ML993630051

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LER 99-S004-00, Intentionally Falsifying Documentation Results in Unauthorized Unescorted Access, on 11/18/99. with Letter Dated 12/20/99
ML993630051
Person / Time
Site: Cook American Electric Power icon.png
Issue date: 12/20/1999
From: Bakken A, Depuydt M
Indiana Michigan Power Co
To:
NRC/OCIO/IMD/RMB
References
-RFPFR LER 99-S04-00
Download: ML993630051 (4)


Text

Indiana

==

Michigan

==

Power

==

Company

==

Cook

==

NudearPlant

==

One

==

Cook

==

Pbnt

==

Br

==

nan,

==

MI49106

==

616

==

465

==

5901

==

INDIANA

==

MICHIGAN

==

POWER

==

December

==

20,1999

==

United

==

States

==

Nuclear

==

Regulatory

==

Commission

==

Document

==

Control

==

Desk

==

Washington,

==

DC

==

20555

==

Operating

==

License

==

DPR-58

==

Docket

==

No.

==

50-315

==

Document

==

Control

==

Manager:

==

In

==

accordance

==

with

==

the

==

criteria

==

established

==

by

==

10

==

CFR

==

73,

==

Appendix

==

G,

==

paragraph

==

I

==

(b)

==

and

==

10CFR73.71

==

(d),

==

the

==

following

==

interim

==

report

==

is

==

being

==

submitted:

==

LER

==

315/99-S004-00,

==

"Intentionally

==

Falsifying

==

Documentation

==

Results

==

in

==

Unauthorized

==

Unescorted

==

Access".

==

No

==

new

==

commitments

==

were

==

identified

==

in

==

this

==

submittal.

==

Sincrely,&

==

A.

==

Christopher

==

Bakken,

==

III

==

Site

==

Vice

==

President

==

/mbd

==

Attachment

==

c:

==

J.

==

E.

==

Dyer,

==

Region

==

III

==

R.

==

C.

==

Godley

==

D.

==

Hahn

==

W.J.

==

Kropp

==

R.

==

P.

==

Powers

==

R.

==

Whale

==

Records

==

Center,

==

INPO

==

NRC

==

Resident

==

Inspector

==

AEPA

==

inAmerica's

==

Eneig;'

==

Partner.

==

NRC

==

FORM

==

366

==

U.S.

==

NUCLEAR

==

REGULATORY

==

COMMISSION

==

APPROVED

==

BY

==

OMB

==

NO.

==

3150-0104

==

EXPIRES

==

06/30/2001

==

(6-1998)

==

LICENSEE

==

EVENT

==

REPORT

==

(LER)

==

Estimated

==

request:

==

collection

==

burden

==

50perhrs.

==

response

==

to

==

comply

==

with

==

this

==

mandatory

==

information

==

Reported

==

lessons

==

learned

==

are

==

incorporated

==

into

==

the

==

licensing

==

process

==

and

==

fed

==

back

==

to

==

industry.

==

Forward

==

comments

==

regarding

==

burden

==

(See

==

reverse

==

for

==

required

==

number

==

of

==

estimate

==

to

==

the

==

Records

==

Management

==

Branch

==

(T-6

==

F33),

==

U.S.

==

Nuclear

==

Regulatory

==

Commission,

==

Washington,

==

DC

==

20555-0001,

==

and

==

to

==

the

==

Paperwork

==

Reduction

==

digits/characters

==

for

==

each

==

block)Project

==

(3150-0104),

==

Office

==

of

==

Management

==

and

==

Budget,

==

Washington,

==

DC

==

20503.

==

If

==

an

==

information

==

collection

==

does

==

not

==

display

==

a

==

currently

==

valid

==

OMB

==

control

==

number,

==

the

==

NRC

==

may

==

not

==

conduct

==

or

==

sponsor,

==

and

==

a

==

person

==

is

==

not

==

required

==

to

==

respond

==

to,

==

the

==

information

==

collection.

==

FACILITY

==

NAME

==

(1)

==

DOCKET

==

NUMBER

==

(2)

==

PAGE

==

(3)

==

Cook

==

Nuclear

==

Plant

==

Unit

==

1

==

05000-315

==

1

==

OF

==

3

==

TITLE

==

(4)

==

Intentionally

==

Falsifying

==

Documentation

==

Results

==

in

==

Unauthorized

==

Unescorted

==

Access

==

EVENT

==

DATE

==

(5)

==

LER

==

NUMBER

==

(6)

==

REPORT

==

DATE

==

(7)

==

OTHER

==

FACILITIES

==

INVOLVED

==

(8)

==

MONTH

==

DAY

==

YEAR

==

YEAR

==

SEQUENTIAL

==

REVISIO

==

MONTH

==

DAY

==

YEAR

==

FACILITY

==

NAME

==

DOCKET

==

NUMBER

==

NUMBER

==

N

==

Cook

==

Nuclear

==

Plant

==

Unit

==

2

==

05000-316

==

11

==

18

==

1999

==

1999

==

S004

==

00

==

12

==

20

==

1999

==

FACILITY

==

NAME

==

DOCKET

==

NUMBER

==

OPERATING

==

-

==

THIS

==

REPORT

==

IS

==

SUBMITTED

==

PURSUANT

==

TO

==

THE

==

REQUIREMENTS

==

OF

==

10

==

CFR

==

§:

==

(Check

==

one

==

or

==

more)

==

(11)

==

MODE

==

(9)

==

20.2201(b)

==

20.2203(a)(2)(v)

==

50.73(a)(2)(i)

==

50.73(a)(2)(viii)

==

POWER

==

I

==

0%

==

20.2203(a)(1)

==

20.2203(a)(3)(i)

==

50.73(a)(2)(ii)

==

50.73(a)(2)(x)

==

LEVEL

==

(10)

==

20.2203(a)(2)(i)

==

20.2203(a)(3)(ii)

==

50.73(a)(2)(ii)

==

-73.71

==

20.2203(a)(2)(ii)

==

20.2203(a)(4)

==

50.73(a)(2)(iv)

==

OTHER

==

20.2203(a)(2)(ii)

==

5.36(c)(1)

==

50.73(a)(2)(v)

==

Specify

==

inAbstract

==

below

==

or

==

20.2203(a)(2)(iv)

==

50.36(c)(2)

==

50.73(a)(2)(vii)

==

i

==

NRC

==

Form

==

366A

==

LICENSEE

==

CONTACT

==

FOR

==

THIS

==

LER

==

(12)

==

NAME

==

TELEPHONE

==

NUMBER

==

(include

==

Area

==

Code)

==

Ms.

==

MB

==

Depuydt,

==

Regulatory

==

Compliance

==

T

==

P(616)

==

465-5901

==

X

==

1589

==

COMPLETE

==

ONE

==

LINE

==

FOR

==

EACH

==

COMPONENT

==

FAILURE

==

DESCRIBED

==

IN

==

THIS

==

REPORT

==

(13)

==

YES

==

(If

==

yes,

==

complete

==

EXPECTED

==

SUBMISSION

==

DATE).

==

ABSTRACT

==

(Limit

==

to

==

1400

==

spaces,

==

i.e.,

==

approximately

==

15

==

single-spaced

==

typewritten

==

lines)

==

(16)

==

On

==

September

==

16,

==

1999,

==

unescorted

==

access

==

was

==

granted

==

to

==

an

==

individual

==

based

==

upon

==

information

==

provided

==

under

==

a

==

temporary

==

background

==

check.

==

On

==

November

==

18,

==

1999,

==

fingerprint

==

information

==

was

==

received

==

which

==

led

==

the

==

licensee

==

to

==

the

==

conclusion

==

that

==

the

==

individual

==

would

==

not

==

have

==

been

==

granted

==

unescorted

==

access,

==

due

==

to

==

the

==

falsification

==

of

==

information.

==

This

==

was

==

determined

==

to

==

be

==

reportable

==

as

==

an

==

actual

==

entry

==

of

==

an

==

unauthorized

==

person

==

into

==

a

==

protected

==

area.

==

An

==

Emergency

==

Notification

==

System

==

(ENS)

==

one-hour

==

report

==

under

==

10CFR73.71

==

was

==

made

==

at

==

1222

==

hours

==

EDT

==

on

==

November

==

18,

==

1999.

==

The

==

cause

==

of

==

this

==

event

==

was

==

personnel

==

error

==

for

==

failing

==

to

==

recognize

==

the

==

disparity

==

between

==

social

==

security

==

numbers

==

(SSN)

==

upon

==

receipt

==

of

==

the

==

individual's

==

credit

==

history

==

check

==

results.

==

The

==

individual's

==

badge

==

was

==

placed

==

on

==

hold

==

upon

==

receipt

==

of

==

the

==

criminal

==

history

==

check

==

and

==

unescorted

==

access

==

was

==

denied

==

on

==

November

==

18,

==

1999.

==

Changes

==

were

==

implemented

==

to

==

insure

==

that

==

the

==

Integrated

==

Nuclear

==

Security

==

System

==

(INSS)

==

and

==

PADS

==

are

==

checked

==

for

==

both

==

the

==

claimed

==

SSN

==

and

==

the

==

person's

==

name.

==

SSNs

==

will

==

be

==

verified

==

throughout

==

the

==

background

==

report

==

as

==

well

==

as

==

on

==

the

==

credit

==

report.

==

The

==

individual

==

had

==

been

==

authorized

==

Protected

==

Area

==

only

==

unescorted

==

access.

==

A

==

review

==

of

==

work

==

showed

==

that

==

badged

==

co-workers

==

and

==

the

==

supervisor

==

monitored

==

the

==

individual's

==

duties,

==

which

==

were

==

non-technical

==

in

==

nature.

==

A

==

report

==

from

==

the

==

security

==

computer

==

system

==

identified

==

the

==

individual

==

accessed

==

the

==

Protected

==

Area

==

on

==

five

==

separated

==

occasions

==

from

==

September

==

17,

==

1999

==

to

==

November

==

11,

==

1999.

==

Since

==

the

==

individual

==

did

==

not

==

have

==

access

==

to

==

vital

==

areas,

==

there

==

were

==

minimal

==

implications

==

to

==

the

==

health

==

and

==

safety

==

of

==

the

==

public

==

as

==

a

==

result

==

of

==

this

==

event.

==

NRC

==

FORM

==

366

==

(6-1998)

==

NRC

==

FORM

==

366A

==

U.S.

==

NUCLEAR

==

REGULATORY

==

COMMISSION

==

(6-1998)

==

LICENSEE

==

EVENT

==

REPORT

==

(LER)

==

TEXT

==

CONTINUATION

==

FACILITY

==

NAME

==

(1)

==

DOCKET

==

(2)

==

LER

==

NUMBER

==

(6)

==

PAGE

==

(3)

==

NUMBER

==

(2)

==

Cook

==

Nuclear

==

Plant

==

Unit

==

1

==

05000-315

==

YEAR

==

SEQUENTIAL

==

NUMBER

==

REVISION

==

NUMBER

==

2

==

OF

==

3

==

1999

==

S004

==

00

==

TEXT

==

(If

==

more

==

space

==

is

==

required,use

==

additionalcopies

==

of

==

NRC

==

Form

==

366A)

==

(17)

==

Conditions

==

Prior

==

To

==

Event

==

Unit

==

1

==

was

==

Defueled

==

Unit

==

2

==

was

==

Defueled

==

Description

==

Of

==

The

==

Event

==

On

==

January

==

20,

==

1999,

==

using

==

social

==

security

==

number

==

(SSN)

==

==

1,

==

an

==

individual

==

was

==

denied

==

unescorted

==

access

==

at

==

D.

==

C.

==

Cook

==

(CNP)

==

to

==

work

==

for

==

a

==

CNP

==

contractor.

==

A

==

review

==

of

==

the

==

individual's

==

unescorted

==

access

==

record

==

in

==

the

==

Personnel

==

Access

==

Database

==

System

==

(PADS)

==

revealed

==

the

==

individual

==

had

==

previously

==

been

==

denied

==

unescorted

==

access

==

at

==

another

==

nuclear

==

power

==

plant

==

due

==

to

==

intentional

==

falsification

==

of

==

information.

==

On

==

September

==

2,

==

1999,

==

a

==

different

==

contractor

==

submitted

==

a

==

request

==

to

==

process

==

the

==

same

==

individual

==

for

==

unescorted

==

access

==

to

==

the

==

CNP,

==

providing

==

a

==

different

==

social

==

security

==

number

==

(SSN

==

==

2)

==

for

==

the

==

individual.

==

On

==

September

==

8,

==

1999,

==

the

==

individual

==

reported

==

to

==

the

==

site

==

for

==

processing

==

and

==

provided

==

yet

==

another

==

social

==

security

==

number

==

(SSN

==

==

3)

==

and

==

a

==

passport

==

as

==

proof

==

of

==

identification.

==

Access

==

Control

==

personnel

==

noted

==

the

==

difference

==

in

==

SSNs

==

provided

==

by

==

the

==

contractor

==

and

==

the

==

individual

==

and

==

deferred

==

to

==

the

==

number

==

provided

==

by

==

the

==

individual

==

at

==

the

==

time

==

of

==

inprocessing.

==

Access

==

Control

==

reviewed

==

the

==

PADS

==

and

==

noted

==

no

==

record

==

existed

==

for

==

the

==

individual

==

using

==

that

==

SSN.

==

Upon

==

completion

==

of

==

required

==

activities,

==

which

==

included

==

a

==

credit

==

history

==

check,

==

the

==

individual

==

was

==

granted

==

Protected

==

Area

==

only

==

unescorted

==

access

==

to

==

the

==

plant

==

on

==

September

==

16,

==

1999.

==

This

==

temporary

==

unescorted

==

access

==

was

==

granted

==

pending

==

completion

==

of

==

a

==

full

==

background

==

investigation,

==

including

==

a

==

criminal

==

history

==

check.

==

On

==

November

==

18,

==

1999,

==

Access

==

Control

==

personnel

==

received

==

the

==

individual's

==

criminal

==

history

==

check,

==

processed

==

using

==

social

==

security

==

number

==

==

3,

==

and

==

discovered

==

the

==

report

==

listed

==

criminal

==

history

==

information

==

not

==

previously

==

disclosed

==

on

==

September

==

8,

==

1999.

==

Upon

==

discovering

==

this

==

anomaly,

==

Access

==

Control

==

personnel

==

placed

==

the

==

individual's

==

security

==

badge

==

on

==

administrative

==

hold

==

pending

==

further

==

review.

==

Further

==

investigation

==

by

==

Access

==

Control

==

personnel

==

determined

==

this

==

was

==

the

==

same

==

individual

==

previously

==

denied

==

unescorted

==

access

==

to

==

CNP

==

on

==

January

==

20,

==

1999.

==

The

==

individual

==

had

==

apparently

==

provided

==

different

==

SSNs

==

to

==

Access

==

Authorization

==

personnel

==

in

==

an

==

effort

==

to

==

obtain

==

unescorted

==

access

==

on

==

September

==

16,

==

1999.

==

In

==

addition

==

to

==

not

==

disclosing

==

any

==

criminal

==

history

==

information,

==

the

==

individual

==

also

==

failed

==

to

==

disclose

==

prior

==

unescorted

==

access

==

denials

==

of

==

November

==

4,

==

1998

==

at

==

another

==

nuclear

==

facility

==

and

==

January

==

20,

==

1999

==

at

==

CNP.

==

Cause

==

Of

==

The

==

Event

==

The

==

cause

==

of

==

this

==

event

==

was

==

personnel

==

error.

==

Access

==

Control

==

personnel

==

did

==

not

==

recognize

==

the

==

disparity

==

between

==

social

==

security

==

numbers

==

upon

==

receipt

==

of

==

the

==

individual's

==

credit

==

history

==

check

==

results.

==

The

==

credit

==

report

==

stated

==

that

==

the

==

individual's

==

name

==

and

==

SSN

==

did

==

not

==

match.

==

Had

==

this

==

disparity

==

been

==

recognized,

==

the

==

individual

==

would

==

not

==

have

==

been

==

granted

==

unescorted

==

access

==

on

==

September

==

16,

==

1999.

==

Analysis

==

Of

==

The

==

Event

==

On

==

November

==

18,

==

1999,

==

fingerprint

==

information

==

was

==

received

==

which

==

led

==

to

==

the

==

conclusion

==

that

==

the

==

individual

==

would

==

not

==

have

==

been

==

granted

==

unescorted

==

access,

==

due

==

to

==

the

==

falsification

==

of

==

information.

==

This

==

was

==

determined

==

to

==

be

==

reportable

==

as

==

an

==

actual

==

entry

==

of

==

an

==

unauthorized

==

person

==

into

==

a

==

protected

==

area

==

in

==

accordance

==

with

==

Generic

==

Letter

==

91-03.

==

An

==

ENS

==

one-hour

==

report

==

under

==

10CFR73.71was

==

made

==

to

==

NRC

==

at

==

1222

==

hours

==

EDT

==

on

==

the

==

same

==

day.

==

A

==

check

==

of

==

the

==

claimed

==

SSN

==

and

==

person's

==

name

==

in

==

the

==

Integrated

==

Nuclear

==

Security

==

System

==

(INSS)

==

and

==

PADS

==

for

==

all

==

badged

==

individuals

==

at

==

CNP

==

determined

==

that

==

the

==

extent

==

of

==

condition

==

was

==

isolated

==

to

==

the

==

individual

==

identified

==

in

==

this

==

event.

==

The

==

individual

==

had

==

been

==

authorized

==

Protected

==

Area

==

only

==

unescorted

==

access.

==

A

==

review

==

of

==

work

==

showed

==

that

==

badged

==

co

==

workers

==

and

==

the

==

supervisor

==

monitored

==

the

==

individual's

==

duties,

==

which

==

were

==

non-technical

==

in

==

nature.

==

A

==

report

==

from

==

the

==

security

==

computer

==

system

==

identified

==

the

==

individual

==

accessed

==

the

==

Protected

==

Area

==

on

==

five

==

separated

==

occasions

==

from

==

September

==

17,

==

1999

==

to

==

November

==

11,

==

1999.

==

Since

==

the

==

individual

==

did

==

not

==

have

==

access

==

to

==

vital

==

areas,

==

there

==

were

==

minimal

==

implications

==

to

==

the

==

health

==

and

==

safety

==

of

==

the

==

public

==

as

==

a

==

result

==

of

==

this

==

event.

==

NRC

==

F-ORM

==

366A

==

(6-1998)

==

NRC

==

FORM

==

366A

==

U.S.

==

NUCLEAR

==

REGULATORY

==

COMMISSION

==

"

==

(6-1998)

==

LICENSEE

==

EVENT

==

REPORT

==

(LER)

==

TEXT

==

CONTINUATION

==

FACILITY

==

NAME

==

(1)

==

DOCKET

==

(2)

==

LER

==

NUMBER

==

(6)

==

PAGE

==

(3)

==

NUMBER

==

(2)

==

Cook

==

Nuclear

==

Plant

==

Unit

==

1

==

05000-315

==

YEAR

==

SEQUENTIAL

==

REVISION

==

3

==

OF

==

3

==

NUMBER

==

NUMBER

==

1999

==

S004

==

00

==

TEXT

==

(if

==

more

==

space

==

is

==

required,use

==

additional

==

copies

==

of

==

NRC

==

Form

==

366A)

==

(17)

==

Corrective

==

Actions

==

The

==

individual's

==

badge

==

was

==

placed

==

on

==

hold

==

upon

==

receipt

==

of

==

the

==

criminal

==

history

==

check

==

on

==

November

==

18,

==

1999.

==

At

==

the

==

conclusion

==

of

==

further

==

review

==

by

==

Access

==

Control,

==

the

==

individual's

==

unescorted

==

access

==

was

==

denied

==

on

==

November

==

18,

==

1999.

==

An

==

"additional

==

information"

==

entry

==

dated

==

November

==

18,

==

1999

==

for

==

the

==

individual

==

was

==

made

==

in

==

PADS

==

by

==

Access

==

Control

==

personnel

==

to

==

indicate

==

an

==

unfavorable

==

access

==

denial.

==

The

==

individual

==

was

==

terminated

==

by

==

the

==

CNP

==

contractor.

==

The

==

involved

==

individuals

==

were

==

counseled

==

in

==

accordance

==

with

==

company

==

policies

==

and

==

procedures.

==

Expectations

==

relative

==

to

==

inprocessing

==

attention

==

to

==

detail

==

were

==

immediately

==

reinforced

==

by

==

the

==

responsible

==

supervisor.

==

This

==

was

==

followed

==

by

==

a

==

formal

==

memo

==

outlining

==

those

==

expectations

==

to

==

all

==

inprocessing

==

personnel

==

who

==

perform

==

these

==

types

==

of

==

reviews.

==

Changes

==

were

==

implemented

==

to

==

ensure

==

that

==

the

==

Integrated

==

Nuclear

==

Security

==

System

==

(INSS)

==

and

==

PADS

==

are

==

checked

==

for

==

both

==

the

==

claimed

==

SSN

==

and

==

the

==

person's

==

name.

==

Changes

==

were

==

also

==

implemented

==

to

==

ensure

==

that

==

during

==

review

==

of

==

the

==

background

==

report,

==

the

==

SSNs

==

are

==

verified

==

throughout

==

the

==

report

==

as

==

well

==

as

==

on

==

the

==

credit

==

report.

==

Similar

==

Events

==

315/94-SO01-00

==

MPC

==

IAIR

==

AA

==

£ADO

==

NRC

==

FORM

==

366A

==

161008

==

I