ML20034E865

Notice of Violation & Proposed Imposition of Civil Penalty in Amount of $50,000.Noncompliance Noted:On 920918,safe Containing Safeguards Info Removed from Site & Transferred to Persons Who Did Not Have Established Need to Know

ML20034E865
Person / Time
Site:	Sequoyah
Issue date:	02/18/1993
From:	NRC OFFICE OF INSPECTION & ENFORCEMENT (IE REGION II)
To:
Shared Package
ML20034E859	List: IR 05000327/1992037 ML20034E865
References
EA-92-251, NUDOCS 9303020031
Download: ML20034E865 (4)

Text

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s NOTICE OF VIOLATION AND PROPOSED IMPOSITION OF CIVIL PENALTY a

l Tennessee Valley Authority Docket Nos.

50-327, 50-328.

Sequoyah Nuclear Plant License Nos. DPR-77, DPR-79 Units 1 and 2 EA 92-251 1

During an NRC_ inspection conducted on December 7-11, 1992, violations of NRC requirements were identified.

In accordance with the " General Statement of Policy and Procedure for NRC Enforcement Actions," 10 CFR Part 2,-Appendix C (57 FR 5791, February 18, 1992), the Nuclear Regulatory Commission proposes to impose a civil penalty pursuant to Section 234 of the Atomic Energy Act of 1954, as amended (Act), 42 U.S.C. 2282, and 10 CFR 2.205.

The particular violations and associated civil penalty are set forth below:

l A.

Violation Related to the Transfer Offsite of a Security Storage -

Container which Contained Safeguards Information.

10 CFR 73.21(d)(2) states, in part, "While unattended, Safeguards Information shall be stored in a locked security storage container."

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10 CFR 73.21(c)(1) states, in part, "[N]o person may have access to Safeguards Information unless the person has an established 'need to l

know' for the information." Section 73.21(c)(1) also specifies the persons who may have access to such information.

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Contrary to the above, on September 18, 1992, it was discovered that a safe containing Safeguards Information-(SGI) had been removed from the site, transferred to persons who did not have an established "need to t

know," and later transferred to another individual who also did not have an established "need to know," who discarded the SGI in an unauthorized manner.

B.

Violations Related to Failures to Control Safeguards Information While Onsite.

1.

10 CFR 73.21(d)(2) states, in part, "While unattended, Safeguards Information shall be stored in a locked security storage container."

Contrary to the above,

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Safeguards Information was not secured or attended when a.

containers with Safeguards Information were found unlocked on January 16, April 18, June 29, and October 23, 1991, and

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August 18, 1992.

b.

Safeguards Information was found in an unsecured, unauthorized container on April 21, 1992 and July 23, 1992.

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F 9303020031 930218 DR ADOCK OS000327-O PDR

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Safeguards Information was found unattended and unsecured in c.

the alarm station after the station had been dismantled for construction on October 29, 1992.

I d.

During a Quality Assurance audit conducted October 26 through December 1, 1992, a security officer at the Essential Raw Cooling Water facility was observed leaving safeguards material unattended.

i 2.

10 CFR 73.21(e) states, in part, "Each document or other matter that contains Safeguards Information as defined in paragraph (b) in this section shall be marked ' Safeguards Information' in a conspicuous manner..."

Contrary to the above, on September 6, 1991, several safeguards drawings were found not to be properly marked as " Safeguards Information."

3.

10 CFR 73.21(c)(1) states, "Except as the Commission may otherwise authorize, no person may have access to Safeguards Information unless the person has an established 'need-to-know' for the information."

Contrary to the above, on November 19, 1992, an individual was found to have been on the safeguards access list since 1989, who was not a TVA employee, did not have a "need-to-know," and should j

i not have had access to Safeguards Information.

4.

10 CFR 73.71(c)(1) states, "Each licensee subject to the provisions of 73.20, 73.37, 73.50, 73.55, 73.60... shall maintain a current log and record the safeguards events described in paragraph II(a) and (b) of Appendix G to this part within 24 hours2.777778e-4 days <br />0.00667 hours <br />3.968254e-5 weeks <br />9.132e-6 months <br /> of discovery by a licensee employee or member of the licensee's contract security organization."

10 CFR 73, Appendix G, II(b) requires the following to be logged "Any other threatened, attempted, or committed act not previously defined in Appendix G with the potential for reducing the effectiveness of the safeguards system below that committed to in a licensed physical security or contingency plan or the actual f

condition of such reduction in effectiveness."

Contrary to the above, the licensee did not log seven failures to protect safeguards information that were discovered on April 18, June 29, September 6, 1991 and July 23, August 18, November, 11, 1992, and during the Quality Assurance audit conducted October 26 i

through December 1, 1992.

These events had the potential for

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reducing the effectiveness of the safeguards system below that i

committed to in the licensee's physical security plan because the

-v information not protected could have assisted an intruder in i

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unauthorized entry and/or sabotage of the plant.

This is a Severity Level III problem (Supplement 111).

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Cumulative Civil Penalty - $50,000 (assessed equally among the violations)

Pursuant to the provisions of 10 CFR 2.201, Tennessee Valley Authority (Licensee) is hereby required to submit a written statement or explanation to the Director, Office of Enforcement, U.S. Nuclear Regulatory Commission, within 30 days of-the date of this Notice of Violation and Proposed Imposition.

i of Civil Penalty (Notice). Th u reply should be clearly marked as a " Reply to a Notice of Violation" and should include for each alleged violation:

(1) admission or denial of the alleged violation, (2) the reasons for the-violation if admitted, and if denied, the reasons why, (3) the corrective steps that have been taken and the results achieved, (4) the corrective steps that will be taken to avoid further violations,. and (5) the date when full compliance will be achieved.

If an adequate reply is not_ received within the_

time specified in this Notice, an order or a Demand for Information may be issued as to why the license should not be modified, suspended, or revoked or why such other action as may be proper should not be taken.

Consideration may be given to extending the response time for good cause shown. Under the authority of Section 182 of the Act, 42 U.S.C. 2232, this response shall be submitted under oath or affirmation.

Within the same time as provided for the response required above under 10 CFR 2.201, the Licensee may pay the civil penalty by letter addressed to i

the Director, Office of Enforcement, U.S. Nuclear' Regulatory Commission, with a check, draft, money order, or electronic transfer payable to the Treasurer of the United States in the amount of the civil penalty proposed above, or the cumulative amount of the civil penalties if more than one civil penalty is proposed, or may protest imposition of the civil penalty in whole or in part, by a written answer addressed to the Director, Office of Enforcement, U.S.

Nuclear Regulatory Commission.

Should the Licensee fail to answer within the time specified, an order imposing the civil penalty will be issued.

Should the Licensee elect to file an answer in accordance with 10 CFR 2.205 protesting the civil penalty, in whole or in part, such answer should be clearly marked as an " Answer to a Notice of Violation" and may:

(1) deny the violation (s) listed in-this Notice, in whole or in part, (2) demonstrate extenuating circumstances, (3) show error in-this Notice, or (4) show other reasons why the penalty should not be imposed.

In addition to protesting the civil penalty in whole or in part, such answer may request remission or mitigation of the penalty.

In requesting mitigation of the proposed penalty, the factors addressed in i

Section VI.B.2 of 10 CFR Part 2, Appendix C (57 FR 5791, February 18, 1992),

should be addressed.

Any written answer in accordance with 10 CFR 2.205 l

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Notice of Violation 4

should be set forth separately from the' statement or explanation in reply pursuant to 10 CFR 2.201, but may incorporate parts of the 10'CFR 2.201 reply-l by specific reference (e.g., citing page and paragraph numbers) to avoid repetition. The attention of the Licensee is directed to the other provisions of 10 CFR 2.205 regarding the procedure for imposing a civil penalty.

Upon f ailure to pay any civil penalty due which subsequently has been determined in accordance with the applicable provisions of 10 CFR 2.205, this matter may be referred to the Attorney General, and the penalty, unless compromised, remitted, or mitigated, may be collected by civil action pursuant to Section 234(c) of the Act, 42 U.S.C. 2282(c),

t The response noted above (Reply to Notice of Violation, letter with payment of civil penalty, -and Answer-to a Notice of Violation) should be addressed to: Director, Of fice of Enforcement, U.S. Nuclear Regulatory Commission, ATTN: Document-Control Desk, Washington, D.C. 20555 with a copy to the i

Regional Administrator, U.S. Nuclear Regulatory Commission, Region 11, Atlanta, Georgia and a copy to the NRC Resident inspector at the Sequoyah Nuclear Plant.

Security or Safeguards Information should be submitted as an enclosure to facilitate withholding it from public disclosure as required by i

10 CFR 2.790(d) or 10 CFR 73.21, as appropriate.

Dated at Atlanta, Georgia i

this/61sday of February 1993 l

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