ML20196A313

Notice of Violation from Investigation on 990129.Violation Noted:On 970114,K Wierman Employed as Training Instructor at Plant & Deliberately Submitted Info to Util That Wierman Knew to Be Incomplete or Inaccurate

ML20196A313
Person / Time
Site:	Perry
Issue date:	05/10/1999
From:	NRC OFFICE OF INSPECTION & ENFORCEMENT (IE REGION III)
To:
Shared Package
ML20196A302	List: ML20196A296 ML20196A313
References
IA-99-021, IA-99-21, NUDOCS 9906220189
Download: ML20196A313 (3)

Text

m Notice of Violation i

Kenneth Werman IA 99-021

[Home Address Deleted .

Under 10 CFR 2.790(a)] .l During an NRC inspection and an NRC investigation concluded on January 29,1999, a violation of NRC requirements was identified. In accordance with the " General Statement of Policy and Procedure for NRC Enforcement Actions," NUREG-1600, the violation is listed:

below:

1_0 CFR 50.5(a)(2) prohibits an employee of a licensee from deliberately submitting to a licensee information that the person submitting the information knows to be incomplete or inaccurate in some respect material to the NRC.

10 CFR 50.54(q) requires, in part, that a licensee authorized to possess and operate a nuclear power reactor must follow and maintain in effect emergency plans which meet the standards in 10 CFR 50.47(b) and the requirements in 10 CFR Part 50, Appendix E, " Emergency Planning 7 and Preparedness for Production and Utilization Facilities."

10 CFR Part 50, Appendix E, Section IV.F requires, in part, that the emergency response training program include a description of specialized initial training and periodic retraining to be provided to emergency response organization (ERO) personnel.

The "Emerger,cy Plan for the Perry Nuclear Power Plant" (Emergency Plan), which implements the requirements of 10 CFR 50.54(q), is described in the Perry Operations Manual. Section No. 8.1.2.2, Revision No.13, Procedure Intent Change (PIC) No.1, of the Emergency Plan, dated August 14,1996, requires, in part, that personnel assigned to the ERO, who have specific duties and responsibilities, must receive specialized training for their respective assignments. The Operations Manual also specifies the emergency plan training requirements, and describes the acceptable methods for documenting training that is conducted.

Contrary to the above, on January 14,1997, Kenneth Wierman was employed as a training instructor at FirstEnergy's Perry Nuclear Power Plant and deliberately submitted information to FirstEnergy that he knew ~to be incomplete orinaccurate in some respect material to the NRC.'

' Specifically, he completed and signed training records (le., Course Completion Packages, Course Completion Package Cover Sheets, and Perry Training Section Course Completion Records) indicating that three specifically named employees attended and completed EP Training Course 0813, " Radiation Monitoring Personnel," a course required by the Perry Emergency Plan on January 14,.1997. However, none of the individuals attended that course or signed the Perry Training Section Course Completion Record for that training course on January 14,1997. This information was material to the NRC because it demonstrated compliance with 10 CFR 50.54q and 10 CFR Part 50, Appendix E, Section IV.F. (01013).

This is a Severity Level lli violation (Supplement Vil).

Pursuant to'the provisions of 10 CFR 2.201, Mr. Kenneth Wierman is hereby required to submit a written statement or explanation to the U.S. Nuclear Regulatory Commission, ATTN:

Document Control Desk, Washington, DC 20555 with a copy to the Regional Administrator, Region lil, and a copy to the NRC Resident inspector at the Perry Nuclear Power Plant, within 9906220189 990510 PDR ADOCK 05000440 0 PDR

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Notice of Violation- i 30 days of the date of the letter transmitting this Notice of Violation (Notice). This reply should be clearly marked as a " Reply to a Notice of Violation" and should include for each violation:

(1) the reason for the violation, or, if contested, the basis for disputing the violation or severity level, (2) the corrective steps that have been taken and the results achieved, (3) the corrective steps that will be taken to avoid further violations, and (4) the date when full compliance will be  ;

achieved.' ' Your response may reference or include previous docketed correspondence, if the i correspondence adequately addresses the required response. If an adequate reply is not  ;

received within the time specified in this Notice, an order or a Demand for Information may be  !

issued as to why the license should not be moddied, suspended, or revoked, or why such other 1 action as may be proper should not be takenc Where good cause is shown, consideration will  !

be given to extending the response time.

i If you contest this enforcement action, you should also provide a copy of your response, with the basis for your denial, to the Director, Office of Enforcement, United States Nuciear i

Regulatory Commission, Washington, DC 20555-0001.  :

L Because your response will be placed in the NRC Public Document Room (PDR), to the extent  !

possible, it should not include any personal privacy, proprietary, or safeguards information so that it can be placed in the PDR without redaction, if personal privacy or proprietary information ,

is necessary to provide an acceptable response, then please provide a bracketed copy of your response that identifies the information that should be protected and a redacted copy of your response that deletes such information. If you request withholding of such material, you must ,

specif,cally identify the portions of your response that you seek to have withheld and provide in I detail the bases for your claim of withholding (e.g., explain why the disclosure of information will  :

create an unwarranted invasion of personal privacy or provide the information required by 1 10 CFR 2.790(b) to support a request for withholding confidential commercial or financial  !

information). If safeguards information is necessary to provide an acceptable response, please  !

provide the level of protection described in 10 CFR 73.21.

Dated this 10th day of May 1999 ,

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l SYNOPSIS i.

This invest;gation was initiated by the U.S. Nuclear Regulatory Commission (NRC), Office of investigations (01), Region 111 (Rlli), on January 12,1998, regarding an allegation that Perry Nuclear Power Plant (Peny) emergency Plan Training Course completion forms had been deliberately falsified.

Based upon the evidence developed during the investigation, it was determined that a Perry Emergency Planning Instructor did deliberately falsify Perry Emergency Plan Training Course completion forms, it was also determined that the same instructor deliberately falsified various names on a number of emergency lesson plan cover sheets. 4

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Case No. 3-1998-005 1

E UNITED STATES d " Coq'o,$

i NUCLEAR RESULATORY COMMISSION REGloN lli M y 801 WARRENvlLLE ROAD LISLE. ILLINOls 60532-4351

%,cm, */ May 10, 1999 EA 99-067 Mr. Lew W. Myers Vice President - Nuclear FirstEnergy Nuclear Operating Company ,

P. O. Box 97, A200 l Perry, OH 44081 1

SUBJECT:

NOTICE OF VIOLA r!ON I

(NRC OFFICE OF NVESTIGATIONS REPORT NO. 3-98-005)

Dear Mr. Myers:

This refers to investigations conducted by FirstEnergy and the U.S. Nuclear Regulatory Commission (NRC), Office of Investigations (01), into the circumstances surrounding the apparent falsification of training records for individuals assigned positions in the emergency response organization (ERO) for FirstEnergy's Perry Nuclear Power Plant. Information  ;

received by the NRC and FirstEnergy indicated that an emergercy preparedness (EP) I instructor may have falsified training course completion records and lesson plan cover sheets  !

for training associated with the EP Plan for the Perry Plant. A copy of the Ol report synopsis is enclosed.

Based on the information developed during the 01 and FirstEnergy investigations, the NRC has determined that a violation of NRC requirements occurred. The violation is cited in the i enclosed Notice of Violation (Notice). In summary, an EP instructor was required to train several employees in their responsibilities as a member of an ERO offsite radiation monitoring team. The EP instructor did not provide that training and deliberately falsified required training documents to show that the training was.given on January 14,1997. The investigations

' determined that the course completion documents' for EP Courm No. 0813, " Radiation Monitoring Teams " and the cover sheets for 21 EP lesson plans were falsified by the instructor.

The actions of this instructor placed FirstEnergy in violation of 10 CFR 50.9, " incomplete and inaccurate Informathn," and himself in violation of 10 CFR 50.5, " Deliberate Misconduct."

The instructor's deliberate falsification of training records is not acceptable and constitutes a serious violation of NRC requirements, in determining the severity level for this violation, the NRC has taken into account the facts that the individuals for whom the instructor fabricated training records had previously received other relevant training, and were not in fact placed on

. the ERO call-out list. Further, the NRC recognizes that you initiated an investigation into this matter, and took action with respect to the instructor, including the removal of his privileges to gain unescorted access to the plant. In addition, we note that the instructor is no longer employed by FirstEnergy. Accordingly, in light of all the relevant circumstances, the NRC has characterized this violation as one of more than minor concern. Therefore, this violation has been categorized in accordance with the ' General Statement of Policy and Procedure for NRC Enforcement Actions" (Enforcement Policy), NUREG-1600, at Severity Level IV.

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L. Myers You are required to respond to this letter and should follow the instructions specified in the enclosed Notice when preparing your response. The NRC will use your response, in part, to determine whether further enforcement action is necessary to ensure compliance with regulatory requirements.

In accordance with 10 CFR 2.790 of the NRC's " Rules of Practice," a copy of this letter, its enclosures, and your response will be placed in the NRC Public Document Room (PDR). To the extent possible, your response should not include any personal privacy, proprietary, or safeguards information so that it can be placed in the PDR without redaction.

Sincerely, f

V James . Dyer Regional Administrator Docket No. 50-440 License No. NPF-58

Enclosures:

1. Notice of Violation

2. 01 Report Synopsis cc w/encis: H. Hegrat, Manager, Regulatory Affairs R. Schrauder, Director, Nuclear Engineering Department W. Kanda, General Manager Nuclear Power Plant Department N. Bonner, Director, Nuclear Maintenance Department i

H. Bergendahl, Director Nuclear Services Department State Liaison Officer, State of Ohio R. Owen, Ohio Department of Health C. Glazer, State of Ohio Public Utilities Commission

F-  : L'. Myers .

DISTRIBUTION PUBLIC IE-01 j SECY CA' i WTravers, EDO MKnapp, DEDE DDambly, OGC SCollins, NRR i

MBanerjee, NRR j

Enforcement Coordinators RI, Rll'and RIV Resident inspector, Perry JGilliland, OPA HBell, OlG GCaputo, Ol -

RPaul, Ol:Rll!

OE:ES OE:EA (2)

RAO:Rlli SLO: Rill PAO: Rill OCFO/LFARB w/o encl.

DRP Docket File R. Paul, OI: Rill Rlll:OAC l

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NOTICE OF VIOLATION FirstEnergy Docket No. 50-440 Perry Nuclear Power Plant License No. NPF-58 EA 99-067 Durhg an NRC investigation completed on January 29,1999, a violation of NRC requirements was identified. In accordance with the " General Statement of Policy and Procedure for NRC Enforcement Actions," NUREG-1600, the violation is listed below:

10 CFR 50.9(a) requires, in part, that information required by the Commission's regulations to be maintained by the licensee must be cor,1plete and accurate in all material respects.

10 CFR 50.54(q) requires, in part, that a licensee authorized to possess and operate a nuclear power reactor must follow and maintain in effect emergency plans which meet the standards in 10 CFR 50.47(b) and the requirements in 10 CFR Part 50, Appendix E,

• Emergency Planning and Preparedness for Production and Utilization Facilities."

10 CFR Part 50, Appendix E, Section IV. requires, in part, that the emergency response training program include a description of specialized initial training and periodic retraining to be provided to emergency response organization (ERO) personnel.

The " Emergency Plan for the Perry Nuclear Power Plant" (Emergency Plan), which implements the requirements of 10 CFR 50.54(q), is described in the Perry Operations Manual. Section No. 8.1.2.2, Revision No.13, Procedure Intent Change (PIC) No.1, of the Emergency Plan, dated August 14,1996, requires, in part, that personnel assigned to the ERO, who have specific duties and responsibilities, must receive specialized training for their respective assignments. The Operations Manual also specifies the emergency plan training requirements, and describes the acceptable methods for documenting training that is conducted.

Contrary to the above, on January 14,1997, information required by the Commission's regulations was not maintained complete and accurate in all material respects. Specifically, an emergency preparedness instructor completed documentation (l.e., Course Completion Packages, Course Completion Package Cover Sheets, and Perry Training Section Course Completion Records) and signed course completion records, indicating that three specifically named employees attended and completed EP Training Course 0813, " Radiation Monitoring Personnel," a course required by the Perry Emergency Plan. However, none of the individuals attended that course or signed the Perry Training Section Course Completion Record for that training course on January 14,1997. This information is material to the NRC because it demonstrates compliance with 10 CFR 50.54q and 10 CFR Part 50, Appendix E, Section IV.F.

(01014).

This is a Severity Level IV violation (Supplement Vil).

Pursuant to the provisions of 10 CFR 2.201, FirstEnergy is hereby required to submit a wiaaii statement or explanation to the U.S. Nuclear Regulatory Commission, ATTN: Document Control Desk, Washington, DC 20555 with a copy to the Regional Administrator, Region Ill, and a copy to the NRC Resident inspector at the Perry Nuclear Power Plant, within 30 days of the date of the letter transmitting this Notice of Violation (Notico). This reply should be clearly marked as a " Reply to a Notice of Violation" and should include for each violation: (1) the

%O) (%IY We __

Notice of Violation '

reason for the violation, or, if contested, the basis for disputing the violation or severity level, (2) the corrective steps that have been taken and the results achieved, (3) the corrective steps that will be taken to avoid further violations, and (4) the date when full compliance will be achieved. Your response may reference or include previous docketed correspondence, if the correspondence adequately addresses the required response. If an adequate reply is not received within the time specified in this Notice, an order or a Demand for Information may be issued as to why the license should not be modified, suspended, or revoked, or why such other action as rnay be proper should not be taken. Where good cause is shown, consideration will be given to extending the response time.

If you contest this enforcement action, you should also provide a copy of your response, with the basis for your denial, to the Director, Office of Enforcement, United States Nuclear Regulatory Commission, Washington, DC 20555-0001.

' Because your response will be placed in the NRC Public Document Room (PDR), to the extent possible, it should not include any personal privacy, proprietary, or safeguards information so that it can be placed in the PDR without redaction. If penional privacy or proprietary information is necessary to provide an acceptable response, then please provide a bracketed copy of your response that identifies the information that should be protected and a redacted copy of your response that deletes such information. If you request withholding of such material, you must specifically identify the portions of your response that you seek to have withheld and provide in detail the bases for your claim of withholding (e.g., explain why the disclosure of information will create an unwarranted invasion of personal privacy or provide the information required by 10 CFR 2.790(b) to support a request for withholding confidential commercial or financial information). If safeguards information is necessary to provide an acceptable response, please provide the level of protection described in 10 CFR 73.21.

In accordance with 10 CFR 19.11, you may be required to post this Notice within two working days.

Dated this 10th day of Niay 1999

s SYNOPSIS This investigation was initiated by the U.S. Nuclear Regulatory Commission (NRC), Office of Investigations (01), Region 111 (Rlll), on January 12,1998, regarding an allegation that Perry Nuclear Power Plant (Perry) emergency Plan Training Course completion forms had been deliberately falsified.

Based upon the evidence developed during the investigation, it was determined that a Perry Emergency Planning Instructor did deliberately falsify Perry Emergency Plan Training Course completion forms. It was also determined that the same instructor deliberately falsified various names on a number of emergenc': lesson plan cover sheets.

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Case No. 3-1998-005

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