SVP-03-036, LER 03-S01-00, Security Event Report for Quad Cities, Unescorted Protected Area Access Granted Based on Falsified Information and Inadequate Screening Caused by a Failure of Administrative Controls.
| ML030760540 | |
| Person / Time | |
|---|---|
| Site: | Quad Cities  |
| Issue date: | 03/03/2003 |
| From: | Tulon T Exelon Generation Co |
| To: | Document Control Desk, Office of Nuclear Reactor Regulation |
| References | |
| SVP-03-036 LER 03-S01-00 | |
| Download: ML030760540 (6) | |
Text
Exekc, n Exelon Generation Company, LLC wwwexeloncorp corn Nuclear Ouad Cities Nuclear Power Station 22710 206th Avenue North Cordova, I L61242-9740 March 3, 2003 SVP-03-036 U. S. Nuclear Regulatory Commission ATTN: Document Control Desk Washington, D.C. 20555 Quad Cities Nuclear Power Station, Units 1 and 2 Facility Operating License Nos. DPR-29 and DPR-30 NRC Docket Nos. 50-254 and 50-265
Subject:
Security Event Report 03-S01, "Unescorted Protected Area Access Granted Based on Falsified Information and Inadequate Screening Caused by a Failure of Administrative Controls" Enclosed is Security Event Report 03-SO1, "Unescorted Protected Area Access Granted Based on Falsified Information and Inadequate Screening Caused by a Failure of Administrative Controls," for Quad Citiesdluclear Power Station.
This report is submitted in accordance with the requirements of the Code of Federal Regulations, Title 10, Part 73.71 (a)(4), which requires reporting of any Safeguards Event described in Appendix G, "Reportable Safeguards Events," to this part. The reportable event occurred on January 31, 2003; therefore, this report is due on March 3, 2003.
We are committing to the following actions:
A verification process (for facsimile, email, etc.) that ensures the transfer of all applicable documentation when off-site adjudication is necessary will be created and implemented. Procedure SY-AA-103-502 will be revised to include this verification process.
Procedure SY-AA-103-507 will be revised to require a processing hold be placed for all individuals that have information needing adjudication.
The station will discontinue granting unescorted access to personnel based on temporary background information in accordance with the terms and conditions specified in the NRC's access authorization order dated January 7, 2003. To accomplish this action, procedures SY-AA-103-500 and SY-AA-103-501 will be revised.
Training on the computer system used for the access authorization process will be provided for all Corporate Security Access Reviewers related to security elements. f* '
March 3, 2003 U. S. Nuclear Regulatory Commission Page 2 Any other actions described in the submittal represent intended or planned actions by Exelon Generation Company, LLC. They are described for the NRC's information and are not regulatory commitments.
Should you have any questions concerning this report, please contact Mr. W. J. Beck at (309) 227-2800.
Respectfully, Ti thy J. Tuo Site Vice President Quad Cities Nuclear Power Station cc: Regional Administrator- NRC Region III NRC Senior Resident Inspector - Quad Cities Nuclear Power Station
NRC FORM 366 U.S. NUCLEAR REGULATORY APPROVED BY OMB NO. 3150-0104 EXPIRES 7-31-2004 (7-2001) COMMISSION Estimated burden per response to comply with this mandatory informabon collection request 50 hours5.787037e-4 days <br />0.0139 hours <br />8.267196e-5 weeks <br />1.9025e-5 months <br /> Reported lessons learned are incorporated into the licensing process and fed back to industry. Send comments regarding burden estimate to the Records Management Branch (T-6 E6),
U S Nuclear Regulatory Commission, Washington, DC 20555-0001, or by Internet e-mail to LICENSEE EVENT REPORT (LER) bjs1@nrc gov, and to the Desk Officer, Office of Information and Regulatory Affairs, NEOB-10202 (3150-0104), Office of Management and Budget, Washington, DC 20503 Ifameans used toimpose information collection does not display a currently valid OMB control number, the NRC may not conduct or sponsor, and a person isnot required to respond to, the information collection.
- 1. FACILITY NAME 2. DOCKET NUMBER 3. PAGE Quad Cities Nuclear Power Station Unit 1 05000254 1 of 4
- 4. TITLE Unescorted Protected Area Access Granted Based on Falsified Information and Inadequate Screening Caused by a Failure of Administrative Controls
- 5. EVENT DATE 6. LER NUMBER 7. REPORT DATE 8 OTHER FACILITIES INVOLVED FACILITY NAME DOCKET NUMBER Quad Cities Nuclear 05000265 SEQUENTIAL REV MO DAY YEAR YEAR NUMBER NO MO DAY YEAR Power Staton Unit 2 FACILITY NAME DOCKET NUMBER 01 31 03 03 - S01 - 00 03 03 03 N/A N/A
- 9. OPERATING 11. THIS REPORT IS SUBMITTED PURSUANT TO THE REQUIREMENTS OF 10 CFR §: (Check all that apply)
MODE 1 20 2201 (b) 20 2203(a)(3)(u) 50 73(a)(2)(n)(B) 150 73(a)(2)(ix)(A)
- 10. POWER 20 2201 (d) 20 2203(a)(4) 50 73(a)(2)(iii) 50 73(a)(2)(x)
LEVEL 100 20 2203(a)(1) 50 36(c)(1)(i)(A) 50 73(a)(2)(iv)(A) X 73 71 (a)(4)
. __ 20 2203(a)(2)(i) 50 36(c)(1)(n)(A) 50 73(a)(2)(v)(A) 7371 OTER 5)
" 20 2203(a)(2)(ii) 50.36(c)(2) 50.73(a)(2)(v)(B) Specify in Abstract below or in "202203(a)(2)(m) 50.46(a)(3)(ii) _50.73(a)(2)(v)(C) NRC Form 366A
- ,:,20
, 2203(a)(2)(iv) 50.73(a)(2)(i)(A) _50.73(a)(2)(v)(D)
-, ,
- 20 2203(a)(2)(v) 5073(a)(2)()(B) 50.73(a)(2)(vii)
-_ 20 2203(a)(2)(vi) 50 73(a)(2)(i)(C) 50.73(a)(2)(viii)(A)
- _ _' 20 2203(a)(3)(i) 50 73(a)(2)(fi)(A) 50.73(a)(2)(viii)(B) _ _ _ _ _ _
- 12. LICENSEE CONTACT FOR THIS LER NAME TELEPHONE NUMBER (Include Area Code)
Wally Beck, Regulatory Assurance Manager I(309) 227-2800
- 13. COMPLETE ONE LINE FOR EACH COMPONENT FAILURE DESCRIBED IN THIS REPORT MANU- REPORTABLE MANU- REPORTABLE CAUSE SYSTEM COMPONENT FACTURER TO EPIX I CAUSE SYSTEM COMPONENT FACTURER TO EPIX SBISSOý OTI DAY YEA
- 14. SUPPLEMENTAL REPORT EXPECTED 15. EXPECTED MONTH DAY YEAR iYES (Ifyes, cornplete EXPECTED SUBMISSION DATE) X NO SSUBMISSION DT
- 16. ABSTRACT (Limit to 1400 spaces, I e, approximately 15 single-spaced typewritten lines)
On January 31, 2003, it was identified that an individual had been granted full unescorted access based on a falsified Personal History Questionnaire. The individual's access status was immediately changed to denied.
The root cause of this event was the failure of the adjudication process to identify potentially disqualifying information due to administrative control inadequacies that prevented further screening investigation activities to take place.
The safety significance of this event was minimal. Although the individual worked at Quad Cities Nuclear Power Station as an armed guard for approximately 2.5 months, the individual was not licensed to operate a power reactor, passed a pre-employment fitness-for-duty test, had no prior criminal activity that would indicate a lack of trustworthiness or reliability, and performed no safety-related work. Discussions with cognizant contractor personnel indicated that the individual exhibited favorable work performance. The individual was under the continual behavior observation program and exhibited no aberrant behavior during the period that unescorted access was granted.
This report is being submitted in accordance with 10 CFR 73.71(a) (4), Appendix G to 10 CFR Part 73, and Generic Letter 91-03, "Reporting of Safeguards Events."
NRC FORM 366A (7-2001)
NRC FORM 366A U.S. NUCLEAR REGULATORY COMMISSION V-2001)
LICENSEE EVENT REPORT (LER)
TEXT CONTINUATION FACILITY NAME (1) DOCKET NUMBER 2) LER NUMBER (6) PAGE (3)
YEAR SEQUENTIAL I REVISION NUMBER NUMBER Quad Cities Nuclear Power Station Unit 1 05000254 2003 Sol 00 2 of 4 (If more space is required, use additional copies of NRC Form 366A)(17)
PLANT AND SYSTEM IDENTIFICATION General Electric - Boiling Water Reactor, 2957 Megawatts Thermal Rated Core Power Energy Industry Identification System (EIIS) codes are identified in the text as
[XX].
EVENT IDENTIFICATION Unescorted Protected Area Access Granted Based on Falsified Information and Inadequate Screening Caused by a Failure of Administrative Controls A. CONDITION PRIOR TO EVENT Unit: 1 Event Date: January 31, 2003 Event Time: 1135 hours0.0131 days <br />0.315 hours <br />0.00188 weeks <br />4.318675e-4 months <br /> Reactor Mode: 1 Mode Name: Power Operation Power Level: 100%
Unit: 2 Event Date: January 31, 2003 Event Time: 1135 hours0.0131 days <br />0.315 hours <br />0.00188 weeks <br />4.318675e-4 months <br /> Reactor Mode: 1 Mode Name: Power Operation Power Level: 100%
Power Operation (1) - Mode switch in the RUN position with average reactor coolant temperature at any temperature.
B. DESCRIPTION OF EVENT On September 16, 2002, while completing a Personal History Questionnaire (PHQ) as part of the pre-access authorization screening process for employment at Quad Cities Nuclear Power Station as a security guard, an individual provided false information.
Specifically, the individual answered "no" to a question involving failed drug testing. Based on other potentially disqualifying information in the individual's PHQ, the pre-access authorization process required a screening investigation to be performed by a Corporate Security Access Reviewer (Access Reviewer). An attempt was made to forward the PHQ via a facsimile machine to an Access Reviewer to initiate the investigation; however, the transfer was not monitored, and no verification of receipt was performed. The Access Reviewer did not receive the PHQ and no screening investigation, or adjudication of potentially disqualifying information, was conducted.
On September 19, 2002, due to a misinterpretation of information on the PHQ concerning whether the individual's military discharge was "honorable" or "other than honorable," the individual was granted temporary unescorted access pending receipt of the individual's military record (DD214 form). On November 5, 2002, the DD214 was received. No action was taken at that time.
From November 19, 2002, through December 18, 2002, the individual worked at Quad Cities Nuclear Power Station in an armed capacity (outside of the protected area) under a temporary unescorted access authorization. NRC Order for Interim Safeguards and Security Measures (dated February 25, 2002) requires that all security personnel granted temporary unescorted access be prohibited from carrying a firearm (inside the protected area) as part of their duties.
NRC FORM 366A (7-2001)
NRC FORM 366A U.S. NUCLEAR REGULATORY COMMISSION (7-2001)
LICENSEE EVENT REPORT (LER)
TEXT CONTINUATION FACILITY NAME (1) DOCKET NUMBER (2) LER NUMBER (6) PAGE (3)
YEAR SEQUENTIAL I REVISION NUMBER NUMBER Quad Cities Nuclear Power Station Unit 1 05000254 2003 So1 00 3 of 4 (If more space is required, use additional copies of NRC Form 366A)(17)
On December 18, 2002, it was identified during a review of the DD214 form that no explanation of the "other than honorable" discharge status had been provided. A screening investigation was initiated. However, due to insufficient training in the use of the computer database used to track access authorization, the individual's access was upgraded at this time to full unescorted access. The individual worked both inside and outside the protected area in an armed capacity from December 18, 2002, to January 31, 2003.
On January 31, 2003, during the screening investigation, it was determined that the individual had tested positive for illegal drugs while in the military. The individual's access was immediately placed on denied status.
C. CAUSE OF EVENT The root cause of this event was the failure of the adjudication process to identify potentially disqualifying information due to administrative control inadequacies that prevented further screening investigation activities to take place.
A contributing cause of this event was the failure to formally train security personnel on the use of the computer system used for the access authorization process.
D. SAFETY ANALYSIS The safety significance of this event was minimal. The contractor employee was not licensed under 10 CFR Part 55 to manipulate the controls of Quad Cities Nuclear Power Station. The individual's pre-employment fitness-for-duty testing was negative. Furthermore, the individual had no prior criminal activity that would indicate a lack of trustworthiness or reliability. A work performance investigation revealed that the individual performed no safety-related work and that no threat was posed while the individual worked in the protected and vital areas. Discussions with cognizant contractor personnel indicated that the individual exhibited favorable work performance. The individual was monitored under the continual behavior observation program and exhibited no aberrant behavior during the period that temporary, and full, unescorted access was granted.
E. CORRECTIVE ACTIONS Immediate Actions The access status of the individual was changed to denied.
Corrective Actions to be Completed A verification process (for facsimile, email, etc.) that ensures the transfer of all applicable documentation when off-site adjudication is necessary will be created and implemented. Procedure SY-AA-103-502 will be revised to include this verification process.
Procedure SY-AA-103-507 will be revised to require a processing hold be placed for all individuals that have information needing adjudication.
NRC FORM 366A (7-2001)
NRC FORM 366A U.S. NUCLEAR REGULATORY COMMISSION (7o2001)
LICENSEE EVENT REPORT (LER)
TEXT CONTINUATION FACILITY NAME (1) DOCKET NUMBER (2 LER NUMBER (6 PAGE (3)
YEAR SEQUENTIAL REVISION 05000254 NUMBER NUMBER Quad Cities Nuclear Power Station Unit 1 2003 Sol 00 4 of 4 (If more space is required, use additional copies of NRC Form 366A)(17)
The station will discontinue granting unescorted access to personnel based on temporary background information in accordance with the terms and conditions specified in the NRC's access authorization order dated January 7, 2003. To accomplish this action, procedures SY-AA-103-500 and SY-AA-103-501 will be revised.
Training on the computer system used for the access authorization process will be provided for all Corporate Security Access Reviewers related to security elements.
F. PREVIOUS OCCURRENCES No previous occurrences of this type were identified at Quad Cities Nuclear Power Station.
G. COMPONENT FAILURE DATA There were no component failures associated with this event.
NRC FORM 366A (7-2001)