ML20237B365

Final Response to FOIA Request for Documents.Documents Identified in App E Being Made Available in Pdr.Documents Identified in App F Totally Withheld (Ref FOIA Exemption 5)

ML20237B365
Person / Time
Issue date:	12/11/1987
From:	Grimsley D NRC OFFICE OF ADMINISTRATION & RESOURCES MANAGEMENT (ARM)
To:	Bauman L GOVERNMENT ACCOUNTABILITY PROJECT
References
FOIA-87-655 NUDOCS 8712160220
Download: ML20237B365 (4)

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AESPONSE TO FREED M O

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( e...e INFORMATION ACT (FOIA) REQUEST nrn 11 B87 i ooca tt Nvust a.si ur .,,.c.e., - -

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M PART 1.-RECORDS RELLASED OR NOT LOCATID (See checAed 6osesi Ise agency records subpect to the request have been located bus sedeonel egency records mAsset to ,e request have been located Aepre recortes mAsoct to the renvoet that ere s$onthd in Appendia see already eveRebee for putsc repection and copymg n the NRC Pd6c Document Room, 1777 M Street. N W., Woohngton, DC Ap.,c, .ecords .uti,oci in ~ reawen u are idende.d m Append. E e,e be.no modo evetetime vor m inee.ction and copyeg m e. NRC Pubec Doewn =

W 1717 H Street, N W., Washngton, DC. M e folder under the FOLA awreer and reQwester name

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aumf coveg et the NRC PwtAc Document Room.1717 H $treet. N W . Weehrigrcun. DC. m a foeder vrider the FOtA number and requester name.

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Escleend b informenon on how you may otrtem access to end the charges las cerem0 'ecords pieced an the NRC PutAc Docurnent Room 1717 H Street. N W., Weemmgton. DC.

Apomeo recorias mApoet to the re@est are enclosed Any apphcabie charge ter caswas of the records prtmded and payerent procedures are noted m the conoments sect.n.

Recogs subpoet to the regwast heve been rWorred no eno: hor Fedem egenciram tor revis. and dwoct respones to you.

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k PART 41.A-INFORMATmes tueTHHELD PROM PUBUC Ot4CLOSURS

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ame R. C and D. Any reisesed portiore of the documents for m*uch crey port of We record a bemg Whead are beang made evetable lor putec bepectan end copyrq et se IsitC P2ec Document Room.1717 M Street. N W., Washington. DC e e toener under the FOIA numter end requester name Carremese 8712160200 G71211 PDR FOIA BAUMAN87-655 PDR

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F;'EEDOM OF INFORMATION ACT RESPONSE FOIA NUMBER (Sp:

PART 113- APPLICABLE FOtA EXEMPT 1045

[d1 [ d 7-[ [ [ DATE;DEC 11 W Records subject to the request ~4* are desenbed in the enclosed Appendices are being wethheld in their entirety or in part under FOIA Enmptions and for the reasons set forth below pursuant to 5 U.S.C. 552(b) and 10 CFR 9 Stal cf %RC Regulations.

t. The withheld information a pr:cer% classifed pursuant to Executive Order 12356 IEXEMPTION 1)

2. The withheld information relaims sansey to the intomal personnel rules and procedures of NRC. (EXEMPTCfis 2

3. The withheld information a spec #cativ exempted from public disclosure by statute indicated- (EXEMPTCa e 3 Section 141145 of the Ator ic E,e<gy Act whch prohibits the d sclosure of Restncted Data or Formrv 14stncted Data 142 U S C. 21612165).

Section 147 of the Atomic Emerm Act which prohibits the declosure of Unclassified Safeguards Infor-eter* 42 U S C. 2167).

4. The withheld information a a rade secret or commercial or fmancial mformation that is being withheld f:r the *eanorvst mdscated. (EXEMPTION 4)

The information is considere:: to te confidential busmess (propnetary) information.

The information is consideres to te proprecary mformatson pursuant to 10 CFR 2.790(d)(1).

The information was submrned md recorved m confidence from a foreign source pursuant to 10 CFR 2790 d42).

5. The withheid informaton consen of eteragency or intraagency records that are not available through dia:ove% durmg litigaten. Declosure of predecmional informaton would tend to inhabit the open and hank enchange of ideas essential to the deliberative process. Where wort:m are withheld in their entirety, the facts are inextricably intertwmed with the predecisoral s,a ormaton. There also are no reasonably segregable factual portions to:auce the release of the facts would permit an mdirect mquery mto tne predecmons procent of the agency. (EXEMPTION 51 s

6. The withheld information a enarnpted from public declosure because its declosure would result in a clea-v urwar anted mvason of personal pnvacy. (EXEMPil0N 6) l

7. The withheld information corests of investigatory i records compied for law enforcement purposes and a tems withheld for the reason (s) Indicated. (EXEMPTION 71 Declosure would interfere we an- enforcement proceeding because it could reveal the scope, directen and tacus of enforcement efforts and thus could j possibly allow them to take actice to sheid potential wrongdoing or a violation of NRC reausrements 6 ovestigators. (EXEMPTION 7(A))

Dmclosure would constitute an urwerranted invason of personal privacy (EXEMPTION 7(C))

The informaton consists of forms of indmduals and other informaton the disclosure of which would arvoa centmas of confidential sources. (EXEMPTION 71D))

PART 11.C-DENYING OFFICIALS Pursuent to 10 CFR 9.9 and for 915 of to U S Nuclear Regulatory Commason regulatons. It has been deterrnmed t a* *e informaton wethheld rs esempt from producten or disclosure.

d and that its production or disclosure s :orrary to the public mterest. The persons responsible for the deriaal are t*cae r eiam soentifed below as denymg officials and the Derector.

Divison of Rules and Records. Offee if Asninstraton, for any deniais that may be appeaied to the Executive Oirec z:r for Operatens iEDo!

DENYING OFFICIAL TITLE / OFFICE I RECORDS DENIED APPELLATE OFFICIAL

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i PART 11 D- APPEAL RIGHTS The denial by each denying offcal adentifed in Part ll.C may be appealed to the Appellate Officia idertfed in that section. Any such appeal must be in writing and must be made within 30 days of receipt of this response. Appeals must be addressed as acortronate to the Executrve Director for Operations or to the Secretary of the Commissen. U.S. Nuclear Regulatory Commission, Washington, DC 20565, and si iould clearly state on the envelope and in the letter that it is an " Appeal from an insnal FOtA Decision."

Nic POW a64 (Part 2:

is asi U.S. NUCLEAR REGULATORY COMMISSION FOIA RESPONSE CONTINUATION L_ . . . . . _ _ _ _ _ _ _ _ _ _

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, Re: F01A-87-655 APPENDIX E l RECORDS MAINTAINED IN THE PDR UNDER THE ABOVE REQUEST NUMBER i

1. 9/22/87 Letter from Senator Alfonse M. D'Amato to Honorable Lando (

W. Zech, concerning GA0 report entitled, " Nuclear Regulation and Efforts to Ensure Nuclear Power Plant Safety Can Be Strengthened." (2 pages) i l 2. 10/9/87 Letter from Lando W. Zech to Honorable Alfonse M.

l D'Amato, concerning GA0 Report. (1 page) f i

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Re: FOIA- 87-655 i APPENDIX F l

RECORDS TOTALLY WITHHELO NUMBER DATE DESCRIPTION & EXEMPTION

1. Undated Draft copy of Research's input for response to August 1987 GA0 Report on Effort To insure Nuclear Power Plant Safety Can Be Strengthened Chapter 2 (p20). "NRC's Effort To Resolve Generic Safety Issues". (2 pages) Exemption 5

2. 5-29-87 Memo from Eric S. Beckjord to Thomas Rehm, subject: Draf t GA0 Report on NRC's Safety Standards and Inspection and Enforcement Effort. (3 pages). Exemptien 5.

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GOVEl\fildENT ACCOUlffAD!l.lTf PP.OJECI 1555 Connecticut Avenue, N.W., Suite 202 Washington. D.C. 20036 (202)232-8550 l MIDWEST OFFICE I 104 E. WISCONSIN AVENUE l APPLETON, WISCONSIN 54911-4897

, September 23, 1987 FR2EDOM OF INFORMATION ACT REQUEST EREEDOM OF INFORMATl0ll

! Director ACT REQUEST Office of Administration U.9. Nuclear Regulatory Commission Y7-Washington, D.C. 20210 /d ~b TO WHOM IT MAY CONCERN Pursuant to the Freedom of Information Act (FOIA, 5 U.S.C. 552,) the Government Accountability Project (GAP) requests copies of any and all agency records and information, including but not limited to notes, letters, memoranda, drafts, minutes, diaries, logs, calenders, tapes, transcripts, summaries, interview reports, procedures, instructions, engineering analyses, drawings, files, graphs, charts, maps, photographs, agreements, handwritten notes, studies, data sheets, notebooks, books, telephone messages, computations, voice recordings, computer runoffs, and any other data compilations, interim and/or final reports, status reports, ar.d any and all other records relevant to and or generated in connection with and including the federal report released Tuesday, September 22, 1987 by the General Accounting Office, regarding the Nuclear Regulatory Commission lacking guidelines on shutting down nuclear power plants for safety violations. (see attached article)

, This request includes all agency records as defined in 10 C.F.R. 9.3a(b) h and the NRC Manual, Appendix 0211, Parts 1.A.2 and A.3 (approved October

• 8, 1980) whether they currently exist in the NRC offical, " working" investigative or other files, or at any other location, including private reutdences.

If any records'as defined in 10 C.F.R. 9. 3a ( b ) and the NRC Manual, supra, and covered by this request have been destroyed and/or removed after this request, please provide all surrounding records, including but not li'mited to a list of all records which have been or are destroyed and/or removed, a description of the action (s) taken relevant to, generated in conr-ection with and/or issued in order to implement the action (s).

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• l GAP requests that fees be waived, because " finding the information can be considered as primarily benefitting the general public, "5 U.S.C.

552 (a) (4) (a). GAP is a non profit, non partisan public interest organization concerr:2d with honest and open government. Through public outreach, the Project promotes whistleblowers as agents of government accountability. Through it Environmental Whistleblower Clinic, GAP offers

, assistance to local public interest and citizens groups and interveners l in the concern for safety at nuclear power plants.

We are requesting this information as part of an ongoing monitoring project of the NRC's efforts to protect public health and safety at and near nuclear processing plants and radioactive waste facilities.

For any documents or portions that you deny due to a specific FOIA exemption, please provide an index itemizing and describing the documents or portions of documents withheld. The index should provide a detailed justification of your grounds for claiming each exemption, explaining why each exemption is relevant to the document or portion of the document withheld. This index is required under Vaughn v. Rosen (I), 484 F.2d 820 (D.C. Cir. 1973), cert. denied, 415 U.S. 977 (1974).

We look forward to your response to this request within ten (10) working days. -

Sincerely, Linda Bauman

$hf FOIA Coordinator Midwest Office Response to this request should be mailed to the Midwest Office:

104 E. Wisconsin Avenue -B Appleotn, Wisconsin 54911-4897

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Enited $tates Etnatt WASHINGTON, DC 20510 September 22, 1987 The Honorable Lando W. Zech Chairman Nuclear Regulatory Commission 1717 H Street, NW Washington, D.C. 20555

Dear Mr. Chairman:

Enclosed is a copy of a GAO report entitled, " Nuclear Regulation and Efforts to Ensure Nuclear Power Plant Safety Can Be Strengthened." I requested this report in response to my lagging concerns over the NRC's effectiveness in providing the public with assurances that the nuclear power plants in this country are operated under every possible safety precaution. Frankly, this report raises serious questions as to whether the NRC has adequately pursued important safety criteria and enforced existing safety regulations.

Specifically, the GAO has raised the following issues:

• the lack of NRC guidelines to identify safety violations severe enough to require a nuclear plant to shut down; 1

• the slow corrective actions on the part of the NRC to I shut down nuclear plants with records of chronic safety violations. It was documented that the NRC has taken from several months to up to ten years to resolve generic safety issues - including those that the Commission believes pose ,

the highest safety risk. The report highlights the operating history of five plants where the NRC repeatedly identified significant safety problems but was slow to require effective corrective action. The plants in question were:

Davis-Besse, located in Oak Harbor, Ohio; Rancho Seco, l located in Sacramento, California; Pilgrim, located in l Plymouth, Massachusetts; Brunswick, located in Southport, North Carolina; and Browns Ferry, located in Decatur, Alabama.

• the backlog of 163 unresolved generic safety issues as of last December, including 32 considered to pose a j i significant risk to public health and safety. Examples of i

! some unresolved generic safety issues include: 1) the l

! effects of radiation upon the support mechanisms of the l reactor itself; 2) reactor coolant pump seal failures; and j

3) the failure of protective devices on essential equipment  !

i within the plant: .

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'The NRC's top priority should be to reexamine those plants that are operating

- like Shoreham to -determine if they are on line," D'Amato said. safe, not bringing new plants

. The GAO has recommended that the NRC: *

• develop guidelines to %e used as af'ramework in deciding the type and/or degree of safety problems that pose undue risk and should force a plant to shut downs

• develop consolidated information for all operating plants showing the status of corrective actions planned or being taken by the utilities. Af ter the initial report, this '

information should be issued on an annual basiss In addition, Senator D'Amato is'asking.the NRC tos , j

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• report to Congress within sixty. days on how they will address the GAO's concerns and indicate what

- '. 3 internal violations reforms will be are dealt with implemen.tpd..to promptlyf~~~ ,e'nsu(s that* safety

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• develop a plan to decide.the,1f),py,tsta ding 3

• unresolved Commissions safety issues that:;a.ggyl5wjpac 1.ogge,d at the

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....' The GAO. reviewed the operating ; history of..Aiv9' plants where the NRC* identified significant safety proble,msJbVt wgg slow to order corrective action. The plants weres.Davip,-Besse,.Ad.0ak.UKfbor.

Ohior Rancho Seco near Sacramento;"Califdrnial .

Plymouth, Massachusetter the Brunswick pl.pp Carolina r and the Browns yerry plant".in

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Southport, North ury.31abama.

- J:rr fbur of the cases, the utilities v.not..the NRC - shut the plants down following a serious event "oi (15 determination that unsafe conditions existed. '" ' ' ,o ;

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The GAO report also shows that .dyring.4 hag has ordered only five operating nuc1' ear p1' ants,'lagt 25 years, the NRC not issue such an order early or foV other opera (o shutplants ting down,with but did similar problems.

-em091 B B7-(NOTES.The reference to control room person'nel f3und sleeping on the j ob is f ound on pages 39-40 of the report. The GAO discovered that an NRC inspector had observed a sleeping workerin the control room of the Peach Bottom, Pennsylvania nuclear plan'toon June 10, 1985.

The NRC did not order the plant to shut down. When control room workers were again found sleeping on the job on March 31, 1987, the NRC did order the plant to shut down.

Senator D'Amato believes that sleeping control roon workers at nuclear power plan,ts pose a serious safety problem that the NRC 7 should have acted on immediately.)

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5,Tho Honorcblo Lando W. Zcch

. S ptembsr 22, 1987 P293 2

• the lack of a central tracking system to monitor utility compliance with safety regulations.

To date, the NRC's decisions on whether to shut down plants or permit continued operation look inconsistent. In the few instances where NRC ordered operating plants to shut down, it did not take the same action for other plants with similar problems. In addition, in the five cases that were used as examples in the report, the plants operated for many years with chronic safety problems, the NRC did not require prompt effective action. Ultimately, for four of the plants, a safety incident occurred that made continued operations impossible or the utilities shut down when the problems grew severe.

I am greatly disturbed by the conclusions of the GAO report. Until the Commission implements the GAO recommendations and improves the performance in these areas addressed in the report, no further action should be taken to license additional nuclear facilities, particularly the Shoreham plant on Long Island.

The GAO's conclusions are nothing less than alarming. I am requesting your prompt response to this letter indicating how you intend to implement the GAO's recommendations. It is .

especially critical that (1) clear criteria be established identifying safety problems requiring a shut down; (2) the backlog of unresolved violations be immediately and substantially reduced; and (3) guidelines be developed enabling the NRC and its regional offices to evaluate the effectiveness of enforcement programs.

It is essential that the public be assured that the NRC is doing everything possible to protect it against the potential hazards posed by nuclear power plants. I am prepared to introduce, if necessary, legislation mandating implementation of the GAO's recommendations. Your timely attention to these matters, however, might well obviate the need for such measures. I look forward to your early response, and to working with you to help ensure the safety of our citizens.

e Sincerely, l

i A n e M. D mato nite States Senator l

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__ _ J" FOR IMMEDIATE RELEASE of New Yor$gi3 CONTACT: 2cnio Muchs 212-73

.- Jcck Kinnicutt 202-224-6498

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, 4 D' AMA'!C S YS N.R.C. FATLS '!C ENSURE PUBLIC' SAFETY

. i, U.S. Senator Alf onse M. D' Amato (R-C-NY) Isoday released a  ?

General Accounting Of fice (GAO) report calling into question the Nuclear fe,gulaTory Commission's ability to ensure the safe l operation ,of nuclear power plants. .

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DAmatoccalled on NRC Chairman Lando Zech t'o immediately I implemen

• "enforceme(pptseries nt'*of 'saf ety.' of GAO recommendations Regulations. He calleddesignal on the to improve commission I to report within sluty days on its plans to address concerns .

about unresolved safety issues, safety violation backlogs, and a lack of a central tracking system to monitor utility compliance l with safety regulations.

af "The NRC has allowed nuclear plants to keep operating

1. 'despite findings of design problems, questionable equipment, and even utility personnel found asleep in the control room while on duty," D'Amato said.

"The GAO report shows that the NRC has f ailed in its basic responsibility to ensure public safety and has been lax in its monitoring of corrective actions resulting from safety problems at nuclear power plants across the country," he said.

"It is my hope that the NRC williimmediately address the issues raised by the GAO and take corrective action. If they do not, I intend to pursue a legislative solution that will force the NRC to get its house in order," he said.

The GAO rep' ort shows: ,

• the kRC lacks guidelines identifying safety violations severe enough to require a nuclear plant to shut downs

• the NRC is slow to require corrective action or the shut down of nuclear plants with records of chronic safety violations:

• NRC safety standards are not required to - and i do not a eliminate gli risks associated with nuclear-power plant operationst

• it may take up to 10 or more years for the NRC to identify and approve a solution for generic safety issues, including those the Commission believes pose the highest safety riskt r

• As of last December, the NRC had a backlog of 163 unresolved generic safety issues, including 32 ,

'. considered to pose a significant risk to public health I and safetys l

• NRC headquarters does not routinely consolidate ,

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! information from its regional offices that would enable it to evaluate safety trends and assess the effectiveness of inspection and enforcement programs.

This information would also allow the Commission to ascertain the status of corrective action being taken l by utilities in response to safety violations.

United States Senate 1 Washington, D.C. 20510/(202) 224 6498 Reglonal offices: Now York (212) 947 73e0 i Albany (518) 4724343 i $yracuse (315) 423 5471 I eoffslo (716) 646 4111 i Roche ater (716) 263 5866

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%*...*$ October 9, 1987 CHAIRMAN The Honorable Alfonse M. D'Amato U;:ited States Senate Washington, D. C. 20510

Dear Senator D'Amato:

I am responding to your letter of September 22, 1987 concerning a GAO Report entitled, " Nuclear Regulation and Efforts to Ensure Nuclear Power Plant Safety Can Be Strengthened." The NRC staff is conducting a. careful review of the GA0 report. We will respond to your requests, as well as to the conclusions and recommendations of GAO, in our report, which we will submit to Congress by November 13, 1987.

I assure you that this agency clearly recognizes it's responsibility to protect the public health and safety, and remains dedicated to ensuring the safe operation of nuclear power plants in this country.

Sincerely, M  %

Lando W. Z'ch, Jr.

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