ML20045F157
| ML20045F157 | |
| Person / Time | |
|---|---|
| Site: | Farley  |
| Issue date: | 06/30/1993 |
| From: | Woodward J SOUTHERN NUCLEAR OPERATING CO. |
| To: | NRC OFFICE OF INFORMATION RESOURCES MANAGEMENT (IRM) |
| References | |
| NUDOCS 9307070045 | |
| Download: ML20045F157 (9) | |
Text
$f Souhern Nxlear Operatng Company Pxt 0".ce Box 1295 D-mirgn.am, Abbama 35201-1 E95 Tea ;*ane 205 BGB 5000 L
Southern Nuclear Operating Company
> e :ownem e!ecuc s, stem June 30, 1993 Docket Nos. 50-348 50-364 U. S. Nuclear Regulatory Commission ATTN: Document Control Desk Washington, DC 20555 Joseph M. Farley Nuclear Plant Reply to Hotice of Violation (NOV)
NRC Inspection Reoort Nos. 50-348/93-05 and 50-364/93-05 Gentlemen:
This letter, and its attachments, constitutes Southern Nuclear Operating Company, Inc.'s reply to the Notice of Violation dated May 11, 1993. As required by the regulations, Southern Nuclear has either admitted or denied each of the four violations and provided an explanation for its response.
If there are questions regarding these responses, please advise.
I affirm that the attached responses are true and complete to the best of my knowledge, information and belief.
Respectfully submitted, J
ohir fQ tive Vice President BHW/ cit:NOV9305.BHW i
Attachments i
cc: Mr. S. D. Ebneter Mr. T. A. Reed Mr. G. F. Maxwell 060105 k
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9307070045 930630 PDR ADOCK 05000348 r
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Response to NOV No. 93-05-01 Violation No. 93-05-01 The violation states:
10 CFR 73.56(h) " Records," (1) requires licensees to retain records on which unescorted access authorization is based.
License Amendment 20 dated August 18, 1981, to the Farley Operating License states at (2.0), "The licensee shall fully implement and maintain in effect all provisions of the following Commission approved documents, including amendments and changes made pursuant to the authority of 10 CFR 50.54(p): Joseph M. Farley Nuclear Plant Security Plan, Revision 2 dated March 5, 1981."
Revision 22 of the Farley Security Plan, dated March 13, 1992, Paragraph 4.1.1 Access Reauirements - Backaround Investication states, "All personnel requiring unescorted access to the protected and vital areas are screened in accordance with a Company approved access authorization program. All elements of Regulatory Guide 5.66 (June 1991) have been implemented."
Regulatory Guide 5.66 (June 1991) Access Authorization Program for Nuclear Power Plants, Paragraph A, states, "This regulatory guide provides an approach acceptable to the NRC staff by which the licensee can meet the requirements of 10 CFR 73.56 for an access authorization program.
The Industry Guidelines for Nuclear Power Plant Access Authorization Prooram (NUMARC 89-01, August 1989, hereafter referred to as "the Guidelines")
were prepared by the Nuclear Management and Resources Council (NUMARC).
The Guidelines meet the intent and substance of the rule except in a few areas in which the rule explicitly differs from the Guidelines.
The Guidelines are provided as an Appendix to this regulatory guide."
NUMARC 89-01 (14.0) " Records" requires, " Utilities who conduct access authorization programs in accordance with these guidelines shall maintain actual data that establish a background investigation and psychological i
evaluation were conducted."
SNC Corporate Security Procedure No. 005 Access Authorization (3.11) flecords Retention and Disclosure states, " Corporate Security Department shall maintain appropriate documentary evidence to comply with the applicable requirements set forth herein...
Such records shall establish an audit trail and may take the form of actual data or a checklist identifying dates..."
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l Response to NOV Ho. 93-05-01 f
1 Contrary to the above, as of April 1,1993, selected background investigation and psychological evaluation records contained incomplete actual and checklist data, as follows:
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-One individual was authorized unescorted access prior to the documented date of his psychological evaluation.
-Two individuals were authorized permanent access prior to the documented i
date of the FBI fingerprint card.
-One record contained four inaccurate and conflicting dates relative to. a contractor's access authorization.
-One record contained an inaccurate date of access authorization.
-One file did not have a specific date of termination.
-The electronically stored computer data used to support documents relative to access authorization was found to have errors regarding the date of a psychological evaluation and the receipt of an FBI fingerprint record.
This is a Severity Level IV viclation (Supplement III).
Admission or Denial SNC admits to this violation.
None of the individuals actually gained unescorted access without having first complied with all of the necessary regulatory requirements; however, errors were in their access authorization records.
Reason for Violation The cause of this violation was personnel error.
Corrective Action Taken and Results Achieved Each of the errors specifically identified in the violation have been corrected.
Corporate Security is conducting a thorough review of the records of all persons approved for unescorted access at FNP since March 13, 1992 (i.e., date which SNC certified compliance with the requirements of 10 CFR 73.56).
Corrective Steps To Avoid Further Violations Personnel responsible for maintaining records associated with access authorization have been coached on the importance of ensuring accuracy of data ~
contained in those records.
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1 Response to NOV No. 93-05-01 In addition, Corporate Security Procedure No. 005 will be enhanced to provide more specific guidance to ensure that all pertinent information is completely and correctly documented in the records. Corporate Security will conduct training on the regulatory requirements associated with access authorization recordkeeping.
Enhancements have been made to the computerized security records system to' ensure that the appropriate information is provided prior to l
receiving access authorization.
Date of Full Compliance September 30, 1993 i
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Response to NOV No. 93-05-02 Violation No. 93-05-02 The violation states:
1 10 CFR 73.56(b)(2)(iii), requires licensee's unescorted access authorization programs to include provisions for behavioral observation to detect individual behavioral changes which could lead to acts detrimental to the public health and safety.
License Amendment 20 dated August 18, 1981, to the Farley Operating License states (2.D), "The licensee shall fully implement and maintain in effect all provisions of the following Commission approved documents, including amendments and changes made pursuant to the authority of 10 CFR 50.54(p): Joseph M. Farley Nuclear Plant Security Plan, Revision 2 dated March 5, 1981."
Revision 22 of the Farley Security Plan, dated March 13, 1992, Paragraph 4.1.1 Access Reauirements - Backaround Investiaation states, "All personnel requiring unescorted access to the protected and vital areas are screened in accordance with a Company approved access authorization program. All elements of Regulatory Guide 5.66 (June 1991) have been implemented."
Regulatory Guide 5.66 (June 1991), Access Authorization Program for i
Nuclear Power Plants, Paragraph A, states, "This regulatory guide provides an approach acceptable to the NRC staff by which the licensee can meet the requirements of 10 CFR 73.56 for an access authorization program.
The
" Industry Guidelines for Nuclear Power Plant Access Authorization Program" (NUMARC 89-01, August 1989, hereafter referred to as "the Guidelines")
were prepared by the Nuclear Management and Resources Council (NUMARC).
The Guidelines meet the intent and substance of the rule except in a few I
areas in which the rule explicitly differs from the Guidelines.
The Guidelines are provided as an Appendix to this regulatory guide."
NUMARC 89-01, (9.0) Continual Behavioral Observation Proaram requires,
" Individuals with unescorted access authorization must be notified of his/her responsibility to report any arrest that may impact upon his/her trustworthiness."
SNC Corporate Security Procedure No. AA-005 Access Authorization Paragraph 3.10 Continual Behavior Observation Proaram reiterates the NUMARC 89-01 requirement, stating, " Individuals with unescorted access authorization must be notified of his/her responsibility to report any arrest that may impact upon his/her trustworthiness."
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.c Response to NOV No. 93-05-02 Contrary to the above, from the period of April 27, 1992 to February 1993, the licensee had not notified individuals with unescorted access authorization of their responsibility to report any arrest.
From February 1993 until this inspection the licensee's corrective actions had not included notifying contractors of the reporting of arrest requirement.
This is a Severity Level IV violation (Supplement III).
l Admission or Denial SNC admits to this violation.
Reason for Violation The cause of this violation was personnel error.
Corrective Action Taken and Results Achieved All SNC and contractor employees who have access authorization at FNP have been informed of their responsibility to notify SNC of any arrest which might be indicative of a trustworthiness or reliability concern.
Corrective SteDs To Avoid Further Violations Personnel responsible for implementing SNC's Access Authorization Program have been coached on the importance of verifying that methods exist for complying with commitments contained in the Security Plan and Program documents.
In addition, the Personal History Questionnaire, which all prospective SNC employees and contractor employees not covered by an' approved program must complete prior to being considered for access authorization, has been revised to include the required notification of responsibilities regarding arrests.
SNC's general employee orientation training includes a briefing on this matter.
SNC has verified that the Contractor Access Authorization Program identifies the requirements regarding this issue for contractors with approved programs.
Date of Full Compliance June 11, 1993 i
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l Response to NOV No. 93-05-06 Violation No. 93-05-06 I
The violation states:
10 CFR 73.56 Personnel access authorization reauirements for nuclear power
.l olants (b) General performance ob.iective and reauirements (1) requires licensees to " establish and maintain an access authorization program granting individuals unescorted access to protected and vital-areas with the objective of providing high assurance that individuals granted unescorted access are trustworthy and reliable, and do not constitute an unreasonable risk to the health and safety of the public including' a potential to commit radiological sabotage."
License Amendment 20 dated August 18, 1981, to the Farley Operating license states (2.0), "The licensee shall fully implement and maintain in I
effect all provisions of the following Commission approved documents,.
including amendments and changes made pursuant to the authority of 10 CFR 50.54(p). Joseph M. Farley Nuclear Plant Security Plan, Revision 2 dated March 5, 1981."
Revision 22 of the Farley Security Plan, dated March 13, 1992, Paragraph 4.1.1 Access Reauirements - Backaround Investiaation states, "All personnel requiring unescorted access to the protected and vital areas are screened in accordance with a Company approved access authorization program. All elements of Regulatory Guide 5.66 (June 1991) have been implemented."
Regulatory Guide 5.66 (June 1991) Access Authorization Program for Nuclear Power Plants, Paragraph A, states, "This regulatory guide provides an approach acceptable to the NRC staff by which the licensee can meet the i
requirements of 10 CFR 73.56 for an access authorization program.
The i
" Industry Guidelines for Nuclear Power Plant Access Authorization Program" (NUMARC 89-01, August 1989, hereafter referred to as "the Guidelines")
were prepared by the Nuclear Management and Resources Council (NUMARC).
The Guidelines meet the intent and substance of the rule except in a few areas in which the rule explicitly differs from the Guidelines. The 1
Guidelines are provided as an Appendix to this regulatory guide."
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NUMARC 89-01,(12.0), Contractor and Vendor Reauirements, states, "The.
1 utility retains the ultimate responsibility for assuring that individuals i
granted unescorted access to the facility meet the requirements of the unescorted access authorization program."
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Response to NOV No. 93-05-06 Contrary to the above, on April 17, 1992, the licensee could not provide high assurance that certain contractors granted unescorted access were trustworthy and reliable, in that, the contractors access program was declared inadequate, unacceptable, and no longer Company approved, and yet their access was continued until April 27, 1992, when the background investigation were satisfactory completed.
This is a Severity Level IV violation (Supplement III)
Admission or Denial SNC denies this violation.
SNC contends that the required level of assurance of trustworthiness and reliability was provided for the individuals affected by the facts described in this violation. One individual's access authorization was revoked by SNC when it was learned that he had submitted false academic qualification information.
By memo dated April 17, 1992, the manager of Corporate Quality Services informed the manager of Corporate Security that problems existed with the subject contractor's access aathorization program.
The recommendation was that the program be declared " unsatisfactory."
By correspondence that same day, the manager of Corporate Security notified the contractor that no additional personnel would be accepted by Farley Nuclear Plant under the current Certificate of Reliability.
Moreover, plant management promptly made an assessment of the trustworthiness and reliability of the two remaining employees. This assessment was based upon a qualitative evaluation of the severity of the audit findings, the relevance of those findings to the subject individuals' character, and SNC's satisfactory prior experience with this contractor. A separate background investigation was performed by SNC which yielded no cause for concern. While at SNC these individuals were subject to random drug testing and continual behavioral observation by SNC supervision. At no time was derogatory information learned about either of these two employees that undermined the pre-existing basis for access authorization.
- Indeed,
-the additional investigatory work served only to validate the propriety of the access authorization which these two employees held.
Reason for Violation Not applicable Corrective Action Taken and Results Achieved Not applicable Corrective Steps To Avoid Further Violations Not applicable Date of Full Compliance Not applicable A3-2
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Response to NOV No. 93-05-07 Violation No. 93-05-07 The violation states:
10 CFR 73.71 Reoortino of safeauards events requires in Appendix G, II, i
Events to be recorded withisicl 24 hours2.777778e-4 days <br />0.00667 hours <br />3.968254e-5 weeks <br />9.132e-6 months <br /> and submitted in cuarterly loa, t
"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 condition of such reduction in effectiveness."
i Revision 22 of the Farley Security Plan, dated March 13, 1992, Paragraph 4.1.1 Access Reouirements -Backaround Investiaation states, "All personnel requiring unescorted access to the protected and vital areas are screened in accordance with a Company approved access authorization program. All elements of Regulatory Guide 5.66 (June 1991) have been implemented."
Contrary to the above, as of April 1, 1993, the licensee failed to log in its Safeguards Event Logs those events, described as B and C in this Notice of Violation, which reduced the effectiveness of the Access Authorization Program committed to in its Physical Security Plan.
j This is a Severity Level IV violation (Supplement III).
admission or Denial
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SNC denies this violation.
The basis for the alleged violation was that SNC failed to log in the Safeguards Event Log, NOV events 93-05-02 and 93-05-06. As stated in the previous response, SNC denies NOV 93-05-06; it therefore follows that no requirement exists for an entry into the Safeguards Event Log. Moreover, even though SNC has admitted to NOV 93-05-02, SNC denies that such an admission provides an independent basis for a separate violation.
To do so would subject SNC to multiple violations for a single event.
This is inappropriate within the context of this inspection and only serves to distort SNC's regulatory compliance history.
Reason for Violation Not applicable l
Corrective Action Taken and Results Achieved l
Although this violation is denied, the events associated with NOV 93-05-02 were entered into the Safeguards Log on April 1, 1993..
i Corrective Steps to Avoid Further Violations Although this violation is denied, Security supervision have been retrained on the importance of evaluating all security events for reportability. This retraining was completed on June 29, 1993.
l Date of Full Compliance Not applicable A4-1 l
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