ML090430136

LER 08-S01-00 for Catawba, Units 1 and 2 Regarding Contract Worker Granted Unescorted Access Authorization Based Upon Erroneous Psychological Assessment Information

ML090430136
Person / Time
Site:	Catawba
Issue date:	02/09/2009
From:	Morris J Duke Energy Carolinas
To:	Document Control Desk, Office of Nuclear Reactor Regulation
References
LER 08-S01-00
Download: ML090430136 (9)

Text

Duke Energy Carolinas JAMES R. MORRIS, VICE PRESIDENT Duke Energy Carolinas, LLC Catawba Nuclear Station 4800 Concord Road / CNOl VP York, SC 29745 803-701-4251 803-701-3221.fax February 9, 2009 U.

S.

Nuclear Regulatory Commission Washington, DC 20555-0001 ATTENTION:

Document Control Desk

Subject:

Duke Energy Carolinas, LLC (Duke)

Catawba Nuclear Station, Units 1 and 2 Docket Nos.

50-413 and 50-414 Security Special Report 413/2008-S01, Rev.

0 Pursuant to 10 CFR 73.71 Sections (b) (1) and Appendix G-I (b),

attached is a Security Special Report 413/2008-S01, Rev.

0 concerning a contract worker being granted unescorted access authorization based upon erroneous psychological assessment information.

This Security Special Report does not contain any regulatory commitments. This event is considered to be of no significance with respect to the health and safety of the public.

Questions regarding this Security Special Report should be directed to A.

P.

Jackson at (803) 701-3742.

Very truly you s, Jaes R. Morris Attachment

---Dc2LP www. duke-energy. com

Document Control Desk February 9, 2009 Page 2 xc: w/attachments Luis A.

Reyes Regional Administrator, Region II U.S.

Nuclear Regulatory Commission 61 Forsyth Street, S.W.,

Suite 23T85

Atlanta, GA 30303-8931 J.

H. Thompson, Senior Project Manager (CNS & MNS)

U.

S.

Nuclear Regulatory Commission 11555 Rockville Pike Mail Stop 8G9A Rockville, MD 20852-2738 A.

T.

Sabisch NRC Senior Resident Inspector Catawba Nuclear Station INPO Records Center 700 Galleria Place

Atlanta, GA 30339-5957 Marsh & McLennan, Inc.

K.W.

Gannaway 100 N. Tryon Street Charlotte, NC 28202

Document Control Desk February 9, 2009 Page 3 bxc: w/attachments J.

R.

Morris (CN01VP)

T.

M. Hamilton (CN01SA)

T.

T.

Lowery, Jr.

(CN01SC)

W. T.

Byers III (CN01SC)

R.

D. Hart (CN01RC)

R.

L.

Gill (EC05P)

P.

R. Fowler (EC03P)

Catawba Document Control File: 801.01 CN04DM Catawba RGC Date File ELL-EC050 NCMPA-I NCEMC PMPA

NRC FORM 366 U.S. NUCLEAR REGULATORY APPROVED BY OMB: NO. 3150-0104 EXPIRES: 08/31/2010 (9-2007)

COMMISSION Estimated burden per response to comply with this mandatory 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 and FOIA/Privacy Service Branch LICENSEE EVENT REPORT (LER)

(T-5 F52), U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001, or by internet e-mail to infocollects@nrc.gov, and to the Desk Officer, Office of Information and Regulatory Affairs, NEOB-1 0202, (3150-0104), Office of Management and Budget, Washington, DC 20503.

See reverse for required numberiof If a means used to impose an information collection does not display a currently valid OMB digits/characters for each block) control number, the NRC may not conduct or sponsor, and a person is not required to respond I to. the information collection.

1. FACILITY NAME

2. DOCKET NUMBER j 3. PAGE Catawba Nuclear Station, Unit.1 05000 413[

1 OF 6

4. TITLE Contract Worker Granted Unescorted Access Authorization Based Upon Erroneous Psychological Assessment Information.

5. EVENT DATE

6. LER NUMBER T

7. REPORT DATE

8. OTHER FACILITIES INVOLVED I

FACILITY NAME DOCKET NUMBER SEQUENTIAL REV Catawba Unit 2 050004t4 MO DAY YEAR YEAR NUMBER NO MO DAY YEAR 05000 414 j

FACILITY NAME DOCKET NUMBER 12 11 2008 2008 S01 0

02 0 9 2009

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)(ii) 50.73(a)(2)(ii)(B) 50.73(a)(2)(ix)(A)

10. POWER 20.2201 (d) 20.2203(a)(4) 50.73(a)(2)(iii) 50.73(a)(2)(x)

LEVEL 1 00%

20.2203(a)(1) 50.36(c)(1 )(i)(A) 50.73(a)(2)(iv)(A) 73.71 (a)(4) 20.2203(a)(2)(i) 50.36(c)(1)(ii)(A) 50.73(a)(2)(v)(A) 73.71 (a)(5) 20.2203(a)(2)(ii) 50.36(c)(2) 50.73(a)(2)(v)(B)

OTHER

")

Specify in Abstract below 20.2203(a)(2)(iii) 50.46(a)(3)(ii) 50.73(a)(2)(v)(C)

X or in 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) 50.73(a)(2)(i)(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)(ii)(A) 50.73(a)(2)(viii)(B)

12. LICENSEE CONTACT FOR THIS LER NAME I TELEPHONE NUMBER (Include Area Code)

Anthony P.

Jackson -

Regulatory Compliance 803-701-3742

13. COMPLETE ONE LINE FOR EACH COMPONENT FAILURE DESCRIBED IN THIS REPORT MANU-REPORTABLE

,MANU-REPORTABLE CAUSE SYSTEM COMPONENT FACTURER TO EPIX CAUSE SYSTEM COMPONENT FA CTURER TO EPIX

14. SUPPLEMENTAL REPORT EXPECTED

15. EXPECTED MONTH DAY YEAR SUBMISSION (If yes, complete 15. EXPECTED SUBMISSION DATE).

X NO DATE

16. ABSTRACT (Limit to 1400 spaces, i.e., approximately 15 single-spaced typewritten lines)

A vendor contract worker (CW1) was granted unescorted access authorization on 12/1/08 based upon erroneous psychological assessment information.

Following the granting of unescorted.access and being allowed Protected Area access at Catawba, it was discovered on 12/11/08 that the worker should have been denied access due to a failed psychological screening.

The Vendor Screening Company (VSC) discovered the error during a routine monthly audit of the November 2008 files and contacted Duke's Access Services Group.

The individual accessed the site on the following dates: 12/1, 12/2, 12/4, 12/5, 12/8, and 12/9/08.

However, based upon information from the security computer, CW1 had no access to and did not enter any vital areas of the site.

This event does not involve any human error or programmatic failure on the part of security personnel at Catawba or Access Services personnel at the Duke Energy General Offices.

This event is reportable per 10CFR 73.71(b) (1) and Appendix G-I (b).

NRC FORM 366 (9-2007)

NRC FORM 366AU.S. NUCLEAR REGULATORY COMMISSION (1-2001)LICENSEE EVENT REPORT (LER)

DOCKET (2)

FACILITY NAME (1)

NUMBER (2)

LER NUMBER.(6)

PAGE (3)

SEQUENTIAL REVISION YEAR NUMBER NUMBER Catawba Nuclear Station, Unit 1 05000413 2008 S01 00 2

OF 6 NARRATIVE (If more space is required, use additional copies of NRC Form 366A) (17)

BACKGROUND Catawba Nuclear Station (CNS),

Units 1 and 2 are Westinghouse Pressurized Water Reactors [EIIS: RCT].

At the time this event was identified, Unit 1 and Unit 2 were both operating in Mode 1, Power Operation.

Duke Energy out-sources some of the background elements for Unescorted Access Authorization (UAA) screenings to approved vendor companies that have demonstrated the ability to meet regulatory and industry requirements.

Duke has contracted with the Vendor Screening Company (VSC) to evaluate the Minnesota Multiphasic Personality Inventory (MMPI) and clinical assessments, and to provide certification of their assessment findings to Access Services.

This out-sourcing is a standard industry practice.

EVENT DESCRIPTION Approx.

1640 hours0.019 days <br />0.456 hours <br />0.00271 weeks <br />6.2402e-4 months <br /> on 12/11/08, Psychologist 1 notified Access Services that a contract worker (CWl) had not passed the MMPI/clinical assessment, and that they had sent the wrong certification document to Access. Services.

The VSC discovered this problem during a routine audit/validation of their "Administrative Processing" files.

VSC's investigation revealed the following:

On 11/20/08 Psychologist 2 determined that CWl should not be granted access based on information from the MMPI test and interview findings.

Psychologist 2 faxed his rejection recommendation to Psychologist 1. A VSC employee misread the fax from Psychologist 2 and erroneously prepared a psychological acceptance letter for Psychologist l's approval.

Psychologist 1 failed to recognize the administrative error and approved the erroneous approval letter, which was then faxed to Duke Access Services.

At Approx.

1641 hours0.019 days <br />0.456 hours <br />0.00271 weeks <br />6.244005e-4 months <br />, Access Services notified CNS Security to place CW1's badge on Security Clearance Hold.

CW1's security badge was immediately placed on Security Clearance Hold in the Video Badging Network (VBN) system, pending evaluation.

This status prevented CWI from gaining access to the CNS Protected Area.

In Addition, his badge was placed on "Administrative Hold" in the PersQnnel Access Data System (PADS).

NRC FORM 366A (1-2001)

NRC FORM 366AU.S. NUCLEAR REGULATORY COMMISSION (1-2001)LICENSEE EVENT REPORT (LER)

DOCKET (2)

FACILITY NAME (1)

NUMBER (2)

LER NUMBER (6)

PAGE (3)

SEQUENTIAL REVISION YEAR NUMBER NUMBER Catawba Nuclear Station, Unit 1 05000413 2008 S01 00 3

OF 6

NARRATIVE (If more space is required, use additional copies of NRC Form 366A) (17)

Approx.

1645 hours0.019 days <br />0.457 hours <br />0.00272 weeks <br />6.259225e-4 months <br />, the Access Services Manager was notified of the situation by phone, and that based on the information available, this appeared to meet the 1 hour1.157407e-5 days <br />2.777778e-4 hours <br />1.653439e-6 weeks <br />3.805e-7 months <br /> reportability criteria.

Approx.

1650, Access Services called CNS Security and described the problem, and that it, appeared this met the 1 hour1.157407e-5 days <br />2.777778e-4 hours <br />1.653439e-6 weeks <br />3.805e-7 months <br /> Report criteria.

CNS Security initiated actions to prepare the NRC 1-Hour Report.

Approx.

0820 hours0.00949 days <br />0.228 hours <br />0.00136 weeks <br />3.1201e-4 months <br /> on 12V12/08, the Access Services Reviewing Official communicated the UAA denial decision to CW1, and his security badge was terminated and denial flags placed in VBN and PADS.

CAUSAL FACTORS Apparent Cause:

This event was caused by human performance errors by an off-site approved vendor company.

The apparent cause appears to be a combination of inattention to detail, and failure to verify/self-check prior to providing Access Services with MMPI/clinical assessment results.

Culpable Group: Off-Site Vendor Screening Company (VSC)

Extent of Condition:

No other similar events are known or identified by Access Services or VSC.

This is considered an isolated human performance error by a contractor who has been providing quality work to *Duke Energy since 1998.

CORRECTIVE ACTIONS:

Immediate:

1.

CW1's security badge was immediately placed on Security Clearance Hold on 12/11/08, pending evaluation.

This status prevented CW1 from gaining access to CNS Protected Area.

2.

CW1's badge was placed on "Administrative Hold" in PADS on 12/11/08.

NRC FORM 366A (1-2001)

NRC FORM 366AU.S. NUCLEAR REGULATORY COMMISSION (1-2001)

LICENSEE EVENT REPORT (LER)

DOCKET (2)

FACILITY NAME (1)

NUMBER (2)

LER NUMBER (6)

PAGE (3)

SEQUENTIAL REVISION YEAR NUMBER NUMBER

,Catawba Nuclear Station, Unit 1 05000413 2008 S01 00 4

OF 6

NARRATIVE (If more space is required, use additional copies of NRC Form 366A) (17)

3.

Notifications were made to Access Services Management and CNS Security Management on 12/11/08.

4.

CNS initiated a 1 hour1.157407e-5 days <br />2.777778e-4 hours <br />1.653439e-6 weeks <br />3.805e-7 months <br /> report to the NRC on 12/11/08.

.5.

VSC faxed a revised letter to Access Services indicating rejection status for CW1 on 12/12/08.

6.

CWl's security badge was terminated on 12/12/08.

7.

CWl was notified that he was being denied access authorization on 12/12/08.

8.

CWI's record was flagged as a denial in VBN on 12/12/08.

9.

CWl's record was flagged as a denial in PADS on 12/12/08.

Subsequent:

1. Obtained detailed statement from Psychologist 1 at VSC regarding their:

Description of the event Immediate corrective actions

.Long term corrective actions

2.

Access Services worked with Psychologist 1 at VSC to evaluate their internal processes and corrective actions. As a result, VSC states that the following changes to their processes were implemented:

a) Initiated a review of all records currently contained in their "Administrative Processing" files.

No other instances of misclassification were identified during this review.

b) Included an additional step in which VSC immediately notifies Access Services when a Rejection recommendation is received from the interviewing psychologist.

c) Added an additional review process before Psychologist l's initial review of a person's MMPI results.

d) Included an additional review process before Psychologist l's review and signing of the letter sent to Access Services.

NRC FORM 366A (1-2001)

NRC FORM 366AU.S. NUCLEAR REGULATORY COMMISSION (1-2001)

LICENSEE EVENT REPORT (LER)

DOCKET (2)

FACILITY NAME (1)

NUMBER (2)

LER NUMBER (6)

PAGE (3)

SEQUENTIAL REVISION YEAR NUMBER NUMBER Catawba Nuclear Station, Unit 1 05000413 2008 S01 00 5

OF 6

NARRATIVE (If more space is required, use additional copies of NRC Form 366A) (17) e) VSC provided each interviewing psychologist with a set of two rubber stamps (reading "Accept" and "Reject", respectively).

Interviewing psychologists have been instructed to imprint each report with the applicable stamp, before sending it to VSC.

Planned:

1.

Duke's Audit Group (INOS Procurement Quality) will conduct a review of VSC's processes and Corrective Actions in 2009.

(Note: VSC is included in the Nuclear Energy Institute annual audit process.)

This corrective action is captured in the CNS corrective action program.

There were no programmatic errors or concerns identified during this evaluation.

The event investigation reflects that the process in place at DukeEnergy is in compliance with requirements in the Duke Energy Nuclear Security Plan and NEI 03-01, "Nuclear Power Plant Access Authorization Program".

SAFETY ANALYSIS There was no safety significance associated with this event as the investigation of this event did not indicate any malevolent intent on the part of the individuals involved to harm plant equipment.

The contract employee did not have authorized access to vital areas and did not enter into any vital areas. This event did not result in any uncontrolled releases of radioactive material, personnel injuries, or radiation over exposure.

The health and safety of the public were not affected by this event.

ADDITIONAL INFORMATION Operating Experience Database (OEDB)

Search:

A search of the Duke Energy OEDB and the Problem Investigation Process (PIP) databases for all Duke nuclear sites produced no similar events.

Dates of search were from December 1, 2006 until December 1, 2008.

Based upon this determination, the event described in this report is not a recurring event across the Duke nuclear system.

This event did not involve an equipment NRC FORM 366A (1-2001)

N~RC FORM 366AU.S. 'NUCLEAR REGULATORY COMMISSION (1-2001)

LICENSEE EVENT REPORT (LER)

DOCKET (2)

FACILITY NAME (1)

NUMBER (2) -LER NUMBER (6)

PAGE (3)

SEQUENTIAL REVISION YEAR NUMBER NUMBER_

Catawba Nuclear. Station, Unit 1 105000413 12008

-Sol 00 6

OF 6 NARRATIVE (If more space is required, use additional copies of NRC Form 366A) (17) failure and is not considered reportable to the Equipment Performance and Information Exchange (EPIX) program.

NRC FORM 366A (1-2001)