ML18012A837

LER 97-S01-00:on 970405,unescorted Access Inappropriately Granted to Contract Outage Workers Was Determined.Caused by Personnel Error.Access Files for Individuals Inappropriately Granted Unescorted Access Were Placed on Access Hold

ML18012A837
Person / Time
Site:	Harris
Issue date:	07/24/1997
From:	Olive G CAROLINA POWER & LIGHT CO.
To:
Shared Package
ML18012A836	List: ML18012A835 ML18012A837
References
LER-97-S01, LER-97-S1, NUDOCS 9707300015
Download: ML18012A837 (4)

Text

NRC FORM 366 14B5)

U.S. NUCLEAR REGULATORY COMMISSION I

APPROVED BY OMB NO. 3150-0104 EXPIRES 04/30196 ESTIMATED BURDEN PER RESPONSE 'TO COMPLY W)TH THS MANDATORY

)NFORMATION COLIECTION REOUEST. 503) HRS. REPORTED lESSONS LEARNED ARE INCORPORATED INTO THE UCENSING PROCESS ANO FEO BACK TO INDUSTRY.

LICENSEE EVENT REPORT (LER) FORWARD COMMENTS REGARDING BURDEN ES11MATE TO THE INFORMATION ANO RECORDS MANAGEMENT BRANCH IT% F33l US. NUCLEAR REGUlATORY COMMSSION, (See reverse for required number of WASHINGTON. DC 20555000). AND TO THE PAPERWORK REDUCTION PROJECT l3150.

digits/characters for each block) 0)04L OFFICE OF MANAGEMENT AND BUDGET, WASHINGTON. OC 20503.

FAGIUTY NAME Il) DOCKET NUMBER (2) PAGE (3)

Harris Nuclear Plant Unit-1 50-400 1 OF 3 TITLE 14)

Unescorted access inappropriately granted to contract outage workers.

EVENT DATE (5) LER NUMBER (6) REPORT DATE (7) OTHER FACILITIES INVOLVED (6)

FACIUTY NAME DOCKETNUMBER SEQUENTIAL REVISION MONTH OAY YEAR YEAR MONTH OAY NUMBER NUMBER FACIUTY NAME DOCKET NUMBER 4 5 97 S01 00 7 24 97 05000 OPERATING THIS REPORT IS SUBMITTED PUR SUANT TO THE REQUIREMENTS OF 10 CFR 5: (Check one or more) (11)

MODE (9)

POWER 05'7 20.2201 (b) 20.2203(a) (1) 20.2203(a) (2) (v) 20.2203(a) (3) (il 50.73(a)(2) (i) 50.73(a)(2) (ii) 50.73(a) (2) (viii) 50.73(a)(2)(x)

LEVEL (10) 20.2203(a) (2)(i) 20.2203(a)(al(ii) 50.73(a)(2) (iii) X 73.71 20.2203(a) (2)(ii) 20.2203(al(4) 50.73(a)(2) (iv) OTHER 20.2203(a)(2) (iii) 50.36(cl(1) 50.73(a)(2)(vl Specify in Abstract below or In NRC Form 3BBA 20.2203(a) (2)(iv) 50.36(c)(2) 50.73(a) (2) (vii)

LICENSEE CONTACT FOR THIS LER (12)

NAME TELEPHONE NUMBER Iinoiude Ates Code)

George Olive, Sr. Support Analyst - HNP Security (919) 362-2684 COMPLETE ONE LINE FOR EACH COMPONENT FAILURE DES CRIBED IN THIS REPORT (13)

REPORTABLE REPORTABLE CAUSE SYSTEM COMPONENT MANUFACTURER CAUSE SYSTEM COMPONENT MANUFACTURER TO NPROS TO NPROS SUPPLEMENTAL REPORT EXPECTED (14) EXPECTED MONTH OAY YEAR YES SUBMISSION X (If yas, complete EXPECTED SUBMISSION DATE).

NO DATE (15) 8 30 97 ABSTRACT (Limit to 1400 spaces, i.e., approximately 15 single. spaced typewritten lines) (16)

On June 24, 1997, it was determined that an outage contract worker, granted unescorted access for outage work during the Harris Nuclear Plant refueling outage (RFO-7), omitted pertinent information from his Personal History Questionnaire (PHQ), which was subsequently determined to be disqualifying for unescorted access under Carolina Power and Light's criteria. The individual involved was granted unescorted access from April 5, 1997 through May 15, 1997. During further review of background investigation case files following this event, an additional instance was identified where an individual was inappropriately granted unescorted access without a valid/approved psychological evaluation. The cause of these events was personnel error on the part of individuals responsible for the review and adjudication of information provided as a part of the background investigation process. Corrective actions include additional investigation/analysis of the event, restricting the involved individuals access on the Personal Access Data System (PADS), and an examination of background investigation files that were reviewed/adjudicated for temporary clearance and unescorted access during the RFO-7 period.

97073000i5 970724 PDR ADOCK 05000400 S PDR NR (4

ip NRC fORM 366A US. NUCLEAR REGUULTORY COMMISSION

)4.95)

LICENSEE EVENT REPORT (LER)

TEXT CONTINUATION FACILITY NAME I)I DOCKET LER NUMBER IS) PAGE )3)

SEOUENTIAL REVISION NUMBER NUMBER Shearon Harris Nuclear Plant ~ Unit )I)1 50400 2 OF 3 97 - S01 - 00 TEXT Pl mort spssv fs ssvvvsd, vsv sdditiml sopis ol hlrC Fee 3SQI I)7)

EVENT DESCRIPTION:

At approximately 1500, June 24, 1997, a Corporate Security representative reported to the Site Security.

Superintendent that a contract (non-licensee) employee had been granted unescorted access to plant protected and vital areas without the benefit of adjudication of derogatory information contained within his PHQ that was potentially disqualifying. The individual was granted unescorted access from April 5, 1997 through May 15, 1997.

The subject individual completed a PHQ on March 31, 1997 at the Plant Access Authorization Facility. The individual answered "yes" to a question on the PHQ asking "Have you ever been convicted of an alcohol or a controlled substance related offense, which includes driving while impaired (DWI), or do you presently have such a case pending?" The PHQ further advises that,

" if you answered yes to any question, specific details must be given explaining the circumstances surrounding the case". The individual failed to annotate any details to explain his yes answer to the question. The initial review of the PHQ by plant access authorization personnel failed to identify the "yes" response, which in turn resulted in a failure to seek additional information to explain the response. A subsequent review of the PHQ by Corporate Access Authorization also failed to adjudicate the information resulting in approval/granting unescorted access to plant protected and vital areas on April 5, 1997.

On June 23, 1997, a criminal history record was received from the Federal Bureau of Investigation, together with a criminal records check received from the North Augusta Department of Public Safety, indicating that the individual was convicted of simple possession of an illegal controlled substance on January 20, 1996. In accordance with the Carolina Power and Light criteria for unescorted access, this conviction would disqualify the individual for unescorted access to the company's nuclear plants.

During further review of background investigation case files following this event, an additional instance was identified where an individual was inappropriately granted unescorted access without a valid/approved'psychological evaluation (MMPI). This individuals access should have been denied pending satisfactory resolution of possible alcohol abuse.

Due to this error, unescorted access was granted during the period of time from April 8, 1997 through May 13, 1997.

CAUSE:

The cause of these events was personnel error. The individuals involved in reviewing the background investigation case file records did not apply adequate attention to detail. For the first instance, the initial reviewer in Plant Access Authorization failed to question the individual and obtain the needed information regarding the "yes" answer on the PHQ. In addition, the reviewer at Corporate Access Authorization failed to question or adequately adjudicate the "yes" answer on the subject individual's PHQ and subsequently approved the individual unescorted access. In the second instance, the reviewer at Corporate Access Authorization failed to recognize the need for further evalution of MMPI results regarding possible alcohol abuse.

These errors are contrary to CP&L procedures, AA-DI-02 (Personal History Questionnaire) and NGGS-SEC-1002 (Personal History Questionnaire), and SEC-NGGC-2101 (Nuclear Worker Screening Program for Unescorted Access).

There were no unusual characteristics of the work location that would directly contribute to the errors. All personnel involved, with the exception of the contract individual, were licensee employees.

SAFETY SIGNIFICANCE:

An interview with the Carolina Power and Light supervisor for the subject individuals was conducted, which determined that the individuals work performance was rated as good and that they did not work on any safety related equipment. The work performed by the these individuals included piping replacement in the Turbine Building and crane rigging. This SER is being submitted per the requirements of 10CFR73.71, Reporting of Safeguards Events.

NRC FORM 366A U.S. NUCLEAR REGULATORY COMMISSION (495)

LlCENSEE EVENT REPORT (LER).

TEXT CONTINUATION FAc)L)TY NAME u) BUCKET LER NUMBER 16) PAGE 13)

SEOUENTIAL REVISION YEAR NUMBER NUMBER Shearon Harris Nuclear Plant ~

Unit //1 50400 3 OF 3 97 - S01 - 00 TEXT r)r Ivvsv spssv rs svpviaf, vsv vddl)vtvsr copes vl A'HC Pvae 3SQI (I 7)

PREVIOUS SIMILAR EVENTS:

A'similar event, contained in Safeguards Event Report Number 89-S05-00, occurred on October 19, 1989. This event was the result of a failure to adjudicate adverse criminal history information that was an element of a background investigation being performed by a contractor who certified a satisfactory full background investigation.

CORRECTIVE ACTIONS COMPLETED:

1. The access files for the individuals inappropriately granted unescorted access were placed on access hold in the Personal Access Data system (PADS). This access information has not been transferred to any other utility and flags have been put in place to prevent such transfer in both records.

2. A second file review was added to the Corporate Access Authorization adjudication process as an interim measure, pending implementation of permanent corrective actions.

3. An initial review of background investigation case files was completed on July 24, 1997, for personnel who were granted temporary unescorted access similar to the subject individuals. This included a review of MMPI test results and PHQ records that required adjudication of "yes" answers. The review disclosed one (1) additional adjudication error that was logged in the HNP Safeguards Event Log (SEL). A'detailed review of all case files for personnel granted temporary unescorted access for the HNP refueling outage (RFO-7) is approximately 55% complete and disclosed the second adjudication failure identified in the event description above. This review has also identified an additional fifteen (15) case file review/adjudication errors that were not reportable, but were logged in the HNP SEL in accordance with 10CFR73.71.

The individuals responsible for making these errors at Corporate Access Authorization and Plant Access Authorization received appropriate disciplinary actions.

CORRECTIVE ACTIONS PLANNED:

1. A detailed record review for those personnel granted similar temporary unescorted access to HNP for Refueling Outage 7 is continuing in conjunction with a root cause analysis. This is currently being performed to further investigate the event and identify additional causal factors and corrective measures to preclude recurrence. The results of this review and any other pertinent investigation findings will be provided in a supplement to this SER. The on-going review/investigation will be completed to support an August 30, 1997, SER revision submittal.