Protecting People and the EnvironmentUNITED STATES NUCLEAR REGULATORY COMMISSION
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.
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December 22, 1987
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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
