ML031260429

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LER 03-S01-00 for McGuire Nuclear Station Unit 1 Re Security Access Revoked for Falsification of Criminal Record
ML031260429
Person / Time
Site: Mcguire, McGuire  Duke Energy icon.png
Issue date: 04/24/2003
From: Jamil D
Duke Power Co
To:
Document Control Desk, Office of Nuclear Reactor Regulation
References
LER 03-S01-00
Download: ML031260429 (10)
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Text

V Duke Power Duke McGuire Nuclear Station EPower. 12700 Hagers Ferry Road AD Gk, E0y Qp.,

Huntersville, NC 28078-9340 (704) 875-4000 D. M. Jarnil Vice President, McGuire (704) 875-5333 OFFICE Nuclear Generation Department (704) 875-4809 FAX April 24, 2003 U.S. Nuclear Regulatory Commission Document Control Desk Washington, D.C. 20555

Subject:

McGuire Nuclear Station Docket Nos. 50-369,50-370 Special Report 369/2003-SO1, Revision 0 Problem Investigation Process No.: M-03-1376 Gentlemen:

Pursuant to 10 CFR 73.71 Sections (b) (1) and Appendix G (I) (b), attached is a Security Special Report 369/2003-S01, concerning the falsification of pre-employment screening records by a contract employee.

This event is considered to be of no significance with respect to the health and safety of the public.

Very truly yours, j A"aq/

D. M. Jamil Attachment

[: 7

Document Control Desk Date: April 24, 2003 Page 2 cc: L. A. Reyes, Regional Administrator U. S. Nuclear Regulatory Commission, Region II 61 Forsyth Street, S. W., Suite 23T85 Atlanta, GA 30303 R. E. Martin Project Manager U.S. Nuclear Regulatory Commission Office of Nuclear Reactor Regulation Washington, D.C. 20555 S. M. Shaeffer NRC Senior Resident Inspector McGuire Nuclear Station INPO (via E-mail)

NRC FORM 366 U.S. NUCLEAR REGULATORY APPROVED BY OMB NO. 3150-0104 EXPIRES 7-31-2004 (72001) COMMISSION Estimated burden per response to comply with this mandatory information collection request 50 hours5.787037e-4 days <br />0.0139 hours <br />8.267196e-5 weeks <br />1.9025e-5 months <br /> Reported lessons learned are incorporated into the licensing process and fed back to industry Send comments regarding burden estimate to the Hecords Manaegemnt Branch (T-6 E6), U S Nuclear Regulatory Commission, Washington, DC LICENSEEEVENTREPORT(LER) Manam20555or by intemhet e-mnail to blsl@nrc gov. and to the Desk Officer, Office of Information and Regulatory Affairs. NEOB-10202 (3150-0104), Office of Management and egured umbrofBudget.

(Seerevrse or Washington. DC 20503 if a means used to impose information collection does digits/characters tor each block) not display a currently valid OMB control numberth.e NRC may not conduct or sponsor, Cnria r~renfl I not root iroti to r--noori to thp oPfrro-tloo -ni-ort-n

1. FACILITY NAME 2. DOCKET NUMBER 3 . PAGE McGuire Nuclear Station, Unit 1 050- 0369 1 OF 8
4. TITLE Security Access Revoked For Falsification of Criminal Record
5. EVENT DATE 6. LER NUMBER 7. REPORT DATE 8. OTHER FACILITIES INVOLVED I _ FACILITY NAME DOCKET NUMBER MO DAY YEAR YEAR NUMBER NO MO DAY YEAR Unit 2 0370 FACILITY NAME DOCKET NUMBER 03 25 2003 2003 - S01 - 0 04 24 2003 _
9. OPERATING MODE 1

_ 20.2201

11. THIS REPORT IS SUBMITTED PURSUANT TO THE REOUIREMENTS OF 10 CFR - (Check all that apply)

(b) _ 20.2203(a)(3)(ii) 50 73(a)(2)(ii)(B) 50 73(a)(2)(ix)(A)

10. POWER 20.2201 (d) 20.2203(a)(4) - 50 73(a)(2)(iii) 50 73(a)(2)(x)

LEVEL 100 _ 20 2203(a)(1) _ 50 36(c)(1)(i)(A) _ 50.73(a)(2)(iv)(A) _ 73.71 (a)(4) 20 2203(a)(2)(i) _ 50 36(c)(1)(u)(A) _ 50.73(a)(2)(v)(A) _ 73.71 (a)(5)

- ^_ 20 2203(a)(2)(i) 50 36(c)(2) _ 50 73(a)(2)(v)(B) X OTHER

  • _ 20 2203(a)(2)(m 50 46(a)(3)(i) 50 73(a)(2)(v)(C) NRCiFyrm As t below or in 20.2203(a)(2)(v) 50.73(a)(2)(i)(A) - 50 73(a)(2)(v)(D) 20.2203(a)(2)(v) _ 50.73(a)(2)(i)(B) _ 50 73(a)(2)(vii)

_ 20 2203(a)(2)(vi) 50.73(a)(2)(i)(C) _ 50.73 a)2 viii)i

__e_____________ 20 2203(a)(3)(i) 50 73(a)(2)(i)(A)

_ 50.73(a)(2)(viu)(B) ____*_______._-._._________,,

12. LICENSEE CONTACT FOR THIS LER NAME TELEPHONE NUMBER (Include Area Code)

C.J. Thomas, Regulatory Compliance Manager (704) 875-4535

13. COMPLETE ONE LINE FOR EACH COMPONENT FAILURE DESCRIBED IN THIS REPORT CAUSE SYSTEM III MANU_ REPORTABLE II CAUSE SYSTEM COMPONENT MANU-FA CTURER REPORTABLE TO EPIX
14. SUPPLEMENTAL REPORT EXPECTED 15. EXPECTED MONTH DAY YEAR S (SUBMISSION YES (If yes, comp lete EXPECTED SUBMISSION DATE). X NO ll DATE_____
16. ABSTRACT (Limit to 1400 spaces, i.e. approximately 15 single-spaced typewntten lines)

On 3/25/2003 at approximately 1200 hours0.0139 days <br />0.333 hours <br />0.00198 weeks <br />4.566e-4 months <br />, with Units 1 and 2 (at 100 percent power), McGuire Security was notified by Duke Power Company's Access Services Group of a verified falsification of screening information by a contract employee which was discovered after protected area access had occurred.

The contract employee had unescorted access at McGuire (after the undisclosed arrest) from 09/12/2002 to 10/01/2002 in accordance with 10 CFR 73.56. On 3/13/2003, Duke discovered the contract employee (who was currently working at Catawba Nuclear Station) had been arrested on 8/8/2002 and failed to disclose this information on his pre-employment screening record. The contract employee was escorted from Catawba's protected area and his unescorted access was terminated.

A detailed investigation ended on 3/25/2003 and concluded that the contract employee had intentionally failed to disclose an arrest.

Had this information been available during the initial screening process, unescorted access would have been denied. The intentional falsification does not appear to be due to any malicious intent with respect to the health and safety of the public. This event is considered to have no significance with respect to the health and safety of the public.

NRC FORM 366 (7-2001)

NRC FORM 366AU.S. NUCLEAR REGULATORY COMMISSION (1-2001)

LICENSEE EVENT REPORT (LER)

DOCKET (2)

FACILITY NAME (1) NUMBER (2) LER NUMBER (6) PAGE (3) 1 SEQUENTIAL I REVISION NUMBER YEAR NUMBER McGuire Nuclear Station, Unit 1 05000369 2003 - S01 - 0 2 OF 8 NARRATIVE (Ifmore space is required, use additional copies of NRC Form 366A) (17)

EVALUATION:

The report is Submitted pursuant to 10 CFR 73.71 Sections (b)(1) and Appendix G(I) (b).

Background

Personnel access authorization activities for the McGuire Nuclear Station are performed by Duke Power Access Services located in Charlotte, North Carolina. Duke's Nuclear Access Authorization Program consists of the four following elements: 1) background investigation,

2) psychological evaluation, 3) fitness for duty or "FFD", and 4) continual behavior observation. These four program elements are the bases for recommendation of "Unescorted Access Authorization" or "UAA" to licensed nuclear power facilities. Duke utilizes contractors or vendors for supplemental workforce or specialized skills. Some of the vendor/contractor companies have established an acceptable UAA program for access to Duke facilities. Duke may accept the UAA program or any part thereof conducted by a contractor or vendor that makes their records available for auditing by Duke; however, Duke retains the responsibility for assuring that individuals granted UAA to the nuclear facility meet the regulatory requirements.

Most licensed nuclear power facilities utilize a common, industry sponsored, "Personnel Access Data System" or "PADS" to maintain information on contractors or vendors that have accessed other nuclear facilities with "Unescorted Access" or "UA."

As part of the background investigation, a "Background Investigation Questionnaire" or "BIQ" must be completed by the individual applying for an unescorted access authorization. The Background Investigation Questionnaire requires the individual to list any criminal arrests or convictions. Once UAA has been granted, it is the individual's responsibility to report all arrests to their management. All individuals granted UAA are made aware of this responsibility through the "Plant Access Training" program. In addition, the individual is fingerprinted and the fingerprints are submitted to the Federal Bureau of Investigation. Under the access authorization rules at the time of this event, a temporary unescorted access authorization could be granted to individuals on an interim basis, not exceeding a period of 180 continuous days pending the completion of the five year background

NRC FORM 366AU.S. NUCLEAR REGULATORY COMMISSION (1-2001)

LICENSEE EVENT REPORT (LER)

DOCKET (2)

FACILITY NAME (1) - NUMBER (2) LER NUMBER (6) PAGE (3) 1 SEQUENTIAL IREVISION YEAR NUMBER NUMBER McGuire Nuclear Station, Unit 1 05000369 2003 - S01 - 0 3 OF 8 NARRATIVE (If more space is required, use additional copies of NRC Fonn 366A) (17) investigation. This 180 day temporary unescorted access authorization could be granted only once per individual based on satisfactory completion of the following conditions:

1. Identity verification through one photo identification.
2. Conduct a credit check.
3. Recommendation of one developed character reference who has had frequent and direct association with the applicant.
4. Conduct an employment check and suitable inquiry for the past 365 days.
5. Passing a psychological evaluation within the past 365 days.
6. Evidence that a request for fingerprint history has been submitted.

This temporary status remains in effect until the five year background investigation and fingerprint results have been processed and reviewed as favorable.

Access Services reviews criminal history information upon receipt to determine any inconsistencies with the individual's self disclosure information provided via the BIQ. Access Services will then make a determination whether or not any arrests/convictions adversely affect the reliability or trustworthiness of the individual. For circumstances in which an individual's trustworthiness and reliability are questionable, unescorted access authorization is denied or revoked.

Many contractors work at nuclear facilities all over the country and in many cases for several different approved vendor companies. If the individual contract worker has been granted UAA at another licensee, they may work at a Duke facility under the following circumstances:

1. It is within 30 days since their last UA, a BIQ completed, and they meet the FFD requirements, and other requirements as determined by the Access Services Group.

2.It has been greater than 30 days but less than 365 days since their last UA, a "Suitable Inquiry" has been performed, a BIQ completed, and they meet the FFD requirements, and other requirements as determined by the Access Services Group.

NRC FORM 366AU.S. NUCLEAR REGULATORY COMMISSION (1-2001)

LICENSEE EVENT REPORT (LER)

DOCKET (2)

FACILITY NAME (1) . . I NUMBER (2) LER NUMBER (6) PAGE (3) 1 SEQUENTIAL NUMBER IREVISION NUMBER YEAR McGuire Nuclear Station, Unit 1 05000369 2003 - S01 - 0 4 OF 8 NARRATIVE (if more space is required, use additional copies of NRC Form 366A) (17)

3. It has been greater than 365 days since their last UA, a "Suitable Inquiry" has been performed, a BIQ completed, they meet the FFD requirements, and other requirements as determined by the Access Services Group.

Description of Event The following is a chronology of the security event reported by McGuire Nuclear Station to the NRC Operations Center via the Emergency Notification System at 1241 hours0.0144 days <br />0.345 hours <br />0.00205 weeks <br />4.722005e-4 months <br /> on 3/25/2003 (EN#39697).

09/12/2 001 Contractor was granted temporary UAA to Catawba Nuclear Station.

09/13/2001 Contractor was issued a security badge with Catawba Nuclear Station protected area unescorted access.

09/15/2001 Contractor was granted Catawba Nuclear Station protected and vital area unescorted access based on job requirement.

10/18/2001 Contractor completed job and left Catawba Nuclear Station; badge terminated favorably.

12/17/2001 Contractor granted full UAA based on completion of full background investigation.

01/18/2002 Contractor began work with unescorted access at another non-Duke nuclear facility.

01/23 /2002 Contractor left non-Duke nuclear facility; badge terminated favorably.

02/07/2002 Contractor was issued a security badge with McGuire Nuclear Station protected and vital area unescorted access based on job requirement.

03/11/2002 Contractor completed job and left McGuire Nuclear Station; badge terminated favorably.

NRC FORM 366AU.S. NUCLEAR REGULATORY COMMISSION (1-2001)

LICENSEE EVENT REPORT (LER)

DOCKET (2)

FACILITY NAME (1) NUMBER (2) LER NUMBER (6) PAGE (3) 1 SEQUENTIAL IREVISION YEAR NUMBER NUMBER McGuire Nuclear Station, Unit 1 05000369 2003 - S01 - 0 5 OF 8 NARRATIVE (Ifmore space is required, use additional copies of NRC Form 366A) (17) 03/27/2002 Contractor was issued a security badge with Oconee Nuclear Station protected and vital area unescorted access based on job requirement.

04/12/2 002 Contractor completed job and left Oconee Nuclear Station; badge terminated favorably.

04/24/2002 Contractor was issued a security badge with Catawba Nuclear Station protected and vital area unescorted access based on job requirement.

05 /11/2002 Contractor completed job and left Catawba Nuclear Station; badge terminated favorably.

08/08/2002 Contractor was arrested in South Carolina with trial pending.

08/27/2002 Contractor completes required forms in preparation for work at McGuire Nuclear Station which included BIQ.

Contractor indicates no arrests on BIQ form (first falsification).

09/12/2 002 Contractor was issued a security badge with McGuire Nuclear Station protected and vital area unescorted access based on job requirement.

10/01/2002 Contractor completed job and left McGuire Nuclear Station; badge terminated favorably.

10/07/2002 Contractor completes required forms in preparation for work at Oconee Nuclear Station which included BIQ.

Contractor indicates no arrests on BIQ form (second falsification).

10/14/2002 Contractor was issued a security badge with Oconee Nuclear Station protected and vital area unescorted access based on job requirement.

11/01/2002 Contractor completed job and left Oconee Nuclear Station; badge terminated favorably.

NRC FORM 366AU.S. NUCLEAR REGULATORY COMMISSION (1-2001)

LICENSEE EVENT REPORT (LER)

DOCKET (2)

FACILITY NAME (1) NUMBER (2) LER NUMBER (6) PAGE (3) 1 SEQUENTIAL REVISION YEAR NUMBER I NUMBER McGuire Nuclear Station, Unit 1 05000369 2003 - S01 - 0 6 OF 8 NARRATIVE (If more space is required, use additional copies of NRC Form 366A) (17) 02/24/2003 Contractor completes required forms in preparation for work at Catawba Nuclear Station which included BIQ.

Contractor indicates no arrests on BIQ form (third falsification).

02/27/2003 Contractor was issued a security badge with Catawba Nuclear Station protected and vital area unescorted access based on job requirement.

03/13/2003 Contractor discussed appearance in court with his site contract supervisor as the reason for being late for work. Upon inquiry, the contract supervisor was told by the contractor that he was arrested on 08/08/2002. The contract employee was escorted from Catawba's protected area, his unescorted access was terminated, and PADS was updated.

Duke began a detailed investigation to determine the circumstances surrounding the arrest, and the proper course of action to ensure regulatory compliance.

03/25/2003 Duke completes detailed investigation, with the conclusion that the contractor had intentionally failed to report an arrest on the screening forms during the pre-employment screening process. McGuire reported the event to the NRC Operations Center within one hour of the conclusion that had this information been available during the initial screening process, unescorted access would have been denied.

Causal Factors The investigation of this event did not indicate any malevolent intent to harm plant equipment on the part of the contract employee. The contract employee failed to disclose all criminal offenses in order to gain unescorted access. During the time the contract employee had unescorted access, no aberrant behavior was observed.

A review of the authorization process concluded that all requirements and established processes were followed regarding the granting of temporary and full authorization of unescorted access.

NRC FORM 366AU.S. NUCLEAR REGULATORY COMMISSION (1.2001)

LICENSEE EVENT REPORT (LER)

DOCKET (2)

FACILITY NAME (1) NUMBER (2) LER NUMBER (6) PAGE (3) 1 SEQUENTIAL REVISION YEAR NUMBER NUMBER McGuire Nuclear Station, Unit 1 05000369 2003 - S01 - 0 7 OF 8 NARRATIVE (Ifmore space is required, use additional copies of NRC Form 366A) (17)

The evaluation of the facts of this event leads to the conclusion, that the cause of this event was an inappropriate action of intentional falsification of information.

The willful falsification appears to have been motivated by a desire for employment.

CORRECTIVE ACTION:

Immediate:

Individual was escorted from the protected area and his unescorted access was restricted.

Subsequent:

1. Individual's unescorted access authorization was terminated in accordance with Duke Energy's Access Authorization Program.
2. Indicated unfavorable termination on individual's record in the Personnel Access Data System with additional data added to indicate that pertinent information should be obtained from Duke Energy before processing a request for access from this individual.

Planned:

NONE There are no NRC Commitment items contained in this report.

SAFETY EVALUATION:

There was no safety significance associated with this event as the investigation of this event did not indicate any malevolent intent or action on the part of the contract employee.

ADDITIONAL INFORMATION There were no releases of radioactive materials, no personnel injuries, and no reportable equipment failures associated with this event.

NRC FORM 366AU.S. NUCLEAR REGULATORY COMMISSION (1-2001)

LICENSEE EVENT REPORT (LER)

DOCKET (2)

FACILITY NAME (1) NUMBER (2) LER NUMBER (6) PAGE (3) 1 SEQUENTIAL REVISION YEAR NUMBER I NUMBER McGuire Nuclear Station, Unit 1 05000369 2003 - S01 - 0 8 OF 8 NARRATIVE (If more space is required, use additional copies of NRC Form 366A) (17)

Special Reports 369/99-01(S), dated April 16, 1999 and 369/99-02(S),

dated December 1, 1999, reported similar events where applicants for temporary employment failed to report prior offenses.

Therefore, this is a recurring event. Since these events involve acts on the part of individual applicants and do not reflect any programmatic weaknesses, corrective actions from previous events which involved individual employee terminations, could not be expected to have prevented recurrence.

This event is not considered reportable under the Equipment Performance and Information Exchange (EPIX) program.

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