ML20198G756
| ML20198G756 | |
| Person / Time | |
|---|---|
| Site: | Harris  |
| Issue date: | 08/30/1997 |
| From: | Olive G CAROLINA POWER & LIGHT CO. |
| To: | |
| Shared Package | |
| ML20198G737 | List: |
| References | |
| LER-97-S01, LER-97-S1, NUDOCS 9709040293 | |
| Download: ML20198G756 (3) | |
Text
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l NRC FORM 366 U.S. NUCLEAR REGULATORY COMMISSION APPROVED BY OMB NO. 3160-0104 108W EXPIRES A4/30/98 (SilMAft0 tuRDIN Ptn RfSPONSI 10 COMPLV WITH THIS MANDATORY INf 0RMAfl0N COLLitfl0N R10UtST: 600 HR$ REPORTED LESSONS LIARNED ARI LICENSEE EVENT REPORT (LER)
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Harris Nuclear Plant Unit-1 50-400 1OF3 ilitt 44)
Unzscorted access inappropriately granted to contract outage workers.
EVENT DATE (6)
LER NUMBER (6)
REPORT DATE (7)
OTHER F ACILITIES INVOLVED (8)
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LEVEL (10) 20.2203(aH2Ho 20.2203(aH3Hn) 60.73(aH2)(ud X
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OTHER 20.2203(aH2)(no 60.36(cH H bo.73(aH2Hv)
Speci Abs t elow 20.2203(aH2Hiv) 60.06(cH2) 50.13(aH2Hvid
.c LICENSEE CONTACT FOR THIS LER (12)
NaME ILLLPHONE NUMBLR tittluce Area Codel George Olive, Sr. Support Analyst - HNP Security (919) 362 2684 COMPLETE ONE LINE FOR EACH COMPONENT FAllURE DESCRIBED IN THIS REPORT (13)
R R E
A iA fppD CAUsE SYSTEM COMPONENT MANUFACTURER CAUSE ofSTIM COMPONENT MANUFACTURER SUPPLEMENTAL REPORT EXPECTED (14)
MONM DAY HAR EXPECTED YES SUBMISSION (if yes, complete EXPECTED SUBMISSION DATE).
x NO DATE (15)
ASSTRACT (umit to 1400 spaces. Le., approximately 15 singie spaud typewritten linesi (16)
On June 24,1997, it was determined that an outage contract worker, granted unescorted access for outage work during the liarris Nuclear Plant refueling outage (RFO-7), omitted pertinent infonnation from his Personal llistory Questionnaire (PIIQ), 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.
This revision is being submitted to provide additional corrective action information resulting fom the associated root l
cause investigation.
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LICENSEE EVENT REPORT (LER)
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Shearon Harris Nuclear Plant Unit #1 50,400 2
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S01 01 uns e m m e r.m a mem nx w m on EVENT DESCRIPTION:
At approximately 1500, June 24,1997, a Corporate Security representative reported to the S te 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 PilQ that was potentially disqualifying. The individual was granted unescorted access from April 5,1997 through May 15, 1997.
The subject individual completed a PilQ on March 31,1997 at the Plant Access Authorization Facility. The individual answered "yes" to a question on the PilQ asking "llave 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 an;wered 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 PilQ by plant acccas authoritatio' personnel failed to identify the "yes" response, which in turn resulted in a failure to seek additional infonnation to explain the response. A subsequent review of the PilQ by Corporate Access Authorization also failed to adjudicate the information resulting in approval / granting unescorted access to plant protected and vi:al areas on April 5,1997.
On June 23,1997, a criminal history record was received from the Federal Bureau of Invedgation, 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 unc>corted 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 wherc 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 durin;; 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 h mation regarding the "yes" answer on 'he PHQ. In addition, the reviewer at Corporate Access Authorization fa;.ed to question or adequately adjudicate the "yes" answer on the subject individual's PilQ and sut,sequently approved the individual unescorted access. In the second instance, the reviewer at orporate Access Authorintion failed te 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 llistory 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.
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Shearon Harris Nuclear Plant. U.3t #1 50400 3
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l 97 S01 01 PREVIOUS SIMILAR EVENTSt 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.
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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 PilQ records that required adjudication of "yes" answers. The review disclosed one (1) additional adjudication error that was logged in the llNP Safeguards Event Log (SEL).
4.
The individuals responsible for making these errors at Corporate Access Authorization and Plant Access Authorization received appropriate disciplinary actions.
5.
A detailed review of the case files for personnel granted temporary unescorted access for the llNP refueling outage (RFO-7) was completed on August 4,1997. This review identified the second adjudication failure identified in the event description above, related to MMPI results. The review also identified an additional fifteen (15) case file review / adjudication errors that were not reportable, but were logged in the llNP SEL in accordance with 10CFR73.71. A formal root cause investigation was completed on August 6,1997, which confirmed that the previously identified root cause was in fact, personnel error. Each of the identified discrepancies were addressed and the following corrective actions have been completed:
a.
The " Interview Results" form used by the Psychologist has been redesigned and enhanced to visually differentiate between recommendations to grant unescorted access and recommendations to deny or hold in abeyance such access, b.
An independent review of all background files nrior to granting unescorted access has been implemented. This will continue until Corpor... Security Management is confident that experienced, well trained, self checking personnel are in place to perform sum iently as c
barriers to prevent recurrence.
c.
The Corporate Access Authorization Clearance Processing procedure (NGGS-SEC-1007) was revised to require the Supervisor - Access Authorization, or designee, to perform sample audits for completed background investigation reviews, prior to granting unescorte:I access, d.
The formal Access Authorization Training Program has been enhanced to incorporate: (1)
Lessons learned from these events (reviewer errors), (2) Management emphasis on quality of job performance over other non-quality affecting factors (3) The need for quality reviews regardless of badge need date.
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