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 =  
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| page count = 10
| page count = 10
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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==
==Description of Circumstances==
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/!
On March 1, 1992, the shift superintendent for the Public Service Company of
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.
 
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


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.
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==
==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.


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
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
 
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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
 
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Operated Flexible Wedge                   for nuclear power reactors.
 
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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.
 
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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.
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==
==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      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


*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
DCFischer                                      RMGallo


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


}}
===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}}


{{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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