EA-99-016 - U. S. Enrichment Corporation
March 5, 1999
EA 99-016
Mr. J. N. Adkins
Vice President - Production
United States Enrichment Corporation
Two Democracy Center
6903 Rockledge Drive
Bethesda, MD 20817
| SUBJECT: | NOTICE OF VIOLATION (NRC Inspection Report 70-7001/98018(DNMS)) |
Dear Mr. Adkins:
This refers to the inspection conducted from December 1, 1998 through
January 12, 1999, at the U. S. Enrichment Corporation (USEC)
Paducah Gaseous Diffusion Plant in Paducah, Kentucky. The purpose of the
inspection was to review the activities authorized by NRC Certificate
No. GDP-1. In the inspection report sent to you by letter dated January
28, 1999, an apparent violation was identified and considered for escalated
enforcement. USEC declined an opportunity to attend a predecisional enforcement
conference and chose to respond to the apparent violation in writing.
Based on the information developed during the inspection, and the information
provided in your letter dated March 1, 1999, the NRC has determined that
a violation of NRC requirements occurred. The violation is cited in the
enclosed Notice of Violation (Notice), and the circumstances surrounding
the violation are described in detail in the subject inspection report.
The violation involved failure to maintain control of classified matter
at the Paducah facility.
On or about December 1, 1998, a USEC Paducah employee opened an envelope
containing a classified document. The document had been left in the employee's
desk for approximately 14 years by a retired employee. The desk is located
in the materials management area in Building C-720, an area that is outside
of the controlled access area (CAA) or protected area of the plant site.
Although prior to December the employee had attended a number of security
training sessions which covered security procedures and classified document
control, the employee failed to notify management or security staff upon
discovery. After attending a security briefing on recent events at Paducah
on December 2, 1998, the document was turned over to management when the
employee recognized that it had not been properly controlled.
Because the classified document was inside an unmarked envelope, it was
not identified by the individual nor facility personnel performing spot
checks during the recent site-wide security sweep to identify and secure
legacy classified documents. The root causes of this event are: (1) improper
handling of the document by the retiring employee some 14 years ago; (2)
an individual not realizing that he was in possession of classified material
for a number of years; and (3) not following the requirements for properly
securing classified matter once he identified it in his possession (personnel
error).
Unsecured classified information in an uncontrolled area of the site is
potentially available to those not authorized access to the information,
that is, there are no controls in place to ensure the information is not
compromised. Other employees in the area are generally cleared, but the
facility is routinely visited by uncleared personnel. While there were
no actual security consequences in this case, the NRC is concerned about
USEC's deficiencies regarding the control of classified matter because
of the significant potential for compromise of classified matter. The
NRC expects USEC to abide by all regulations and requirements, including
those requirements related to the handling of classified matter. Therefore,
this violation has been categorized in accordance with the "General Statement
of Policy and Procedure for NRC Enforcement Actions" (Enforcement Policy),
NUREG-1600 as a Severity Level III violation.
In accordance with the Enforcement Policy, a base civil penalty in the
amount of $55,000 is considered for a Severity Level III violation. Because
your facility has been the subject of escalated enforcement actions within
the last two years,
(1)
the NRC considered
whether credit was warranted for
Identification
and
Corrective
Action
in accordance with the civil penalty assessment process in
Section VI.B.2 of the Enforcement Policy. Credit for identification is
warranted because the classified document outside of the plant CAA was
identified by USEC personnel. Credit for corrective actions is also warranted
since the actions were considered prompt and comprehensive. These actions,
which were described during the inspection and in your March 1, 1999,
letter included: (1) the classified document was immediately secured by
plant staff and a security sweep of the materials management area was
performed. No additional classified documents were found; (2) an assessment
of other areas outside the CAA for similar vulnerabilities was initiated
by plant personnel; (3) additional corrective actions were developed including
performing a global self-assessment of the security process and recent
security events at Paducah; (4) a job aid was published in the plant newsletter
to provide a table of activities and procedures for handling classified
matter at Paducah; (5) a revised training module was developed to cover
the responsibilities of plant staff in the security arena; and (6) the
involved individual was reminded of his responsibility to follow procedures
and properly protect classified matter.
Therefore, to encourage prompt and comprehensive identification and correction
of violations, I have been authorized not to propose a civil penalty in
this case. However, significant violations in the future could result
in a civil penalty.
The NRC has concluded that information regarding the reason for the violation,
the corrective actions taken and planned to correct the violation and
prevent recurrence, and the date when full compliance will be achieved
is already adequately addressed on the docket in Inspection Report 70-7001/98018(DNMS)
and in your letter dated March 1, 1999. Therefore, you are not required
to respond to this letter unless the description herein does not accurately
reflect your corrective actions or your position. In that case, or if
you choose to provide additional information, you should follow the instructions
specified in the enclosed Notice.
In accordance with 10 CFR 2.790 of the NRC's "Rules of Practice," a copy
of this letter, its enclosure, and your response if you choose to send
one, will be placed in the NRC Public Document Room.
| Sincerely,
|
||
| Original
Signed by James L. Caldwell for |
||
| James
E. Dyer Regional Administrator |
Docket No. 070-7001
Certificate No. GDP-1
Enclosure: Notice of Violation
NOTICE OF VIOLATION
| United States Enrichment Corporation Paducah Gaseous Diffusion Plant Paducah, Kentucky |
Docket No. 70-7001 Certificate No. GDP-1 EA 99-016 |
During an NRC inspection conducted from December 1, 1998 through January
12, 1999, a violation of NRC requirements was identified. In accordance
with the "General Statement of Policy and Procedure for NRC Enforcement
Actions," NUREG-1600, the violation is listed below:
10 CFR 76.60(i) requires, in part, that the Corporation (certificatee) shall
comply with the provisions of 10 CFR Part 95.
10 CFR 95.35(a) requires, in part, that no person subject to the regulations
in this part may receive or may permit any individual to have access to
matter revealing Confidential Restricted Data unless the individual has
a "Q" or "L" access authorization.
Contrary to the above, on December 1-2, 1998, the certificatee permitted
individuals to have access to a document revealing Confidential Restricted
Data without having a "Q" or "L" access authorization. Specifically, the
classified document was left unsecured in a desk in the Building C-720 materials
management area, an area outside the controlled access area for the site
and accessible to individuals who did not have either a "Q" or "L" access
authorization.
This is a Severity Level III violation (Supplement III).
The NRC has concluded that information regarding the reason for the violation
and corrective actions taken and planned to correct the violation and prevent
recurrence and the date when full compliance will be achieved is already
adequately addressed on the docket in Inspection Report 70-7001/98018(DNMS)
and in your letter dated March 1, 1999. However, you are required to submit
a written statement or explanation pursuant to 10 CFR 76.70 if the description
herein does not accurately reflect your corrective actions or your position.
In that case, or if you choose to respond, clearly mark you response as
a "Reply to a Notice of Violation," and send it to the U.S. Nuclear Regulatory
Commission, ATTN: Document Control Desk, Washington, DC 20555, with a copy
to the Regional Administrator, Region III, and a copy to the NRC Resident
Inspector at the facility that is the subject of this Notice, within 30 days
of the date of this letter transmitting this Notice.
If you contest this enforcement action, you should also provide a copy of
your response, with the basis for your denial, to the Director, Office of
Enforcement, United State Nuclear Regulatory Commission, Washington, DC
20555-0001.
If you choose to provide a response, it will be placed in the NRC Public
Document Room (PDR), to the extent possible, it should not include any personal
privacy, proprietary, or safeguards information so that it can be placed
in the PDR without redaction.
In accordance with 10 CFR 19.11, you may be required to post this Notice
within two working days.
Dated this 5th of March 1999
1. A Severity Level III violation was issued on September 22, 1997 (EA 97-267) for security plan violations. A Severity Level III violation with a $55,000 civil penalty was issued December 8, 1997(EA 97-431) for uncontrolled access to classified documents.
