ML20246C105

Acks 890310 Memo Re 890303 Telcon W/Ellison.W/Lists of Disbursements & of Documents Re Ofc of Inspector & Auditor Investigations Possesed by J Blaha & Partially Withheld Travel Vouchers

ML20246C105
Person / Time
Issue date:	03/14/1989
From:	Rosenthal A NRC
To:	Herr F, Mark Resner NRC OFFICE OF INSPECTOR & AUDITOR (OIA)
Shared Package
ML20246C075	List: ML20246C070 ML20246C084 ML20246C105
References
FOIA-89-256 NUDOCS 8908240217
Download: ML20246C105 (30)

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March 14, 1989

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MEMORANDUM FOR:- Frederick W.

Herr, Acting Director Office of Inspector and Auditor Mark E.

Resner, Assistant Director for Investigations Office of Inspector and Auditor FROM:

ifi$ Alan S.

Rosenthal

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SUBJECT:

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TELEPHONE CALL FROM DOUGLAS ELLISON Thank you for your March 10, 1989, memorandum with l

regard to Mr. Ellison's March 3, 1989, telephone conversation.

I am grateful to you for having braught the conversation to my attention.

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-4 L-M $ d ip List of Documents Pertaining to 0IA Investigation 1 Possessed by J. Blaha, A0/0EDO ) i Document Number Date To From Subject o 1. 07/25/86 NA NA Investigation Status Report.- Case No. Q1-88-012 2-05/12/88 J. Taylor List Strawman Priorities for Upcoming Heeting of the Investigation Priority Review Group 3 09/01/88 NA NA Purchase Order #88-1303 4 02/28/89 J. Blaha File Release of copies of P.O. 88-1303 5 09/27/88 NA NA Purchase Order fDR-88-1313 6-09/27/88 NA NA Purchase Order #DR-88-1305 7. 09/88 NA NA Travel Voucher and Travel Authorization (No. R811062) 8 Various NA NA Personal notes from interviews / tapes 9 08/31/88 L. Solander. J. Blaha Funds Certification 10 08/31/88 - V. Stello NA Obligation and Receipt Document 09/16/88

1. 1 thru #6 11 09/26/88'-

V. Stello NA Summary Obligation Close Out 12 Various NA NA Cash Ledger 13 Various NA NA Funds Control 14 08/31/88 NA NA NRC Form 294 15 09/12/88 NA NA NRC Form 294 16 Various NA NA Imprest Fund Log 17 NA NA NA Disbursement / Obligation Notes 18 09/29/88 L. Solander J. Blaha Decertification of Availability of Funds 19 Various NA NA Receipts for Disbursements 20 09/16/88 NA NA Property Pass / Custodial Receipt g E '7

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s $310.00 175* l20 l $" T l E l E E ^'* 2 TRAVEL ADVANCE ff!NERARY is suestsTAR& A AMoVNT. g pyg ggg is ACTUAL ovry PCnN's a e iNc,r asus o -: 9. 8/26/88-aAn i sooM Bethesda, MD Daytona Beach, FL 41/25/66 WMb 7o[4 fj' s To: smar as o, mvran s cA ms- ,,m I isscf D is signa %at os REciPi1NT BAoGg gg pg Bethesda, MD e,rv.N ro TRAVEL AUTHORITY esimburument to, the items authoriaed below shall te limited to the allowances stated in NRCM 1501, the Federal Travet Regulations. a c.n.r.i cm-..on. DAit ncnD REovieto M SUBSISTENCE ispeciOm in ninerary bien sevei l

n. TRANSPORT AT10%

8/26/88 x & co, on c.,-com..a c.,ne, Nongooo 1 x A.... moo..,iosuaic.. e Ao....nc... so..c.~.,..,. o..ii.,,a,e,,,.., x . T. 4 no c s-, av e..m ~ e nom s w ws ~.new 2. OTHER o Govenmeat,.-. veNene A Re9 s*-si on fee 5 E tuoss begsaae 4o of theos Maa s.neteced No : (specih it breati.st. tunch, os d.nneo F, other Speci.' Coa evences hustify m remacksi toog<ns inciuoea No - Use of Pnvswy owned veNc8e-cente per mae a p nee oneous empenses (Spech en <emets> 0 Advsatageous to Govenment Gustif, in rematsi l bui*'N' 8 ins's C An%e' inwe to tie used cents or moe H 9 dot to onceed Coe of common Carnet Tota' how<s o, aars t Govern,nene vo ice eveasbio cems per mise cates l I'** lTo e J Gover,sment wohos seepned i someperfMe

25. HEMARKS 4,.d u a r.o ri numte, to wNch enewe< eppl.es Use addetronar sheet W needed Traveler using non-contract flight due to the contract carriers do not meet the prograrr.atic needs of the office.

1 APPROVALS D ADMWisNud A thoW.The omcisi tesvel divenoo tioneen remwoo e ir e ca M c1RwlCAT40N of NivDS AV ARABidTY-Funos re su#eceem to cover the ww numred io m moi.sNn, u.ncy..,,.m..no . ion. .o $'9netuto p, 7 7,, a at ,~ en T, t A ihe,es e9IA 8/#L8_8_Sh rnn_Rd. tonll Di noN. rhe on, uno, doeuR.o.t.ove h.s t.oen,-i-o. a.e opee. me.o.n,,ne.o Xt_,,n.nree nr.,.,.,,,,u,,, e-u _ _ _J____ e a canw c no., or Aurwon rooe,.i T2voi ae oist on.. n. no.a. th. Nac ow i T, =i unnu.c eno unoer the cons,s.on. oa c.e sinora.t.on. l S8G8'ATV l Dart ofFtCIALLc u LM~Ai.Aem A + mh ( S6GNA

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.1 a. . we - - - .t :- J - 99/Ot/90 orOH OIVd EE* 0946 g9; CC99 I f l* ) ) f ~ FROM 4 *'a ,A <.f ~^^~~~~^~~~ ~ S E e u .>.? ~ ' '. TO_- ~ . '_t'F D E " RECEIVED FROM SSl I FOR -~~~ ~ ^ AVOUNT O. ATE TIME - $~ ,/ _. = i 7 _~ DRIVER VEH NO 7 THANK YOU' GOLF MOLUARDJOHn50nj MOTOR LODGE TENMs saUS S i,u. ns. t cT.m. i-e. wwa m u a iL'L E 630 e i .L, 00'O&1 p* P4O0'95 ~ Vd7 (l 2 56 Ito J a!X //2 ' M <, 7 H./ G W i y tr2.A!// 9 la CbeGLt 13 t23?JsL?b b88 t 35%%AX1d"/.3 T.5T --O il a 1 -.cre I listo give it / W R 6'9 71 ac es5, eTvP > aat va riti } VW v77/ xa cut rit3t a vitt as d3 ras rest jlg- -.- g.. m m .~ J ] 16 111t36 it 3cato oc .3TeDr .eva ~b .ott <3ess o w ns: J o e r, r ri u s, s

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" ~ ~ * ~ ,,,,ci,, se. ' OFFICIAL TRAVEL AUTHORIZATION c. gg ' TRAVELER INFORMADON 'S~ i O ' 533 CAL 54CUhlTV Aug og tgIiEU.t e inn..no n.m n.m. 27051 f fe (MPtovEt cOut 1 x =ac turtovitco~sua.,o ,,,,,, _,, o,,,,,,,, c M. E l Resner e..om.,,_,..,-....,.~- - ao*E co~sua w co w e,o. 5' '" x o"ci rowuiss,o~t e Mail Stop MNBB 8607 or.o orv DC 20555 snciat jWashington-ACCOUNTING INFORMATION 4 *nR*Gt'acv "C.attut'd ho u coNsuaAut cwwci ~o io ruarost(00E 3 m eAy,o coor 70-60 IU a m jooeisrc j.ontic toru is ao omcw s310.00 a u m tuoo*u ' " s s

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Bethesda, MD siCNATURE D8 wVitte Daytona Beach, FL 41/25/66 a y gg 21 ads A% cts I a cas,, i issut D f$ s Bethesda, M0 TRAVEL AUTHORITY c AETVAN to M 1s01, the Fece,el Trs.et Regulations end. ppt. table Co,aptrole Reimbursement fce the items eutho,ded teolow shen be hmited to the altowances s:.t.d en PwRC . Generof D.ciosas oAn YKut af ossRio 23 SUBS:STINCE < spa.tvem.n e...,v iuoca.no.o 8/26/88

22. TRANSPORT AT108v X

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,_,c,,- Washangton, D.C. Mr. Donnis Gramsley Director, Divisan of kules & hecords Office of Admin 2stratzon & Resources Managemen t FRIIDOM 0f lNf 0RMATl0N 045. Nuclear Regula' tory Comm1ssson gy gg Washington, D,C, f0/A=$$ O S

Dear Mr. Gramsicy:

h f.[7 Pursuant to the Freedom of Information Act. I hereby request the followsng material

1) All records pertaining to the Of12ce of Inspector & Auditor's August 1 '.

1988 decision to open a formal snquiry 2nto charges that Off2ce of Investigations deputy direc. tor Roger Fortuna and/or other 01 or NRC regional personnel failed to adeqttately carry out their dutses.

2) All records pertaining to Office of Inspec tor & Aud2 tor pers,onnel travel to Daytona Deach. Fla. to interview Douglas Ellison, a forn.er employee of Niagara Mohawk Power Corp. 1his request includes. but 2s. not limited to, all travel vouchers. requests for travel funds, hotel balls and receipts.

and miscellaneous, cos,ts and rece2 p ts, related to the trip. The OIA personnel who traveled to Florida for this purpose 2ncludr* OIA Director Sharon Connelly and 01 A s ta f f er Mark Resner. In addstion, Jan cs, Blaha, the assistant for operat2ons in the Office of the Executive Director for Operations,. accompan2ed the 01A personnel. This request pertains to blaha as well as the OlA personnel. The time frame is around the last weet of Augu s, t, 1900.

3) Acce2 pts for hotel accommodations and food purchased for 01A personnel or Blaha or Ellison, for the period September 1 through September 16. 1989.

1 he hotel in question is an I'mb e s,s.ey Sui t et hotel located in suburban Washington, D.C. I would also like any informa tion regarding whether Blaha or other NRC personnel had Ellison r eg a t, t er ed at the hotel as an NRC employee and 11 the hotel charged NRC the ' government rate' for Ellison's ecom.

4) Any records of telephone c conversations or other contact between NRC Chairman Lando Zech and LDO Victor Stello. 01A director Sharon Connelly or General Counsel William Parler between August 18 and September 1.

1989. Zoch w is travelang an the Sov2et Union at the time. b) Any correspondence between or among Zech. Stello. Connelly or Parler dated September 1 or 2 1988 which is related to the OIA invest 2gation of Roger iortuna or the investigation of c harges br ought by Doug I-112 son.

6) Any correspondence between or among Connelly. Stello and Parler regarding the agency's purs.uzt of aud20 tapes that are in the posses,s,2 on of anti-nuclear activist Stephen Comley. The tame per2od I'm interested in is August 32. 1988 through March 24, 1909.

7) Any correspondence or other recorcs of d2scussion between or among Zech.

Connelly, Stello. Parler. Ellison and consultant Alan Rosenthal or any of their assistants or staff regarding the disposition of in Internal kevenue Serv 2ce form 1099 for Ellason's ' c ons.ul ti ng ' t,ervi ceu f t,r the NRC. The tame period I'm interested in as March 13. 1989 through Apr21 1, 1989.

8) Any corres,ppndence or other recor ds, of dis.cus.saan between or among Connelly, Parler, Stello or Zech or any of their assistants regarding the Department of Justice's written memorandum dec12ning to pursue allegat2ons by Ellison against f'or tuna. The t2me period I ' ne interested an as July 1.

1908 through April 1. 190V.

9) All records periaaning to or making reference to a contract sioned by NRC 's, Ed Halman and Doug filason dated September 1,

19D6. The contract calls for Ellison to prov1de 'condutlang' services to NWC in return for an hourly wage. Sharon Connelly as the contract pro 3ect officer. 1he contract's FIN number as B0169. The B&R number as 80-19-01-00. The time period I'm in t er es,t ed 2n as Septeniber 1. 1900 through April 1 1989. This request is made on behalf of Ins 1de N.R.C., a McGraw-Hill newsletter wath readers, an government. IndustrW and non-profit organizations. The information I am t.ec4 2 ng will be used in the preparation of news articles, which will benefit the publi c. Therefore, I as,k that all s,earch and copying fees be waived. If they are not, McGraw-Hill is prepared to pay normal NRC fees. l If you have any quest 2 ons, please call 200-463-1659. Sincerely, J etdh ~'* .ggee WBT y

y ._ m __ . y; l.S 'l ; ';. 3 ution- [ [3..l ff'; UNITED STATES . NUCLEAR REGULATORY COMMISSION a x8' 3,. .g wAssiwoToN.D. C. 20$$$ JBlaha i May 22,1989 EDO 4448 CHAIRMAN The Honorable Sam Gejdenson Subcommittee on Energy and the Environment Committee on Interior and Insular Affairs United States House of Representatives Washington. D. C. 20515

Dear Congressman-Gejdenson:

1.am enclosing answers to the' questions. contained in your letter of May 1, 1989, concerning an agency investigation. These responses reflect information which was. received by the. Commissien from the appropriate offices and officials within-the agency. If I can be'of further-assistance, please let me know.. Sincerely, % w. ~. 1.ando W. 2 ,J cc: Chairman Morris K. Udall Rep. James V. Hansen Information in this record was deleted in accordance with the,freAdom o ' Information) Act,c::7;"cu DaMidp % g1 g ) T0!A. R9 2 $L J sf D * )I L{. ~~ s rc 0 % > c- (-

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.\\ QUESTION 9. Did Mr. Ellison provide his tapes to NRC official during the Daytona Beach meeting on August 29-30, 1988? If so, why did the NRC contract with Ellison? What information was obtained from Ellison during the September 1 through September 16, 1988 period that could not have been gleaned from the tapes? i ANSWER. On August 30, 1988, a few minutes before NRC officials left their hotel to depart for the airport, Mr. Ellison handed Mrs. Connelly six tapes. This was after Mr. Ellison had been advised that Mrs. Connelly would recommend to the appropriate NRC Headquarters officials that the NRC enter into a contract with Mr. Ellison to obtain information, tapes, and his cooperation in the investigation. The contract was undertaken to obtain the additional tapes Mr. Ellison had in his possession, as well as documents and other information that were important to the investigation. Also, his coopera-tion and assistance were needed to identify the voices on the tapes and put the tapes in the appropriate context.

p y L . QUESTION 15.. lWhatlistheworkproductofthe.Ellisoncontract? Who-reviewed that' work product? ANSWER.- The work product consisted of information about specific safety concerns-and wrongdoing.by, NRC employees; documentation in the fonn of audio and video tapes, memoranda and other written documents which were relevant to 4 the objectives of the contract; explanation, amplification, and context for such documentation; and signed sworn statements in response.to questions . posed by the. Project Officer or other NRC personnel.. The work-product was reviewed by Sharon Connelly, the Project Officer on the contract. b l l m__.. m._.m. -m_--_-_.-.m._ ._.-_.___.__mmm._-- --__-m_h

q q ~, .:>~ yy. }i 6: N QUESTION 20. . Prior to September 1, 1988, what'information did Mrs. Connelly. and/or Mr. Stello and/or their staffs provide the Comission, 7 i individual Commissioners, and/or Commissioners' assistants with- ~ regard to Ellison's allegations and the proposed contract with .Mr. Ellison? ANSWER. Mrs. Connelly~does not recall.which Comission offices, if any, were briefed -with regard to Ellison's allegations and the proposed contract prior to September.1,1988. She does recall briefing each Comission office, however. She met with the Chairman, Commissioners Roberts' and Carr'sLlegal assistants. and Commissioner Rogers and his legal assistant. She knows that the Chairman- ~ was briefed after September 1 since he was out of.the country prior to that time. ' Also,' Commissioner Curtiss had not yet joined the Comission, so he was E not briefed prior to September 1. She recalls discussing the generic question of an informants fund with the Chairman's technical assistant, but she did not' discuss the specifics.of the'Ellison case with him, i

m- ,3 y,y s. -QUESTION 56..Why did 01A not seek'to-obtain Mr. Ellison's tapes via a e subpoena? What analysis-was done of the pros'and cons of seeking' obtaining information from Mr. Ellison through a subpoena rather than by a contract? What does the~NRC General .. Counsel believe to be the pros'and cons of obtaining the information from Mr. Ellison through a subpoena rather than.by g a contract?- p ANSWER. OIA could not issue a subpoena for the tapes and other information Mr. Ellison had because it did not have subpoena authority. In order to obtain a -subpoena, OIA would have had to request the Commission to issue a. subpoena. Obtaining the Comission's approval would have involved additional NRC staff and increased the probability that the existence of the tapes and the ensuing investigation would-become known before OIA had an opportunity to fully review and assess the evidence. In a'ddition, and perhaps more importantly, DIA needed Mr. Ellison's cooperation in identifying the voices-on the tapes and putting the conversations into the appropriate context so that DIA could.then ' confirm whether or not the information was actually evidence of wrongdoing. Without Mr. Ellison's cooperation, 01A would have had a difficult and time-consuming task to try to identify the voices and the circumstances referred to on the tapes'. Mr. Ellison indicated he did not trust the NRC. He had brought allegations to OIA previously and then refused to be interviewed when k contacted by an 01A investigator. In addition, he told OIA he f'

QUESTION 26 (Continued) believed he should be compensated for doing the NRC's job in documenting wrongdoing. He indicated he was willing to cooperate with OIA only if he were paid for his services. If a subpoena had been issued to him there were no assurances that he would have cooperated with OIA to the extent he co-operated under the contract. Further the possibility exists that, considering his state of mind and views about the NRC, Mr. Ellison might have refused to respond to a subpoena, which would then cause the NRC to incur the expense and delay of court enforcement. In the meantime, the case would be made public, 01A's investigative effort would be severely compromised, and in the time delay that would occur, there is a possibility that some or all of the l tapes might be lost or destroyed. Thus, OIA did not believe that the issuance of a subpoena was a feasible alternative from an investigative standpoint. The foregoing points were considered in determining the best way to obtain the tapes and information Mr. Ellisor, had in his possession. With respect to your question as to the General Counsel's views, had the General Counsel known the nature of the investigation, including which individuals were involved and relevant background information about the external source, he would have insisted that, if the agency decided to proceed with an inquiry into the matter, it issue a subpoena to Mr. Ellison. However, see the response to Question 27 regarding legal advice on the propriety of the contract and the procedures followed in letting it. 4

,.. j ; c c. e '0VESTION 27. Who at the NRC is conducting an inquiry into whether the Ellison contract involved wrongdoing with respect to whether it was proper to pay a person for.the information and/or. materials sought'from E111 son', whether proper procedures had been followed in letting the contact a::d detemining that Mr. Ellison had fulfilled his contract obligations prior to his being paid, whether it was proper to pay Ellison in cash, and whether the contract with Ellison violated either general or specific guidance from the Office of General-Counsel? ANSWER. The Assistant General Counsel for Administration, Hudson B. Ragan, who.is responsible for providing legal advice with respect to agency procurement activities, has reviewed the contract and the procedures followed in letting the contract and has concluded that'the contract was proper. Moreover, Mr. Ragan has concluded that the contract is not inconsistent with the guidance provided in his memorandum to Ben Hayes, Director 01, dated September 2,1986(Copyenclosed).

5 n(7[38AM jEJDENSON 3. i E ,g g p'; } e y ~ wg A Kongress.of the Snited #5tates houst of Rqirtstatatiets Washingtsu, BE 20115 May-1, 1989' ~ The-Honorable:Lando W. Zech, Jr. ChairmanL

U.S. Nuclear Regulatory Commission Washington',. D.C.!20555 "

r

Dear Mr.-Chai = an:

Miller's' letter of March 22Thank you for your response to my and Repres g L 1989, requesting copies of. all . documentation'in the possess, ion of.the Nuclear Regulatory, -Commission concerning.~its investigation of certain allegations. made by;Mr.' Douglas Ellison. On April 12,-1989,. we were provided with what : appears to be a comprehensive reproduction of all. documents,: investigation. correspondence and staff work product relating;to this I appreciate the cooperation shown by the commission in facilitating our oversight of this investigation.. The review of the documentation to date has confirmed.my view that the Office of Inspector and Auditor (OIA) has mishandled this investigation of allegations.of wrongdoing by office of Investigations (OI) staff. into the internal organizational operation of the Commissi i . general. pursuing inquiries into possible professional and ethicalI find' .i improprieties of NRC employees' handling of the allegations pertaining to OI. Subcommittees had not intervenedMoreover, if our and other Congressional it is likely that the commission.would have taken no ac, tion into the alleged violation of principles that govern NRC management. -5/1..fIo OCA to Prepare Refponse for Signature of Chairman and ComaRe' vies.datedueCo(na: May 10...Cpys to: RF, Cars, OGC [hEDO....RESPONSESHOULDBEC00P9W 89-0423 i N e e/__ =-

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E 9s;. 'l Chairm2n Lando ZGeh pig 3 2= c E ,May 1, 1989-To facilitate the next step in cur oversight investigation, I am requesting that the commission respond'to the attached questions which-relate to the ongoing investigation. This request' for information is not intended to interfere with.the integrity of the NRC's investigative process. On the contrary, I am seeking this data to assist the Subcommittee in rapidly concluding its oversight findings which we will share with the commission for_ comment prior to recommending any formal congressional action. The cooperation of the commission in responding to this request within ten days would greatly appreciated. If you or your staff have any questions regarding this request, please feel free to contact ma or my Legislative Director, Perry J. Pockros. Thank you for your continued attention to this matter. Sincer ly, 1- ,, g Member Subco ttee on Energy and e Environment N Enclosure Questions 1-37 i

5.aa d i f e U 7 y k pavp& i OUESTIONS RELATING TO THE ELLISON ATJIGATIONS What NRC regulations govern recording by NRC personnel and/or 1h 'C contractors of conversations in which one or more parties to / jj h(f - the conversation are not aware that such recordings are being made?

2. Who is conducting an inquiry to determine whether or not tapes 4 " provided by Mr. Ellison to the NRC were recorded in a manner that f D f ould have violated NRC procedures if Mr. Ellison had been an NRC j y ' _ employee at the time of recording?

When was any such inquiry initiated? What are the results of any such inquiry? / 3. Who is conducting an inquiry into whether tapes provided by Mr. Ellison to the NRC were recorded in a manner that violated the laws / /[ the Stato of New York or other states? When was any such of inquiry initiated? What are the results of any such inquiry?

4. Who is conducting an inquiry into whether tapes provided by Mr.

' Ellison to the NRC vere recorded in a manner that violated laws of - the United States? When was any such inquiry initiated? What is the result of any such inquiry?

5. What allegations did Mr. Ellison make against NRC and utility officials in August and September 1988?

Who has produced a listing Opl11 son in August and September 1988?of the allegations made ag j I at this time? Where is any such listing 1 / 6 Which of the allegations involving NRC and utility officials k ma. de by Mr. Ellison in August and September 1988 have been / investigated by the NRC or are currently under active investigation by the NRC? 7. Did Ms. Connelly (or other OIA personnel) report, to the Commission or to OI, allegations against Niagra Mohawk made by Mr. / Ellison during August and September 19887 If not, should Ms. h Connelly (or other OIA personnel) have made such a report? O conducting an investigation as to whether Ms. Connelly's failure i Who is to report Ellison's allegations concerning utility officials to ( either the Commission or OI represents a failure to fulfill ) official responsibilities? On what date was any such inquiry i g/ nitiated? 8. What documents describo events and discussion during the August s O 29 - 30, 1988 meeting in Daytona Beach, Florida when Ms. Connelly, Mr. Resner and Mr. Blaha met with Mr. Ellison?

9. Did Mr. Ellison provide his tapes to NRC officials during the aytona Beach meeting on August 29-30, 19887 Ifso,whydidthe[

NRC contract with Ellison? What information was obtained from Ellison during the September 1 thru September 16, 1988 period that could not have been gleaned from the tapes? Y 10. Did NRC take possession of ' (or copy) the materials in the O, q06D D D3e p u' l 3 pot -

.... 3.,.y ,1 ~ 9 c

" boxes of. documents" which Mr. Ellison believed lent support to his allegations?

What reviews of such documents have been conducted e by.the NRC7 During what time period were such reviews conducted? What were the results of such reviews? ' k 11.- What were the priorities of the inquiry into the allegations put forth by Mr. Ellison? Who established these priorities? ; Where 7 are such priorities documented? 12. On what date did Mr. Stallo direct NRC staff to assess the safety-related allegations made by Mr. Ellison during August and V September:19887 What was the result of any such assessment? g 13.. What inquiry did NRC: conduct 'of Mr. Ellison's allegation _ concerning drug use at Nine Mile Point and presented to Ms. : g Connelly, Mr. _ Resner and Mr. Blaha on August - 29 and 30, 19887. During what time period was this inquiry conducted? Was this r 9 l. issued referred to OI? If the matter was not referred.to OI, why was such a referral not made. What was.the result of any inquiry into drug use at Nine Mile Point by OI or other NRC entity?- 14. Who at the. NRC, if anyone,.made the determination that the Ellison allegations applied to the " organizational culture" at Nine { Mile Point' Unit 1 and not to that at Nine Mile Point Unit 27 ) h ewed that work product? What is the work product of the Ellison contract? Who has revi /

16. In the course of OIA inquiries into the Fortuna af fair during-

~ the August.1988 thru February 1989 period, did CIA interview Mr. - Conley to determine what he might have had to say about the alleged-d Conley-Fortuna conspiracy to " topple" the NRC? If not, why not? If so, what was the result of any such interview? 17. Who besides Mr. Ellison was interviewed by OIA in the period / August 1988 thru February 1989 for the purpose of obtaining 3 J information concerning the alleged Conley-Fortuna conspiracy to 4 " topple" the NRC? 18. What did OIA staff mean when they stated in a draft report j that the tapes provide support for Ellison's belief that ,F "...Comley, with the assistance of, or under the direction of, t

Fortuna, (Was]

building an organization to topple the Nuclear Regulatory Commission?" 'g {

19. Did OIA believe that Mr. Fortuna and Mr. Conley were engaged t h was the nature ofin a criminal conspiracy to " topple" or discredit the NRC7 What i

g any such conspiracy? What was the evidence Q supporting any such belief? ^ s ue (20." Prior to September 1, 1988, what information did Ms. Connelly and/or Mr. Stallo and/or their staffs provide the commission, individual Commissioners, and/or Commissioners 8 assistants with q regard to Ellison's allegations and the proposed contract with Mr. 4 s [.'____ m ._m.-_____ ____._._____.___i_-___.____.__-.__._.__m._._.-_-~m.. ___.m __________.__-_.._____m_-m._._.m__m__m ____m_

n. y Ellison? d 21. Did the NRC/OGC review the evidence to determine whether it indicated that Mr. Fortuna and/or Mr. Conley were engaged in a criminal conspiracy to " topple" or discredit the NRC7 What was the { nature and result of any such review? j 22. Since assuming responsibility for investigating the jL allegations involving Mr. Fortuna, has Mr. Rosenthal interviewed / Mr. Ellison? If not, why not? 23. Since establishment of the Office of Inspector General, has Mr. Rosenthal been instructed that his investigation of Mr. Fortuna [,, A and other OI matters would henceforth be under the aegis of the Q Office of Inspector General to whom he would henceforth report?

24. Is the Commission aware that in early 1987, Ms. Connelly and j

her staff decided not to pursue allegations brought to OIA by Mr. ,, Ellison? If so, on approximately what date did the Commission '9 become aware of this fact? 25. Did Mr. Ellison inform Ms. Connelly of his allegations concerning the alleged Comley-Fortuna conspiracy in his Q communications with OIA in early 1987? If not, did Ms. Connelly, in the August - September 1988 period ask Mr. Ellison why he had waited some 20 months, after obtaining the tapes that subsequently i I became the principal rationale for the OIA investigation of ./ f Fortuna, before taking these allegations to the NRC? If Ms. Connelly did ask such questions, what were the answers? If Ms. Connelly did not ask questions concerning this point, why did she not ask such questions?

26. Why did OIA not seek to obtain Mr. Ellison's tapes via a subpoena?

What analysis was done of the pros and cons of seeking /than by a controbtaining information from Mr. Ellison through a s j act? What does the NRC General Counsel believe to be the pros and cons of obtaining the information form Mr. Ellison through a subpoena rather than by a contract?

27. Who at the NRC.is conducting an inquiry into whether the Ellison contract involved wrongdoing with respect to whether it was proper to pay a person for the information and/or materials sought from Ellison, whether proper procedures had been followed in letting the contract and determining that Mr. Ellison had fulfilled his contract obligations prior to his being paid, whether it was proper to pay Ellison in cash, and whether the contract with Ellison violated either general or specific guidance from the Office of General Counsel?

'287 Prior to issuance of the Ellison contract, did Ms. Connelly and/or Mr. Stello provide the information requested by Mr. Parler ,J in his August 25 memorandum to Ms. Connelly? Prior to issuance of the Ellison contract, did Ms. Connelly and/or Mr. Stello seek OGC \\i advice with regard to the contract? If so, what was the nature of l

....., w t'he advice sought by Ms. Connelly and/or Mr. Stello and what was I the nature of the advice provided by OGC7 ./

29. Were documents, records, tapes, etc. pertaining to this matter destroyed?

If so, who is conducting an inquiry into the propriety of destruction of documents and/or other natorials pertaining to j / the Ellison contract, including: documents and/or tapes provided ,IhhO by Mr. Ellison; NRC administrative records; notes, memoranda, reports, analyses, or other documents, prepared by NRC officials j and/or other NRC staff? What such documents and/or materials have been destroyed? What was the purpose of any such destruction? i Which NRC employees were responsible for any such destruction? Who authorized any such destruction?

N What h'

g-4 QUESTION 28 (Continued) -, On August 25, 1908.. prior to the issuance of the General Counsel's memorandum of the same date, Mr. Parler recalls that Mrs. Connelly informed him.that there was an immediate need for access to information. Shortly after the General Counsel's August 25, 1988 memorandum was issued, the first working day as he now recalls, he was asked to attend a meeting in Mr. Stello's office with Mrs. Connelly. At that meeting, the General Counsel, to the best of his recollection, was informed by'Mr. Stello that the information could raise possible safety issues. The General Counsel was advised at that neeting by Mrs. Connelly that the information could not be obtained voluntarily. At that meeting, .the General Counsel informed Mrs. Connelly, and Mr. Stello of the agency's broad subpoena power under Section 161c. of the Atomic Energy Act of 1954, as amended. Mrs. Connelly informed him that a subpoena would not work because the information probably could be destroyed before the agency could get the subpoena enforced, and that, in any event, the investigation needed the cooperation of the individual to help sort through the information. With this background, the General Counsel advised Mrs. Connelly and Mr. Stello at that meeting that contractual authority could be used provided that the deter-mination was made in accordance with his August 25, 1988 memorandum, that funds were available for that purpose, and that the applicable procurement rules were satisfied. i i a' - t i l QUESTION 28(Continued) l ^ l No one discussed the specific circumstances of the matter with the General ~ Counsel or the specific details of the contract with him or with anyone in OGC. It is Mrs. Conne11y's recollection that Mr. Parler indicated he did not need to know the details of the. investigation nor the parties. involved. Shortly after the contract was executed Mrs. Connelly, at the Chairman's request, briefed Mr. Parler on the details of the investigation. Mr. Parler notes that this briefing occurred on September 2,1989. / y f L .4-r I' - QUESTION 29.. Were documents, records,. tapes, etc. pertaining to this matter - destroyed? If so, who is conducting an inquiry into the' propriety of destruction of documents and/or other materials-pertaining to the Ellison contract, including: documents I and/or tapes provided by Mr. Ellison; NRC administrative records; notes, memoranda, reports, analyses, or other documents, prepared by NRC officials and/or other NRC staff? What such documents and/or materials have been destroyed? What was the purpose of any such destruction? Which NRC employees were responsible for any such destruction? Who authorized any such destruction? ANSWER. ? The Office of Inspector and Auditor did not destroy any documents, records, tapes, etc. pertaining to this matter. James.L. Blaha was responsible for coordinating the administrative aspects of the Ellison contract to include the information used in preparing the contract document. Prior to preparation of the contract, he wrote on a piece of note paper several pieces of information (i.e., Purchase Order number, appro-priation/ allotment number, FIN number, and B&R number) which were needed to complete the contract form. This piece of note paper was retained in a file folder until february 28, 1989, when Mr. Blaha on his own authority discarded it because he thought it was not

r. ceded. The infonnation on the note paper was recorded on the final contract.

l x.

(

4 i QUEST 10N-29-(Continued)- - Edward L. Halman, Director, Division of Contracts and Property Management, is the NRC official-who prepared and signed'the Ellison contract. During the drafting of the contract Mr. Halman made hand-written notes on sheets of paper for the purpose of refining the contract language. These notes were not seen by anyone other than Mr. Halman and did not involve any matters other than what' ultimately appeared in the contract document. Mr. Halman retained these notes until February 28, 1989, when he received a copy of the fully-executed contract. At that time, Mr. Halman felt taat the notes were no longer needed and, acting upon his own authority, discarded them. The Office of Inspector General is initiating a review related to various aspects of OIA's investigation of Mr. Fortuna. The Inspector General (Acting) will be communicating with you by separate letter concerning this review. I 7 'l (

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%...../ April 29, 1987 (, _ '[ - Docket No. 50-220 1 License No. OPR-63 l-EA 87-45 1 I Niagara Mohawk _ Power Corporation ATTNi Mr. C. V. Mangan Senior Vice President j. 301 Plainfield Road l i i Syracuse, New York 13212 l 4-l Gentlemen: i l-

Subject:

NOTICE OF VIOLATION AND PROPOSED IMPOSITION OF CIVIL PENAL 1Y f (NRC Inspection Report Nos. 50-220/86-13; 50-220/86-16; 50-220/86-17) i -k l This refers to three NRC inspections conducted between August 4 and September 19, 1986 at Nine Mile Point, Unit 1, Scriba, New York. The inspection' reports were'sent to.you on September 30, 1986, December 18, 1986, 20, 1987, respectively. Two of the inspections, including a l and January special team inspection conducted on August 25-29, were conducted in response l -to several allegations made to this office by one of your employees concerning the areas of maintenance, surveillance, operations, quality assurance and radia-During the inspection, many of the allegations were tion protection at Unit 1. substantiated and several violations of NRC requirements were identified by the NRC, including violations unrelated to the allegations. On February 19, 1987, an enforcement conference was conducted with you and members of your staff to discuss the violations, their causes and your corrective actions. f The viciations are described in the enclosed Notice of Violation ano Proposed Imposition of Civil Penalty (Notice) and, when evaluated collectively, indicate In underlying weaknesses in the control of licensed activities at Unit 1. particular, (1) problems identified be your staff are not always brought to the l attention of management for resolutiot ; (2) problems are not adequately analyzed to determine their underlying causes; (3) corrective actions taken for identified problems lack thoroughness and depth; and (4) the Quality Assurance Department has not been effective in assisting the line organizations in identifying and The specific violations include: numerous examples of the l correcting problems. failure to follow station procedures when performing maintenance and surveil-lance testing, and when controlling measurement and test equipment; failure to properly evaluate test results; the failure to perform adequate radiation i surveys; failure to follow procedures for personnel radiation protection; and failure to provide adequate radiation surveillance in the work area. j These weaknesses further demonstrate an apparent complacent attitude among certain members of your staff which may have contributed to declining l performance and an increase in the number of operational problems at Unit 1, f j/as indicated in the Systematic Assessment of Licensee Performance Board Report a 27, 1987. Additionally, the violations also indicate g* (D sent to you on February t t 6-[ qNJREG-0940 -FCL ^O ~.F' I.A-123

mm-a- g 6 Niagara Mohawk Power Corporation 2 that your system for resolving en loyee concerns was inadequate in that the alleger had discussed his concerns with supervision prior to contacting the NRC, but timely and effective action was not taken to analyze and resolve these concerns. To emphasize the need for (1) strict adherence to procedures, (2) the timely and effective resolution of problems raised by employees, and (3) complete and thorough actions to correct underlying causes, I have been authorized, after consultation with the Director, Office of Enforcement, and the Deputy Executive Director.for Regional Operations to issue the enclosed Notice of Violation and Proposed Imposition of Civil Penalty in the amount of Fif ty Thousand Dollars ($S0,000) for the violations described in the enclosed Notice. Individually the violations might not be categorized at a Severity Level III.

However, collectively, they raise a significant concern for the reasons stated abeve.

Therefore, in accordance with the " General Statement of Policy and Procedure for NRC Enforcement Actions," 10 CFR Part 2. Appendix C (1987) (Enforcement Policy), the violations have been categorized in the aggregate as a Severity Level III problem to focus on the underlying weaknesses. The escalation and mitigation factors in the Enforcement Policy were considered and no adjustr,ent has been deemed appropriate. You are required to respond to this letter and should follow the instructions specified in the enclo, sed Notice when preparing your response. In your response, you should document the specific actions taken and any additional actions you plan to prevent recurrence. After reviewing your response to this Notice, including your proposed corrective actions, the NRC will determine whette'- further enforcement action is necessary to ensure compliance with NRC regulatory requirements. In accordance with Section 2.790 of the NRC's " Rules of Practice" Part 2, Title

10. Code of Federal Regulations, a copy of this letter and its enclosure will be placed in the NRC Public Document Room.

The responses directed by this letter and the enclosed Notice are not subject to the clearance procedures of the Office of Management and Budget as required by the Paperwork Reduction Act of 1980, Pub. L. No. 96-511. Sincerely, &f T. William T. Russell Regional Administrator

Enclosure:

Notice of Violation and Proposed Imposition of Civil Penalty 1 cc: See Next Page NUREG-0940 I.A-124

y r .';. [ I V s. Niagara Mohawk Power Corporation-3 cc w/ encl: T. E. Lempges, Vice President, Nuclear Generation J. A. Perry, Vice President, Quality Assurance T. Per kins, General Superintendent, Nuclear Generation W. Hansen, Manager of Quality Assurance T. Roman, Station Superintendent J. Aldrich, Supervisor, Operations W. Drews, Technical' Superintendent Troy B. Conner, Jr. Esquire John W. Keib, Esquire Director, Power Division Public Document Room (POR) local-Public Document Room (LPDR) Nuclear Safety Information Center (NSIC) NRC Resident Inspector State of New York-9 9 e 99fS.FO$6 T g.7*C

NOTICE OF VIOLATION AND FROPOSED IMPOSITION OF CIVIL PENALTY Niagara Mohawk Power Corporation 00cket No. 50-220 Nine Mile Point, Unit 1 License No. 0PR-63 EA 87-45 During three NRC inspections conducted between August 4 and September 19, 1986, violations of NRC requirements were identified. In accordance with the " General Statement of Policy and Procedure for NRC Enforcement Actions, 10 CFR Part 2, Appendix C (1987), the Nuclear Regulatory Commission proposes to impose a civil penalty pursuant to Section 234 of the Atomic Energy Act of 1954, as amended (Act), 42 U.S.C. 2282, and 10 CFR 2.205. The particular vidlations and associated civil penalty are set forth below: A. Technical Specification 6.8.1 requires that written procedures and administrative policies be established, implemented and maintained that cover'the activities recommended in Sections 5.1 and 5.3 of ANSI Standard N18.7-1972. _ Section 5.1 of ANSI N18.7-1972 specifies that a maintenance program be developed to maintain safety related equipment. which includes the following: (1) proper preplanning and performance of maintenance in accordance with written instructions or procedures that incorporate appropriate vendor manual information, (2) documented permission by responsible operating personnel to release equipment for work, and (3) post-maintenance review, testing and return to service to verify functional acceptability. Contrary to the above, written procedures and administrative policies were not either established, implemented, or maintained covering the following maintenance activities, as evidenced by the following examples: 1. On August 21, 1986, maintenance was performed on the Control Rod Drive (CRD) hydraulic control unit scram inlet and outlet valves, safety-related equipment, without establishment and implementa-tion of appropriate written procedures for conducting this main-tenance. Specifically, the packing for the valves was tightened without proper approval of shif t supervision, without proper pre-planning and written instructions, and without any post-maintenance testing. 2. In April 1986, a local leak rate test of the Feedwater Isolation Check Valve was not conducted in accordance with the approved Nine Mile Nuclear Station Procedure N1-ISP-25.7. Specifically, the cavity between the inboard isolation valve and outboard check valve was initially pressurized to 100 psig rather than 35.5 psig as stated in the procedure, and this change was not evaluated for its effect on the validity of the test. NUREG-0940 I.A-126 cmgn%v4bfX%% nom

W. a. if y J ~ R Notice of Violation. 2-3. In July 1986, two Local Power Range Monitor (LPRM) cable connectors were replaced with a model connector that was.not- ~ in accordance with NMNS-Pro'cedure.N1-lMP-LPRM-l'. Specificp11y, -Amphenot Type BNC connectors were used instead of'the required Ampheno) Type SMA. connectors. 4. On September =15,1986,.the restoration of safety-related equipment to an. operable: status' after the maintenance activities was not performed in accordance with Administrative Procedure 5.0, " Procedure for-Repair,". in that physical separation of electrical equipment'was' not. maintained..Specifically, three steel panel isolation. barriers which separate s'afety-related from non-safety-related equipment were not reinstalled within Remote Shutdown Panel No. 11'..' Additionally, switch and relay covers and a spare instrument were not reinstalled. 5. NMNS Procedure N1-ST-Q3 and N1-ST-105 used for the performance of surveillance testing of the'High Pressure Coolant Injection (HPCI) pumps were not revised to incorporate new HPCI flow' acceptance ~ criteria. Further,' on July 14, 1986 these procedures were:not used during the surveillance testing of the'HPCI pumps. 6. The control and use of metering and test' equipment-(M&TE) was not conducted in accordance with Administrative Procedure AP-8.4~, " procedure for Control and Calibration of Equipment Used in Tests and Inspections", as evidenced by the following examples: a. On' April 16, 1985, Transition Minitemp Calibrator (Serial No. 18947) was calibrated of f-site and, as of' September 18, 1986, a current calibration report was not maintained with the responsible supervisor, as required. b. On November 4,1985, a Gould recorder-(Serial No.1155) was used on at.least thirteen instances during the performance of timing tests on scram valves without the required recording of its use ~ on a protected log sheet, c. As of September 18, 1986, recorder channel modules, which were individually calibrated, were interchanged between several Gould recorder units without recording this fact on a protected log sheet, as required. 7. On June 18, 1986, NMNS Procedure N1-ST-C3, " Automatic Startup of HPCI System," was not properly followed in that the procedure was signed-off as complete without documenting the completion of the Feedwater (HPCI) System and Condensate System " return to service" alignments on the procedure Data Sheet. 1.A-127 NUREG-0940

si 3 Notice of~ Violation 1 18, 1986, housekeeping and cleanliness was not-As of September 8. performed in accordance with Administrative Procedure 8.5 in that loose nuts, bolts, relay and switch covers, and other loose hard-ware and trash were present in the Recirculation Pump Motor Generation Field Breater Cubicles and Remote Shutdown Panels. Design drawings that reflect plant modifications were not prepared 9. and delivered to the Station Superintendent in a timely manner as-recuired by Administrative-Procedure ApH-9, " Procedure for Station permanent and Temporary Modifications and Replacement," as evidenced-by the following examples: In 1984, a Plant Modification (No. 84-36) was made to the wiring for Anticipated Transient Without Scram (ATWS) Panel a. No. 1548, and as of September 12, 1986, the associated wiring diagram (No.C-34122-C/1) at the facility was not prepared to accurately reflect the Modification, 17, 1986, the latest available wiring diagram On September b. (No. C-3481C, Sheet 5, Revision 0, and Sheet 6 Revision 1) at the facility for the Remote Shutdown Panels was not prepared to reflect the as-installed wiring configuration in that ten wiring configurations were dif ferent than indicated on the diagram. 10 CFR Part 50, Appendix B, Criterion XI, requires, in part, that test B. results be documented and evaluated to assure that test requirements have ceen satisfied. 14, 1986, test results were not Contrary to the above, on August evaluated to assure that test requirements had been satisfied. Specifically, although Raw Water Pump No. 121 motor current was 0:: served as outside the acceptable range, an evaluation of the data was rot completed and NMNS Procedure NI-ST-06, " Containment Spray and Raw Water Pumps Operability Test," was completed as satisfactory. 10 CFR 20.201(b) requires, in part, that each licensee make or cause to be made such surveys as may be r.ecessary to comply with the regulations in C. 10 CFR Part 20 and are reasonable under the circumstances to evalua 10 CFR 20.201(a) defines extent of radiation hazards that may be present. a survey, in part, as an evaluation of the radiation hazards incident to l the presence of sources of radiation. l' Contrary to the above, although an Instrument and Control (I&C) technician's pocket 1. dosimeter went off-scale while performing maintenance on local 28, 1986, power range monitors under the reactor vessel on April the individual reentered the area and performed additional work I.A-128 NUREG-0940 l

V + Notice of Violation 4 l under the vessel, without an evaluation being performed to determine the extent of the radiation hazards that may have been present and ~ without ensuring that the limits set forth-in 10 CFR 20.101 were not exceeded. 2. on April 29, 1986, an-adequate survey was not performed of an area under the reactor vessel area where maintenance on local power range monitors was to be performed in that the radiation levels from the control rod drite (CRO) flanges were not determined. An individual-performing the maintenance could come in contact with'the CR0 flanges which had a contact radiation level of approximately 1200 millirem per hour. A technician was not instructed to avoid the area of these flanges, and this resulted in the technician working with his head resting'against a flange without knowing that the flange had a contact radiation level of approximately 1200 millirem per hour. D. Technical Specification 6.11 requires, in part, that procedures for personnel radiation protection be prepared consistent with the requirements of 10 CFR Part 20, and be adhered to for all operations involving personnel radiation exposure. Contrary to the above, in several instances, procedures for personnel radiation protection were not adhered to for operations involving personnel radiation exposure, as evidenced by the following era.tples: 1. On April 28 and 29, 1986, an I&C Technician working under the reactor vessel received an uncontrolled radiation exposure as evidenced by off scale dosimetry readings, and Radioicgical Occurrence Reports were'not issued in accordance with NMNS Procedure S-RP-5, " Radiation and Radioactive Contamination Control," Revision 4. 2. On April 28, 1986, an 1&C Technician, whose dosimeter indicated an accumulated dose of 300 mt11trem, did not rezero his dostmeter, as required by NMNS Procedure S-RP-1, " Access and Radiolog*. cal Control," Revision 5, prior to entering an area under the reactor vessel where the radiation field could result in an off-scale reading. 3. On April 29, 1986, an 1&C Technician, designated as the leadman for work performed under the reactor vessel, did not ensure, as required by NMNS Procedure S-RP-2, " Radiation Work Permit Procedure," Revision 4, that the instructions of a Radiation Work Permit (RWP) were strictly followed. Specifically, the Leadman entered the area without the extremity dosimeter required by RWP No. 2043. 4. On Aprt) 28, 1986, an I&C Technician returned his extremity dosimeter to dostmetry personnel, but did not return his whole body film badge at the same time, as required by NMNS Procedure S-RTP-7, " Issuing and Collecting Dosimetry Devices," Revision 6. NUREG-0940 1.A-129 I

T.

,,a 5 iNotice of Violation 28, 1986, an I&C Technician's pocket dosimeter went off-On April 5. scale indicating a potential high exposure, but the-film. badge was not submitted to the vendor-for processing as required by NMNS ' Procedure S-RRI-12, " Sending Special Records.to Landauer.", Revision O. Technical Specification 6.12.1 requires, in part, that each individual' E. or group of individuals permitted to enter areas with radiation levels greater than 100 mrem / hour be provided with or accompanied by.one or more of the following: A radiation monitoring device which continuously indicates the a. radiation dose rate in the area. A radiation monitoring device. which continuously integrates the b. radiation dose rate in the area and alarms when a preset inte-grated dose is received. Entry into such areas with this monitoring device may be made after the dose rates in the area have been established and personnel have been made knowledgeable of them. An individual qualified in radiation protection, with a c. radiation dose rate monitoring device, who is responsible for providing positive control over the activities within the area, shall perform periodic radiation surveillance at the frequency specified by the Radiation Protection Supervisor or designated in the Radiation Work Permit. - Contrary to the above, on April 29, 1986, an I&C technician entered an area under the reactor vessel and performed work on the Local Power Range Monitors (LPRMs) where the upper part of' his body could come in contact with the Control Rod Drive (CRD) fianges where the radiation The technician was not levels were as high as 1200 mrem /hr on contact. provided with a continuously indicating or continuously integrating , device, nor was he-accompanied by an individual qualified in radiation protection'to perform periodic surveillance at the frequency specified on the RWP. i ' Collectively, the violations have been categorized in the aggregate as a Severity Level III problem (Supplement I and IV). Cumulative Civil Penalty - 550,000 (assessed equally among the violations). Pursuant to the provisions of 10 CFR 2.201, Niagara Mohawk Power Corporation is hereby required to submit a written statement or explanation to the U.S. Document Control Desk, Washington, D.C. Nuclear Regulatory Commission, ATTN: 20555 with a copy to the Regional Adrainistrator USNRC Region I, and a copy to the NRC Resident Inspector, Nine Mile Point, Nuclear Station, Unit 1, within 30 This reply should be clearly marked as a days of the date of this Notice. " Reply to the Notice of Violation" and shoul'd include for each alleged violation: ( (1) admission or denial of the alleged violation, (2) the reasons for the (3) the corrective steps that have been taken and the violation if admitted results achieved, (4) the corrective steps that will be taken to avoid further t NUREG-0940 1.A-130

h 6 Notice of Violation i violations, and (5) the date when full compliance will be achieved. If an adequate reply is not received within the time specified in this Notice, an { order may be issued to show cause why the license should not be modified, susperded, or revoked or why such other action as may be proper should not be taken. Consideration may be given to extending the response time for good cause shown. Under the authority of Section 182 of the Act, 42 U.S.C. 2232, this response shall be submitted under oath or affirmation. Within the same time as provided for the response required above under 10 CFR 2.201, Niagara Mohawk Power Corporation may pay the civil penalty by letter addressed to the U.S. Nuclear Regulatory Commission, ATTN: Document Control Desk, Washington, D.C. 20555 with a check, draft, or money order payable to the Treasurer of the United States in the cumulative amount of Fifty Thousand Dollars (550,000) or mg protest imposition of the civil penalty in whole or in part by a written nswer addressed to the U.S. Nuclear Regulatory Commission, ATTN: Document Con.c., Desk, Washington, D.C. 20555. Should Niagara Mohawk Power Corporation fa); t.) answer within the time specified, an order will be issued irrposing the civil penalty in the amount proposed above. Should Niagara Mohawk Power Corporation elect to file an answer in accordance with 10 CFR 2.205 protesting the civil penalty, such answer should be clearly marked as an " Answer to a Notice of Violation" and may: (1) deny the violation listed in this Notice in whole or in part, (2) dem:nstrate extenuating circumstances, (3) show error in this Notice, or (4) shew other reasons why the penalty should not be imposed. In addition to protesting the civil penalty in whole or in part, such answer may request remission or mitigation of the penalty. In requesting mitigation of the proposed penalty, the five factors contained in Section V.B of 10 CFR Part 2, Appendix C (1987), should be addressed. Any written answer in accordance with 10 CFR 2.205 should be set forth separately from the statement or explanation in reply pursuant to 10 CFR 2.201, but may incorporate parts of the 10 CFR 2.201 reply by specific reference (e.g., citing page and paragraph numbers) to avoid repetition. The attention of Niagara Mohawk Power Corporation is directed to the other provisions of 10 CFR 2.205, regarding the procedure for imposing a civil penalty. Upon failure to pay any civil penalty due, which has been subsequently deter-mined in accordance with the applicable provisions of 10 CFR 2.205, this matter may be referred to the Attorney General, and the penalty, unless compromised, remitted, or mitigated, may be collected by civil action pursuant to Section 234c of the Act, 42 U.S.C. 2282. FOR THE NUCLEAR REGULATORY COMMISSION m /~ar William T. Russell Regional Administrator Dated atging of Prussia, Pennsylvania this)p day of April 1987 NUREG-0940 1.A-131 l _}}