ML20046A461
| ML20046A461 | |
| Person / Time | |
|---|---|
| Site: | Prairie Island  |
| Issue date: | 07/23/1993 |
| From: | Antony D NORTHERN STATES POWER CO. |
| To: | NRC OFFICE OF INFORMATION RESOURCES MANAGEMENT (IRM) |
| References | |
| NUDOCS 9307280141 | |
| Download: ML20046A461 (7) | |
Text
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y Northem States Power Company 414 Nicollet Mall Minneapolis, Minnesota 55401 1927 Telephone (612) 330-5500 July 23, 1993 U S Nuclear Regulatory Commission Attn: Document Control Desk Washington, DC 20555 PRAIRIE ISLAND NUCLEAR GENERATING PLANT Docket Nos. 50-282 License Nos. DPR-42 50-306 DPR-60 t
Response to Notice of Violation NRC Inspection Report 50-282/90019; 50-306/90020 Security Guard Fitness for Duty Issues Your letter of June 25, 1993 transmitted a Notice of Violation which contained two violations. These violations related to fitness for duty issues with respect to a security guard. The Attachment contains our response to the violations.
The followina, new NRC commitments have been made in response to this Notice of Violation:
Contractor screening programs (except the Institute of Nuclear Power Operations program) will not be used without prior notification to the NRC.
The Fitness For Duty History Questionnaire, Form AAP-6.1, shall. inquire whether an individual has ever had a medical history or medical diagnosis of alcoholism.
Please contact Mel Opstad at 612-337-2038 if you have any questions with regard to this response.
l 6
Douglas D Antony Vice President Nuclear Generation j
c: Regional Administrator III, NRC f
Senior Resident Inspector, NRC j
NRR Project Manager, NRC J E Silberg I
Attachment I
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A ATTACHMENT Response to Notice of Violation Identified in NRC Inspection Report 50-282/90019; 50-306/90020
Background
All individuals seeking unescorted access to NSP nuclear plants must successfully meet NSP nuclear access authorization requirements (screening).
NSP has historically "ad a Contractor Screening Program.
This program establishes the requirements a contractor must meet to conduct screening of their employees for NSP nuclear plant unescorted access authorization (access).
American Protective Services (APS) provided nuclear security services to NSP.
On May 11, 1990 NSP Corporate Screening Services approved APS's procedure NCR-PI
-8924-A, North Central Region Access Authorization / Background Investigation Program.
Section 6.3.f of this procedure stated in part:
In addition, a suitable inquiry meeting the requirements of 10 CFR Part 26.27 must be conducted to determine whether a worker has ever been:
Subject to a plan for treating substance abuse (except for self-referral).
If such a record is established, APS shall immediately contact NSP's Fitness for Duty Coordinator (FFDC) at (612) 330-7999.
On June 11, 1990 APS received an APS Nuclear Security Questionnaire from an individual seeking employment as a security officer at NSP's Prairie Island nuclear plant.
The individual disclosed being sent to treatment following a Driving While Intoxicated conviction.
APS had also received in June of 1990 the individual's Military DD Form 214, indicating discharge from the Military for alcohol abuse rehabilitation failure, i
On June 18, 1990 the individual completed his APS pre-employment physical.
The examining physician certified that the individual met 10CFR73.55 Appendix B requirements.
On June 28, 1990 NSP granted the APS individual access to NSP's Prairie Island nuclear plant.
Access was granted by NSP based upon certification from APS that the individual met NSP screening requirements.
On July 15, 1990 this individual was arrested for alcohol related disorderly conduct.
This information was forwarded to management Page 1 of 6 L
g.
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as required by NSP's Nuclear Generation Fitness for Duty Policy.
l At the time, NSP did not require management to inform NSP Corporate Screening Services of arrests.
Management evaluated H
the arrest and concluded there was not sufficient reason to revoke access.
The current NSP Nuclear Generation Fitness for Duty Handbook requires' management to inform NSP Personnel Security (formerly Corporate Screening Services)'of any L
convictions, and/or charges related to drugs, alcohol (including drug-related or alcohol-related driving or boating violations),
l theft, or violence reported by their employees.
1 On October 24, 1990, while conducting a routine contract compliance audit, NSP discovered that the individual had a' 4
history of substance abuse treatment and that APS had not notified NSP's FFD Coordinator of this history prior to requesting access in June of 1990 as required by APS's screening j
procedure.
i violation "A"
A.
10 CFR 26.27(a) requires, in part, that prior to the initial-granting of unescorted access to a protected area, the licensee shall complete a suitable inquiry on a best-efforts basis to determine if that person was, in the past, subject to a plan for treating substance abuse.
If'such a record is established, the granting of unescorted access must be based upon a management and medical determination of fitness'for duty and the establishment of an appropriate follow-up testing program.
4 Contrary to the above, from June 28, 1990 to October 24, 1990, the licensee granted unescorted access to the protected area to an individual who, in the past, had been subject to a plan for treating substance abuse and the licensee did not make a management and medical determination regarding the individual's fitness for duty and did not establish an appropriate follow-up testing program.
Beason for the Violation NSP's follow-up investigation concluded that the failure to obtain management and medical assurance of fitness for duty was caused by personnel error.
APS management failed to follow their NSP approved screening procedure.
APS informed an NSP Corporate Security Employee of the individual's history.
However, the NSP Corporate Security Employee had no access authorization or fitness for duty responsibilities and was not a member of the NSP's Corporate Screening Services group.
Consequently, the information was not relayed to NSP's Fitness for Duty Coordinator (FFDC).
If Page 2 of 6
notified, the FFDC's role would have been to obtain management and medical assurance of fitness for duty.
Because APS had informed an NSP Corporate Security Employee, NSP believes the failure to contact the NSP FFDC was not willful.
The Corrective Steos That Have Been Taken And The Results Achieved On October 24, 1990 NSP suspended the individual's unescorted access pending a determination of management and medical assurance of fitness for duty.
NSP also informed NRC Region III and suspended APS's Screening Program.
The management and medical determination included a chemical dependency assessment indicating periodic abuse of' alcohol, no chemical dependency, and a recommendation for outpatient
.{
treatment.
NSP returned the individual to duty in an unarmed status on December 10, 1990, following the individual's agreement to: 1) submit to follow-up drug and alcohol testing and 2) complete outpatient treatment.
Following successful completion of d
outpatient treatment in February 1991, the individual was returned to duty in an armed status, remaining subject to random and follow-up testing.
NSP audited all APS screening files in October of 1990.
Audit results yielded no additional cases where APS failed to contact the NSP FFDC after identifying a suitable inquiry record.
Corrective Steps That Will Be Taken To Avoid Further Violations l
On February 20, 1991 NSP reinstated APS's Screening Program following:
1.
Issuance of written guidance to all approved contractors reiterating NSP suitable inquiry requirements.
2.
Revision of NSP Contractor Access Authorization Request Form to include suitable inquiry as a separate checklist item.
i 3.
NSP training of APS management personnel on NSP access authorization requirements.
I Additional corrective actions are identified in NSP Licensee Event Report (LER) 91-009-01, page 5 of 6, dated September 25, 1991.
One of these actions included auditing the contractor screening files of all individuals that had access to NSP nuclear i
plants as of July 15, 1991, to ensure NSP screening requirements were met.
The audit identified incomplete screening records.
j Consequently, in the Fall of 1991 all NSP contractor screening Page 3 of 6
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programs were suspended (except the Institute of Nuclear Power Operations).
The NSP Contractor Screening Program was again revised.
The following improvements were made to the process for approving contractor screening programs:
1.
A detailed contractor screening program checklist was developed to verify procedural compliance with each NSP screening requirement.
This checklist was completed by the NSP Screening Consultant, reviewed by the NSP FFDC and approved by the NSP Supervisor Personnel Security.
2.
A responsible contractor official interview, conducted by the NSP Supervisor Personnel, was developed to assess contractor knowledge in the area of access authorization and fitness for duty.
3.
A requirement for pre-audit of three contractur_ screening files to verify screening elements are completed properly.
The following improvements were made to the contractor program audit process:
1.
Responsibility for performing contractor audits was transferred from NSP Corporate Security to NSP Power Supply Quality Assurance.
2.
New programs audited within 6 months of Corporate Security Approval.
In January / February of 1992, NSP approved three contractor screening programs in accordance with its revised Contractor Screening Program.
NSP conducted'6-month audits of these programs in the Summer of 1992.
The audits again identified incomplete screening records.
NSP management analyzed the contractor program rollowing the 6-month audit and decided not to continue use of the Contractor Screening Program.
All individuals seeking access are now screened by NSP's Corporate Securi' y Personnel Security group c
(except the INPO Screening Program).
Date When Full Compliance Will Be Achieved Full compliance has been achieved.
Page 4 of 6
1 Violation "B"
B.
Section 2.c(3)a of Amendment 85 to License No. DPR-42 and Section 2.c(3)a of Amendment No. 78 to License No. DPR-60 1
require the licensee to fully implement and maintain in effect all provisions of the Security Plan, including amendments and changes made pursuant to the authority of 10 CFR 50.54(p).
Section 1.2.1.3.
" Armed Personnel Requirements - Addiction",
J in Revision 8 of the approved Northern States Power i
" Security Force Training & Qualification Plan," dated April 12, 1988, requires in part, that armed personnel must have no established medical history or medical diagnosis of habitual alcoholism or, where such a condition has existed, the individual must provide certified documentation of having completed a rehabilitation program which would give a reasonable degree of confidence that the individual would be capable of performing assigned security duties.
Contrary to the above, from September 6, 1990 to October 24, i
1990, the licensee permitted an individual to act as an i
armed guard notwithstanding the fact that the individual had a medical history of habitual alcoholism and had failed I
rehabilitation, resulting in his not being able to provide i
certified documentation of having completed a rehabilitation program.
Feason for the Violation There were tNo processes that APS had in place to ensure the 1
requirement to obtain certified documentation of rehabilitation i
was met:
1.
Licensed physician medical exam, and 2.
Notification of NSP's FFDC upon development of a suitable inquiry record.
Both of these processes failed. NSP's follow-up investigation concluded that the failure was caused by:
1.
Miscommunication between the individual and physician regarding individual's alcohol history, and 2.
Personnel error.
APS management failed to follow their NSP approved screening procedure.
Physician notes indicate that following a discussion with the individual regarding his past alcohol use, the physician concluded that the individual did not have a history of Page 5 of 6
alcoholism.
APS informed an NSP Corporate Security Employee of the individual's history.
This is further discussed in the response to Violation "A".
The Corrective Steps That Have Been Taken And The Results Aghieved t
An audit of the APS screening files was conducted to insure certified documentation of the satisfactory completion of a rehabilitation program was obtained for any individuals that had an established medical history or medical diagnosis of habitual alcoholism.
Audit results yielded no additional cases of previous medical history or diagnosis of habitual alcoholism without evidence of successful rehabilitation.
Additional corrective steps are identified in the response to Violation "A".
Corrective Steps That Will Be Taken To Avoid Further Violations 1.
NSP purchase order for nuclear security services, PD9457MB, requires successful completion of a physical examination as required by 10 CFR Part 73, Appendix B, prior to assignment to duties as a security officer at NSP nuclear sites.
NSP's nuclear services contractor identifies in their pre-employment physical protocol the requirement that
" individuals shall have no established medical history or medical diagnosis of habitual alcoholism or drug addiction, or where such condition has existed, the individual shall provide certified documentation of having completed a rehabilitation program which would give a reasonable degree of confidence that the individual would be capable of performing assigned security job duties."
2.
Additionally, NSP's Fitness For Duty History Questionnaire, Form AAP-6.1, has been revised to inquire whether an individual has ever had a medical history or medical diagnosis of alcoholism.
NSP procedure NFFD-2, Evaluating FFD Information, requires receipt of certified documentation indicating completion of a rehabilitation program which gives a reasonable degree of confidence that assigned security duties may be performed prior to employment or assignment to duties as an armed security of ficer.
Date When Full Compliance Will Be Achieved Full compliance has been achieved.
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