Information Notice 2001-07, Unescorted Access Granted on the Basis of Incomplete And/Or Inaccurate Information
| ML011070235 | |
| Person / Time | |
|---|---|
| Issue date: | 05/11/2001 |
| From: | Marsh L Operational Experience and Non-Power Reactors Branch |
| To: | |
| References | |
| IN-01-007 | |
| Download: ML011070235 (4) | |
UNITED STATES
NUCLEAR REGULATORY COMMISSION
OFFICE OF NUCLEAR REACTOR REGULATION
WASHINGTON, D.C. 20555-0001 May 11, 2001 NRC INFORMATION NOTICE 2001-07: UNESCORTED ACCESS GRANTED ON THE
BASIS OF INCOMPLETE AND/OR INACCURATE
INFORMATION
Addressees
All holders of nuclear reactor operating licenses who are subject to Section 73.56 of Title 10, of
the Code of Federal Regulations (10 CFR 73.56), Personnel Access Authorization
Requirements for Nuclear Power Plants.
Purpose
The U.S. Nuclear Regulatory Commission (NRC) is issuing this information notice to inform
addressees of several recent cases where contractors failed to follow NRC requirements for
conducting the background checks used by NRC licensees to authorize unescorted access. In
some cases, licensees granted unescorted access to employees on the basis of nonconforming
background checks by contractors. Recipients are expected to review the information in this
notice for applicability to their facilities and consider actions, as appropriate. The suggestions in
this information notice are not NRC requirements; therefore, no specific action or written
response to this notice is required.
Background
Operators of nuclear power plants are required by 10 CFR 73.56 to establish and implement a
program, as part of their physical security plan, for granting unescorted access to protected and
vital areas of nuclear power plants. The program must include a background investigation to
identify past actions which are indicative of a persons future reliability. NRC Regulatory Guide
5.66, Access Authorization Program for Nuclear Power Plants, and Section 4.0 of NUMARC
89-01, Industry Guidelines for Nuclear Power Plant Access Authorization Programs, provide
additional guidance to licensees on granting unescorted access.
Description of Circumstances
On December 3, 1999, a licensee notified NRC Region II that an investigator employed by a
background investigation contractor had apparently falsified numerous background
investigation records submitted to six utilities. The investigator recorded that prior employment
had been verified for applicants when, in fact, the employment had not been verified. In a
second case, on December 6, 1999, a licensee notified NRC Region IV that an investigator
employed by a second background investigation contractor had falsified developed references
for background checks. NRC Region II was later notified of the same case by one of its
licensees. This case involved over 200 records, five utilities, and six plants. In a third case, an
NRC Region IV Safeguards Inspector found during an inspection that an investigator employed
by a third background investigation contractor had falsified records submitted to the licensee.
The contractor stated that prior employment had been verified by contacting the applicants
previous employer when, in fact, only personal references had been contacted. In a fourth
case, a licensee informed NRC Region II on September 11, 2000, that access may have been
granted inappropriately to five employees as a consequence of incomplete information in
developed references provided by the contractor who performed the background
investigations.
Discussion
Several licensees granted unescorted access to several individuals on the basis of
nonconforming background investigations. When the problems were discovered, the licensees
immediately withdrew the unescorted access authorizations pending reviews of the records.
The reviews found no information that would have precluded granting unescorted access to
these individuals.
Workers at other nuclear power plants may also have been granted unescorted access on the
basis of incomplete or false information provided in background investigations by contractors.
Licensees may have received the background information directly from their background
investigation contractors or indirectly from other licensees. Regardless of the source, licensees have final responsibility for the completeness and accuracy of information used in
granting, denying, or revoking unescorted access to their sites for their employees or for
employees of contractors, vendors, or other organizations. Incomplete and inaccurate
personnel qualification data can constitute noncompliance with 10 CFR 50.9, Completeness
and accuracy of information.
Since 1996, many licensees have elected to use the Personnel Access Data System (PADS)
to assist in deciding whether to grant unescorted access to an individual. Licensees may need
to check their plant records to determine whether proper background investigations were
completed whether PADS was or was not used.
This notice requires no specific action or written response. If you have any questions about
the information in this notice, please contact one of the technical contacts listed below.
/RA/
Ledyard B. Marsh, Chief
Events Assessment, Generic Communications
and Non-Power Reactors Branch
Division of Regulatory Improvement Programs
Office of Nuclear Reactor Regulation
Technical contacts:
Brad Baxter, NRR Charles D. Petrone, NRR Chuck Hendren, NRR
301-415-1088 301-415-1027 301-415-3209 E-mail: bxb@nrc.gov E-mail: cdp@nrc.gov E-mail: chh@nrc.gov
Attachment: List of Recently Issued NRC Information Notices previous employer when, in fact, only personal references had been contacted. In a fourth
case, a licensee informed NRC Region II on September 11, 2000, that access may have been
granted inappropriately to five employees as a consequence of incomplete information in
developed references provided by the contractor who performed the background
investigations.
Discussion
Several licensees granted unescorted access to several individuals on the basis of
nonconforming background investigations. When the problems were discovered, the licensees
immediately withdrew the unescorted access authorizations pending reviews of the records.
The reviews found no information that would have precluded granting unescorted access to
these individuals.
Workers at other nuclear power plants may also have been granted unescorted access on the
basis of incomplete or false information provided in background investigations by contractors.
Licensees may have received the background information directly from their background
investigation contractors or indirectly from other licensees. Regardless of the source, licensees have final responsibility for the completeness and accuracy of information used in
granting, denying, or revoking unescorted access to their sites for their employees or for
employees of contractors, vendors, or other organizations. Incomplete and inaccurate
personnel qualification data can constitute noncompliance with 10 CFR 50.9, Completeness
and accuracy of information.
Since 1996, many licensees have elected to use the Personnel Access Data System (PADS)
to assist in deciding whether to grant unescorted access to an individual. Licensees may need
to check their plant records to determine whether proper background investigations were
completed whether PADS was or was not used.
This notice requires no specific action or written response. If you have any questions about
the information in this notice, please contact one of the technical contacts listed below.
/RA/
Ledyard B. Marsh, Chief
Events Assessment, Generic Communications
and Non-Power Reactors Branch
Division of Regulatory Improvement Programs
Office of Nuclear Reactor Regulation
Technical contacts:
Brad Baxter, NRR Charles D. Petrone, NRR Chuck Hendren, NRR
301-415-1088 301-415-1027 301-415-3209 E-mail: bxb@nrc.gov E-mail: cdp@nrc.gov E-mail: chh@nrc.gov
Distribution: IN Reading File PUBLIC
Attachment: List of Recently Issued NRC Information Notices
Accession No.: ML011070235 Template No.:NRR-052
- See previous concurrences
OFFICE IQPB:DIPM N SC:IQPB:DIPM IOLB:DIPM SC:IOLB:DIPM OAC:NRR ADIP:NRR
NAME CHendren* DDorman* BBaxter* VOrdaz* GCwalina* TReis*
DATE 03/06/01 03/20/01 03/06/01 03/05/01 03/22/01 03/21/01 Tech Ed BC:IOLB:DIPM BC:IQPB:DIPM REXB:DRIP D:DIPM REXB C:REXB:DRIP
PKleene* GTracy* TQuay* CPetrone* BBoger* JTappert* LMarsh
04/10/01 03/19/01 03/27/01 04/25/01 05/02/01 05/08/01 05/11/01 OFFICIAL RECORD COPY
Attachment LIST OF RECENTLY ISSUED
NRC INFORMATION NOTICES
_____________________________________________________________________________________
Information Date of
Notice No. Subject Issuance Issued to
______________________________________________________________________________________
2001-06 Centrifugal Charging Pump 05/11/01 All holders of operating licenses
Thrust Bearing Damage not for nuclear power reactors, Detected Due to Inadequate except those who have
Assessment of Oil Analysis permanently ceased operations
Results and Selection of Pump and have certified that fuel has
Surveillance Points been permanently removed from
the reactor
2001-05 Through-Wall Circumferential 04/30/01 All holders of operating licenses
Cracking of Reactor Pressure for pressurized water nuclear
Vessel Head Control Rod Drive power reactors except those who
Mechanism Penetration have ceased operations and have
Nozzles at Oconee Nuclear certified that fuel has been
Station, Unit 3 permanently removed from the
reactor vessel
2001-04 Neglected Fire Extinguisher 04/11/01 All holders of licenses for nuclear
Maintenance Causes Fatality power, research, and test
reactors and fuel cycle facilities
2001-03 Incident Reporting 04/06/01 All industrial radiography
Requirements for Radiography licensees
Licensees
2001-02 Summary of Fitness-for-Duty 03/28/01 All holders of operating licenses
Program Performance Reports for nuclear power reactors, and
for Calendar Years 1998 and licensees authorized to possess
1999 or use formula quantities of
strategic special nuclear material
(SSNM) or to transport formula
quantities of SSNM
2001-01 The Importance of Accurate 03/26/01 All material licensees
Inventory Controls to Prevent
the Unauthorized Possession
of Radioactive Material
______________________________________________________________________________________
OL = Operating License
CP = Construction Permit