Information Notice No. 87-64: Conviction for Falsification of Security Training Records

                                                          IN 87-64

                                  UNITED STATES
                          NUCLEAR REGULATORY COMMISSION
                      OFFICE OF NUCLEAR REACTOR REGULATION
                             WASHINGTON, D.C.  20555

                                December 22, 1987


Information Notice No. 87-64:  CONVICTION FOR FALSIFICATION OF 
                                   SECURITY TRAINING RECORDS


Addressees:

All nuclear power reactor facilities holding an operating license or a con-
struction permit and all major fuel facility licensees. 

Purpose:

This information notice is provided to alert recipients, their employees, and 
their contractors' employees to the criminal prosecution by the U.S. 
Department of Justice, and subsequent conviction in U.S. District Court in 
Philadelphia, of two former contractor security employees at Philadelphia 
Electric Company's Limerick Nuclear Generating Station.

It is expected that recipients will review the information for applicability 
to their facilities and consider actions, if appropriate, to preclude a 
similar problem.  In this regard, recipients may wish to (1) review and 
provide this notice to employees and contractors' employees involved in NRC 
licensed activities, especially those employees involved in making and keeping 
records, and (2) remind their own and their contractors' employees that not 
only are licensees subject to civil enforcement action for violations of NRC 
requirements, but individuals who intentionally violate these requirements are 
also subject to criminal prosecution.

However, suggestions contained in this notice, including those for dissemina-
tion of this notice, do not constitute NRC requirements; therefore, no 
specific action or written response is required.

Description of Circumstances:

On September 25, 1984, the NRC received an allegation that the training 
records of an employee of Yoh Security, Inc., the former security contractor 
at Limerick, had been falsified to indicate that the individual had received 
certain training when, in fact, the employee had not received such training.  
In response to this allegation, an investigation was conducted by the NRC's 
Office of Investigations (OI).  On the basis of that investigation, the NRC 
found that training and qualification records for more than 40 then-current 
and former armed guards had been falsified and that those falsifications had 
been done at the direction of certain Yoh Security, Inc., supervisory and 
management personnel.  The OI investigation report was referred to the 
Department of Justice.



8712160369
.                                                            IN 87-64
                                                            December 22, 1987
                                                            Page 2 of 2


Two former employees of Yoh Security, Inc., were subsequently convicted in 
U.S. District Court in Philadelphia.  On July 15, 1987, the former Site 
Manager of Yoh Security, Inc., was sentenced to six months' imprisonment and 
fined $30,000.  The former Operations Captain was placed on probation for five 
years.

Discussion:

Licensees have the responsibility for ensuring the safe performance of 
licensed activities.  In so doing, licensees must not only use trained 
individuals, provide adequate procedures, and maintain accurate records, but 
must also exercise supervision over their employees and their contractors' 
employees to ensure that procedures are followed and NRC requirements are met.  
While violations of NRC requirements caused by inattention to detail and human 
error are unacceptable to the NRC and may result in civil enforcement action, 
they do not subject individuals to criminal prosecution.  However, violations 
caused by intentional acts may subject corporations, the individual wrongdoer, 
and others who knew and condoned such acts to criminal prosecution.  As 
evidenced by this reported case, as well as other cases previously described 
in Information Notices 85-97, "Jail Term for Former Contractor Employee Who 
Intentionally Falsified Welding Inspection Records," and 86-54, "Criminal 
Prosecution of a Former Radiation Safety Officer Who Willfully Directed an 
Unqualified Individual to Perform Radiography," the criminal sanctions 
available may include a fine and/or imprisonment.

No specific action or written response is required by this information notice.
If you have any questions about this matter, please contact the person 
indicated below or the Regional Administrator of the appropriate regional 
office.




                              Charles E. Rossi, Director
                              Division of Operational Events Assessment
                              Office of Nuclear Reactor Regulation

Technical Contact:  Loren L. Bush, Jr., NRR
                    (301) 492-8080

Attachments:
1.  Information Notice No. 85-97
2.  Information Notice No. 86-54
3.  List of Recently Issued NRC Information Notices