Information Notice 1992-30, Falsification of Plant Records: Difference between revisions

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| issue date = 04/23/1992
| issue date = 04/23/1992
| title = Falsification of Plant Records
| title = Falsification of Plant Records
| author name = Rossi C E
| author name = Rossi C
| author affiliation = NRC/NRR
| author affiliation = NRC/NRR
| addressee name =  
| addressee name =  
Line 14: Line 14:
| page count = 10
| page count = 10
}}
}}
{{#Wiki_filter:I I UNITED STATES NUCLEAR REGULATORY
{{#Wiki_filter:I I


COMMISSION
UNITED STATES


===OFFICE OF NUCLEAR REACTOR REGULATION===
NUCLEAR REGULATORY COMMISSION
WASHINGTON, D.C. 20555 April 23, 1992 NRC INFORMATION


NOTICE 92-30: FALSIFICATION
OFFICE OF NUCLEAR REACTOR REGULATION


OF PLANT RECORDS
WASHINGTON, D.C. 20555 April 23, 1992 NRC INFORMATION NOTICE 92-30:  FALSIFICATION OF PLANT RECORDS


==Addressees==
==Addressees==
All holders of operating
All holders of operating licenses or construction permits for nuclear power


licenses or construction
reactors and all licensed operators and senior operators.
 
permits for nuclear power reactors and all licensed operators
 
and senior operators.


==Purpose==
==Purpose==
The U.S. Nuclear Regulatory
The U.S. Nuclear Regulatory Commission (NRC) is issuing this information
 
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)
notice to alert addressees to the NRC's concern that plant mechanics, technicians, and operators may have falsified plant logs at several nuclear
determined


that several non-licensed
power plants. The NRC is reminding plant mechanics, technicians, and operators


plant equipment
(both licensed and non-licensed) of the penalties that could result from


operators (PEOs) had not completed
intentionally violating Federal regulatory requirements and criminal statutes.


certain inspection
The NRC is also reminding addressees that all personnel are subject to the


rounds as represented
requirements of 10 CFR 50.9(a) which states that information required by


in their logs. The Millstone
statute or by the Commission's regulations be complete and accurate in all


licensee has since expanded its evaluation
material aspects.  It is expected that recipients will review the information


to verifying
for applicability to their facilities and consider actions, as appropriate, to


the accuracy of log entries recorded by all PEOs.The management
avoid similar problems. However, suggestions contained in this information


at Millstone
notice are not NRC requirements; therefore, no specific action or written


informed plant personnel
response is required.


of its findings and expectations
==Description of Circumstances==
On March 1, 1992, the shift superintendent for the Public Service Company of


for recording
New Hampshire's Seabrook Nuclear Station was conducting a surveillance, in


log entries. The Millstone
accordance with a personnel performance monitoring program, to verify that


licensee also established
operations department personnel were properly performing their assigned duties.


an IRT (with a representative
On this occasion, the shift superintendent reviewed the security department's


from the Seabrook IRT acting in an advisory status) to investigate
computerized card key entry records against locations in which an auxiliary


its findings, to determine
operator's (AO's) log entries had indicated that he had performed inspections.


the extent of the problem, and to determine
The shift superintendent found that the AO had logged "SAT" (satisfactory) for


corrective
some plant areas, indicating that he had performed the required periodic


actions that should be taken.At Oyster Creek, several non-licensed
inspections, although the computerized security data indicated that some of


PEOs were involved with falsification
these areas had not been entered.


of records associated
The shift superintendent's findings prompted the licensee to establish an


with routine plant log taking rounds. None of the records involved were related to technical
independent review team (IRT) to performi a comprehensive analysis of the


specifications.
root cause(s) and the generic implications of this occurrence. The IRT


The discovery
interviewed the individuals involved and the management and supervisory


of the falsified
staff and examined a wide range of historical records created or used since


log entries was from an ongoing random investigation
the issuance of the full power operating license, including security logs,
    9204170113
                                                                        5/!


comparing security door entry records with operator rounds.As a result of discrepancies
IN 92-30
                                                            April 23, 1992 operations logs and procedures, administrative program manuals, and training


found at Seabrook, Oyster Creek, and Millstone, at least one indivie-a-yn
lesson plans. Discrepancies were found by the IRT, and some involved violations


his e-pT tte-rmnn iniated,-s-everaltudiv-tduals-
of technical specifications and some involved licensed operators.
-resigned, and several other individuals


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


On January 28, 1992, two Instrumentation
Haddam Neck Plant and Millstone Nuclear Power Station. To date, no dis- crepancies have been identified at Haddam Neck. At Millstone, the Northeast


and Control technicians
Nuclear Energy Company (the licensee) determined that several non-licensed


at the Vogtle Electric Generating
plant equipment operators (PEOs) had not completed certain inspection rounds


Plant, Unit 1, performed
as represented in their logs. The Millstone licensee has since expanded its


a surveillance
evaluation to verifying the accuracy of log entries recorded by all PEOs.


on a portion of the reactor trip system instrumentation.
The management at Millstone informed plant personnel of its findings and


The Georgia Power Company (the licensee)
expectations for recording log entries. The Millstone licensee also
informed the NRC that the technicians


failed to properly follow the surveillance
established an IRT (with a representative from the Seabrook IRT acting in


procedure
an advisory status) to investigate its findings, to determine the extent of


and subsequently
the problem, and to determine corrective actions that should be taken.


created the data that was entered on the calibration
At Oyster Creek, several non-licensed PEOs were involved with falsification of


data sheet.NRC evaluation
records associated with routine plant log taking rounds. None of the records


of each of these matters is continuing.
involved were related to technical specifications. The discovery of the


Discussion
falsified log entries was from an ongoing random investigation comparing


of Safety Significance
security door entry records with operator rounds.


Maintenance
As a result of discrepancies found at Seabrook, Oyster Creek, and Millstone, at least one indivie-a-yn his e-pT      tte-rmnn


of shift records, log sheets, and surveillance
iniated,-s-everaltudiv-tduals-    -
resigned, and several other individuals were suspended.


records, attention to detail, and work ethics are important
On January 28, 1992, two Instrumentation and Control technicians at the Vogtle


factors which contribute
Electric Generating Plant, Unit 1, performed a surveillance on a portion of


to the safe operation
the reactor trip system instrumentation. The Georgia Power Company (the


of nuclear power plants. Complacency, by mechanics, technicians, or licensed or non-licensed
licensee) informed the NRC that the technicians failed to properly follow the


operators, cannot be tolerated.
surveillance procedure and subsequently created the data that was entered on


Similarly, manage-ment expectations
the calibration data sheet.


and supervisory
NRC evaluation of each of these matters is continuing.


overview of rounds need to be clearly communicated
===Discussion of Safety Significance===
Maintenance of shift records, log sheets, and surveillance records, attention


and monitored.
to detail, and work ethics are important factors which contribute to the safe


All personnel
operation of nuclear power plants. Complacency, by mechanics, technicians, or


involved in NRC-regulated
licensed or non-licensed operators, cannot be tolerated. Similarly, manage- ment expectations and supervisory overview of rounds need to be clearly


activities
communicated and monitored. All personnel involved in NRC-regulated activities


are responsible
are responsible for complying with applicable NRC regulatory requirements and


for complying
other Federal laws. Log keeping activities as well as surveillances


with applicable
performed by licensed or non-licensed personnel are subject to the


NRC regulatory
requirements of 10 CFR 50.9(a) regarding completeness and accuracy of information.


requirements
IN 92-30
                                                              April 23, 1992 In addition, the administrative section of plant technical specifications


and other Federal laws. Log keeping activities
requires that written procedures be implemented covering the applicable proce- dures in Appendix A of Regulatory Guide 1.33, Quality Assurance Program


as well as surveillances
Requirements (Operation). Among the safety-related activities which Appendix A


performed
states should be covered by written procedures are surveillances and log


by licensed or non-licensed
entries.


personnel
Willful violations, committed by personnel at any level of a licensee's


are subject to the requirements
organization, are of regulatory concern because the NRC must have reasonable


of 10 CFR 50.9(a) regarding
assurance that licensed activities will be conducted in a manner that will


completeness
protect the public health and safety. Such reasonable assurance is provided


and accuracy of information.
in large part by the integrity and conscientiousness of each individual


IN 92-30 April 23, 1992 In addition, the administrative
performing licensed activities. Deliberate violations concerning matters


section of plant technical
within the scope of an individual's responsibilities, including falsification


specifications
of records, will be considered for enforcement action against the individual


requires that written procedures
as well as the facility licensee. As provided in 10 CFR 50.5, "Deliberate


be implemented
Misconduct by Unlicensed Persons," 56 Federal Register 40684, August 15, 1991, the NRC may take direct enforcement action against unlicensed personnel who


covering the applicable
deliberately cause a licensee to be in violation of the Commission's regulations


proce-dures in Appendix A of Regulatory
or who provide false information to the licensee concerning licensed activities.
 
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
may wish to take actions as appropriate to ensure that plant


to ensure that plant personnel
personnel are properly performing their assigned duties.
 
are properly performing
 
their assigned duties.


==Addressees==
==Addressees==
may also wish to distribute
may also


copies of this information
wish to distribute copies of this information notice to all their employees.


notice to all their employees.
This information notice requires no specific action or written response. If


This information
you have any questions about the information in this notice, please contact


notice requires no specific action or written response.
one of the technical contact(s) listed below or the appropriate Office of


If you have any questions
Nuclear Reactor Regulation (NRR) project manager.


about the information
Charles E. Rossi, Director


in this notice, please contact one of the technical
Division of Operational Events Assessment


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
Office of Nuclear Reactor Regulation


Technical
Technical contact(s):   David C. Fischer, NRR
 
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
(301) 504-1154 Eugene M. Kelly, RI


A.C. Relays Used in Safety-Related
(215) 337-5183 James A. Prell, RI


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
(215) 337-5108 Attachment:  List of gecently I sued NRC Information Notices


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


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


Modification
z


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


for nuclear power reactors.Agastat Electrical
0190                                                                                IN 92-30
            C,0
            ID                                                                    April 23, 1992 Page I of 1 LIST OF RECENTLY ISSUED


Relays 92-23 Results of Validation
rnZ                                                      NRC INFORMATION NOTICES


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


Valve for nuclear power reactors Diagnostic
CD


Equipment
0 FQ)
m  C    "3            I


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


OL -Operating
0>                    I Notice No.          Subject                    Issuance  Issued to


License CP
0                      I


* Construction
an    I                                                04/22/92  All holders of OLs or CPs


Permit
92-21,        Spent Fuel Pool Re- I  Supp. 1        activity Calculations                      for-nuclear power reactors.


IN 92-30 April 23, 1992 In addition, the administrative
92-29          Potential Breaker Mis-          04/17/92  All holders of OLs or CPs


section of plant technical
coordination Caused by                      for nuclear power reactors.


specifications
Instantaneous Trip


requires that written procedures
Circuitry


be implemented
92-28          Inadequate Fire Suppres-        04/08/92  All holders of OLs or CPs


covering the applicable
sion System Testing                        for nuclear power reactors.


proce-dures in Appendix A of Regulatory
92-27          Thermally Induced Acceler-      04/03/92  All holders of OLs or CPs


Guide 1.33, Quality Assurance
ated Aging and Failure of                  for nuclear power reactors.


Program Requirements (Operation).
*oi                        ITE/GOULD A.C. Relays Used


Among the safety-related
in Safety-Related Applic- ations


activities
0G)C)    92-26          Pressure Locking of Motor-      04/02/92  All holders of OLs or CPs


which Appendix A states should be covered by written procedures
Operated Flexible Wedge                    for nuclear power reactors.


are surveillances
2 z0                            Gate Valves


and log entries.Willful violations, committed
92-25          Potential Weakness in            03/31/92  All holders of OLs or CPs


by personnel
Licensee Procedures for A                  for nuclear power reactor


at any level of a licensee's
Loss of the Refueling


organization, are of regulatory
Cavity Water


concern because the NRC must have reasonable
92-24          Distributor Modification to      03/30/92  All holders of OLs or CPs


assurance
Certain Commercial-Grade                  for nuclear power reactors.


that licensed activities
Agastat Electrical Relays


will be conducted
92-23          Results of Validation Test-      03/27/92  All holders of OLs or CPs


in a manner that will protect the public health and safety. Such reasonable
ing of Motor-Operated Valve                for nuclear power reactors


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


is provided in large part by the integrity
0 nU)
      =i CJ >      0
          'ii      >~
      sO =      a rU)    OL - Operating License


and conscientiousness
sm        CP


of each individual
* Construction Permit


performing
G)


licensed activities.
IN 92-30
                                                              April 23, 1992 In addition, the administrative section of plant technical specifications


Deliberate
requires that written procedures be implemented covering the applicable proce- dures in Appendix A of Regulatory Guide 1.33, Quality Assurance Program


violations
Requirements (Operation). Among the safety-related activities which Appendix A


concerning
states should be covered by written procedures are surveillances and log


matters within the scope of an individual's
entries.


responsibilities, including
Willful violations, committed by personnel at any level of a licensee's


falsification
organization, are of regulatory concern because the NRC must have reasonable


of records, will be considered
assurance that licensed activities will be conducted in a manner that will


for enforcement
protect the public health and safety. Such reasonable assurance is provided


action against the individual
in large part by the integrity and conscientiousness of each individual


as well as the facility licensee.
performing licensed activities. Deliberate violations concerning matters


As provided in 10 CFR 50.5, "Deliberate
within the scope of an individual's responsibilities, including falsification


Misconduct
of records, will be considered for enforcement action against the individual


by Unlicensed
as well as the facility licensee. As provided in 10 CFR 50.5, "Deliberate


Persons," 56 Federal Register 40684, August 15, 1991, the NRC may take direct enforcement
Misconduct by Unlicensed Persons," 56 Federal Register 40684, August 15, 1991, the NRC may take direct enforcement action against unlicensed personnel who


action against unlicensed
deliberately cause a licensee to be in violation of the Commission's regulations


personnel
or who provide false information to the licensee concerning licensed activities.
 
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
may wish to take actions as appropriate to ensure that plant
 
to ensure that plant personnel
 
are properly performing


their assigned duties.
personnel are properly performing their assigned duties.


==Addressees==
==Addressees==
may also wish to distribute
may also


copies of this information
wish to distribute copies of this information notice to all their employees.


notice to all their employees.
This information notice requires no specific action or written response. If


This information
you have any questions about the information in this notice, please contact


notice requires no specific action or written response.
one of the technical contact(s) listed below or the appropriate Office of


If you have any questions
Nuclear Reactor Regulation (NRR) project manager.


about the information
Charles E. Rossi, Director


in this notice, please contact one of the technical
Division of Operational Events Assessment


contact(s)
Office of Nuclear Reactor Regulation
listed below or the appropriate


Office of Nuclear Reactor Regulation (NRR) project manager.Charles E. Rossi, Director Division of Operational
Technical contact(s):  David C. Fischer, NRR


===Events Assessment===
(301) 504-1154 Eugene M. Kelly, RI
Office of Nuclear Reactor Regulation


Technical
(215) 337-5183 James A. Prell, RI


contact(s):
(215) 337-5108 Attachment: List of Recently Issued NRC Information Notices
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
Document Name:   IN/GUNDECK LOG


LOG CONCURRENCES
CONCURRENCES --- SEE NEXT PAGE
 
--- SEE NEXT PAGE


*SEE PREVIOUS CONCURRENCE
*SEE PREVIOUS CONCURRENCE


OEAB:DOEA:NRR
OEAB:DOEA:NRR      ADM:RPB        C:OEAB:DOEA:NRR C:LOLB:DLPQ:NRR


DCFischer*
DCFischer*          JMain*        AEChaffee*      RMGallo*
04/07/92 ADM:RPB JMain*04/08/92 C:OEAB:DOEA:NRR
04/07/92           04/08/92      04/07/92        04/08/92 C:LHFB:DLPQ:NRR     RI            D:DRP:RII      D: OE


AEChaffee*
JSWenmiel*          LBettenhausen* LAReyes*        JLieberman*
04/07/92 C:LOLB:DLPQ:NRR
04/09/92            04/14/92      04/15/92        04/15/92 C:OGCB:DOEA:NRR     D:D    :
CHBerlinger*        CE


RMGallo*04/08/92 C:LHFB:DLPQ:NRR
04/15/92           04/   9v
 
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
*SEE PREVIOUS CONCURRENCE


OEAB:DOEA:NRR
OEAB:DOEA:NRR      ADM:RPB        C:OEAB:DOEA:NRR      C:LOLB:DLPQ:NRR


DCFischer*
DCFischer*          JMa in*        AEChaffee*            RMGallo*
04/07/92 C:LHFB:DLPQ:NRR
04/07/92            04/08/92      04/07/92              04/08/92 C:LHFB:DLPQ:NRR     RI ter st'    D:DRP:RII ';*"  M. I.


JSWermiel*
JSWermiel*           LBettenhausen LAReyes                  i  rman
04/09/92 C:OGC CHBerjinger


04/15 /92 ADM:RPB JMa i n*04/08/92 RI ter st'LBettenhausen
04/09/92            04/14/92      04/15/92             04   /92 C:OGC              D:DOEA:NRR


04/14/92 C:OEAB:DOEA:NRR
===CHBerjinger        CERossi ,3===
04/15 /92           04/  /92-


C:LOLB:DLPQ:NRR
IN 92-XX


AEChaffee*
April xx, 1992 This information notice requires no specific action or Written response.      If
RMGallo*04/07/92 04/08/92 D:DRP:RII


';*" M. I.LAReyes i rman 04/15/92 04 /92 D:DOEA:NRR
you have any questions about the information in this nptice, please contact


CERossi ,3 04/ /92- IN 92-XX April xx, 1992 This information
one of the technical contact(s) listed below or the propriate Office of


notice requires no specific action or Written response.
Nuclear Reactor Regulation (NRR) project manager.


If you have any questions
Charles E. ossi, Director


about the information
Division f Operational Events Assessment


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
Office o Nuclear Reactor Regulation


Technical
Technical contact(s):  Davi C. Fischer,    RR


contact(s):
(301)   4-1154 Eugene M. 1     , RI
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
(215) 337-51 Attachment:  List of Recently Issue  NR  Information Notices


OG*SEE PREVIOUS CONCURRENCY
Document Name:  IN/GUNDECK OG


p i\OEAB:DOEA:NRR
*SEE PREVIOUS CONCURRENCY p   i\
OEAB:DOEA:NRR        ADM:RPB X      C:OEAB:DOEA:NRR      C:LOLB:DLPQ:NRR


ADM:RPB X C:OEAB:DOEA:NRR
DCFischer*          JMain          AEChaffee*            MGallo


C:LOLB:DLPQ:NRR
04/07/92)    ¢p      04/.3/92        04/07/92            0 \ /92   
* CA


DCFischer*
CILHFB:DLPQ:NRR      DRP:RI          C:OGCB:DOEA:NRR      D:D A:NRR
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
JSWermiel            EMKell          CHBerlinger          CERos


D:D A:NRR JSWermiel
04/ '/92            04/ / 2        04/ /92              04/ /92


EMKell CHBerlinger
Document Name:  IN/GUNDECK LOG


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


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


JSWermiel 04/ /92 IN/GUNDECK
04/7 /92           04/  /'                    04/ /92 C:LHFB:DLPQ:NRR                    :DOEA:NRR


LOG NRR C:LOLB:DLPQ:NRR
===JSWermiel                          .Rossi===
04/ /92            04/            4/ /92


RMGallo 04/ /92 04/ /':DOEA:NRR.Rossi 4/ /92 04/
IN 92-XX
IN 92-XX April xx, 1992 This information


notice requires no specific action or written response.
April xx, 1992 This information notice requires no specific action or written response. If


If you have any questions
you have any questions about the information in this notice, please contact one


about the information
of the technical contact(s) listed below or th appropriate Office of Nuclear


in this notice, please contact one of the technical
Reactor Regulation (NRR) project manager.


contact(s)
Charl    E. Rossi, Director
listed below or th appropriate


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


===Events Assessment===
Offi e of Nuclear Reactor Regulation
Offi e of Nuclear Reactor Regulation


Technical
Technical contact(s):   D id C. Fisch   , NRR
 
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
(301 504-1154 Eugene    Kel y, RI


RMGallo 04/ /92 04/8 /9'2 04/ /92 04/ /92 C:LHFB:DLPQ:NRR
(215) 337 1 3 Attachment:   List of Recently Iss e    RC Information Notices


C:OGCB:DOE
Document Name:   IN/GUNDECK LOG


:NRR D/DOEA:NRR
OEAB:DOEA:NRR        ADM:RPB        C:OEAB:DO    :NRR   C:LOLB:DLPQ:NRR


JSWermiel
DCFischer            JMain Q        AEChaffee            RMGallo


CBerlingej
04/ /92              04/8 /9'2      04/ /92              04/ /92 C:LHFB:DLPQ:NRR      C:OGCB:DOE :NRR      D/DOEA:NRR


CERossi 04/ /92 04/ /92 / 04/ /92 I}}
===JSWermiel            CBerlingej            CERossi===
04/ /92             04/ /92 /             04/ /92 I}}


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

Latest revision as of 03:21, 24 November 2019

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
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

e

m mC

z

,-

Attachment

0190 IN 92-30

C,0

ID April 23, 1992 Page I of 1 LIST OF RECENTLY ISSUED

rnZ NRC INFORMATION NOTICES

cn

CD

0 FQ)

m C "3 I

Information Date of

0> I Notice No. Subject Issuance Issued to

0 I

an I 04/22/92 All holders of OLs or CPs

92-21, Spent Fuel Pool Re- I 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.

  • oi ITE/GOULD A.C. Relays Used

in Safety-Related Applic- ations

0G)C) 92-26 Pressure Locking of Motor- 04/02/92 All holders of OLs or CPs

Operated Flexible Wedge for nuclear power reactors.

2 z0 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.

0 nU)

=i CJ > 0

'ii >~

sO = a rU) OL - Operating License

sm CP

  • Construction Permit

G)

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 ADM:RPB C:OEAB:DOEA:NRR C:LOLB:DLPQ:NRR

DCFischer* JMain* AEChaffee* RMGallo*

04/07/92 04/08/92 04/07/92 04/08/92 C:LHFB:DLPQ:NRR RI D:DRP:RII D: OE

JSWenmiel* LBettenhausen* LAReyes* JLieberman*

04/09/92 04/14/92 04/15/92 04/15/92 C:OGCB:DOEA:NRR D:D  :

CHBerlinger* CE

04/15/92 04/ 9v

  • SEE PREVIOUS CONCURRENCE

OEAB:DOEA:NRR ADM:RPB C:OEAB:DOEA:NRR C:LOLB:DLPQ:NRR

DCFischer* JMa in* AEChaffee* RMGallo*

04/07/92 04/08/92 04/07/92 04/08/92 C:LHFB:DLPQ:NRR RI ter st' D:DRP:RII ';*" M. I.

JSWermiel* LBettenhausen LAReyes i rman

04/09/92 04/14/92 04/15/92 04 /92 C:OGC D:DOEA:NRR

CHBerjinger CERossi ,3

04/15 /92 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 nptice, 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: IN/GUNDECK LOG

OEAB:DOEA:NRR NRR C:LOLB:DLPQ:NRR

DCFischer RMGallo

04/7 /92 04/ /' 04/ /92 C:LHFB:DLPQ:NRR :DOEA:NRR

JSWermiel .Rossi

04/ /92 04/ 4/ /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 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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