IR 05000312/1998002

Insp Rept 50-312/98-02 on 980519-21.Violations Noted. Major Areas Inspected:Announced Insp of Licensee Physical Security Program

ML20248K641
Person / Time
Site:	Rancho Seco
Issue date:	06/03/1998
From:	NRC OFFICE OF INSPECTION & ENFORCEMENT (IE REGION IV)
To:
Shared Package
ML20236E822	List: IR 05000312/1998002 ML20236E821 ML20248K630
References
50-312-98-02, 50-312-98-2, NUDOCS 9806100206
Download: ML20248K641 (16)

Text

i ENCLOSURE U.S. NUCLEAR REGULATORY COMMISSION

REGION IV

Docket No.: 50-312 License No.: DPR-54 Report No.: 50-312/98-02 Licensee: Sacramento Municipal Utility District Facility: Rancho Seco Nuclear Generating Station Location: Rancho Seco Nuclear Generating Station

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14440 Twin Cities Road '

Herald, California Dates: May 19-21,1998 inspector: D. Schaefer, Security Specialist, Plant Support Branch Approved By: D. Blair Spitzberg, Ph.D., Chief, Nuclear Materials Safety Branch 2 Attachment Supplemental Information

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PDR ADOCK 05000312 1 O (XQ .

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EXECUTIVE SUMMARY Rancho Seco Nuclear Generating Station NRC Inspection Report 50 312/98-02 This was an announced inspection of the licensee's physical security program. The areas inspected included access authorization; alarm station and communications; access control of personnel and packages; testing and maintenance; protected area barriers and detection aids; assessment aids; compensatory measures; security system power supply, security program plans and procedures; security event log; personnel training and qualification; management support; staffing levels; and security program audit. During this inspection, the reactor was shut down and defuele Plant Sucoort '

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Overall, an effective a.: cess authorization program was implemented. A violation was identified involving the failure to review and consider allinformation obtained during an individual background investigation, and the failure to considerif available criminal history information had been willfully omitted or falsified from the individual's personnel security questionnaire. An inspection followup item was identified involving the practice of acquiring " developed" references by telephoning local unions (Section S1.1).

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An effective alarm station and security radio communication system were maintaine An adequate number of portable radios was available for members of the security organization. An inspection followup item was identified involving outdated information contained in the Alarm Station Security Computer Operator's Manual (Section S1.2).

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A good program for searching personnel and packages entering the protected area was maintained. The explosive detector at the entrance to the protected area had recently experienced increased periods of inoperability. Several photo identification key cards were in a poor state of repair (Section S1.3).

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Security systems were repaired in a timely manner. The testing and maintenance of security equipment were generally completed in a timely manner and were properly documented (Section S2.1).

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An effective protected area barrier and detection system were in place that would provide delay and detection to individuals attempting unauthorized entry. Additionally, the protected area barrier and detection system effectively limited access to only authorized personnel (Section S2.2).

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The assessment aids system inside the protected area provided excellent assessment of portal alarms, and produced a clear image on monitors in the security alarm station (Section S2.3).

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The compensatory measures program was effectively implemented. Security personnel were well trained on the program requirements (Section 2.4).

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The security backup power supply system performed well (Section S2.5).

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Changes to security programs and plans did not decrease the effectiveness of the plan Implementing procedures met performance requirements in the physical security plans (Section S3.1).

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A properly maintained records and reports program was in place. The security staff was correctly reporting security events (Section S3.2).

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A good security training program had been implemented. Security officers displayed excellent conduct and knowledge of procedural requirements. The documentation of training tasks for security officer annual requalification was weak (Section 5.1).

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The security program was effectively managed and management provided strong support. The morale of the security officers was good (Section 6.1).

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The licensee's on-shift security staffing was properly maintained (Section S6.2).

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The anntal audit of the security program was of good quality (SecCon S7.1).

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I l-4-Report Details l IV. Plant Suonort S1 Conduct of Security and Safeguards Activities S Access Authorization Insoection Scooe (81700)

Portions of the access authorization program were reviewed in order to determine compliance with 10 CFR 73.56 and the physical security pla Observations and Findinas e The inspector reviewed four access authorization records. The records indicated that thorough background investigations were complete As an initiative, the licensee continued to submit the fingerprints for all persons requesting unescorted protected area access to the California Departmeni of Justic The principle advantage of this system is that once an employer (such as the licensee)

registers a person with the California Department of Justice, the employer will be notified of any future reported criminal activities involving this person. In accordance with j

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10 CFR 73.56, the licensee also submitted fingerprints through the NRC to the Federal Bureau of investigatio CFR 73.56(b)(2)(l) requires, in part, that the licensee provide high assurance that j individuals granted unescorted access to protected areas are trustworthy and reliable. In ;

this regard, the licensee's program for granting unescorted access authorization to the plants' protected area must include a background investigation, including information concerning an individual's criminal histor ,

License Condition 2.C.(3) of the licensee's facility operating license requires, in part, that the licensee maintain in effect and fully implement all provisions of the physical security plan approved by the Commission and all changes and amendments made pursuarst to the authority of 10 CFR 50.54(p) and 10 CFR 50.9 ,

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Section 5.1.2.2 of the licensee's physical security plan states, in part, that, " Personnel authorized unescorted access to the protected area shall meet all requirements of the Access Authorization Program which meets all elements of Regulatory Guide 5.66 to satisfy the requirements of 10 CFR 73.56."

- Incomolete Review of Deroaatory information l

Paragraph 7.1 of tb ' Appendix to Regulatory Guide 5.66 dated June 1991 (NUMARC 89-01) requires, in part, that a licensee review and consioe, all

I 5-information obtained during a background investigation and base its decision to grant unescorted access authorization upon the results of this revie Paragraph 7.1a of the Appendix to Regulatory Guide 5.66 dated June 1991 (NUMARC 89-01) requires, in part, that in making a determination of trustworthiness and reliability that the licensee consider the willful omission of falsification or materialinformation submitted in support of a request for unescorted access authorizatio During the inspection, the inspector identified issues with an individual's background investigation file. The file indicated that on February 15,1998, the individual stated that he had been arrested for: (1) " Traffic" in 1991, (2) "DUl" in 1989, and (3) * Fighting with brother" in 1990. The individual also stated that he had never been convicted of a criminal offense. (blMe: The licensee interpreted this to mean that the individual had not been convicted of any other criminal offense.) Later, on March 12,1998, upon completion of necessary background investigation requirements and submission of the individual's fingerprints to the FB! and to the state of California, Department of Justice, the licensee appropriately granted the individual temporary unescorted site access to the protected area at Rancho Sec On May 11,1998, the licensee received fingerprint results from the California Department of Justice stating that the individual had been charged on December 16,1983, for disorderly conduct and prostitution. No disposition was listed. The fingerprint results also stated that on December 23,1983, the I individual was fined for a misdemeanor conviction of " Fight (ing)/ Noise / Offensive Words." The individual had not listed this information on his personnel security questionnair On May 20,1998, nine days after receiving this information, the inspector determined that licensee management har' not reviewed or consider,ed the criminal conviction information contained in the fingerprint results frdm the state of Califomia. Additionally, the licensee had not considered the possibility that the individual had willfully omitted or falsified the additional criminal history p information on his personnel security questionnair The licensee's failure to review and consider all information obtained during an individual's background investigation, and the failure to consider if available criminal history information had been willfully omitted or falsified from the individual's personnel security questionnaire, is a violation of the physical security plan (VIO 50-312/9802-01).

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Conduct of Backaround Investia_ ations Paragraph 6.4(d) of the Appendix to Regulatory Guide 5.66 dated June 1991 (NUMARC 89-01) requires, in part. that temporary unescorted access h

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-6-authorization be granted upon (favorable) recommendation of one " developed *

character reference with frequent and direct association with the applican Information Notice 91-59, " Problems With Access Authorization Programs," dated September 23,1991, identified that union business agents had previously -

certified false information to licensees conducting background investigation This Notice discouraged the telephoning of union halls for personal re,ference During this inspection, the inspector reviewed the background investigation file for an individual granted temporary unescorted site access. This file indicated that Wackenhut Company had acquired a ' developed" reference by telephoning (" canvassing") the local union. There was no information in the file indicating why the ' developed" reference had not been obtained by telephoning one of the five

• listed * reference The licensee's practice of acquiring " developed" references by telephoning local unions is considered to be an inspection followup item to be reviewed during subsequent security inspections (IFl 312/9802-02). Conclusion l

Overall, the access authorization program was adequate. The access authorization program also included the submission of fingerprints to the state of California, Department of Justice. A violation was identified involving the licensee's failure to review and consider all information obtained during an individual background investigation, and failure to consider if available criminal history information had been willfully omitted or

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falsified from the individurl's personnel security questionnaire. An inspection followup i item was identified involving the practice of acquiring developed references by telephoning local union S1.2 Alarm station and Communications Insoection Scope (81700)

The alarm station and communications were inspected to determine compliance with the requirements of the security plan. The areas inspected included the requirements, capabilities, and protection of the alarm station, operability of radio and telephone systems, and the capability to effectively communicate with the local law enforcement agencies through both of the systems.

! Observations and Findinas '

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The inspector determined through observations and interviews that the security alarm ;

station, located in the control room, was equipped with appropriate alarm, surveillance, 1 and communication capability. The alarm station was continually manned by a control room operator / alarm station operator whose duties did not interfere with the execution of assessment and response functions. The inspector determined that the control room

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operator / alarm station operator was capable of maintaining continuous communication with each security officer on duty and was also capable of calling for assistance from the l

locallaw enforcement authority. The licensee maintained an adequate number of I portable radios for use by members of the security organization. Radio checks with the local law enforcement authonty were conducted at least once each 24 hour2.777778e-4 days <br />0.00667 hours <br />3.968254e-5 weeks <br />9.132e-6 months <br /> The inspector observed that the licensee's Alarm Station Security Computer Operator's Manual dated January 19,1995, required revision as follows:

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Discussion of the security uninterruptible power supply system (UPS) in the manual was outdated. The UPS described in the manual had been replaced in early 199 .-

Discussion of the perimeter alarm zones in the manual was outdated. The licensee discontinued use of this alarm system in earty 199 The licensee's reference to outdated information in the Alarm Station Security Computer -

Operator's Manual is considered to be an inspection followup item to be reviewed during subsequent security inspections (50-312/9802-03). Conclusions An effective alarm station and security radio communication system were maintaine An adequate number of portable radios was available for members of the security organization. An inspection followup item was identified involving outdated information contained in the Alarm Station Security Computer Op=>rator's Manua S1.3 Protected Area Access Control of Personnel and Packnoes Insoection Scone (81700)

- The inspector reviewed the access control program for personnel and packages into the protected area to determine compliance with the security plan. (Note: It is not possible for vehides to enter the protected area.) Observations and Findinos Upon entering the industrial area, persons were issued a photo-identification security key card which authorized access, as appropriate, to the industrial area and the protected area. Persons not authorized a key card were escorted at all times within the industrial and protected areas. Prior to leaving the industrial area, all persons left their key card with the attending secunty officer.

t The inspector determined through observations that personnel access to the protected area was effectively controlled. The inspector verified that the licensee had a search program as committed to in the security plan for firearms, explosives, incendiary devices, and other unauthorized materials. The fixed metal detector and the explosive detector at v

-8-Security Door FB-308 were inspected and found to be operational most of the tim However, the licensee's maintenance records indicated that from May 1-21,1998, the explosive detector was only operational approximately 50 percent of the time. The licensee compensated for the inoperative explosive detector via pat-down searches of all personnel entering the protected area, in addition to the protected area at the spent fuel building, the licensee also maintained

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" security areas" throughout portions of the turbine building (industrial area). Security l areas included the control room (housing the security alarm console) and the communications room (housing the two security computers). Personnel utilized their f photo identification key card to access these se ,urity area The inspector also determined through observation that several photo identification key

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cards were in a poor state of repair and needed to be replaced. The edges on several cards were wom and the badge faminating material was separatin I Conclusions i

! A good program for searching personnel and packages entering the protected area was l . maintained. The explosive detector at the entrance to the protected area had recently I experienced increased periods of inoperability. Several photo identification cards were in L a poor state of repai S2 Status of Security F c lities and Equipment S Testina and Maintenance i Insoection Scone (81700)

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The inspector reviewed the testing and maintenance program to determine compliance

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with the requirements of the security plan.

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l' Observations and Findinas  !

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!  ! The inspector determined through interviews with security officers and supervisors that  !

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repairs to security equipment were generally completed in a timely manner. On May 19, j 1998, the inspector observed members of the security staff perform functional testing of several door alarms. All equipment performed as designed, Conclusions Security systems were repaired in a timely manner. The testing and maintenance of j security equipment were generally completed in a timely manner and were properly j documente u . .-

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. S Protected Area Barrier and Detection Aids Insoection Scooe (71750 and 81700)

The inspector reviewed the protected area barrier and detection aids to determine compliance with the requirements of the physical security plan. The areas inspected included the features of the protected area barrier and the design and capabilities of the detection aids system. 'Hote: The licensee had no vital areas or vital equipment as defined in 10 CFR 73.2.) Observations and Findinos The inspector determined through observation that the protected area (the fuel st6 rage building) was appropriately locked and alarmed and that the protected area barriers were

' adequate to ensure delay of a potential adversary and to ensure that unescorted access was limited to authorized personnel. The alarm system consisted of balanced magnetic switches at the entry points to the protected area and infrared and microwave detection aids inside the protected area. The alarms annunciated in a continuously manned alarm station. The inspector verified through testing that an alarm for each component annunciated in the alarm station. The protected area door locking mechanisms and alarms were properly tested. Emergency exits from the protected area were locked and alarme The inspector observed the licensee test the perimeter alarm system at two location The detection system at both areas performed as designed. All attempts to intrude into the protected area were detected. The licensee's tests of the system were performance based to ensure that system failures were discovered and correcte Conclusions An effective protectec area barrier and detection system were in place that would provide delay and detection to individuals attempting unauthorized entry. Additionally, the protected area barrier and detection system effectively limited access to only authorized personne .

S2.3 Assessment Aids Insoection Scooe (81700)

The inspector reviewed the assessment aids to determine compliance with the physical security plan. The areas inspected included the closed-circuit television monitors located in the alarm statio a

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-10- Observations and Findinas The inspector verified through observation that a closed-circuit television system was installed inside the protected area and that the closed-circuit television cameras were positioned to provide assessment of the protected area portal alarms. Following an alarm, each closed-circuit television camera produced a clear image on a monitor in the security aiarm statio Conclusions The assessment aids system inside the protected area provided excellent assessment of portal alarms and produced a clear image on monitors in the security alarm statio S Compensatory Measures .- Insoection Scooe (81700)

The inspectcr reviewed the licensee's compensatory measures program to determine compliance with the requirements of the physical security plan. The areas inspected included deployment of compensatory measures and the effectiveness of those measure b, . Observations and Findinas The inspecior confirmed that the licensee deploys compensatory measures in a manner that adequately compensates for any degraded security system. The inspector determined through interviews of security officers that the officers scheduled to be assigned to compensatory posts were adequately trained for those dutie Conclusions The compensatory measures program was effectively implemented. Security personnel were well trained on the program requirement ' S Security System Power Sucolv a insoection Scooe (81700)

The inspector reviewed the security system power supply to determine compliance with the physical security pla Observations and Findinos The security plan requires that sufficient backup power for a specific period to time be provided to the security computer, alarm system, and the radio communications syste The. licensee provided this o' ackup power through an uninterruptible power supply system, The inspector reviewed the licensee's records for testing of the backup power

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~11-system. These records indicated that this system had been performance tested on May 13,1998, and had performed as require Conclusions The security backup power supply system performed wel S3 Security and Safeguards Procedures and Documentation S3.1 Security Proaram Plans and P;acedures Insoection Scooe (81700)

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The licensee's Physical Security Plan for Long-Term Defueled Condition, Amendment 7, dated March 28,1998, and some implementing procedures were reviewed to determine compliance with the requirements of 10 CFR 50.54(p),10 CFR 50.90, and 10 CFR 73.55(b)(3). Observations and Findinas The inspector determined from a review of security plans and procedures and interviews with licensee security personnel that changes to the licensee's NRC-approved Security, Contingency, and Training and Qualification Plans, as implemented, did not decrease the effectiveness of the respective plans Plan changes were submitted in accordance with NRC requirements and the changes had not decreased the effectiveness of the plans.

t Conclusions Changes to security programs and plans did not decrease the effectiveness of the plan Implementing procedures met performance requirements in the physical security plan S3.2 Security Event Loas Insoection Scoce (81700)

The inspector reviewed safeguards event logs and security incident reports to determine compliance with the requirements of 10 CFR 73.21(b) and (c),10 CFR 26.73, and the physical security pla Observations and Findinas The inspector determined that the licensee conformed to the regulatory requirements

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regarding the reporting of security events. The necessary records were available for review and maintained for the time required by regulations. The inspector specifically reviewed the secunty event logs for the period January 1997 to present. There were no events recorded in the event log I l

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-12-l Conclusions A property maintained records and reports program was in place. The security staff was correctly reporting security event S5 Security and Safeguards Staff Training and Qualification '

S5.1 Personnel Trainino and Qualification Insoection Scooe (81700) l The inspector reviewed the licensee's security training and qualification program to determine compliance with the requirements of the training and qualification pla .- Observations and Findinos During the inspection, the inspector observed security officers performing their duties. All security officers displayed excellent conduct and r.nowledge of the procedural requirement ,

The security organization conducted all required training in accordance with its approved security, training, and contingency plans. The inspector confirmed, by a review of the l

composite security training records, that the required training was conducted every

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12 month The ' inspector determined from a review of four training records and interviews with security officers that the licensee had a good program to ensure that security officers t' were trained, equipped, and qualified to perform each assigned security-related task or

,. duty. The records reviewed were maintained current and well organized. The inspector j interviewed security officers and confirmed that the annual medical examinations were thoroug Section 3.3.1.3 of the licensee's security plan requires that security officers be requalified

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in accordance with the Rancho Seco Security Training and Qualification Plan at least i

every 12 months. The Training and Qualification Plan requires completion of 17 required tasks for secunty officer annual requalification. During this inspection, the inspec'or determined through interviews that all security officers had received annual l requalification training. However, in some cases, the security shift leaders and the l

individual security officers had documented completion of job duties rather than j completion of the required individual training task l I Conclusions I

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A good security training program had been implemented. Security officers displayed very good conduct and knowledge of procedural requirements. The documentation of training tasks for security officer annual requalification was weak.

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-13-S6 Security Organization and Administration S Manaaement Sucoort Insoection Scooe (81700)

The inspector reviewed the effectiveness and adequacy of management support to determine the degree of management support for the physical security progra Observations and Findinos The inspector determined through observations and from discussions with security force personnel that licensee management was appropriately managing the security program, was well informed about security program requirements, and provided strong support for the program. Further, the inspector determined that all members of the security organization had a clear understanding of their duties and responsibilities, and the morale of the security officers was goo Conclusions The security program was effectively managed management provided strong suppor The morale of the security officers was goo S6.2 Staffing Levels

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a. Insoection Scoos (817001 The inspector verified that the total number of trained security officers and armed personnel immediately available at the facility to fulfill response requirements met the number specified the physical secunty pla Observations and Findinos The inspector determined from discussions with security supervisors and reviewing the security shift personnel rosters that there was an adequate number of security officers always available to meet the number specified in the physical security pla Conclusion The licensee's on-shift security staffing was properly maintaine .

-14-S7 Quality Assurance in Security and Safeguards Activities S7.1 Security Procram Audit (81700) Insoection Scoce The inspector reviewed the annual audit of the physical security program to determine compliance with the requirements of 10 CFR 50.54(p),10 CFR 73.55(g), and the security pla Observations and Findinas The inspector reviewed Rancho Seco Audit Report 97-A-020 dated December 18,1997, which documented the licensee's audit of the Rancho Seco Security Program an6the effectiveness of program implementation. This audit was conducted during the period December 8-17,1997, and concluded that the Ranch Seco Security Program was appropriate for a defueled plant. Additionally, the inspector confirmed that members of the audit team were independent of plant security management, that the audit was partially performance based, and that the audit results were reported to the appropriate level of management. The overall quality of the audit was good, Conclusions The annual audit of the security program included observation of performance and the overall quality was goo J V. Manaaement Meetinas

X1 Exit Meeting Summary )

The inspector presented the inspection results to members of licensee management at I the conclusion of the inspection on May 21,1998. The licensee acknowledged the !

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ATTACHMENT SUPPLEMENTAL INFORMATION PARTIAL LIST OF PERSONS CONTACTED Licensee E. Brandt, Security Department, Rancho Seco R. Colombo, Manager, Special Nuclear Materials, Rancho Seco J. Delezenski, Superintendent, Quality Assurance, Licensing, and Administration, Rancho Seco D. Dungey, Manager, General Services, SMUD J. Field, Superintendent, Technical Services, Rancho Seco

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P. Long, Security Department, Rancho Seco L. Langley, Security Specialist, Rancho Seco E. Nava, Supervisor, Security Operations, SMUD S. Redeker, Plant Manager, Rancho Seco T. Robinson, Supervisor, l&C, Rancho Seco T. Tucker, Superintendent, Operations, Rancho Seco W. Wilson, Superintendent, Radiation Protection / Chemistry, Rancho Seco INSPECTION PROCEDURES USED IP 81700 Physical Security Program for Pr- e ,4eac, m LIST OF ITEMS OPENI J / v . AND Da JSED items Ooen 50-312/9802-01 VIO Failure to: review an .,s sider all information obtained during an individual's backgro' ,d ir estigation, and consider if available criminal history infc ~ sn had been willfully omitted or falsified from the individual's personnel security questionnair /9802-02 IFl Practice of acouiring " developed" references by telephoning the local union 50-312/9802-03 IFl Outdated information included in the Alarm Station Security Computer Operator's Manual items Closed and Discussed None i

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2-LIST OF DOCUMENTS REVIEWED Security Event Logs and incident Complaint Reports from July 1997 to May 1998 Plant Maintenance Manual Procedure,1.408, Revision 26, " Security Door Card Readers and Alarms" Rancho Seco Audit Report No. 97-A-020 dated December 18,1997 Composite list of dates of training and medical examination

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