NRC Generic Letter 1991-03

NRC Generic Letter 1991-003: Reporting of Safeguards Events

ML031140131
Person / Time
Site:	Beaver Valley, Millstone, Hatch, Monticello, Calvert Cliffs, Dresden, Davis Besse, Peach Bottom, Browns Ferry, Salem, Oconee, Mcguire, Nine Mile Point, Palisades, Palo Verde, Perry, Indian Point, Fermi, Kewaunee, Catawba, Harris, Wolf Creek, Saint Lucie, Point Beach, Oyster Creek, Watts Bar, Hope Creek, Grand Gulf, Cooper, Sequoyah, Byron, Pilgrim, Arkansas Nuclear, Braidwood, Susquehanna, Summer, Prairie Island, Columbia, Seabrook, Brunswick, Surry, Limerick, North Anna, Turkey Point, River Bend, Vermont Yankee, Crystal River, Haddam Neck, Ginna, Diablo Canyon, Callaway, Vogtle, Waterford, Duane Arnold, Farley, Robinson, Clinton, South Texas, San Onofre, Cook, Comanche Peak, Yankee Rowe, Maine Yankee, Quad Cities, Humboldt Bay, La Crosse, Big Rock Point, Rancho Seco, Zion, Midland, Bellefonte, Fort Calhoun, FitzPatrick, McGuire, LaSalle, Fort Saint Vrain, Washington Public Power Supply System, Shoreham, Satsop, Trojan, Atlantic Nuclear Power Plant, Clinch River, Crane
Issue date:	03/06/1991
From:	Partlow J G Office of Nuclear Reactor Regulation
To:
References
GL-91-003, NUDOCS 9103010258
Download: ML031140131 (8)

q- -, -;L,NUCLEAR UNITED STATES,NUCLEAR REGULATORY COMMISSIONWASHINGTON, D. C. 2055March 6, 1991TO: ALL HOLDERS OF OPERATING LICENSES OR CONSTRUCTION PERMITS FORNUCLEAR POWER REACTORS AND ALL OTHER LICENSED ACTIVITIES INVOLVINGA FORMULA QUANTITY OF SPECIAL NUCLEAR MATERIAL (SNM).SUBJECT: REPORTING OF SAFEGUARDS EVENTS (GENERIC LETTER 91-03)This generic letter provides an immediate revision to current NRC policyregarding prompt reporting of safeguards events, thereby eliminatingunnecessary prompt reporting of certain safeguards events and reducing theirattendant effect on the NRC Operations Center. The revised position reducesthe reporting burden on licensees and does not impose any new requirements.On June 9, 1987, the NRC revised Section 73.71 of Title 10 of the Code ofFederal Regulations (10 CFR), "Reporting of Safeguards Events." The rulerequires licensees to report significant events to the NRC Operations Centerpromptly, within 1 hour1.157407e-5 days <br />2.777778e-4 hours <br />1.653439e-6 weeks <br />3.805e-7 months <br /> after discovery, and to record certain other safeguardsevents in a log for quarterly reporting to the NRC.The NRC published Revision 1 to Regulatory Guide (RG) 5.62 in November 1987and published NUREG-1304 in February 1988, both titled, "Reporting of SafeguardsEvents," to clarify the rule changes and to provide guidance on reportingsafeguards events.When the NRC published the above guidance, it was anticipated that there wouldbe a need to revise it again based on experience with implementation of therule. During the implementation period, the NRC staff evaluated the safe-guards events reported to the NRC Operations Center based on their safetysignificance and the immediate actions taken by the NRC and the licensees, andthe staff determined that many of the events did not need to be reportedpromptly. Some events were being reported in accordance with NRC guidance thatthe NRC staff has subsequently determined is inappropriate, while othereventswere being reported because the NRC guidance did not provide enough clarity.The NRC staff has initiated an appropriate revision to RG 5.62, which willsupersede NUREG-1304. However, the scope of the proposed revision is muchbroader than prompt safeguards reports. When completed, the revised guidancewill be issued for public comment, and therefore, may not be published for aconsiderable time. Pending completion of the revision to RG 5.62, this genericletter provides interim guidance that should reduce unnecessary reporting tothe NRC Operations Center and reduce the reporting burden on licensees.Enclosure 1 to the generic letter lists examples of safeguards events thatdo not need to be reported promptly to the NRC Operations Center. Unlessotherwise noted, if these events are properly compensated in accordance withRG 5.62 and NUREG-1304, they need only be logged.91_03010258 Z74j S(gt

-2 -Licensees should properly compensate for events listed in Enclosure 1 within10 minutes of discovery by a licensee employee, contractor, or vendor or withinthe time prescribed in the licensee's NRC-approved plan (as stated in RG 5.62).However, if extenuating circumstances prevent compensation within that time,the event need not be reported promptly provided there was no malevolent intent,nothing adverse resulted from the delay, and the licensee takes appropriatemeasures to ensure a more timely response or other necessary action in thefuture. For example, if an individual inadvertently fails to notify securityof a safeguards event in a timely manner, the licensee may still log theevent if the above conditions are met. In these cases, the licensee shouldnote the cause of delay in the log entry.If the licensee determines that unauthorized or undetected access could havebeen gained during any of the enclosed events, the licensee should immediatelyinitiate a thorough search of the affected area for sabotage devices, evidenceof tampering, or persons who may have achieved unauthorized access (as statedin NUREG-1304). The licensee should complete the search as soon as practicable.If additional information is subsequently discovered that establishes the eventas significant, the licensee should report the event to the NRC within 1 hourof discovering the additional information.A significant fitness-for-duty (FFD) event must be reported under the provisionsof 10 CFR 26.73, but need not be reported under Section 73.71. FFD programperformance data must be submitted under the provisions of 10 CFR 26.71(d).In those rare cases where an event with safeguards significance is caused byan FFD event, the FFD aspects must be submitted to the NRC in accordance with10 CFR Part 26, and safeguards aspects reported in accordance with 10 CFR 73.71.When a telephonic report is required by both rules, the licensee need only makeone telephone call to the NRC Operations Center within 1 hour1.157407e-5 days <br />2.777778e-4 hours <br />1.653439e-6 weeks <br />3.805e-7 months <br />. In that case, awritten report of the safeguards aspects must also be submitted within 30 days,as required by 10 CFR 73.71.

Backfit Discussion

The actions in this generic letter are voluntary; no backfit is intended. Thisaction is expected to result in a safety enhancement and a saving of resources.The staff performed an analysis of the type described in 10 CFR 50.109(a)(3)and 50.109(c), and a qualitative determination was made that any attendantcosts are nominal and are balanced by continued savings due to reducedsignificant event reporting.This generic letter consists of guidance and does not require a response.Therefore, an OMB clearance number is not necessary., .

-3 -If you have any questions about this matter, please call the NRC technicalcontact listed below.SincerelJaes G. PartlowAs ociate Director for ProjectsOffice of Nuclear Reactor Regulation

Technical Contact:

Nancy E. Ervin, NRR(301) 492-0946Attachments:1. Examples of Safeguards Events ThatDo Not Need To Be Reported to the NRCWithin One Hour of Discovery2. List of Recently Issued Generic Letters

,P T-)EXAMPLES OF SAFEGUARDS EVENTS THAT DO NOT NEEDTO BE REPORTED TO THE NRC WITHIN 1 HOUR OF DISCOVERYThe following are examples of events that can be logged if they are properlycompensated in accordance with existing approved guidance (i.e., RG 5.62 andNUREG-1304) or by the relaxed guidance in this generic letter. (Specificfactors that could change reportability are addressed with the applicableexample.)'o A design flaw or vulnerability in a'protected area (PA), controlledaccess area (CM), material access area (MM), or vital area (VA)safeguards barrier.o A failed compensatory measure such as inattentive or sleeping securitypersonnel, or equipment that fails after being successfully establishedas an effective compensatory measure for a degraded security system. Ifsecurity personnel are ineffective because of alcohol or drugs, thesecurity degradation can be logged under 10 CFR 73.71, and the positiveresults of the for-cause test included in the data submitted to the NRCunder 10 CFR 26.71(d).0' Discovery of contraband inside the PA that is not a significant threat.For example, such a condition could be the discovery of a few bullets.If contraband is found in a vehicle located in a parking lot outside thePA, normally no report or-log entry is required. If it constitutes athreat or attempted threat, a report is'required within 1 hour1.157407e-5 days <br />2.777778e-4 hours <br />1.653439e-6 weeks <br />3.805e-7 months <br /> as currentlystated in RG 5.62 and NUREG-1304.o Compromise (including loss or theft) of safeguards.information that couldnot significantly assist an individual in-gaining unauthorized orundetected access to a facility, or would not significantly assist anindividual in an act of radiological sabotage or theft of SKM.Loss of all ac power supply to security systems, or loss of all computersystems provided adequate compensatory measures can be maintained untilsystems are restored. Further, ifWa power loss or computer failure couldnot enable unauthorized or undetected access, no report or log entry isrequired. For example, a computer failure would not require reportingif it is negated by an automatic switchover to a functioning backupcomputer without a time delay. Also, momentary loss of lighting causedby a power interruption would not require reporting if the loss could nothave allowed undetected or unauthorized access.'Enclosure 1 To Generic Letter 91- 03

-2 -o Partial failure of an otherwise satisfactory access authorization oraccess control program. The following are examples of partial failures:-A vendor who, has been cleared and authorized to receive a badgepermitting unescorted access to protected and vital areasinadvertently enters the PA through a vehicle gate before beingsearched and issued a badge. The licensee discovers the event,searches the individual, Issues a badge and takes corrective actionto prevent recurrence.-Search equipment fails and the licensee does not detect the failure,thereby allowing unsearched individuals to enter the PA. Individualsare not authorized PA entry without the proper search under theprovisions of 1O CFR 73.46(d)(4)(i) and 10 CFR 73.55(d)(1). If thelicensee discovers search equipment failure before anyone goes throughunsearched, and the licensee immediately uses other equipmentavailable with the same capability (such as hand-held or walk-throughsearching devices), no report or log entry is required.An individual who is required to have an escort for a particular areainadvertently becomes separated from his or her escort but the escortor another person authorized unescorted access recognizes the situationand corrects it. Further, if an individual separates from his or herescort to use a rest room which has limited means of egress and theescort remains nearby and has full view of the egress area, no reportor log entry is required.An employee of a licensee or contractor enters a VA improperly withoutrealizing that the card reader is processing a preceding employee'scard, or the employee walks in behind another employee without usinga key card. This event can be logged even if the employee was notauthorized access to any VA, if the improper entry was inadvertent orwithout malevolent intent.-An individual enters a VA to which he or she is authorized unescortedaccess by inadvertently using an'access control medium (key card orbadge) intended for another individual who also is authorized unescortedaccess to the area.-An individual authorized only PA access is incorrectly issued abadge granting VA access, but does not enter any VAs or does notenter any VAs with malevolent intent. Further, if an individual isincorrectly issued a badge, but cannot reasonably use it becausehe or she does not know a personal identification number (PIN)needed to enter the PA, the event need not be reported or logged ifit is promptly discovered and corrected.

-3 -Improper control (to include loss or offsite removal) of access controlmedia, including picture badges, keys, key cards or access controlcomputer codes, that could be used to gain unauthorized or undetectedaccess. Proper compensation includes preventing successful use of themedium and initiation of measures to determine if the medium was usedduring the period it was lost or offsite. If the licensee determinesthat the medium was used during this period, the licensee should reportthe event to the NRC within 1 hour1.157407e-5 days <br />2.777778e-4 hours <br />1.653439e-6 weeks <br />3.805e-7 months <br /> from the time the use was discovered.If the licensee determines that the medium could not have been used togain unauthorized or undetected access, the licensee does not have toreport or log the event. Situations of this type could include thefollowing: if the authorized individual only momentarily takes abadge outside of the PA, and the event is immediately discovered andcorrected by return of the badge before a compromise could occur; if abadge or key is only momentarily misplaced and the event is discoveredand corrected before anyone could reasonably use the device for entry;or if a badge is automatically deleted from the system when takenoffsite, a new badge with a different access code is issued to theindividual involved upon reentry, and the previous access code is notused in another badge.Card reader failure that causes VA doors to unlock in the openposition or to lock in the closed position but with no functioningdoor alarm. Further, if card reader failure causes VA doors to lockin the closed position and the door alarms function properly, noreport or log entry is required, provided that proper access controlmeasures are implemented before allowing individuals into the vitalareas.Incomplete preemployment screening records (to include falsificationof a minor nature), or inadequate administration, control orevaluation of psychological tests. Unescorted access of the indivi-dual may need to be cancelled or suspended until the identified anomalyis resolved. If the licensee determines that unescorted access wouldhave been denied based on developed information, a 1-hour report isrequired after discovery of the new information, as currently statedin RG 5.62 and NUREG-1304.

LIST OF. RECENTLY ISSUED GENERIC LETTERSGenericLetter No...Date ofSubject IssuanceIssued To91-03REPORTINGEVENTSOF SAFEGUARDS03/06/91ALL HOLDERS OF OLsOR CPs FOR NUCLEARPOWER REACTORS ANDALL OTHER LICENSEDACTIVITIES INVOLVINGA FORMULA QUANTITYOF SPECIAL NUCLEARMATERIAL (SNM)91-02REPORTING MISHAPS INVOLVINGLLW FORMS PREPARED FORDISPOSALREMOVAL OF THE SCHEDULE FORTHE WITHDRAWAL OF REACTORVESSEL MATERIAL SPECIMENSFROM TECHNICAL SPECIFICATIONS12/28/9001/04/91ALL OPERATORS OFLOW-LEVEL RADIO-ACTIVE WASTE (LLW)DISPOSAL SITES,WASTE PROCESSORS,& ALL HOLDERS OFLICENSES FOR NUCLEARFUELS, NUCLEARMATERIALS & NUCLEARPOWER REACTORSALL HOLDERS OF OLsOR CPs FOR NUCLEARPOWER PLANTS91-0190-09ALTERNATIVE REQUIREMENTS FORSNUBBER VISUAL INSPECTIONINTERVALS AND CORRECTIVEACTIONS12/11/90ALL LIGHT-WATERREACTOR LICENSEESAND APPLICANTS89-10SUPP. 390-0890-0789-10SUPP. 2CONSIDERATION OF THE RESULTSOF NRC-SPONSORED TESTS OFMOTOR-OPERATED VALVESSIMULATION FACILITYEXEMPTIONSOPERATOR LICENSING NATIONALEXAMINATION SCHEDULEAVAILABILITY OF PROGRAMDESCRIPTIONS10/25/9008/10/9008/10/9008/03/90ALL LICENSEES OFOPERATING-NUCLEARPOWER PLANTS ANDHOLDERS OF CONSTRUC-TION PERMITS FORNUCLEAR POWER PLANTSALL HOLDERS OFOPERATING LICENSESOR CONSTRUCTIONPERMITS FOR NUCLEARPOWER REACTORSALL POWER REACTORLICENSEES ANDAPPLICANTS FOR ANOPERATING LICENSEALL LICENSEES OFOPERATING NPPs ANDHOLDERS OF CPs FORNPPs

• -*- 3 --3-If you have any questions about this matter, please call the NRC technicalcontact listed below.Sincerely,Original signed byJames G. PartlowJames G. PartlowAssociate Director for ProjectsOffice of Nuclear Reactor Regulation

Technical Contact:

Nancy E. Ervin, NRR(301) 492-0946Attachments:1. Examples of Safeguards Events ThatDo Not Need To Be Reported to the NRCWithin One Hour of Discovery2. List of Recently Issued Generic LettersDISTRIBUTION:SGBF 7fDRIS r/fCentral FilesNRC PDRNErvinCRGR agrees that the generic letter does not require formal review byCRGR-JConran (note from PMcKee dtd 1/28/91)*Concurrence received from all offices through NMSS.Package subsequently lost in mail between NMSS andADT:NRR9103010258OFC :R90 B:NRR :RSGB:NRR :TECH EDITOR :RSGB:NRR :D:DRIS:NRR :OGC:NAME :NErvin*:bjp :LBush* :JMain* :PMcKee* :BGrimes* :RFonner*DATE :12/ /90 :12/ /90 :12/ /90 :12/ /90 :12/ /90 :12/ /90OFC :OGCB:DOEA:NRR :NMSS :ADT:NR -:ADP:NRRA X:______ ________ ______-__ ____-- ------- t-1 -------------- -------------NAME :CBerlinger* :RBurnett* :WRussell :JGPartlow______ ________________- ______________- ____ _ __ _ _ ------ ---:-- ----- -------------- -------------DATE :121 /90 :12/ /90 :N/am 91 I E T /91OfFItCIAL RECORD COPY Document Name: IN REPORTING OF SG EVEP'TS