IR 05000312/1999002

Insp Rept 50-312/99-02 on 990309-11.No Violations Noted. Major Areas Inspected:Licensee Physical Security Program, Including Access Authorization,Alarm Station & Communication & Testing & Maint

ML20204H696
Person / Time
Site:	Rancho Seco
Issue date:	03/19/1999
From:	NRC OFFICE OF INSPECTION & ENFORCEMENT (IE REGION IV)
To:
Shared Package
ML20204H681	List: IR 05000312/1999002 ML20204H675
References
50-312-99-02, 50-312-99-2, NUDOCS 9903290132
Download: ML20204H696 (13)

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ENCLOSURE i U.S. NUCLEAR REGULATORY COMMISSION

REGION IV

Docket No.: 50-312 License No.: DPR-54 Report No.: 50-312/99-02 Licensee: Sacramento Municipal Utility District Facility: Rancho Seco Nuclear Generating Station Location: Rancho Seco Nuclear Generating Station 14440 Twin Cities Road Herald, California Dates: March 9-11,1999 Inspector: . D. Schaefer, Security Specialist, Plant Support Branch I Approved By: D. Blair Spitzberg, Ph.D., Chief, ,

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Fuel Cycle and Decommissioning Branch Attachment Supplemental Information l

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9903290132 990319 PDR ADOCK 05000312 0 PDR

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EXECUTIVE SUMMARY Rancho Seco Nuclear Generating Station NRC Inspection Report 50-312/99-02

. 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, test 5g 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 Support

• Performance in the physical security area was good. An effective alarm station and

- security radio communication system were maintained. A good program for searching personnel and packages entering the protected area was maintained. The testing and main'enance of security equipment were completed in a timely manner. An effective protected area barrier and detection system were in place'that would provide delay and detection to individuals attempting unauthorized entry. Assessment aids provided good assessment of portal alarms and produced a clear image on monitors in the security .

alarm station. 'The compensatory measures program was effectively implemented. The security backup power supply system performed very well. A good lock and key control program was maintained and implemented.- Changes to security programs and plans were reported to the NRC within the required time frame. A properly maintained records and reports program was in place. The security staff was correctly reporting security events. A good training program was implemented. Senior management support for the security organization was good.' The secunty program was implemented by a well trained staff. On-shift security staffing was properly maintained. The annual audit of the security program included observation of performance, and its overall quality was good

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• Performance in the access authorization area was very good. An effective access authorization program was established to grant individuals unescorted access to the industrial and the protected areas (Section S1.1).

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-3-ReDort Details

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IV. Plant SuDDort S1 Conduct of Security and Safeguards Activities S Access Authorization Inspection Scope (81700)

The Access Authorization Program was inspected to determine compliance with the requirements of 10 CFR 73.56, the security plan, and Regulatory Guide 5.66. The areas inspected included the review of six background investigation files for individuals presently granted unescorted access. The inspector reviewed records and conducted interviews to determine the adequacy of the program. The inspector also reviewed information concerning the licensee's verification of identify, employment history, educational history, credit history, criminal history, military service, and the character and reputation of the applicants before granting individuals unescorted access to protacted and vital area Observations and Findinos Background investigation screening filos were complete and thorough. As an initiative, the licensee continued to submit the fingerprints for all persons requesting unescorted protected area access to the California Department of Justice. The principle advantage of this system is that once an employer (such as the licensee) registers a person with i the California Department of Justice, the employer will be notified of any future reported !

criminal activities involving this person. In accordance with 10 CFR 73.56, the licensee i also submitted fingerprints through the NRC to the Federal Bureau of Investigatio Conclusions Performance in the access authorization area was very good. An effective access J

authorization program was established to grant individuals unescorted access to the '

industrial and the protected areas. The access authorization program included the submission of fingerprints to the state of California, Department of Justic S1.2 Alarm station and Communications Insoection Scope (81700)

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

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-4- Observations and Findinas Through observations and interviews, the inspector determined that the security alarm station located in the control room was equipped with appropriate alarm, surveillance, 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 operators / alarm station operators were alert and well trained and were capable of maintaining continuous communication with each security officer on duty and was also capable of calling for assistance from the locallaw enforcement authority. The licensee maintained an adequate number of portable radios for use by members of the security organization. Radio checks with the local law enforcement authority 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 /> l l Conclusions An effective alarm station and security radio communication system were maintaine l Alarm station operators were alert and well trained. An adequate number of portable ;

radios were available for members of the security organizatio .

S1.3 Protected Area Access Cor trol of Personnel and Packaces Inspection Scope (81700-02.01) )

l The access control program for personnel, packages, and vehicles was inspected to l determine compliance with the requirements of the security plan. (Note: It is not l possible for vehicles to enter the protected area.) l Observations and Findinas Through observations and interviews, the inspector determined that 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 are 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 security office Additionally, through obser/ations, the inspector determined 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 fixt 1 metal detector and the explosive detector at Security Door FB-308 were inspected and found to be operationa In addition to the protected area at the spent fuel building, the licensee also maintained

" security areas" throughout portions of the turbine building (industrial area). Authorized personnel utilized their photo identification key card to access these security area ._ _ . . . -.

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-5- l Conclusions A good program for searching personnel and packages entering the protected area was j maintaine l l

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S2 Status of Security Facilities and Equipment l

S Testina and Maintenance l l Inspection Scope (81700)

l The inspector reviewed the testing and maintenance program to determine compliance with the requirements of the security pla Observations and Findin.gg Through interviews with security officers and supervisors, the inspector determined that repairs to security equipment were generally completed in a timely mar:ner. On i March 9,1999, the inspector observed a member of the security staff perform functional l testing of several door alarms. All equipment performed as designe Conclusioqq The testing and maintenance of security equipment were completed in a timely manne ;

S2.2 Protected Area Barrier and Detection Aids inspection Scoce The protected area physical barriers and detection aids v.ere inspected to determine compliance with the physical security plan. (Note: The licensee had no vital areas or vital equipment as defined in 10 CFR 73.2.) Observations and Findinas Through observations, the inspector determined that the protected area (the fuel storago building) was appropriately locked and alarmed and that the protected area barriers were adequate to ensure de!ay of a potential adversary and to ensure that )

- unescorted access was limited to authorized personnel. The alarm system consisted of l balanced magnetic switches at the entry points to the protected area and infrared and ,

microwava detection aids inside the protected area. The alarms annunciated in a l continuously manned alarm station. The protected area door locking mechanisms and l

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alarms were properly tested. Emergency exits from the protected area were locked and alarme I I

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-6- Conclusion 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 personne ,

S2.3 Assessment Aids Insoection Scope (81700) r The assessment aids were inspected to determine compliance with the physical security plan. The areas inspected included the closed-circuit television monitors located in the alarm station Observations and Findinas The inspector observed the assessment aids and determined that the system was effective. The inspector verified through observation that the closed-circuit television l cameras were positioned to provide assessment of the protected area portal alarm I Following an alarm, each closed-circuit television camera produced a clear image on a l monitor in the security alarm station. Though unerviews, the inspector determined that !

rompt maintenance support was provided to ensure the system; vblems were rected in a timely ...anner,

] ,onclusions Assessment aids provided good assessment of portal alarms and produced a clear image on monitors in the security alarm statio S2.4 Compensatorv Measures j Insoection Scope (81700) 4 The compensatory measures were inspected 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 Observations and Findinas The inspector confirmed that the licensee deploys compensatory measures in a manner consistent with the requirements in the physical security plan. Through interviews, the inspector determined that the security personnel available for assignment to compensatory security posts were properly trained for those dutie . - - - _ . - . . - . . - - - _ . -- - - . . _ -

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-7- Conclusions The compensatory measures program was effectively implemented. Security personnel were well trained on program requirement S2.5 Security System Power Suoolv Insoection Scope (81700)

The security system power supply was inspected to determine compliance with the physical security plan, Observations and Findinos The security plan requires that sufficient backup power for a specific period of time be prottided to the security computer, alarm system, and the radio communications system.

. The licensee provided thic backup power through DNo separate uninterruptible power supply systems. During the inspection, the licensee conducted its periodic load testing of both of these systems. Both systems performed as designe Conclusions The security backup power supply system performed very well.

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S Security Locks. Keys and Combinations Inspection Scope (81700)

The Ic h vs, and combinations program was inspected to determine compliance )

with th- 1ysical secerity pla Obsertations and Findinos Through a review of lock and key procedures and records, the inspector determined that inventories were completed as required. The records indicated that the locks and keys were rotated or changed when employees who had access to security locks and keys were terminated. Security of the edditional sets of lock cores and keys was effective in .

preventing compromise. Records of keys, locks, core sets, and all changes were being I maintained, c Conclusion l A good lock ano key control program was maintained and implemente !

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-8-S3 Security and Safeguards Procedures and Documentation S Security Proaram Plans and Procedures Inspection Scope (81700)

The licensee's physical security plan for Long-Term Defueled Condition, Amendment 7, dated March 28,1998, and 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 previous plan changes were reported to the NRC within the required time frame and changes submitted did not reduce the effectiveness of the plan. The inspector determined that the licensee maintained an effective management sys:em for the development and administration of procedures and verified that changes to the procedures did not reduce the effectiveness of the licensee's security progra Conclusions Changes to security programs and plans were reparted to the NRC within the required )

time frame. Overall, implementing procedures met the performance requirements in the l physical security pla S3.2 Security Event Loas 1 Inspection Scope (81700)  !

The inspector reviewed safeguards event logs and security incident reports to determine compliance wlth the requirements of 10 CFR 73.21(b) and (c), and the physical security plan. The inspector reviewed the safeguards event logs from May 1998 to February 1 w Observations and Findinas The inspector determined that the licensee conformed to the regulatory requirements regarding the reporting of security events. The necessary records were available for review and maintained for the time required by regulations. There were no events recorded in the event log Conclusions A properly maintained records and reports program was in place. The security staff was correctly reporting security events.

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SS Security and Safeguards Staff Training and Qualification S Personnel Trainina and Qualification Insoection Scope (81700)

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 The inspector observed security officers during the performarce of their dutie Observed security officers demonstrated good knowledge d the procedural requirements for the task they were performin The security organization conducted all required trai iing in accordance with its approved security, training, and contingency plans. The ins 5ector confirmed, by a review of the composite security training records, that the recured training was conducted every 12 month From a limited review of three training records, the inspector determined that the licensee had a good program to er'sure that security officers were trained, equipped, and qualified to perform each assigned security-related duty. The records reviewed were maintained current and weli organized. The inspector interviewed security officers and confirmed that the annual medical examinations were thoroug Conclusions A good training program was implemented. Security officers demonstrated good knowledge of the procedural requirements for the task they were performin Documentation of training activities by the security shifts and training section was goo S6 Security Organization and Administration S6.1 Manaaement Supoort Insoection Scope (81700)

The effectiveness and adequoq vt tanagement support were inspected to determine the degree of management se art ) or the physical security progra Observations and Findinas Through observations and discussions with security force personnel, the inspector determined that the security program received good support from senior management as demonstrated by ongoing support for improved equipment and facilities. The inspector determined that the security program was implemented by a trained and

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qualified security staff. All members of the security organization had a clear l understanding of their duties and responsibilitie Conclusions ,

l Senior management support for the security organization was good. The security i program was implemented by a well trained staf ;

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' S6.2 Staffina Levels Insoection Scooe (81700)

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 in the physical security pla i Qbservations and Findinas 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 On-shift security staffing was properly maintaine S7 Quality Assurance in Security and Safeguards Activities S Security Proaram Audit (81700)

, Inspection Scooe The inspector reviewed the annual audit of the physical security program to determine l compliance with the requirements of 10 CFR 50.54(p),10 CFR 73.55(g), and the security pla Qbservations and Findinas The inspector reviewed Rancho Seco Audit Report 98-A-015 dated December 23,1998, which documented the licensee's audit of the Rancho Seco Security Program and the effectiveness of program implementation. This audit was conducted during the period December 8-11,1998, 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 ;m )

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, -11- Conclusions The annual audit of the security program included observation of performance and the overall quality was goo S8 Miscellaneous Security and Safeguards lasues (92700,92904)

S8,1 (Closed) Violation 50-312/9802-01: Review and Consideration of All r '9round investication Information During a previous inspection, the inspector determined that the fict " i failed to review and consider all (derogatory) information obtained during an ..euma Js i background investigation. Licensee management had not reviewed or con.adered an individual's criminal conviction information contained in fingerprint results, nor considered if the individual had willfully omitted or falsified criminal history information listed on a personnel security questionnair In its June 30,1998, response to the violation, the licensee acknowledged the violation and stated that it occurred because the office staff had placed the criminal history information in the employee's badge information folder instead of routing the information to the appropriate supervisor for revie In its response, the licensee also stated that Rancho Seco Administrative Procedure (RSAP) 1003," Access Screening Requirements," had been revised to clarify security staff responsibility regarding the handling and review of criminal history informatio During this inspection, the inspector veriffed that Revision 10 to RSAP-1003, included this change, and that the security staff had been trained on the responsibilities and expectations regarding the proper handling and review of criminal history informatio Additionally, through a review of recently completed background investigations, the inspector determined that the licensee had reviewed and considered all available information prior to granting employees unescorted access authorization to the protected are S8.2 (Closed) Inspection Followuo item 50-312/9802-02: Acauirina "Devetooed" References During a previous inspection, the inspector determined that a backgrcund investigation file for an individual granted temporary unescorted site access indicated that Wackenhut Company had acquired a " developed" character 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 Information Notice 91-59," Problems With Access Authorization Programs," dated September 23,1991, had previously discouraged the practice of telephon'ing union halls for personal references. The Notice identified that union business agents had previously certified false information to licensees conducting background investigation . _ _ _ . . _ . _ . _ . . _ _ . _ . . _ . _ . . . _ . _ _ . _ _ _ _ . _ _ _ . _ _ _ _ _ . _ _ . .

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-12- l Through a review of recently completed background investigations, the inspector .

verified that " developed" character references had been obtained by telephoning [

references listed by the employe i S (Closed) Insoection Followuo item 50-312/9802-03: Alarm Station Security Comouter Operator's Manual i

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During a previous inspection, the inspector determined that the licensee's Alarm Station Security Computer Operator's Manual included outdated information on the uninterruptible power supply system and on the operation of equipment for the j discontinued perimeter alarm syste Through a review of the revised Alarm Station Security Computer Operator's Manual, dated November 23,1998, the inspector determined that the Manual had been update ;

S Information Notice 98-35: Threat Assessments and Consideration of Heiahtened i Physical Protection Measures information Notice 98-35 dated September 4,1998, was issued to inform licensees of

- factors considered by the NRC when assessing threats and disseminating that information to the licensees. Additionally, the Notice advised licensees about additional physical protection measures that should be considered for specific threat condition The notice discussed threat levels and appropriate response levels in an effort to avoid any future misunderstandings concerning NRC threat advisories and to facilitate an appropriate and comparable level of physical protection response throughout the nuclear industr During this inspection, the licensee stated they had recently received the notice and were reviewing it for applicability at Rancho Sec V. Management Meetings X1 Exit Meeting Summary The inspector presented the inspection results to members of licensee management at l the conclusion of the inspection on March 11,1999. .The licensee acknowledged the findings presented. No proprietary information was identified.

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ATTACHMENT

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EUPPLEMENTAL INFORMATION PARTIAL LIST OF PERSONS CONTACTED Licensee E. Brandt, Security Department, Rancho Soco J. Delezenski, Superintendent, Quality Assurance, Licensing, and Administration, Rancho Seco D. Dungey, Manager, General Services, SMUD W.Koepke, Supervisor, Qua!ity Control, J. Field, Superintendent, Technical Services, Rancho Seco L. Langley, Security Specialist, Rancho Seco K. Miller, Senior Project Manager E. Navn, Supervisor, District Security Operations / General Services, SMUD S. Redeker, Plant Manager, Rancho Seco T. Robinson, Supervisor, l&C, Rancho Seco INSPECTION PROCEDURES USED IP 81700 Physical Security Program for Power Reactors IP 92700 Onsite Followup of Written Reports of Non-Routine Events at Power Reactor Facilities (Information Notice)

IP 92904 Followup - Plant Support LIST OF ITEMS OPENED CLOSED AND DISCUSSED ltems Open None items Closed 50-312/9802-01 VIO Review and Consideration of All Background investigation Information 50-312/9802-02 IFl Acquiring " Developed" References 50-312/9802-03 IFl Alarm Station Security Computer Operator's Manual items Discussed IN information Notice 98 35: Threat Assessments and Consideration of Heightened Physical Protection Measures

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2-LIST OF DOCUMENTS REVIEWED Security Event Logs and incident Complaint Reports from May 1998 to February 1999 Rancho Seco Audit Report No. 98-A-015 dated December 23,1998 Rancho Seco Audit Report No. 98-A-015 dated December 30,1998 Rancho Seco Administrative Procedure RSAP-1003," Access Screening Requirements," '

Revision 10 Alarm Station Security Computer Operator's Manual, dated November 23,1998 Composite list of dates of training and medical examination l

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