enforcement action against the individualas well as the facility licensee. As provided in 10 CFR 50.5, "DeliberateMisconduct by Unlicensed Persons," 56 Federal Register 40684, August 15, 1991,the NRC may take direct enforcement action against unlicensed personnel whodeliberately cause a licensee to be in violation of the Commission's regulationsor who provide false information to the licensee concerning licensed activities.
to the licensee concerning
 
licensed activities.


==Addressees==
==Addressees==
may wish to take actions as appropriate to ensure that plantpersonnel are properly performing their assigned duties.
may wish to take actions as appropriate
 
to ensure that plant personnel
 
are properly performing
 
their assigned duties.


==Addressees==
==Addressees==
may alsowish to distribute copies of this information notice to all their employees.This information notice requires no specific action or written response. Ifyou have any questions about the information in this notice, please contactone of the technical contact(s) listed below or the appropriate Office ofNuclear Reactor Regulation (NRR) project manager.Charles E. Rossi, DirectorDivision of Operational Events AssessmentOffice of Nuclear Reactor RegulationTechnical contact(s): David C. Fischer, NRR(301) 504-1154Eugene M. Kelly, RI(215) 337-5183James A. Prell, RI(215) 337-5108Attachment: List of Recently Issued NRC Information NoticesDocument Name: IN/GUNDECK LOGCONCURRENCES --- SEE NEXT PAGE
may also wish to distribute
 
copies of this information
 
notice to all their employees.
 
This information
 
notice requires no specific action or written response.
 
If you have any questions
 
about the information
 
in this notice, please contact one of the technical
 
contact(s)  
listed below or the appropriate
 
Office of Nuclear Reactor Regulation (NRR) project manager.Charles E. Rossi, Director Division of Operational
 
===Events Assessment===
Office of Nuclear Reactor Regulation
 
Technical
 
contact(s):  
David C. Fischer, NRR (301) 504-1154 Eugene M. Kelly, RI (215) 337-5183 James A. Prell, RI (215) 337-5108 Attachment:  
List of Recently Issued NRC Information
 
Notices Document Name: IN/GUNDECK
 
LOG CONCURRENCES
 
--- SEE NEXT PAGE
 
*SEE PREVIOUS CONCURRENCE
 
OEAB:DOEA:NRR
 
DCFischer*
04/07/92 ADM:RPB JMain*04/08/92 C:OEAB:DOEA:NRR
 
AEChaffee*
04/07/92 C:LOLB:DLPQ:NRR
 
RMGallo*04/08/92 C:LHFB:DLPQ:NRR
 
JSWenmiel*
04/09/92 RI LBettenhausen*
04/14/92 D:DRP:RII LAReyes*04/15/92 D: OE JLieberman*
04/15/92 C:OGCB:DOEA:NRR
 
CHBerlinger*
04/15/92 D:D : CE 04/ 9v
 
*SEE PREVIOUS CONCURRENCE
 
OEAB:DOEA:NRR
 
DCFischer*
04/07/92 C:LHFB:DLPQ:NRR
 
JSWermiel*
04/09/92 C:OGC CHBerjinger
 
04/15 /92 ADM:RPB JMa i n*04/08/92 RI ter st'LBettenhausen
 
04/14/92 C:OEAB:DOEA:NRR
 
C:LOLB:DLPQ:NRR
 
AEChaffee*
RMGallo*04/07/92 04/08/92 D:DRP:RII
 
';*" M. I.LAReyes i rman 04/15/92 04 /92 D:DOEA:NRR
 
CERossi ,3 04/ /92- IN 92-XX April xx, 1992 This information
 
notice requires no specific action or Written response.
 
If you have any questions
 
about the information
 
in this n ptice, please contact one of the technical
 
contact(s)
listed below or the propriate
 
Office of Nuclear Reactor Regulation (NRR) project manager.Charles E. ossi, Director Division f Operational
 
===Events Assessment===
Office o Nuclear Reactor Regulation
 
Technical
 
contact(s):
Davi C. Fischer, RR (301) 4-1154 Eugene M. 1 , RI (215) 337-51 Attachment:
List of Recently Issue NR Information
 
Notices Document Name: IN/GUNDECK
 
OG*SEE PREVIOUS CONCURRENCY
 
p i\OEAB:DOEA:NRR
 
ADM:RPB X C:OEAB:DOEA:NRR
 
C:LOLB:DLPQ:NRR
 
DCFischer*
JMain AEChaffee*
MGallo 04/07/92)
¢p 04/.3/92 04/07/92 0 \ /92  CA CILHFB:DLPQ:NRR
 
DRP:RI C:OGCB:DOEA:NRR
 
D:D A:NRR JSWermiel
 
EMKell CHBerlinger
 
CERos 04/ '/92 04/ / 2 04/ /92 04/ /92 Document Name: OEAB:DOEA:NRR
 
DCFischer 04/7 /92 C:LHFB:DLPQ:NRR
 
JSWermiel 04/ /92 IN/GUNDECK
 
LOG NRR C:LOLB:DLPQ:NRR
 
RMGallo 04/ /92 04/ /':DOEA:NRR.Rossi 4/ /92 04/
IN 92-XX April xx, 1992 This information
 
notice requires no specific action or written response.
 
If you have any questions
 
about the information
 
in this notice, please contact one of the technical
 
contact(s)
listed below or th appropriate
 
Office of Nuclear Reactor Regulation (NRR) project manager.Charl E. Rossi, Director Divis on of Operational
 
===Events Assessment===
Offi e of Nuclear Reactor Regulation
 
Technical
 
contact(s):
D id C. Fisch , NRR (301 504-1154 Eugene Kel y, RI (215) 337 1 3 Attachment:
List of Recently Iss e RC Information
 
Notices Document Name: IN/GUNDECK
 
LOG OEAB:DOEA:NRR
 
ADM:RPB C:OEAB:DO
 
:NRR C:LOLB:DLPQ:NRR
 
DCFischer
 
JMain Q AEChaffee
 
RMGallo 04/ /92 04/8 /9'2 04/ /92 04/ /92 C:LHFB:DLPQ:NRR
 
C:OGCB:DOE
 
:NRR D/DOEA:NRR


*SEE PREVIOUS CONCURRENCEOEAB:DOEA:NRRDCFischer*04/07/92ADM:RPBJMain*04/08/92C:OEAB:DOEA:NRRAEChaffee*04/07/92C:LOLB:DLPQ:NRRRMGallo*04/08/92C:LHFB:DLPQ:NRRJSWenmiel*04/09/92RILBettenhausen*04/14/92D:DRP:RIILAReyes*04/15/92D: OEJLieberman*04/15/92C:OGCB:DOEA:NRRCHBerlinger*04/15/92D:D :CE04/ 9v
JSWermiel


*SEE PREVIOUS CONCURRENCEOEAB:DOEA:NRRDCFischer*04/07/92C:LHFB:DLPQ:NRRJSWermiel*04/09/92C:OGCCHBerjinger04/15 /92ADM:RPBJMa i n*04/08/92RI ter st'LBettenhausen04/14/92C:OEAB:DOEA:NRR C:LOLB:DLPQ:NRRAEChaffee* RMGallo*04/07/92 04/08/92D:DRP:RII ';*" M. I.LAReyes i rman04/15/92 04 /92D:DOEA:NRRCERossi ,304/ /92- IN 92-XXApril xx, 1992 This information notice requires no specific action or Written response. Ifyou have any questions about the information in this n ptice, please contactone of the technical contact(s) listed below or the propriate Office ofNuclear Reactor Regulation (NRR) project manager.Charles E. ossi, DirectorDivision f Operational Events AssessmentOffice o Nuclear Reactor RegulationTechnical contact(s): Davi C. Fischer, RR(301) 4-1154Eugene M. 1 , RI(215) 337-51Attachment: List of Recently Issue NR Information NoticesDocument Name: IN/GUNDECK OG*SEE PREVIOUS CONCURRENCY p i\OEAB:DOEA:NRR ADM:RPB X C:OEAB:DOEA:NRR C:LOLB:DLPQ:NRRDCFischer* JMain AEChaffee* MGallo04/07/92) ¢p 04/.3/92 04/07/92 0 \ /92  CACILHFB:DLPQ:NRR DRP:RI C:OGCB:DOEA:NRR D:D A:NRRJSWermiel EMKell CHBerlinger CERos04/ '/92 04/ / 2 04/ /92 04/ /92 Document Name:OEAB:DOEA:NRRDCFischer04/7 /92C:LHFB:DLPQ:NRRJSWermiel04/ /92IN/GUNDECK LOGNRRC:LOLB:DLPQ:NRRRMGallo04/ /9204/ /':DOEA:NRR.Rossi4/ /9204/
CBerlingej
IN 92-XXApril xx, 1992 This information notice requires no specific action or written response. Ifyou have any questions about the information in this notice, please contact oneof the technical contact(s) listed below or th appropriate Office of NuclearReactor Regulation (NRR) project manager.Charl E. Rossi, DirectorDivis on of Operational Events AssessmentOffi e of Nuclear Reactor RegulationTechnical contact(s): D id C. Fisch , NRR(301 504-1154Eugene Kel y, RI(215) 337 1 3Attachment: List of Recently Iss e RC Information NoticesDocument Name: IN/GUNDECK LOGOEAB:DOEA:NRR ADM:RPB C:OEAB:DO :NRR C:LOLB:DLPQ:NRRDCFischer JMain Q AEChaffee RMGallo04/ /92 04/8 /9'2 04/ /92 04/ /92C:LHFB:DLPQ:NRR C:OGCB:DOE :NRR D/DOEA:NRRJSWermiel CBerlingej CERossi04/ /92 04/ /92 / 04/ /92I


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CERossi 04/ /92 04/ /92 / 04/ /92 I}}


{{Information notice-Nav}}
{{Information notice-Nav}}

Revision as of 13:08, 31 August 2018

Falsification of Plant Records
ML031200393
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, Fort Saint Vrain, Shoreham, Satsop, Trojan, Atlantic Nuclear Power Plant  Entergy icon.png
Issue date: 04/23/1992
From: Rossi C E
Office of Nuclear Reactor Regulation
To:
References
IN-92-030, NUDOCS 9204170113
Download: ML031200393 (10)
v • d • e


I I UNITED STATES NUCLEAR REGULATORY

COMMISSION

OFFICE OF NUCLEAR REACTOR REGULATION

WASHINGTON, D.C. 20555 April 23, 1992 NRC INFORMATION

NOTICE 92-30: FALSIFICATION

OF PLANT RECORDS

Addressees

All holders of operating

licenses or construction

permits for nuclear power reactors and all licensed operators

and senior operators.

Purpose

The U.S. Nuclear Regulatory

Commission (NRC) is issuing this information

notice to alert addressees

to the NRC's concern that plant mechanics, technicians, and operators

may have falsified

plant logs at several nuclear power plants. The NRC is reminding

plant mechanics, technicians, and operators (both licensed and non-licensed)

of the penalties

that could result from intentionally

violating

Federal regulatory

requirements

and criminal statutes.The NRC is also reminding

addressees

that all personnel

are subject to the requirements

of 10 CFR 50.9(a) which states that information

required by statute or by the Commission's

regulations

be complete and accurate in all material aspects. 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 are not NRC requirements;

therefore, no specific action or written response is required.Description

of Circumstances

On March 1, 1992, the shift superintendent

for the Public Service Company of New Hampshire's

Seabrook Nuclear Station was conducting

a surveillance, in accordance

with a personnel

performance

monitoring

program, to verify that operations

department

personnel

were properly performing

their assigned duties.On this occasion, the shift superintendent

reviewed the security department's

computerized

card key entry records against locations

in which an auxiliary operator's (AO's) log entries had indicated

that he had performed

inspections.

The shift superintendent

found that the AO had logged "SAT" (satisfactory)

for some plant areas, indicating

that he had performed

the required periodic inspections, although the computerized

security data indicated

that some of these areas had not been entered.The shift superintendent's

findings prompted the licensee to establish

an independent

review team (IRT) to performi a comprehensive

analysis of the root cause(s) and the generic implications

of this occurrence.

The IRT interviewed

the individuals

involved and the management

and supervisory

staff and examined a wide range of historical

records created or used since the issuance of the full power operating

license, including

security logs, 9204170113

5/!

IN 92-30 April 23, 1992 operations

logs and procedures, administrative

program manuals, and training lesson plans. Discrepancies

were found by the IRT, and some involved violations

of technical

specifications

and some involved licensed operators.

In response to the findings at Seabrook, random checks were conducted

at the Haddam Neck Plant and Millstone

Nuclear Power Station. To date, no dis-crepancies

have been identified

at Haddam Neck. At Millstone, the Northeast Nuclear Energy Company (the licensee)

determined

that several non-licensed

plant equipment

operators (PEOs) had not completed

certain inspection

rounds as represented

in their logs. The Millstone

licensee has since expanded its evaluation

to verifying

the accuracy of log entries recorded by all PEOs.The management

at Millstone

informed plant personnel

of its findings and expectations

for recording

log entries. The Millstone

licensee also established

an IRT (with a representative

from the Seabrook IRT acting in an advisory status) to investigate

its findings, to determine

the extent of the problem, and to determine

corrective

actions that should be taken.At Oyster Creek, several non-licensed

PEOs were involved with falsification

of records associated

with routine plant log taking rounds. None of the records involved were related to technical

specifications.

The discovery

of the falsified

log entries was from an ongoing random investigation

comparing security door entry records with operator rounds.As a result of discrepancies

found at Seabrook, Oyster Creek, and Millstone, at least one indivie-a-yn

his e-pT tte-rmnn iniated,-s-everaltudiv-tduals-

-resigned, and several other individuals

were suspended.

On January 28, 1992, two Instrumentation

and Control technicians

at the Vogtle Electric Generating

Plant, Unit 1, performed

a surveillance

on a portion of the reactor trip system instrumentation.

The Georgia Power Company (the licensee)

informed the NRC that the technicians

failed to properly follow the surveillance

procedure

and subsequently

created the data that was entered on the calibration

data sheet.NRC evaluation

of each of these matters is continuing.

Discussion

of Safety Significance

Maintenance

of shift records, log sheets, and surveillance

records, attention to detail, and work ethics are important

factors which contribute

to the safe operation

of nuclear power plants. Complacency, by mechanics, technicians, or licensed or non-licensed

operators, cannot be tolerated.

Similarly, manage-ment expectations

and supervisory

overview of rounds need to be clearly communicated

and monitored.

All personnel

involved in NRC-regulated

activities

are responsible

for complying

with applicable

NRC regulatory

requirements

and other Federal laws. Log keeping activities

as well as surveillances

performed

by licensed or non-licensed

personnel

are subject to the requirements

of 10 CFR 50.9(a) regarding

completeness

and accuracy of information.

IN 92-30 April 23, 1992 In addition, the administrative

section of plant technical

specifications

requires that written procedures

be implemented

covering the applicable

proce-dures in Appendix A of Regulatory

Guide 1.33, Quality Assurance

Program Requirements (Operation).

Among the safety-related

activities

which Appendix A states should be covered by written procedures

are surveillances

and log entries.Willful violations, committed

by personnel

at any level of a licensee's

organization, are of regulatory

concern because the NRC must have reasonable

assurance

that licensed activities

will be conducted

in a manner that will protect the public health and safety. Such reasonable

assurance

is provided in large part by the integrity

and conscientiousness

of each individual

performing

licensed activities.

Deliberate

violations

concerning

matters within the scope of an individual's

responsibilities, including

falsification

of records, will be considered

for enforcement

action against the individual

as well as the facility licensee.

As provided in 10 CFR 50.5, "Deliberate

Misconduct

by Unlicensed

Persons," 56 Federal Register 40684, August 15, 1991, the NRC may take direct enforcement

action against unlicensed

personnel

who deliberately

cause a licensee to be in violation

of the Commission's

regulations

or who provide false information

to the licensee concerning

licensed activities.

Addressees

may wish to take actions as appropriate

to ensure that plant personnel

are properly performing

their assigned duties.

Addressees

may also wish to distribute

copies of this information

notice to all their employees.

This information

notice requires no specific action or written response.

If you have any questions

about the information

in this notice, please contact one of the technical

contact(s)

listed below or the appropriate

Office of Nuclear Reactor Regulation (NRR) project manager.Charles E. Rossi, Director Division of Operational

Events Assessment

Office of Nuclear Reactor Regulation

Technical

contact(s):

David C. Fischer, NRR (301) 504-1154 Eugene M. Kelly, RI (215) 337-5183 James A. Prell, RI (215) 337-5108 Attachment:

List of gecently I sued NRC Information

Notices

m z ,-0190 rn Z 0 FQ)m 0>0 CD C e I D mC C,0 cn"3 an 0 2*oi G)C)z0=i CJ > 0 O = a U)0 nU)G) m'ii >~s r s Attachment

IN 92-30 April 23, 1992 Page I of 1 I I I I I LIST OF RECENTLY ISSUED NRC INFORMATION

NOTICES Information

Date of Notice No. Subject Issuance Issued to 92-21, Spent Fuel Pool Re- 04/22/92 All holders of OLs or CPs Supp. 1 activity Calculations

for-nuclear

power reactors.92-29 Potential

Breaker Mis- 04/17/92 All holders of OLs or CPs coordination

Caused by for nuclear power reactors.Instantaneous

Trip Circuitry 92-28 Inadequate

Fire Suppres- 04/08/92 All holders of OLs or CPs sion System Testing for nuclear power reactors.92-27 Thermally

Induced Acceler- 04/03/92 All holders of OLs or CPs ated Aging and Failure of for nuclear power reactors.ITE/GOULD

A.C. Relays Used in Safety-Related

Applic-ations 92-26 Pressure Locking of Motor- 04/02/92 All holders of OLs or CPs Operated Flexible Wedge for nuclear power reactors.Gate Valves 92-25 Potential

Weakness in 03/31/92 All holders of OLs or CPs Licensee Procedures

for A for nuclear power reactor Loss of the Refueling Cavity Water 92-24 Distributor

Modification

to 03/30/92 All holders of OLs or CPs Certain Commercial-Grade

for nuclear power reactors.Agastat Electrical

Relays 92-23 Results of Validation

Test- 03/27/92 All holders of OLs or CPs ing of Motor-Operated

Valve for nuclear power reactors Diagnostic

Equipment

and all vendors of motor-operated valve (MOV) diag-nostic equipment.

OL -Operating

License CP

  • Construction

Permit

IN 92-30 April 23, 1992 In addition, the administrative

section of plant technical

specifications

requires that written procedures

be implemented

covering the applicable

proce-dures in Appendix A of Regulatory

Guide 1.33, Quality Assurance

Program Requirements (Operation).

Among the safety-related

activities

which Appendix A states should be covered by written procedures

are surveillances

and log entries.Willful violations, committed

by personnel

at any level of a licensee's

organization, are of regulatory

concern because the NRC must have reasonable

assurance

that licensed activities

will be conducted

in a manner that will protect the public health and safety. Such reasonable

assurance

is provided in large part by the integrity

and conscientiousness

of each individual

performing

licensed activities.

Deliberate

violations

concerning

matters within the scope of an individual's

responsibilities, including

falsification

of records, will be considered

for enforcement

action against the individual

as well as the facility licensee.

As provided in 10 CFR 50.5, "Deliberate

Misconduct

by Unlicensed

Persons," 56 Federal Register 40684, August 15, 1991, the NRC may take direct enforcement

action against unlicensed

personnel

who deliberately

cause a licensee to be in violation

of the Commission's

regulations

or who provide false information

to the licensee concerning

licensed activities.

Addressees

may wish to take actions as appropriate

to ensure that plant personnel

are properly performing

their assigned duties.

Addressees

may also wish to distribute

copies of this information

notice to all their employees.

This information

notice requires no specific action or written response.

If you have any questions

about the information

in this notice, please contact one of the technical

contact(s)

listed below or the appropriate

Office of Nuclear Reactor Regulation (NRR) project manager.Charles E. Rossi, Director Division of Operational

Events Assessment

Office of Nuclear Reactor Regulation

Technical

contact(s):

David C. Fischer, NRR (301) 504-1154 Eugene M. Kelly, RI (215) 337-5183 James A. Prell, RI (215) 337-5108 Attachment:

List of Recently Issued NRC Information

Notices Document Name: IN/GUNDECK

LOG CONCURRENCES

--- SEE NEXT PAGE

  • SEE PREVIOUS CONCURRENCE

OEAB:DOEA:NRR

DCFischer*

04/07/92 ADM:RPB JMain*04/08/92 C:OEAB:DOEA:NRR

AEChaffee*

04/07/92 C:LOLB:DLPQ:NRR

RMGallo*04/08/92 C:LHFB:DLPQ:NRR

JSWenmiel*

04/09/92 RI LBettenhausen*

04/14/92 D:DRP:RII LAReyes*04/15/92 D: OE JLieberman*

04/15/92 C:OGCB:DOEA:NRR

CHBerlinger*

04/15/92 D:D : CE 04/ 9v

  • SEE PREVIOUS CONCURRENCE

OEAB:DOEA:NRR

DCFischer*

04/07/92 C:LHFB:DLPQ:NRR

JSWermiel*

04/09/92 C:OGC CHBerjinger

04/15 /92 ADM:RPB JMa i n*04/08/92 RI ter st'LBettenhausen

04/14/92 C:OEAB:DOEA:NRR

C:LOLB:DLPQ:NRR

AEChaffee*

RMGallo*04/07/92 04/08/92 D:DRP:RII

';*" M. I.LAReyes i rman 04/15/92 04 /92 D:DOEA:NRR

CERossi ,3 04/ /92- IN 92-XX April xx, 1992 This information

notice requires no specific action or Written response.

If you have any questions

about the information

in this n ptice, please contact one of the technical

contact(s)

listed below or the propriate

Office of Nuclear Reactor Regulation (NRR) project manager.Charles E. ossi, Director Division f Operational

Events Assessment

Office o Nuclear Reactor Regulation

Technical

contact(s):

Davi C. Fischer, RR (301) 4-1154 Eugene M. 1 , RI (215) 337-51 Attachment:

List of Recently Issue NR Information

Notices Document Name: IN/GUNDECK

OG*SEE PREVIOUS CONCURRENCY

p i\OEAB:DOEA:NRR

ADM:RPB X C:OEAB:DOEA:NRR

C:LOLB:DLPQ:NRR

DCFischer*

JMain AEChaffee*

MGallo 04/07/92)

¢p 04/.3/92 04/07/92 0 \ /92 CA CILHFB:DLPQ:NRR

DRP:RI C:OGCB:DOEA:NRR

D:D A:NRR JSWermiel

EMKell CHBerlinger

CERos 04/ '/92 04/ / 2 04/ /92 04/ /92 Document Name: OEAB:DOEA:NRR

DCFischer 04/7 /92 C:LHFB:DLPQ:NRR

JSWermiel 04/ /92 IN/GUNDECK

LOG NRR C:LOLB:DLPQ:NRR

RMGallo 04/ /92 04/ /':DOEA:NRR.Rossi 4/ /92 04/

IN 92-XX April xx, 1992 This information

notice requires no specific action or written response.

If you have any questions

about the information

in this notice, please contact one of the technical

contact(s)

listed below or th appropriate

Office of Nuclear Reactor Regulation (NRR) project manager.Charl E. Rossi, Director Divis on of Operational

Events Assessment

Offi e of Nuclear Reactor Regulation

Technical

contact(s):

D id C. Fisch , NRR (301 504-1154 Eugene Kel y, RI (215) 337 1 3 Attachment:

List of Recently Iss e RC Information

Notices Document Name: IN/GUNDECK

LOG OEAB:DOEA:NRR

ADM:RPB C:OEAB:DO

NRR C:LOLB:DLPQ:NRR

DCFischer

JMain Q AEChaffee

RMGallo 04/ /92 04/8 /9'2 04/ /92 04/ /92 C:LHFB:DLPQ:NRR

C:OGCB:DOE

NRR D/DOEA:NRR

JSWermiel

CBerlingej

CERossi 04/ /92 04/ /92 / 04/ /92 I


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