ML031320445

LER 03-S01-00 for Oconee, Units 1, 2 & 3 Re Security Access Revoked for Falsification of Criminal Record

ML031320445
Person / Time
Site:	Oconee
Issue date:	04/24/2003
From:	Rosalyn Jones Duke Power Co
To:	Document Control Desk, Office of Nuclear Reactor Regulation
References
0-03-1641 LER 03-S01-00
Download: ML031320445 (9)

Text

1~,Duke SPower. R. A. JONES Vice President A Duke Energy Company Duke Power 29672 / Oconee Nuclear Site 7800 Rochester Highway Seneca, SC 29672 864 885 3158 864 885 3564 fax April 24, 2003 U.S. Nuclear Regulatory Commission Document Control Desk Washington, D.C. 20555

Subject:

Oconee Nuclear Station Docket Nos. 50-269,-270, -287 Security Special Report 269/2003-S01, Revision 0 Problem Investigation Process No.: 0-03-1641 Gentlemen:

Pursuant to 10 CFR 73.71 Sections (b) (1) and Appendix G (I) (b), attached is a Security Special Report 269/2003-SO, 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.

Ve t ly yours, R. A. Jones Attachment W.o. c Kiet T~~-

www. duke-energy. com

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 L. N. Olshan Project Manager U.S. Nuclear Regulatory Commission Office of Nuclear Reactor Regulation Washington, D.C. 20555 M. C. Shannon NRC Senior Resident Inspector Oconee Nuclear Station INPO (via E-mail)

NRC ItORM 366 U.S. NUCLEAR REGULATORY APPROVED BY OB NO. 3150-0104 EXPIRES 7-31-2004 (7-2001) 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 led back to industry. Send comments regarding burden estimate to the Records LICENSEE EVENT REPORT (LER) Management Branch (T-6 E6), U.S. Nudear Fegulatory Commission, Washington, DC LICENSE R EVENTREPORT 20555-0001, or by Internet e-mail to bisl @nrc.gov, and to the Desk Officer, Office of (See equired revrse umber for (See reverse for required number of ofInformation and Regulatory Budget, Washington, Affairs.If NEOB-1 DC 20503. a means0202 used(3150-0104), Office of Management to impose information and collection does digits/characters tor each block) not display a currently valid OMB control number, the NRC may not conduct or sponsor,

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1. FACILITY NAME 2. DOCKET NUMBER 3. PAGE Oconee Nuclear Station, Unit 1 050- 0269 1 OF 7

4. TLE Security Access Revoked For Falsification of Criminal Record

5. EVENT DATE 6. LER NUMBER 7. REPORT DATE 8. OTHER FACILITIES INVOLVED I.SEOUENTIAL IREV FACILITY NAME DOCKET NUMBER MO DAY YEAR YEAR NUMBER NO MO DAY YEAR Unit 2 0270 FACILITY NAME DOCKET NUMBER 03 25 2003 2003 - S01 - 0 04 24 2003 Unit 3 0287

9. OPERATING _ 11. THIS REPORT IS SUBMiTED PURSUANT TOTHE REQUIREMENTS OF10CFR §: (Check all thatapply)

MODE 1 _ 20.2201 (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)(

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)(ii)(A) _ 50.73(a)(2)(v)(A) 73.71(a)(

20.2203(a)(2)(ii) _ 50.36(c)(2) _ 50.73(a)(2)(v)(B) X OTHER f_ 20.2203(a)(2)(iii) 50.46(a)(3)(ii) 50.73(a)(2)(v)(C) S cify in Abstract below or in 20.2203(a(2)(iv) 5.73(a)(2)i)(A) - Nc Form 366A 20.2203(a)(2)(iv) 50.73(a)(2)(i)(A) 50.73(a)(2)(v)(D)

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- + ^tt-,-x.i _20.2203(a)(2)(v) 50.73(a)(2)(i)(B) _ 50.73(a)(2) viii) l, E - ,,-

i-- - 20.2203(a)(3)(i) I 50.73(a)(2)(ii)(A) I 50.73(a)(2)(viii)(B)  ;- -

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

L.E. Nicholson, Regulatory Compliance I (864) 885-3292

13. COMPLETE ONE LINE FOR EACH COMPONENT FAILURE DESCRIBED IN THIS REPORT 1 MANU- REPORTABLE . MANU- REPORTABLE CAUSE SYSTEM COMPONENT FACTURER TO EPIX . CAUSE SYSTEM COMPONENT FACTURER l TO EPIX

14. SUPPLEMENTAL REPORT EXPECTED 15. EXPECTED I~~~~~ MONTH I

DAY YEAR l_

SUBMISSION YES (If es, complete EXPECTED SUBMISSION DATE). X INO DATE l_l_l _ l

16. ABSTRACT (Limit to 1400 spaces, i.e., approximately 15 single-spaced typewritten 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, 2 (at 100%) and 3at 99%) power, Oconee 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 Oconee (after the undisclosed arrest) from 10/14/2002 to 11/01/2002 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 Ft5RM 366A U.S. NUCLEAR REGULATORY COMMISSION (1-2001)

LICENSEE EVENT REPORT (LER)

DOCKET (2)

FACILITY NAME (1) NUMBER (2) LER NUMBER (6) PAGE (3)

STEUENTIAL REVISION YEAR I NUMBER I NUMBER Oconee Nuclear Station, Unit 1 0500269 2003 S01 0 2 OF 7 NARRATIVE (If more 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 Oconee 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 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 investigation.

This 180 day temporary unescorted access authorization could be granted NRC FORM 366A (1-2001)

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

LICENSEE EVENT REPORT (LER)

DOCKET (2)

FACILITY NAME (1) NUMBER (2) LER NUMBER (6) PAGE (3)

SEUENTIAL REVISION YEAR NUMBER INUMBER Oconee Nuclear Station, Unit 1 0500269 2003 So 0 3 OF 7 NARRATIVE (If more space is required, use additional copies of NRC Form 366A) (17) 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. In circumstances where an individual's trustworthiness and reliability is 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.

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.

NRC FORM 366A (1-2001)

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

LICENSEE EVENT REPORT (LER)

DOCKET (2)

FACILITY NAME (1) NUMBER (2) LER NUMBER (6) PAGE (3)

I SEQUENTIAL REVISION YEAR NUMBER I NUMBER Oconee Nuclear Station, Unit 1 0500269 2003 S01 0 4 OF 7 NARRATIVE (If more space is required, use additional copies of NRC Forn 366A) (17)

Description of Event The following is a chronology of the security event reported by Oconee Nuclear Station to the NRC Operations Center via the Emergency Notification System at 1242 hours0.0144 days <br />0.345 hours <br />0.00205 weeks <br />4.72581e-4 months <br /> on 3/25/2003 (EN#39700).

09/12/2001 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.

10/18/2 001 Contractor completed job and left Catawba Nuclear Station; badge terminated favorably.

12/17/2001 Contractor.tgranted 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.

03/27/2002 Contractor was issued a security badge with Oconee Nuclear Station protected and vital area unescorted access based on job requirement.

04/12/2002 Contractor completed job and left Oconee Nuclear Station; badge terminated favorably.

NRC FORM 366A (1-2001)

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

LICENSEE EVENT REPORT (LER)

DOCKET (2)

FACILITY NAME (1) NUMBER (2) LER NUMBER (6) PAGE (3)

I SEQUENTIAL REVISION YEAR NUMBER NUMBER Oconee Nuclear Station, Unit 1 0500269 2003 SO - 0 5 OF 7 NARRATIVE (if more space is required, use additional copies of NRC Form 366A) (17) 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).

09/12/2002 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.

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 NRC FORM 366A (1-2001)

NRC FORM 366A U.S. NUCLEAR REGULATORY COMMISSION (1-2001)i-"i LICENSEE EVENT REPORT (LER)

DOCKET (2)

FACILITY NAME (1) NUMBER (2) LER NUMBER (6) PAGE (3)

SEQUENTIAL REVISION YEAR NUMBER NUMBER Oconee Nuclear Station, Unit 1 0500269 2003 - S01 0 6 OF 7 I NARRATIVE (If more space is required, use additional copies of NRC Form 366A) (17) 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.

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:

NRC FORM 366A (1.2001)

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

LICENSEE EVENT REPORT (LER)

DOCKET (2)

FACILITY NAME (1) NUMBER (2) LER NUMBER (6) PAGE (3)

YEAR lSEOUEBNTIAL lREVISION Oconee Nuclear Station, Unit 1 0500269 2003 S01 0 7 OF 7 NARRATIVE (If more space is required, use additional copies of NRC Forn 366A) (17)

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 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.

Licensee Event Reports 269/2001-S01 dated May 7, 2001, and 269/2002-S1, dated April 9, 2002, 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.

NRC FORM 366A (1-2001)