IR 05000373/1993037

Enforcement Conference Repts 50-373/93-37 & 50-374/93-37 on 931130.Major Areas Discussed:Fitness for Duty Violation Noted in Insp Repts 50-373/93-33 & 50-374/93-33

ML20058H189
Person / Time
Site:	LaSalle
Issue date:	12/02/1993
From:	Belanger J, Creed J NRC OFFICE OF INSPECTION & ENFORCEMENT (IE REGION III)
To:
Shared Package
ML20058H167	List: IR 05000373/1993037 ML20058H162
References
50-373-93-37-EC, 50-374-93-37, NUDOCS 9312130008
Download: ML20058H189 (15)

Text

_

.

i

.

U.S. NUCLEAR REGULATORY COMMISSION REGION III  !

!

Report Nos. 50-373/93037(DRSS); 50-374/93037(DRSS) .j Docket Nos. 50-373; 50-374 License Nos. NPF-ll; NPF-18 ;

>

Licensee: LaSalle County Station, Units 1 and 2 '!

Meeting Conducted: November 30, 1993 Meeting At: NRC Region III Office, Glen Ellyn, Illinois  !

Type of Meeting: Enforcement Conference  :

!

Inspector: Q 1 (bdoWV1 /1/2-/73 J. t. Belanger v Date Senior Physical Security Inspector Approved By: e / 3 James R. Creed, Chief Date Tafeguards and Incident Response Section j!

r Meetino Summary

Enforcement Conference on November 30. 1993 (Report Nos. 50-373/93037(DRSS): ?

50-374/93037(DRSS))

Areas Discussed: Review of an apparent Fitness for Duty violation identified during a reactive Fitness for Duty and Physical Protection Inspection (Inspection Report Nos. 50-373/93033(DRSS); 50-374/93033(DRSS), potential safety significance of the event and. corrective actions taken or planned by the license ,

Results: The licensee agreed with the apparent violation. They believed this !

event to be an isolated failure of the FFD program with minimal safety l significance but treated it as a serious issue. Licensee's corrective ,

'

actions were comprehensive and should prevent recurrence. The licensee maintained that the event should be properly categorized as a Fitness-for-Duty issu !

i I

l i

,

!

!

t 931213000s 931207 l

'

QDR ADOCK 05000373 PDR l

---

-

.

-

DETAILS 1. Persons Present at the Conference Commonwealth Edison Company W. Murphy, Site Vice President LaSalle C. Sargent, Services Director G. Tnleski, FFD Program Administrator E. McVey, NRC Coordinator, Lasalle G. Benes, Licensing Administrator S. Reece-Koenig, Regulatory Performance P. Laird, Director, Corporate Security R. Dillon, Station Security Administrator, LaSalle S. Trubatch, Counselor, Winston and Strong U.S. Nuclear Reaulatory Commission W. L. Axelson, Director, Division of Radiation Safety and Safeguards C. Pederson, Chief, Reactor Support Programs Branch J. Creed, Chief, Safeguards and Incident Response Section J. Belanger, Senior Physical Security Inspector A. McMurtray, Reactor Engineer D. Hills, Senior Resident Inspector, LaSalle C. Weil, Enforcement Specialist T. Gody, Project Manager, NRR (Via Telecon)

R. Hague, Section Chief, Division of Reactor Projects Illinois Department of Nuclear Safety J. Roman, Resident Engineer 2. Enforcement Conference An Enforcement Conference was held in the Region III office on November 30, 1993. This conference was conducted as a result of an finding in a reactive fitness for duty and physical protection inspection conducted on November 4, 1993, in which an apparent violation of the fitness for duty program was identifie Inspection findings were documented in Inspection Report Nos. 50-373/93033(DRSS) and 50-374/93033(DRSS) and transmitted to the licensee by letter dated November 22, 199 The purpose of the conference was to: (1) discuss the apparent violation, causes, and the licensee's corrective actions; .(2) determine if there were any escalating or mitigating circumstances; and (3)'obtain any information which would help determine the appropriate enforcement actio ?

. . . . . _ __ . _

.

.

.l

?

.

Regional representatives presented a brief description of the, pertinent . l facts that led to thel apparent violation; regulatory requirements; .

i apparent violation; and the potential safety significance of the even ;

The licensee's representatives described the events which led to th violation, including root cause and short and long term corrective  ;

actions. In summary, the corrective actions were: prohibiting the in- !

processing clerk from entering any data in'the security badge  !

authorization section of the security check-in form'and _ requiring an !

independent-verification by the security force supervisor of the t information in the security section of the badging form entered by the j licensee's security staff. The licensee also discussed enhancements to- ;

the LaSalle FFD Program, the safety significance of the event, and how l they believed the event should be categorized under NRC'S enforcement !

polic In summary, licensee stated that the safety significance of-this event was minimal, the incident was an isolated event, and that the ;

event should be categorized as a Fitness for Duty issue under NRC's  :

enforcement polic *

The licensee representatives did not contest the apparent violation. A .

copy of the licensee's presentation material is enclose f At the conclusion of the conference, the licensee representatives were !

informed that NRC would evaluate the information provided by the ,

licensee during their presentation and that they would be notified in a the near future of the final enforcement actio l l

'

!

>

r i

i l

1 I i

!

,

':

i

i

!

3 I l

_

b

...

Appendix A -i .

COMMONWEALTH EDISON COMPANY LASALLE STATION '

,

l PRESENTATION TO i o

!. THE NUCLEAR  !

REGULATORY l

COMMISSION 1 REGARDING i

THE l

!

FITNESS FOR DUTY  ;

L ENFORCEMENT l l

CONFERENCE  !

NOVEMBER 30,1993  :

!

!

. . _ _ _ _ . _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _

- - -

. _ . - -

- . _ . . - .

!

_

..

INTRODUCTION OUR PURPOSE TODAY IS TO DISCUSS THE FITNESS FOR DUTY EVENT THAT OCCURRED AT LASALLE STATION ON OCTOBER 21, 199 THE EVENT INVOLVED THE ISSUANCE OF A SECURITY BADGE TO A CONTRACTOR WITHOUT VERIFICATION OF A NEGATIVE DRUG TES POSITIVE DRUG TEST RESULTS WERE LATER CONFIRMED AND THE INDIVIDUAL WAS PROMPTLY REMOVED FROM THE PROTECTED ARE ALTHOUGH WE BELIEVE THIS EVENT TO BE AN ISOLATED FAILURE OF THE FFD PROGRAM WITH MINIMAL SAFETY SIGNIFICANCE, WE ARE TREATING IT AS A SERIOUS ISSU EVEN BEFORE THIS EVENT, THE STATION HAD INITIATED A REVIEW OF THE FFD PROGRAM IN RESPONSE TO OTHER INDICATORS OF WEAKNESSE THEREFORE, WE VIEW THIS EVENT AS CONFIRMING THE NEED FOR THE ONGOING EFFORTS TO REVIEW AND ENHANCE THE FFD PROGRA AT THIS TIME, I WOULD LIKE TO INTRODUCE CHARLES SARGENT, SERVICES DIRECTOR AT LASALLE STATIO HE WILL DISCUSS THE j EVENT AND JOINT ACTIONS TAKEN BY THE STATION AND CORPORATE OFFICE TO ENHANCE I THE FFD PROGRA l l

l l

!

i

o 3

..  ;

'o* ,

!

PROPOSED VIOLATION  !

)>

ONE APPARENT VIOLATION REGARDING A FAILURE l TO ADEQUATELY VERIFY NEGATIVE DRUG TEST j RESULTS FOR PREACCESS TESTING PRIOR TO GRANTING UNESCORTED ACCES THIS FAILURE RESULTED IN THE ISSUANCE OF A SECURITY' !

BADGE TO AN INDIVIDUAL WHO HAD TESTED POSITIVE DURING PREACCESS TESTIN THIS- !

INDIVIDUAL ACCESSED THE PLANTS PROTECTED i, . AND VITAL AREA )

.

I

,

?

l

,

i i

t

!

l l

!

I

,

w -

_ _ _

.

I

-

i BADGING OVERVIEW j

!

TO UNDERSTAND HOW THE EVENT OCCURRED  :

.

AND ITS RELATION TO THE FFD PROGRAM, j THE FFD PORTION OF.THE BADGING  !

PROCESS IS SUMMARIZED BELOW: -

i

• PREACCESS TESTING CONDUCTED ON-SIT !

• ON-SITE TEST RESULTS ARE FORWARDED TO ,

CORPORATE FF THE-DATE OF THE' NEGATIVE TEST RESULT IS ENTERED BY FFD INTO THE INFORMATION-  !

MANAGEMENT SYSTEM (IMS) COMPUTE l

- :

• IF A PRESUMPTIVE POSITIVE TEST RESULT IS OBTAINED ON-SITE, THE SPECIMEN IS FORWARDED TO l A LABORATORY FOR FURTHER ANALYSI l

• THE SITE CHECKS IMS FOR THE DATE OF THE NEGATIVE TES THIS DATE IS ENTERED ON A '

BADGING FORM ALONG WITH OTHER CRITICAL BADGING 1 INFORMATION SUCH AS FINGERPRINTING AND l BACKGROUND SCREENIN !

!

S S D T A R E

WHEN THE REQUIRED INFORMATION IS VERIFIED THE SECURITY ADMINISTRATOR OR DESIGNEE AUTHORIZES l THE' SECURITY BADGE TO BE ISSUE * THIS IS THE FIRST OCCURRENCE OF ITS KIND IN ,

OVER 5600 PREACCESS TEST !

!

I i

!

l

!

!

i

'

!

,

- - - - --,-.----0

,

'

,.

CHRONOLOGY l

• ON OCTOBER 15, 1993 A CONTRACTOR PROVIDED !

A PRESUMPTIVE POSITIVE PREACCESS TES l

-

PER PROCEDURE, THE SPECIMEN WAS SENT TO A !

LABORATORY FOR CONFIRMATORY TESTIN * THE IN-PROCESSING CLERK NEW TO THE JOB AND INADEQUATELY TRAINED, DOCUMENTED "FFD .

TESTING" DATE OF 10-15-9 THIS DATE WAS :

BASED ON PERSONAL KNOWLEDGE OF WHEN THE TEST WAS PERFORMED, INSTEAD OF THE DATE OF '

NEGATIVE TEST RESULT * ON OCTOBER 18, 1993, THE ASSISTANT STATION SECURITY ADMINISTRATOR DID NOT PROPERLY VERIFY THE DATE OF THE NEGATIVE TEST RESUL HE AUTHORIZED UNESCORTED ACCESS '

FOR THE CONTRACTO !

• ON OCTOBER 19, 20 AND 21, 1993, THE l CONTRACTOR ACCESSED THE SITE PROTECTED AREA HE ALSO ACCESSED A VITAL AREA FOR 52 MINUTES ON THE 19t * ON OCTOBER 21, 1993, CORPORATE FFD NOTIFIED THE ASSISTANT STATION SECURITY ADMINISTRATOR OF THE CONTRACTOR'S POSITIVE :

TEST RESULT * THE CONTRACTOR WAS PROMPTLY LOCATED AND ESCORTED OFF-SITE AND DENIED ACCES !

• ON OCTOBER 22, 1993, LASALLE NOTIFIED i REGION III AND NRR OF THE EVEN ,

- -

.

l l

/*

INITIAL RESPONSE !

t l

• AN INVESTIGATION INTO THE CONTRACTOR'S {

WHEREABOUTS DURING THE TIME HE HAD l UNESCORTED ACCESS TO THE PLANT WAS l PERFORME !

!

O DURING THE PERIOD FROM OCTOBER 19 To !

21, 1993, THE CONTRACTOR SPENT THE :

MAJORITY OF HIS TIME IN  !

ADMINISTRATIVE TYPE MEETINGS OR IN .

THE UNIT 2 HEATER BAY AREA OF THE f PLANT, ALL.NON-VITAL AREA i

!

o ON OCTOBER 19, 1993, THE CONTRACTOR SPENT 52 MINUTES IN THE UNIT 1 REACTOR BUILDING (PASSING THROUGH),

THE UNIT 2 REACTOR BUILDING AND THE OFF GAS BUILDING, ALL VITAL AREA O THE CONTRACTOR WA.S ACCOMPANIED BY A !

CO-WORKER AT ALL TIMES WHILE IN THE I VITAL ARE !

.

"

• INTERVIEWS WERE CONDUCTED WITH THE

'

CONTRACTOR'S FOREMAN AND A CO-WORKE l

THESE INDIVIDUALS DID NOT OBSERVE ANY !

ABERRANT BEHAVIO * A REVIEW OF THE CONTRACTOR'S WORK HISTORY FROM OCTOBER 19 TO 21, 1993, ;

'

SHOWED THAT HE DID NO SAFETY-RELATED WOR THE JOB DUTIES INVOLVED '

INSULATING SUPPORT ACTIVITIES WHICH I l INCLUDED MATERIAL STAGING AND CLEANU j l

,

-

< ,

. l i

l ;

!

-

ROOT CAUSES  !

ROOT CAUSE OF THE EVENT WAS PERSONNEL :

ERRO ,

CONTRIBUTING CAUSE TO THE FAILURE WAS 1

INADEQUATE TRAINING OF THE INPROCESSING

'

CLER i

,

!

.

4 ,

.

,

!

!

i

!

,

.-.

i

1 i

.

!

I r

t

.?

a ,

.

I

?

i i

I r

i i

!

- .. - - .

. - . -- . _ .

.. ,

i I

<-

j CORRECTIVE ACTIONS  !

i

APPROPRIATE DISCIPLINARY ACTION WAS TAKE *

AN INDIVI. DUAL WITH PREVIOUS EXPERIENCE IN THE FFD AREA HAS BEEN ASSIGNED i RESPONSIBILITY FOR ADMINISTERING THE FFD l PROGRAM AND TRAINING THE NEW ASSISTANT f

STATION SECURITY ADMINISTRATO :

THE IN-PROCESSING CLERK WILL NO LONGER l ENTER ANY DATA IN THE SECURITY BADGE i U

AUTHORIZATION SECTION OF THE SECURITY l

CHECK-IN FOR l

!

- .

THE SECURITY SECTION OF THE BADGING FORM -

WILL BE ENTERED BY THE CECO SECURITY' STAFF l

'

AND INDEPENDENTLY VERIFIED BY THE SECURITY l FORCE SUPERVISOR PRIOR TO FABRICATION OF l THE BADG j

>  ;

• ON OCTOBER 28, ALL OTHER CECO STATION ,

SECURITY ADMINISTRATORS WERE PROVIDED A i

'

DETAILED DESCRIPTION OF THE EVENT INCLUDING THE CAUSE AND CORRECTIVE ACTION *

A LESSONS LEARNED NOTIFICATION WAS SENT TO THE OTHER FIVE STATION SUPPORT SERVICES DIRECTORS AND SECURITY ADMINISTRATOR *

CORPORATE SECURITY HAS REQUESTED EACH OF i THE OTHER FL:VE NUCLEAR STATION SUPPORT l SERVICES DIRECTORS TO CONDUCT AN l

'

ASSESSMENT OF THE STATION'S BADGING PROCESS RELATIVE TO CAUSAL FACTORS

'

IDENTIFIED IN THE LASALLE EVEN _ __

..

,

J*

i LASALLE FFD PROGRAM ENHANCEMENTS i

• PRIOR TO THIS EVENT, THE STATION IDENTIFIED WEAKNESSES IN THE FFD PROGRAM AND WAS IMPLEMENTING REVISIONS TO THE PROGRAM TO ELIMINATE THESE WEAKNESSE *

THE SERVICES DIRECTOR REQUESTED CORPORATE FFD PERFORM AN INDEPENDENT ASSESSMENT OF LASALLE'S FFD PROGRA THE ASSESSMENT BEGAN APPROXIMATELY OCTOBER 11, 199 O SERVICES DIRECTOR INFORIED RESIDENT INSPECTOR OF FFD PROGRAM WEAKNESSES AND

'

THE INTENT TO REQUEST A CORPORATE ASSESSMENT OF THE PROGRA O CORPORATE FFD IDENTIFIED STATION WEAKNESSES AND ISSUED A REPORT OF THEIR ;

FINDINGS ON NOVEMBER 1, 1993.

,

O THE REPORT WAS SHARED WITH THE RESIDENT INSPECTOR AND REGION II l O ALL RECOMIENDATIONS OF THE FFD ASSESSIENT HAVE BEEN IMPLEMENTE l l

I i

i

.

- . . - . . -- . - - - _ . . . _. . . . . . -. .

..  !

!

,. j i

LASALLE FFD PROGRAM l t

INDEPENDENT ASSESSMENT  ;

!

I r

OFF-SITE QUALITY VERIFICATION IS NOW f'

PERFORMING AN ANNUAL COMPARATIVE AUDIT '

'

OF THE FFD PROGRAM AT LASALLE AND WILL' '

ASSESS'THE STATION IMPLEMENTATION OF THE i i

CORPORATE RECOMMENDATION !

!;

h l

l

>

,

'

!

,

!

l I -l

i l

l

!

i

!

i

!

1  !

.

I  !

!

I h

l l

l

,

$

!

'

..

..

l

- c ,

l EVENT SIGNIFICANCE

!

THE SAFETY SIGNIFICANCE OF THIS '

EVENT WAS MINIMAL: 1

THE CONTRACTOR PERFORIED NO SAFETY-RELATED WOR *

HE WAS ACCOMPANIED AT ALL TIIES WHILE l IN THE VITAL ARE *

HE WAS ACCOMPANIED MOST OF THE TIME WHILE IN THE PROTECTED ARE i l

NO PRIOR POSITIVE DRUG TESTS OR l DEROGATORY INFORMATION WERE IDENTIFIED l IN THE SUITABLE INQU'IRIE l THIS WAS AN ISOLATED EVENT. IT IS THE FIRST OCCURRENCE OF ITS KIND IN OVER 5600 PREACCESS TEST THE EVENT IS IMPORTANT TO THE STATION FFD PROGRAM BECAUSE IT:

REINFORCED THE STATIONS DETERMINATION THAT THE FFD PROGRAM HAD WEAKNESSES-t WHICH NEEDED TO BE ADDRESSE *

REINFORCED THE NEED TO CONTINUALLY SCRUTINIZE THE FFD PROGRAM TO MAINTAIN A HIGH LEVEL OF EFFECTIVENESS (SALP 1).

_

-

,.

>*

CATEGORY OF VIOLATION CECO RECOGNIZES THE INTERRELATIONSHIP BETWEEN ACCESS AUTHORIZATION AND FITNESS FOR DUTY RULE HOWEVER, WE BELIEVE THE LASALLE EVENT, WHICH RESULTED IN BADGING A CONTRACTOR WITHOUT A NEGATIVE TEST, IS CLEARLY A FITNESS FOR DUTY ISSUE FOR THE FOLLOWING REASONS:

10 CFR 26 -

FITNESS FOR DUTY PROGRAMS IS A SEPARATE REGULATION WITH THE FOLLOWING GENERAL PERFORMANCE OBJECTIVES:

• PROVIDE REASONABLE ASSURANCE ... PERSONNEL

... ARE NOT UNDER THE INFLUENCE OF ANY SUBSTANCE ... WHICH AFFECTS THEIR ABILITY ,

TO SAFELY AND COMPETENTLY PERFORM DUTIE * PROVIDE ... FOR THE EARLY DETECTION OF PERSONS WHO ARE NOT FIT TO PERFORM ACTIVITIES WITHIN THE SCOPE OF 10CFR 2 * ... ACHIEVING A DRUG FREE WORKPLACE ...

UNDER 10CFR 73.56, ACCESS DETERMINATION CONCERNS ARE:

• BACKGROUND INVESTIGATION

• PSYCHOLOGICAL ASSESSMENT  !

• BEHAVIORAL OBSERVATION ACCESS AUTHORIZATION DECISIONS ARE BASED UPON EVALUATION OF INFORMATION IN THESE AREA i l

!

V I

.

..

.

,.

CATEGORY OF VIOLATION (cont)

"AIOR TO THE ACCESS AUTHORIZATION RULE, THIS EVENT WOULD HAVE BEEN A VIOLATION UNDER 10CFR '

PART 2, SUPPLEMENT VI AFTER THE NRC ADOPTED THE ACCESS AUTHORIZATION RULE, THE FITNESS FOR DUTY VIOLATIONS REMAINED UNCHANGED WHILE ACCESS AUTHORIZATION VIOLATIONS WERE ADDED SEPARATELY UNDER SUPPLEMENT III -

SAFEGUARD ACCESS AUTHORIZATION AS CONTAINED IN 10CFR 73 IS PART OF THE REGULATION FOR THE PHYSICAL PROTECTION OF PLANT FITNESS FOR DUTY, UNDER 10CFR 26, IS NO THERE WAS NO INDICATION OF INTENT TO KEPLACE FFD VIOLATIONS WITH ACCESS AUTHORIZATION VIOLATION IN FACT, IN ITS STATEMENT OF CONSIDERATIONS TO i 73.56, THE COMMISSION RECOGNIZED THE TEST FOR II LEGAL DRUG USE AS AN ELEMENT OF FITNESS FOR DUTY RULEMAKING, NOT THE ACCESS AUTHORIZATION PROGRA SUPPLEMENT III C.7 VIOLATION IS FOR FAILURE TO

'

PERFORM AN EVALUATION OF INFORMATION RELEVANT TO ACCESS DETERMINATION AS USED IN 10CFR 73.5 THE LASALLE EVENT IS A FAILURE TO CONDUCT A PRE-ACCESS DRUG AND ALCOHOL TEST WITHIN 60 DAYS PRIOR TO THE INITIAL GRANTING OF UNESCORTED ACCESS TO THE PROTECTED AREA OF THE STATION. THIS IS A FITNESS FOR DUTY VIOLATION UNDER 10CFR 26.24(1).

l l

_ _ _ _ _ _ _ _ _ _ _ _ -