IR 05000282/1993003
| ML20128M268 | |
| Person / Time | |
|---|---|
| Site: | Prairie Island  |
| Issue date: | 02/11/1993 |
| From: | Christoffer G, Creed J, Pederson C NRC OFFICE OF INSPECTION & ENFORCEMENT (IE REGION III) |
| To: | |
| Shared Package | |
| ML20128M200 | List: |
| References | |
| 50-282-93-03-EC, 50-282-93-3-EC, 50-306-93-03, 50-306-93-3, NUDOCS 9302220123 | |
| Download: ML20128M268 (28) | |
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U.S. NUCLEAR REGULATORY COMMISSION REGION 111 Reports No. 50-282/93003(DRSS); 50-306/93003(DRSS)
Dockets No. 50-282; 50-306 Licenses No. DPR-42; DPR-60 Licensee:
Northern States Power Company 414 Nicollet Mall Minneapolis,liN 55401 Facility Name:
Prairie Island Generating Plant, Units 1 and 2 Meeting Conducted:
February 3, 1993 Meeting At:
NRC Region 111 Office, Glen Ellyn, Illinois Type of Meeting:
Enforcement Conference Inspection / Investigation Conducted: November 8, 1990 - February 2, 1993 Onsite and in Office Review Inspector:
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G. M. Christof fer
Date Physical Security inspector Reviewed By:
9awa Odspi./y7 Nu b-Jam'es R. Creed, Chtuf Il Date Safeguards Section Approved By: b/d/O MnN b al b/)[
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(llyilthia D. Pederson, ief/
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Reactor Support Programs Branch Meetina Summary Enforcement Conference on February 3.1993 (RRE9rts No. 50-282/93003(DRSS):
50-306/93003(DRSS))
Areas Discussed: A review of the apparent violations and areas of-concern-identified during the in pection/ investigation, and corrective actions taken or planned by the licensee. The enforcement o)tions pertaining to the apparent violations were also discussed with tie licensee. The licensee provided additional information regarding the apparent violations.
9302220123 930212 PDR ADOCK 05000282 G:
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Results:
1he licensee agreed with the apparent 10 CfR 26.27 violation I
and one regarding security plan comitments. The licensee concluded that there was no willful intent or careless disregard to violate NRC regulations.
The NRC representatives acknowledged that the violations were licensee identified, i
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DilAILS 1.
I'trign) Present at Confere_nce Northern Stiles Power D. Antony, Vice President, Nuclear Generation M. Sellinan, Plant Manager, Prairie Island G. Miserendino, Manager, Corporate Security J. Kuhn, Supervisoc, Personnel Security R. Cleveland, Nucicar fitness for Duty Coordinator lb S. Nucl_ car _B.esglitary_Jommission 11. Miller, Deputy Regional Administrator, Rlll C. Norelius, Director, Division of Radiation Safety and Safeguardt, Rill J. Creed, Chief, Safeguards Section, Rlll G. Christoffer, Physical Security inspector, Rlli C. Weil, Enforcement Specialist, Rlll J. Isom Acting Section Chief. Division of Reactor Projects, Rlli R. Rosano, Enforcement Specialist Office of inforcement M. Gamberoni, Project Manager, Nuclear Reactor Regulation 2.
[Digreement ConfeCente An enforcement conference was held in the Region 111 office on february 3, 1993.
This conference was conducted as a result of the findings of the inspection / investigation conducted on November 8, 1990 through February 2, 1993, in which apparent violations of NRC regulations were identified.
inspection / investigation findings were documented in a summary and transmitted to the licensee by letter dated December 23, 1992.
The purpose of this conference was to:
(1) discuss the apparent vioiations, causes, and the licensee's corrective actions; (2) d:scuss several areas of concern; (3) determine if there were an.y escalating or mitigating circumstances; and (4) obtain any information which would help determine the appropriate enforcement action, lhe licensee's representatives described the events which led to the violations, including root causes and corrective actions taken.
Some of the corrective actions had been discussed in detail during a March 20, 1992 meeting.
In summary, the corrective actions were; total revision of access authorization program; cancellation of all contractor programs with the exception of INP0; and issuance of guidance en suitable inquiry requirements.
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l The licensee representatives did not contest the apparent violations.
They concluded that there was no careless disregard for NRC regulations and no willful intent to violate NRC regulations. A copy of the licensee's presentation material is included as Appendix A to this report.
At the conclusion of the conference, the licensee representatives were informed that they would be notified in the near future of the final e
enforcement action.
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Appendix A
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NRC REGION III FITNESS-FOR-DUTY CONCERNS AT PRAIRIE ISLAND (OI CASE NO. 3-91-001)
ENFORCEMENT CONFERENCE
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FEBRUARY 3RD,1993
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FACT SHEETS
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CASE FACTS American Protective Services (APS) received 05-19-90
Officer's employment application indicating past excessive use of alcohol.
APS requested the Officer to provide a copy
of his DD214 Long Form.
Officer provided a copy of his DD214 Long 06-12-90
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Form to a Prairio Island Training Instructor.
The Instructor immediately faxed a copy of
the DD214 to the APS Site Manager and called to discuss the information.
NSP Corporate Screening Services granted the 06-28-90
Officer access authorization after receiving APS request certifying completion of NSP contractor screening requirements.
An NSP Security Consultant identified the
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10-24-90
derogatory FFD information while conducting an annual contract compliance audit of APS.
The derogatory FFD information was identified
in microfiche records regarding the Officer's military history which were obtained by APS from the National Personnel Records Center.
OVERHEAD PAGE 4 FACT SHEET
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REPO'RTING The event was recorded in the quarterly 10-25-90
safeguards event log.
NRC Region III was notified.
This
notification was above and beyond safeguards event logging requirements.
OVERHEAD PAGE 5 FACT SHEET
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CORRECTIVE ACTIONS OFFICER
10-24-90 Suspended access pending determination of fitness for duty.
- 11-21-90 NSP received Officer's chemical dependency assessment.
Total abstinence from all mood altering
substances during rehabilitation program.
Follow-up Testing.
- Unarmed status pending successful
completion of rehabilitation.
Successful completion of outpatient
treatment program and comply with aftercare recommendations.
12-10-90 Returned to duty.
Returned to armed status after
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successfully completing treatment program.
No significant aftercare
recommendations.
OVERHEAD PAGE 6 FACT SHEET l
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10-24-90 Suspended APS screening program pending
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outcome-of NSP investigation.
- 11-01-90 Completed audit of all APS screening files'
for personnel submitted under program approved by NSP in May of 1990.
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28 APS personnel files' audited, no
further loggable events identified.
- 12-90 Re-investigated backgrounds. performed by-ICA.-
No significant findings.
- 12-26-90 Issued letter to all approved contractors:
Reiterating NSP suitable inquiry-
requirements.
Announcing-program changes to-prevent-
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recurrence.
Required completion of worker
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suitable' inquiry self-disclosure
statement prior to' requesting aCCOss.
Revised NSP Request for Unescorted
Access Authorization Form to include verification-of-suitable inquiry completion.
- 02-20-91 APS program reinstated as upproved following
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NSP training of APS management-personnel;on:'-
NRC FFD suitable inquiry requirements.
- NSP access authorization requirements.-
Investigations and documentation.
- OVERHEAD PAGE 7 FACT SREET
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NSP MANAGEMENT CONTROLS APS PROGRAM REVIEW AND APPROVAL
5-11-90 NSP CONTRACTOR PROGRAM AUDIT CHECKLIST
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COMPLETED INDICATING APS PROGRAM-MET SUITABLE
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INQUIRY REQUIREMENTS Suitable Inquiry was a separate item
reviewed on the checklist.
REQUIRED A SUITABLE INQUIRY BE CONDUCTED
In addition, a suitable inauirv meeting-
requirements of 10 CFR_part 26.27 must be conducted to determine whether the worker has ever been:
Tested positive for drugs or alcohol that resulted in on-duty impairmsant. -
Subject to a plan for treating substance
abuse (except for'self referral).
Removed from or made ineligible for-
activities within the scope of 10 CFR part 26.
Prior to recommending'a worker for unescorted access authorization, APS shall obtain a written statement from the worker as
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to whether activities within the scope of 10 CFR part 26 were ever denied the worker.
Denied access or employment in-accordance
with a fitness for. duty policy.
IF SUCH A RECORD IS ESTABLISHED, APS SHALL IMMEDIATELY
CONTACT NSP'S FITNESS FOR DUTY COORDINATOR (FFDC). AT (612) 330-7999.
OVERREAD PAGE 9 FACT SHEET
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ROOT CAUSE CONTRACTOR FAILURE TO UNDERSTAND AND FOLLOW THEIR NSP APPROVED ACCESS AUTHORIZATION PROCEDURE STRICT PROCEDURAL COMPLIANCE
APS Management believed the intent of their
NSP approved screening procedure was satisfied when they informed the NSP Security Consultant.
Interviews conducted with APS Management
personnel after the incident revealed a-lack of program knowledge.
FINANCIAL AND STAFFING CONCERNS
The management emphasis at the regional APS
office was on financial and staffing concerns.
The FFD and Access Authorization programs were not high priorities.
OVERHEAD PAGE 10 FACT SilEET i
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SAFETY SIGNIFICANCE
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INDIVIDUAL WAS IN NSP BEHAVIOR OBSERVATION -
PROGRAM No positive tests for drugs or alcohol
e Pro-Access Test Dates 06/12/90 e
12/04/90 e
Post Return to Duty Test Dates
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04/05/91
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CONSISTENTLY AN ABOVE AVERAGE PERFORMER
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FFD EVALUATION CHEMICAL DEPENDENCY ASSESSMENT
Alcohol abusive - Periodic abuse of alcohol
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Not chemically dependent
Outpatient treatment, not inpatient
MODIFICATION OF WORK ASSIGNMENT
Returned to duty in an unarmed status
NSP monitored progress in outpatient program
weekly Placed in follow up testing program for drugs
and alcohol OVERHEAD PAGE 11 FACT SHEET
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OIINVESTIGATIVE CONCLUSIONS
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APS MANAGEMENT HAD KNOWLEDGE OF DEROGATORY INFORMATION
REGARDING ONE OF THEIR EMPLOYEES AND DELIBERATELY FAILED TO NOTIFY NSP'S FFD OFFICER.
NSP DOES NOT AGREE WITH OI CONCLUSION THAT THE FAILURE
WAS DELIBERATE NSP KNOWLEDGE APS MANAGEMENT BELIEVED THE NSP SECURITY CONSULTANT e
PERFORMED FILE REVIEWS FOR DEROGATORY FFD AND ACCESS AUTHORIZATION INFORMATION APS MANAGEMENT HAD INFORMED THE NSP SECURITY CONSULTANT OF e
THE DEROGATORY INFORMATION
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APS MANAGEMENT NSP PROCEDURE " DUPLICATED" AND NOT UNDERSTOOD e
e APS STAFF NOT EXPERIENCED IN INVESTIGATIONS EMPHASIS ON FINANCIAL AND STAFFING CONCERNS, NOT FFD AND e
ACCESS AUTHORIZATION
THE NSP EMPLOYEES (LEAD SECURITY INSTRUCTOR AND SECURITY CONSULTANT) HAD KNOWLEDGE OF THE DEROGATORY INFORMATION REGARDING AN APS GUARD, BUT DID NOT DELIBERATELY FAIL TO NOTIFY'THE NSP FFD OFFICER NSP LEAD SECURITY INSTRUCTOR APS SITE MANAGEMENT WAS IMMEDIATELY INFORMED UPON RECEIPT OF DD214
LONG FORM This action was prudent since APS was an approved contractor e
THE NSP LEAD SECURITY INSTRUCTOR DID NOT WORK FOR NSP CORPORATE
SCREENING SERVICES NSP AGREES WITH OI CONCLUSION THAT THE NSP LEAD SECURITY
INSTRUCTOR DID NOT DELIBERATELY FAIL TO NOTIFY THE NSP FFD COORDINATOR NSP SECURITY CONSULTANT ALTHOUGH HE HAD KNOWLEDGE OF DEROGATORY INFORMATION, HE HAD No
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ACCESS AUTHORIZATION /FFD PROGRAM RESPONSIBILITIES NO SUPERVISORY RESPONSIBILITIES
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DID NOT WORK IN CORPORATE SCREENING SERVICES NSP AGREES WITH OI CONCLUSION THAT THE NSP SECURITY CONSULTANT DID
NOT DELIBERATELY FAIL TO NOTIFY THE NSP FFD COORDINATOR OVERHEAD PAGE 12 FACT SHEET
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SUMMAR'Y.
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CORRECTIVE ACTIONS IMMEDIATELY INFORMED NRC REGION III
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IMMEDIATELY SUSPENDED UNESCORTED ACCESS
COMPLETED MEDICAL AND MANAGEMENT DETERMINATION OF FITNESS APS CONTRACTOR PROGRAM
IMMEDIATELY SUSPENDED APS PROGRAM
AUDITED ALL APS SCREENING FILES
RE-PERFORMED ALL INVESTIGATIONS PERFORMED BY ICA
TRAINED APS MANAGEMENT ON FFD RULE AND ACCESS AUTHORIZATION PROGRAM ALL CONTRACTOR PROGRAMS ISSUED GUIDANCE ON SUITABLE INQUIRY REQUIREMENTS.
- REVISED CONTRACTOR REQUEST FOR UNESCORTED ACCESS FORM TO INCLUDE SUITABLE
INQ'1IRY AS A SEPARATE ITEM TOTALLY REVISED PROGRAM (WINTER 1992 AS PRESENTED TO RIII IN MARCH OF 1992)
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CANCELLED ALL CONTRACTOR PROGRAMS WITH THE EXCEPTION OF INPO.
WITH THE IMPLEMENTATION OF INDEX AND NUMARC TRANSFERS, CONTRACTOR PROGRAMS ARE NO LONGER ECONOMICALLY FEASIBLE.
J CARELESS DISREGARD FOR NRC REGULATIONS NO WILLFUL INTENT TO VIOLATE NRC REGULATIONS
NSP PERSONNEL NSP agrees with the OI conclusion that NSP employees did not
deliberately fail to notify the FFD Coordinator The Lead Security Instructor immediately informed APS Management upon
review of DD-214.
This action was prudent since APS was an approved contractor.
- The NSP Security Consultant immediately notified Corporate Screening
Services when the entire military record was reviewed on 10/24/90.
failed to notify the FFD Coordinator APS Management believed the intent of the procedure was met when
the NSP Security Consultant was informed APS Management was not knowledgeable in the FFD regulation and did
no give FFD_a high priority in the regional office.
SUCCESSIRIL AUDIT RESULTS OF NRC FFD AUDIT IN FALL 1990 OVERHEAD PAGE 14 FACT SHEET
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NRC REGION III.
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l FITNESS-FOR-DUTY CONCERNS AT a
PRAIRIE ISLAND (OI CASE NO. 3-91-001)
ENFORCEMENT CONFERENCE
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FEBRUARY 3RD,1993 r
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INTRODUCTION 1990 PRAIRIE ISLAND SECURITY OFFICER FFD CONCERNS IN ATTENDANCE FROM NSP DOUG ANTONY VP NUCLEAR GENERATION MIKE SELLMAN PLANT MANAGER, PRAIRIE ISLAND GEORGE MISERENDINO MANAGER CORPORATE SECURITY JIM KUHN SUPV PERSONNEL SECURITY -
RANDY CLEVELAND FFD COORDINATOR EVENT CHRONOLOGY GEORGE MISERENDINO EVENT ANALYSIS JIM KUHN SUMMARY DOUG ANTONY PAGE 2 OF 14
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EVENT CHRONOLOGY CASE FACTS REPORTING CORRECTIVE ACTIONS
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CASE FACTS 05-19-90-American Protective Services (APS)
receives employment application.-
06-12-90 Officer commences training 06-28-90 Unescorted-access to Prairie Island granted-10-24-90 NSP-Corporate-Screening. Services became-aware of derogatory information.andl suspends unescorted access
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On 10-25-90:
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NRC Region III was_ notified.
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CORRECTIVE ACTIONS
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OFFICER-
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10-24-90 Suspended unescorted access
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12-07-90 Completed determination of management and.
medical assurance of fitness--
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12-10-90 Returned to duty in an unarmed status.
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02-10-91 Returned to armed status after successfully completing treatment program
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CORRECTIVE ACTIONS CONTRACTOR PROGRAMS
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10-24-90 Suspended APS screening program 11-01-90 Completed audit of'APS screening files'-
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Re-performed all background
investigations performed by ICA
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Reiterating NSP suitable inquiry-.
requirements.
Announcing program changes to_ prevent
recurrence.
01-01-91
- Implemented revised _ Contractor Request for.
Access Authorization form
02-20-91-APS program reinstated
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EVENT ANALYSIS NSP MANAGEMENT CONTROLS ROOT CAUSE SAFETY SIGNIFICANCE OI INVESTIGATIVE CONCLUSIONS
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NSP MANAGEMENT CONTROLS PROGRAM REVIEW AND APPROVAL 5-11-90 NSP CONTRACTOR PROGRAM AUDIT
CHECKLIST COMPLETED 5-18 90 NSP NOTIFIES APS OF PROGRAM APPROVAL
APS PROGRAM REQUIREMENTS REQUIRED A SUITABLE INQUIRY BE CONDUCTED IN '
ACCORDANCE WITH 10CFR 26.27.TO DETERMINE WHETHER THE WORKER HAS EVER BEEN...
IF SUCH A RECORD IS ESTABLISHED... CONTACT THE
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NSP FFD COORDINATOR AT 330-7999.
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I ROOT CAUSE m
CONTRACTOR FAILURE TO UNDERSTAND
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AND FOLLOW THEIR NSP APPROVED ACCESS AUTHORIZATION PROCEDURE STRICT PROCEDURAL COMPLIANCE.
FINANCIAL AND STAFFING CONCERNS-
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SAFETY SIGNIFICANCE INDIVIDUAL WAS IN NSP BEHAVIOR OBSERVATION PROGRAM
No positive tests for drugs or alcohol CONSISTENTLY AN ABOVE AVERAGE-PERFORMER
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FFD EVALUATION
- CHEMICAL DEPENDENCY ASSESSMENT-
MODIFICATION OF WORK ASSIGNMENT PACE 11 OF 14
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f OI INVESTIGATIVE CONCLUSIONS APS MANAGEMENT HAD KNOWLEDGE OF
DEROGATORY INFORMATION REGARDING ONE OF THEIR EMPLOYEES AND DELIBERATELY FAILED TO NOTIFY NSP'S FFD OFFICER.
NSP DOES NOT AGREE WITH OI CONCLUSION THAT THE FAILURE WAS DELIBERATE THE NSP EMPLOYEES (SECURITY CONSULTANT AND
SECURITY INSTRUCTOR) HAD-KNOWLEDGE OF THE DEROGATORY INFORMATION REGARDING AN APS GUARD, BUT DID NOT DELIBERATELY FAIL TO NOTIFY THE NSP FFD OFFICER NSP AGREES MTI'H OI CONCLUSION
NSP SECURITY CONSULTANT
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msg enne nuee:a cruTra
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wwEn CORPORATE SECURITY (5/90)
MARE ISLND TRMMC NTER MANAGER E M TY
~#GTAUCTOR CORPORATE gg7y SECURITY rcTnuctoa FFD SECURITY SUPERVISOR ADMINISTRATIVE ADMINISTRATIVE COORDINATOR CORPORATE ADMINISTR ATOR SCREENING SP ECI All8T SP ECI AllST SERVICES SECURITY SCREENING CONSULTANT CONSULTANT SECURITY SCREENING CONSULTANT COORDINATOR SECURITY ADMIN
- CON 8ULTANT 8PECIAll8T l
SECURITY ANALYST f
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SUMMARY CORRECTIVE ACTIONS
IMMEDIATELY INFORMED NRC REGION III
OFFICER APS CONTRACTOR PROGRAM
ALL CONTRACTOR PROGRAMS
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NO CARELESS DISREGARD FOR NRC REGULATIONS -
NO WILLFUL INTENT TO VIOLATE NRC REGULATIONS
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