ML20034D421
| ML20034D421 | |
| Person / Time | |
|---|---|
| Issue date: | 05/04/1992 |
| From: | Taylor J NRC OFFICE OF THE EXECUTIVE DIRECTOR FOR OPERATIONS (EDO) |
| To: | |
| Shared Package | |
| ML20034A782 | List: |
| References | |
| FOIA-93-8 SECY-92-163, NUDOCS 9205070295 | |
| Download: ML20034D421 (30) | |
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awuu POLICY ISSUE May 4, 1992 (Information) i SECY-92-163 Eor:
The Commissioners i
Prom:
James M. Taylor f
Executive Director for Operations Subiect:
OFFICE OF INVESTIGATIONS ANNUAL REPORT, 1991 Purcose:
i To provide the Commission with an annual report i
regarding the results of investigations j
completed by the NRC Office of Investigations t
(OI).
1 I
Backcround:
In a staff requirements memorandum, COMJC-89-8, 1
dated June 30, 1989, entitled " REPORTS ON THE l
RESULTS OF OI INVESTIGATIONS," the Commission directed OI to prepare an annual summary report i
of the results of investigations completed by
[
OI.
This third OI Annual Report addresses calendar year 1991 (CY 91).
Executive Summary:
OI conducts investigations of alleged wrongdoing 4
i by individuals or organizations, outside the NRC, who are licensed by the NRC, have applied l
Contact:
William D. Hutchison I
504-3484
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SENSITIVE INFORMATION - LIMITED TO NRC UNLESS THE COMMISSION DETERMINES OTHERWISE
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2 for NRC licenses, or who are v r. dor; or contractors of NRC licensees.
05
~t 7rganized into five regionally based Field 0;fices under a Headquarters element.
An average of 35 investigators and 10 operational support staff were assigned to OI, nationwide, in 1991.
The average experience of an individual OI criminal investigator is approximately 13.6 years, normally in Federal criminal law enforcement or with the NRC itself.
This is a decrease in overall average experience from previous years resulting from the hiring of less experienced investigators identified in OI's continuing Equal Employnert Opportunity initiatives.
Backgrounds of the investigators vary, but include the Federal Bureau of Investigation (FBI), the Drug Enforcement Administration (DEA), the Bureau of Alcohol, Tobacco and Firearms (ATF), the Army Criminal Investigation Command (USACIDC), the Naval Investigative Service (NIS), and various Inspector General offices within the Federal community.
During CY 91, OI opened 70 investigations and compleced 57.
Completed investigatiens are listed on the Annual Report of Closed Cases for the period January 1, 1991, through December 31, 1991 (Enclosure 1).
The 57 investigations are categorized by major types of alleged wrongdoing as follows:
I Willful Material False Statements:
33*
i Willful Intimidation and Harassment (Discrimination and Reta2iation):
13 Willful Violations of NRC License Conditions or the Atomic Energy Act:
9 other Willful violations:
2
- shows a comparison of types of willful violations investigated from 1988 through 1991, based on the number of cases A willful material false statement as referred to in this report is defined as willfully providing inaccurate information on material matters (either a material false statement or a violation of 10 CFR 50.9, etc.).
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opened each year. shows the same comparison, based on completed investigations each year.
The chart at Enclosure 4 depicts types of willful violations by percentage of the total closed case inventory for 1991.
Of the 57 investigations completed in CY 91, 8 were closed in the preliminary investigation or inquiry stage.
Of those, six were unsubstantiated, and two were closed administratively for lack of investigative resources. These eight cases represent the last of the " inquiry" type investigations in the OI inventory, and this category has been deleted from the statistical data base as of 1992.
Of the 49 full-scale investigations completed in 1991 o Wrongdoing was substantiated in 29 cases.
o Investigation did not substantiate wrongdoing in 19 instances.
o One case was ultimately closed administrative 1y.
Of the 29 cases in which wrongdoing was substantiated, 16 resulted in significant NRC enforcement action, with enforcement action pending in 6 others at the time of this report.
Additionally, there were 16 significant NRC enforcement actions completed in 1991, resulting from OI investigations closed in prior years.
civil penalties in the amount of approximately
$270,000, were proposed against licensees in 1991, regarding matters investigated by OI.
Of that amount, $170,000 was paid in 1991.
Of the same 29 substantiated cases, 21 were referred to the Department of Justice (DOJ).
During 1991, OI supported seven Federal Grand Juries.
There was one conviction in Federal LI STRIBUTION -
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court resulting from an investigation closed in 1991, and three Federal convictions resulting from investigations completed in prior years. depicts the number of DOJ referrals made by OI from 1988 through 1991.
Sionificant Actions:
NRC Enforcement Actions:
I An investigation by OI: Region III, at the Lafayette Clinic in Detroit, Mich., resulted in l
the levying of an $11,000 fine against the licensee.
The investigation found that a researcher at the clinic was responsible for the deliberate unauthorized use of radioactive material and employment discrimination against two clinic employees who raised concerns over the matter.
In addition to the fine, the NRC issued an order to the clinic prohibiting the researcher and the former acting clinic director I
from involvement in any NRC-licensed activity
]
for the next 3 years, i
As a result of an OI: Region III investigation, an order modifying license was issued against Midwest Inspection Services, Ltd.
The order was based in part on the investigative finding that the owner of the firm deliberately allowed an untrained individual to perform the duties of both a radiographer's assistant and a radiographer.
The order requires the licensee to notify the NRC before perfr ming any radiographic activity and to taploy an outside consultant to independently audit the firm.
L'. OI: Region IV investigation of Western Stress, Inc., for violation of NRC regulations regarding radiographic activities resulted in the assessment of a civil penalty of $15,000, which was paid on August 1, 1991.
Additionally, an order was issued to prohibit the radiographer from supervising radiography activities for 1 year.
I In October 1990 an OI: Region V investigator and an NRC inspector observed and videotaped a radiographer improperly conducting radiographic operations.
The radiographer then made a false statement to the NRC regarding his activities.
An order was issued prohibiting the licensee, Fewell Geotechnical Engineering, Ltd., from utilizing the individual as a radiographer for 3 g
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years.
The licensee was also assessed a $15,000 civil penalty.
The licensee ultimately terminated its license and the civil penalty was I
withdrawn.
Federal Court Actions:
As a result of an OI: Region I investigation, Stanford Mining, Inc., (SMI) vaived indictment in U.S. District Court, Pittsburgh, Pa., on August 5, 1991, and entered a plea of guilty to conspiring to improperly transfer and dispose of three nuclear weigh scales in violation of Title 42, U.S.C., Section 2273.
SMI was fined
$30,000.~ Investigation into the activities of corporate officials of the firm is continuing.
An investigation by OI: Region II of a product substitution fraud case regarding Stokley Enterprises, Inc., resulted in the conviction of William Stokley and his company on charges of conspiracy to traffic in counterfeit goods and j
trafficking in counterfeit goods (electrical relays).
William Stokley was sentenced to 2 years in Federal prison, fined $7,500, and ordered to pay $350,000 in restitution.
Stokley i
Enterprises, Inc., was fined $30,000 and ordered to pay $2.5 million in restitution, less the amount of restitution personally paid by Stokley.
i OI: Region IV conducted an investigation of Saturn Wireline Services, Inc., (SWS) Tulsa, Okla., regarding unlicensed well logging activities between July 1986 and December 1986.
During the course of the investigation, the owner of SWS made false verbal statements to the investigator, and the matter was referred to the Department of Justice.
On August 23, 1991, the owner pleaded guilty and sentencing is pending.
Investigation by OI: Region IV into the sale of counterfeit / substandard parts to nuclear power plants resulted in a multiple-count guilty plea on June 18, 1991, by Aircom Fasteners, Inc., and six of the corporate employees, following a 34-count indictment in June 1989.
In August 1991, Aircom was sentenced to a $100,000 fine, 3 years probation, a $2,200 special assessment, and a
$400,000 civil judgment.
The president and the secretary / treasurer were each sentenced to a LIMITED DISTRIBUTION Investig e Inform 6 tion:
M nof be eprod ced or distribu d
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$1,000 fine, 3 years probation, 90 days incarceration, and a $50 special assessment.
The general manager and one sales representative were each sentenced to a $500 fine, 2 years probation, 20 days incarceration, and a $25 special assessment.
A secretary in Government sales was sentenced to a $500 fine, 2 years probation, and a special assessment of $25.
A second sales representative was sentenced to 3 years probation and a $50 special assessment.
An OI: Region V case involving CMA International, which had been referred to DOJ in September 1990, resulted in CMA and its owner, Clifford Ashley, each pleading guilty to conspiracy to traffic in counterfeit goods (valves).
The conspiracy involved counterfeit valves which were installed at the Diablo Canyon Nuclear Power Plant, the Vogtle Electric Generating Plant, and the U.S. Marine Base in Quantico, Va.
Ashley was recently sentenced to 3 years incarceration.
CMA International was sentenced to 5 years probation.
Ashley and the corporation were each required to pay
$213,825.03 in restitution.
A Finlay Testing Laboratories (PTL) employee was observed improperly transporting and storing a radiographic camera by OI: Region V personnel.
The FTL employee was operating as a radr1.grapher at the time for C&R Laboratories.
A cisil penalty was subsequently paid by C&R Laboratories.
DOJ action is pending against FTL in U.S. District Court for numerous violations of NRC regulations regarding radiographic operations.
During 1991 OI supported DOJ in preparing this case for prosecution.
As of the date of this report, one grand jury indictinent had been handed down against the Radiation Safety Officer of FTL.
It is anticipated that further indictments will.be forthcoming.
Cooperation and Coordination with Other Federal Agencies:
OI continues to investigate the sale of counterfeit and substandard parts--such as fasteners, electrical relays, valves, and circuit breakers--to utilities operating nuclear power plants.
Vendor fraud cases represented 10% of OI investigations in 1991 (Enclosure 8).
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OI also continues to work closely with the NRC Vendor Inspection Branch, NRR, and to participate in the OMB-mandated interagency working group (IWG) on problem parts and suppliers.
OI is playing a leading role in the IWG's subgroup of Federal investigative personnel.
The interagency cooperation among these organizations and groups has been mutually i
beneficial and has resulted in successful prosecutions of two vendors:
Stok)ey Enterprises and CMA International.
These investigations were conducted by OI, the U.S.
Naval Investigative Service, and the Seattle-based NORDECON Task Force.
Cooperation between OI and other agencies was f
further demonstrated in 1991 in the case of Data Measurement Corporation, a Maryland firm which sold radioactive sources to an unlicensed plywood manufacturer in Virginia.
Information developed by OI during the investigation was provided to the State of Maryland's Department of Environment, which conducted an inspection ~of Data Measurement.
The inspection revealed several violations, including the shipment of unlicensed radioactive sources to the Oriented Strand Board Plant, Skippers, Va.
Data Measurement was fined by the State of Maryland as a result of the efforts of OI and the subsequent State inspection.
Trends:
An average of 82 investigations per year were opened by OI during the period from 1988 through 1991 (Enclosure 2).
This equates to an average of 16 cases opened per year by each regional OI Field Office during this same 4-year period.
As shown in Enclosures 2 and 3, suspected willful material false statements, as a category, dominated both the number of cases opened and the number of cases closed each year from 1988 through 1991.
In fact, this category, LIMITED DISTRIBUT i
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8 which includes oral or written false statements made to the agency or its officials, routinely drives the trena in che total number of cases opened and closed annually.
The number of investigations opened involving false statements exhibited a 29% decrease between 1989 and 1990, which drove the overall number of cases opened from 98 in 1989 to 73 in 1990.
The overall cases opened appears to have again leveled off in 1991, to 70.
The decrease in cases opened between 1989 and 1990 appears to be primarily the result of a tightening of the referral process in an effort to comply more stringently with Manual Chapter 0517, coupled with a more rigid agency definition of willfulness in connection with a material false statement.
The number of false statement cases completed each year remained fairly constant from 1988 through 1990.
In 1991, completion of this type investigation decreased, as did overall case closures (Enclosure 3).
False statement cases represented 58% of the total number of cases completed in 1991 (Enclosure 4).
I From 1988 through 1901 investigations into alleged discrimination in retaliation for surfacing safety concerns, commonly referred to as " intimidation and harassment" (I&H) cases, and investigations of willful violations of license conditions and/or the Atomic Energy Act j
3 fluctuated minimally in both cases opened and closed (Enclosures 2 and 3).
In 1991, I&H investigations represented 23% of cases completed, and other license and statutory violations represented 16% of completed investigations (Enclosure 4).
For a number of years prior to 1991, OI operated with a backlog of lower priority investigations which could not be addressed due to limited resources and the need to concentrate available resources on higher safety priority cases.
Between 1988 and 1989 OI developed and implemented management and policy initiatives to attack this backlog and to improve overall efficiency, effectiveness and responsiveness.
g LIMITED DISTRIBUTICI Investigative Informafion: jMay not-be reprod ced o distribu d
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Specifically, OI goals were to o Increase resource management efficiency by eliminating the case backlog, thus reducing the case inventory to a realistic and appropriate level o Increase effectiveness by actively investigating a significantly higher percentage of the case inventory o Improve responsiveness to agency needs by reducing the average case time to 12 months, from initiation to completion. reveals the steady decrease in the backlog of cases which OI was unable to actively investigate due to limited resources.
First, it can be seen that the monthly average of inactive cases each year, which indicates the existing backlog, decreased 90%, from 40 in 1988 to 4 in 1991.
Paralleling this decrease in backlog is a i
49% decrease in the monthly average case inventory for those years, from an average of 117 open cases in 1988 to an average of 60 open cases in 1991.
Simultaneously, the monthly average of active investigations in the inventory rose slightly in 1989, then exhibited a gradual downward trend in 1990 and 1991, remaining generally more constant than either the overall average inventory or the inactive inventory.
This fluctuation indicates that each year OI was reducing its backlog, and thus actively investigating a higher percentage of its case inventory.
By the end of 1990 the backlog had been virtually eliminated.
In 1991, the OI case inventory, with no backlog of inactive cases, was at a more appropriate and practical level and contained higher priority cases, a record 93% of which were being actively investigated.
OI Weekly Activity Reports (WAR) show that, in 1988, investigators were spending approximately 46% of their time in the office on case preparation, approximately 25% of their time on travel and other administrative case-related matters, and only 29% of their time actually conducting investigative interviews, record reviews, or other investigative activities in the field.
Since this was not the nost efficient use of an investigator's time, OI set
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10 a goal of achieving a position where investigators spent approximately 60% of their time on field work approximately 20% of their time on case prepar,ation activities, and approximately 20% on travel, etc.
Case management initiatives implemented by OI over the past few years were focused, in part, on reaching this goal.
Additionally, as a further catalyst to expedite completion of investigations, in January 1991, OI implemented Administratively Uncontrollable Overtime (AUO),
a more efficient and effective means of J
compensating investigators for overtime hours.
The graph at Enclosure 6 shows the progress from 1988 through 1991 toward this end.
Statistics for 1991 indicate that investigators devoted 56.4% of their case-specific investigative activities on field work, an increase of 25%
from the previous year.
Part of this increase can be attributed to a 52% increase (up to 13.4%
of investigative activities) in time spent traveling to accomplish field work, as well as more time being spent on such work generally.
Both of these factors can be directly linked to the incentive caused by implementation of AUO, i
as can the overall 21% increase in total case-specific work hours (Enclosure 6).
t i
conversely, case preparation, which is primarily t
report writing, showed a 10.8% decrease in investigators' time, down to 19.7% of the total work hourr,.
This decline is the result of a revised and streamlined report format implemented in June 1990.
The result of OI efforts in focusing upon internal case management can be seen in, which shows the average time between case opening and completion for the period from 1988 through 1991.
A long-range goal, set in approximately 1989, was to complete cases within 12 months.
The graph at Enclosure 7 attests to the success of OI efforts to achieve that goal, showing a steadily decreasing trend from 17.59 months to complete a case in 1989, to 13.26 months in 1990, and finally the achievement of the goal at 11.96 months in 1991. shows the distribution of cases opened from 1987 through 1991, by reactor cases, naterials (byproduct, source, and special g
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11 nuclear materials) cases, and vendor cases.
Prior to 1986, reactor cases dominated the distribution significantly.
From 1985 to 1986, these cases decreased by 50%.
Since that time, reactor cases and materials cases have remained relatively constant, alternating in dominance each year.
DOJ referrals from OI exhibited only minor deviation from 1988 through 1990, but decreased 19% between 1990 and 1991 (Enclosure 9).
Initiatives:
Regional Assistance Team visits to the OI Field offices by Headquarters, focusing upon program-matic and operational oversight, continued in 1991.
These visits remain a useful management tool in improving the lines of communication and interface between the field elements and Headquarters, while promoting standardization and continuity in investigative thoroughness, timeliness, policy, and procedures.
In May 1991, OI conducted a Field Office Directors' Conference in conjunction with the t
NRC Office of Enforcement (OE) to discuss coordination, policy issues, and improved methods to satisfy our OE customers.
This conference was a success.
In addition, in December 1991, OI held a highly successful conference and training seminar for all OI i
investigators.
In 1991, OI began a program to fully upgrade automated data processing support in the five OI Field Offices and at OI Headquarters.
This initiative includes replacing existing equipment and software with state-of-the-art, which should be accomplished by the end of 1992.
In 1991, OI commenced a project to streamline the process by which wrongdoing issues are referred to OI by the technical staff.
This concept, which would allow OI to become involved at an earlier stage, was implemented with the publishing of OI Director's Guidance 92-001, on March 1, 1992.
Forecast:
The Office of Investigations will continue striving to improve in the areas of internal case management, case inventory management, quality management, timeliness of case
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LIMITED DISTRIBUTIC Invest [gative I formatf6n:
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t 12 completion, consistency of policies, and oversight of the investigative program.
By the end of 1992, OI will have upgraded its data processing equipment and software to state-of-the-art.
OI will be on Local Area Networks nationwide and will improve its efficiency of operation accordingly.
During 1992, in conjunction with the Office of the Inspector General and the Office of the General Counsel, OI will develop and implement an improved program for handling confidential informants / sources.
This project was placed on hold during 1991 pending completion of other higher priority projects.
In the CY 90 OI Annual Report, OI anticipated that product substitution fraud cases would exhibit a gradual decrease over the next year or two.
This decrease has been seen in 1991 and is expected to continue.
Current trends in types of willful violations investigated by OI will prevail in 1992.
The primary violation investigated by OI will continue to be alleged willful material false statements.
Intimidation and harassment cases and alleged willful violations of license conditions and/or the Atomic Energy Act will remain stable.
However, new legislation in the employee protection area may cause I&H cases to increase.
The new process for referral of suspected wrongdoing to OI at an earlier stage may increase the OI case inventory in 1992.
" /,
mes M.
aylor xecuti e Director for Operations
Enclosures:
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m NRC-125131A-J OFFICE OF INVESTIGATIONS ANNUAL REPORT OF CLOSED CASES PAGE:
1 FOR THE PERIOD 01/01/91 - 12/31/91 DATE: 04/27/92 CASE' NUMBER _
. ALLEGATION SOURCE FACILITY NAME DATE/ RESULT DOJ ACTION i
CLOSED 1-88-018-S FALSIFICATION OF CERTIFIED I
MEREDITH CORPORATION 07/29/91 / U NR MATERIAL TEST REPORTS / ADDITIONAL INFORMATION EA NUMBER: NA DE ACTION: NO ACTION l
1-89-014 HARASSMENT, INTIMIDATION AND A
MILLSTONE 2 DISCRIMINATION OF THREE 08/26/91 / S MR MILLSTONE. UNIT 2 EMPLOYEES EA NUMBER: 91-122 DE ACTION: PENDING i
~1-90-010 FALSE STATEMENTS TO THE NRC I
CONSOLIDATED NDE. INC.
04/15/91'/ S DECLINATION I
EA NUMBER: 91-058 OE ACTION: MOV CONF. ORDER M IFYING LICENSE 1-90-011 ALLEGED CHEATING ON INSPECTOR A
SEABROOK 1 QUALIFICATION EXAMINATIONS 02/26/91 / U NR EA NUMBER: NA DE ACTION: NO ACTION LE_G_E ND SOURCE:
A = ALLEGER /WHISTLEBLOWER INTERVENDR I = NRC (INSPECTOR / TECH S AFF1 DOJ ACTION:
OJ = GRAND JURY L = LICENSEE / LICENSEE EMPLOYEL CONCERN PRDGRAM NR = NO REFERRAL 0 = O! (SELF-INITIATED AND DEVELOPED BY OI)SS T = OTHER JGOVERNMENT AGENCIES: E.G..CONGRE. FBI. CUSTOMS STATE POLICE)
RESULT:
A = ADMINI4TRATIVELY CLOSED I = INCORPORATED S = SUBSTANTIATED T = TRANSFERRED U = UNSUBSTANTIATED LIMITED DISTRIBUTION Invest 45tiveInformation: May h prudu ud vi distiitiuted sateirie *C-wtthoutconsultingdhe-Tirector e
ENCLOSURE 1 p[wA4 Pep
(___________
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l NRC-125131A-J OFFICE OF INVESTIGATIONS PAGE:
2 ANNUAL REPORT OF CLOSED CASES l
FOR THE PERIOD 01/01/91 - 12/31/91 DATE: 04/27/92 i
I CLOSED l
CASE _ NUMBER ALLEGATION SOURCE FACILITY NAME D_AT_/ RESULT _
DOJ_ ACTION E
1-90-014 FALSIFICATION OF FIRE WATCH A
SALEM 1 03/13/91 / U NR PATROL LOGS j
EA NUMBER: NA OE ACTION: NO ACTION 1-90-015 DESTRUCTION OF AUDIT KICORDS A
NUCLEAR ENERGY SERV 10.'S 01/11/91 / U NR EA NUMBER: NA DE ACTION: NO ACTION 1-90-018 FALSIFICATION OF RECORDS A
V. A. MEDICAL CTR.
04/05/91 / S DECLINATION EA NUMBER: 91-050 DE ACTION: CIVIL PENALTY 1-91-002 POSSIBLE FALSE STATEMENTS TO I
ST. JOSEPH'S HOSP. & MEDI 06/20/91 / S DECLINATION THE NRC EA NUMBER: 91-128 DE ACTION: CIVIL PENALTY EA NO.91-168; ORDER 1-91-003 ALLEGED FALSE INFORMATION A
HADDAM NECK 11/29/91 / U NR EA NUMBER: NA DE ACTION: NO ACTION 1-91-004 ALLEGED FALSE DRUG TTST L
FITZPATRICK 05/15/91 / S NR EA NUMBER: 91-053 DE ACTION: ORDER (EA NO.91-054; ORDER (OPERATOR))
1-91-006 FALSE INFORMATION PROVIDED TO A
MILLSTONE 2 09/12/91 / U NR THE NRC EA NUMBER: 91-156 OE ACTION: NOV 2-88-007 ALLEGED SALE OF UNQUALIFIED I
DIVESCO, INC./NSSS 04/30/91 / U NR ELECTRIC COMPONENTS TO NUCLEAR POWER PLANTS EA NUMBER: NA DE ACTION: NO ACTION i
LIMITED DISTRIBUTION Investi g ve-Information: Ma _not-be i cpr udqCed or distributed nutside NRC_ylthoutwonsultingdhe UTFectDr, Qi.
ENCLOSURE 1
NRC-125131A-J OFFICE OF INVESTIGATIONS ANNUAL REPORT OF CLOSED CASES PAGE:
3 DATE: 04/27/92 FOR THE PERIOD 01/01/91 - 12/31/91 CASE NUMBER ALLEGATION SOURCE FACILITY NAME DATE/ RESULT _
00J ACTION CLOSED 2-89-002 ALLEGED REPRISAL AGAINST QA/DC A
WATTS BAR 1 01/24/91 / S NR INSPECTOR FOR REPORTING VIOLATION OF STOP WORK ORDER EA NUMBER: NA DE ACTION: NO ACTION r
Q2-89-003 ALLEGED INTIMIDATION AND A
BROWNS FERRY 1 01/24/91 / U MR HARASSMENT OF QUALITY CONTROL INSPECTORS EA NUMBER: NA DE ACTION: NO ACTION Q2-89-005-S MONITORING FBI INVESTIGATION O
THRKEY POINT 01/31/91 / U NR OF ALLEGED DRUG ABUSE BY TPMS EMPLOYEES EA NUMBER: NA DE ACTION: NO ACTION Q2-89-005 ALLEGED RECORDS FALSIFICATION A
SEQUOYAH 1 01/23/91 / U NR AND APPENDIX B VIOLATIONS EA NUMBER: NA DE ACTION: NO ACTION 02-89-007 ALLEGED MISADMINISTRATION &
A MULTIPLE 03/28/91 / A NR FALSIFICATION OF PSYCHOLOGICAL SCREENING TESTS FOR NUCLEAR PLANT EMPLOYEES EA NUMBER: NA DE ACTION: NO ACTION Q2-89-013 ALLEGED DISCRIMINATION AND A
OCONEE 1 01/31/91 / U NR RETALIATION / TERMINATION FOR REPORTING SAFETY CONCERNS EA NUMBER: NA DE ACTION: NO ACTION 2-90-001 ALLEGED INTENTIONAL VIOLATION A
V0GTLE ELEC. GEN. PLANT 03/08/91 / S DECLINATION OF A TECHNICAL SPECIFICATION BY A V0GTLE OPERATIONS MANAGER EA NUMBER: 91-141 DE ACTION: CIVIL PENALTY LIMITED DISTRIBUTION InveStjpa h May ed-oditTettsted Outside HRc_wIthout Consult!4My-the-0irectoq.
ENCLOSURE 1 m
m m.m.
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s
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NRC-125131A-J OFFICE or INVESTIGATIONS PAGE:
4 ANNUAI. REPORT OF CLOSED CASES DATE: 04/27/92 FOR THE PERIOD 01/01/91 - 12/31/91 CLOSED CASE _ NUMBER _
ALLEGATION SOURCE FACILITY NAME DATE/ RESULT DOJ ACTION Q2-90-004 ALLEGED DISCRIMINATION AGAINST A
NORTH ANNA 1 03/21/91 / A NR CONTRACT EMFlevEE FOR REPORTING SAFETY CONCERNS EA NUMBER: NA DE ACTION: NO ACTION Q2-90-006 ALLEGED DISCRIMINATION BY AN i
TVA/ MULTIPLE 09/27/91 / U NR ENGINEERING ASSURANCE MANAGER FOR RAISING SAFETY CONCERNS EA NUMBER: NA DE ACTION: NO ACTION 2-90-007 ALLEGED DISCRIMINATION AGAINST A
BRUNSWICM 2 02/28/91 / U NR EMPLOYEE FOR PROVIDING INFORMATION TO NRC EA NUMBER: NA DE ACTION: NO ACTION Q2-90-008 LICENSEES ALLEGEDLY TOLD I
BECHTEL POWER CORP 02/25/91 / U NR VENDOR NOT TO TRANSMIT DEVIATIONS UNLESS THEY WERE DEFECTS AND REPORTABLE TO NRC EA NUMBER: NA DE ACTION: NO ACTION 2-90-014 POSSIBLE COUNTERFEIT RELAYS L
STOKLEY ENT./SPECTRONICS 03/08/91 / S CONVICTION SUPPLIED BY VENDOR EA NUMBER: NA DE ACTION: NO ACTION 2 90-019 POSSIBLE MATERIAL FALSL A
SEQUOYAH 1 12/24/91 / S MR STATEMENT REGARDING ELECTRICAL CABLF SELECTION AND TESTING EA NUMBER: 92-021 OE ACTION: PENDING 2-91-001 ALLEGED RECEIPT AND USE OF I
ORIENTED STRAND BRD PLANT 05/29/91 / U NR BYPRODUCT MATERIAL WITHOUT A LICENSE EA NUMBER: NA DE ACTION: NO. ACTION LIMITED DISTRIBUTION InveSyga giDnd 6 distr 4buted outSide NRC without ConSultgeJirector, UIN ENCLOSURE 1
t QJC-125131A-J OFFICE OF INVESTIGATIONS ANNUAL REPORT OF CLOSED CASES PAGE:
5 DATE: 04/27/92 FOR THE PERIOD 01/01/91 - 12/31/91 CASE NUMBER -
ALLEGATION SOURCE FACILITY NAME DATE/ RESULT DOJ.. ACTION CLOSED 2-91-002 ALLEGED WILLFUL VIOLATIONS OF A
HUMANA HOSPITAL GREENBRIE 05/28/91 / $
NR NUCLEAR MEDICINE PHYSICIAN LICENSING AND REGULATORY REQUIREMENTS EA NUMBER: 91-082 OE ACTION: CIVIL PENALTY 2-91-005
- ALLEGED FABRICATION BY MEDICAL I
V. A. MEDICAL CTR.
10/04/91 / 5 EVALUATION TECHNOLOGIST OF THE DAILY RADIATION LOG EA NUMBER: 91-147 OE ACTION: NOV 3-89-002 UNAUTHORIZED USE OF A
LAFAYETTE CLINIC 01/22/91 / S DECLINATION RADI0 ACTIVE MATEPIAL EA NUMBER: 91-017 OE ACTION: CIVIL PENALTY EA NO.91-130; ORDER 3-89-011 WITHHOLDING INFORMATION FROM A
UNIVERSITY OF CINCINNATI 04/29/91 / S DECLINATION NRC EA NUMBER: 91-071 OE ACTION: PENDING 3-90-005 MATERIAL FALSE STATEMENT BY L
ELLIS FISCHEL CANCER CTR 02/01/91 / A NR OMISSION EA NUMBER: NA DE ACTION: NO ACTION 3-90-008 FAILURE'TO REPORT ALLEGED I
ST. MARY MEDICAL CTR.
06/08/91 / U NR THERAPEUTIC MISADMINISTRATIONS TO MRC EA NUMBER: NA DE ACTION: NO ACTION LIMITED DISTRIBUTION InyeS@ Ormat10n:
ay-not-te~FeproduNisb Fuwted_0J1Lude-flRC winout-consulting-the-DirectM, ENCLOSURE 1
,rs, e m e,
.,,,w,,-
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fo NRC-125131A-J OFFICE OF INVESTIGATIONS PAGE:
6 ANNUAL REPORT OF CLOSED CASES DATE: 04/27/92 FOR THE PERIOD 01/0*'91 - 12/31/91 CLOSED CASE NUMBER ALLEGATION SOURCE FACILITY NAME DATE/ RESULT DOJ ACTION 3-90-013 ALLEGED UNAUTHORIZED USE OF I
MIDWEST INSPECTION SERV.
07/26/91 / S DECLINATION RADIOGRAPHIC EwUIPMENT BY UNQUALIFIED PERSONNEL AND FALSIFICATION OF UTILIZATION EA NUMBER: 91-085 OE ACTION: ORDER 3-90-014 ALLEGED UNAUTHORIZED I
ALT & WITZIG ENGINEERING, 08/09/91 / S NR POSSESSION OF SEALED SOURCES AND UNAUTHORIZED USE OF' LICENSED MATERIAL EA NUMBER: 91-119 OE ACTION: CIVIL PENALTY IEA NO.
91-I48; DEMAND FOR INFO) 4-88-016-S COUNTERFEIT FASTENERS AND T
AIRCOM FASTENERS. INC.
01/31/91 / U NR FALSIFIED CERT.
EA NUMBER: NA DE ACTION: NO ACTION 4-89-014 SUSPECTED SALE OF SUBSTANDARD T
REYNOLDS FASTENERS, INC.
04/25/91 / U NR FASTENERS TO RIVER BEND STATION EA NUMBER: NA DE ACTION: NO ACTION 4-90-001 SUSPECTED FALSIFIED WELDING A
CDMANCHE PEAK 1 02/08/91 / S DECLINATION RECORDS EA NUMBER: 91-038 OE ACTION: LETTER 4-90-005 ALLEGED VIOLATION OF NRC A
HOMESTAKE MINING CO.
05/10/91 / U NR REQUIREMENTS BY COMPANY OFFICIALS EA NUMBER: NA DE ACTION: NO ACTION LIMITED DISTRIBUTION et_he_xeprotfUtt40r diSitlhutehist.5it,;;JfRC withnitt ennen1Hng-the 04-recia Inves.14g ENCLOSURE 1
A
[
NRC-125131A-J OFFICE OF INVESTIGATIONS ANN 1fAL REPORT OF CLOSED CASES PAGE:
T DATE: 04/2T/92 FOR THE PERIOD 01/01/91 - 12/31/91 4
CLOSED CASE _NUMOER ALLEGATION SOURCE FACILITY NAME DATE/ RESULT DOJ. ACTION 4-90-011 ALLEGED ATTEMPT To ODSTRUCT L
NUCLEAR FUEL SERV.. INC.
04/26/91 / U NR 4
PROPER NOTIFICATION PROCEDURES EA NUMBER: 90-124 OE ACTION: NOV 4-90-012 ALLEGED FALSE STATEMENTS TO I
SEQUOYAH FUELS CORP.
06/06/91 / S EVALUATION l
NRC EA NUMBER: 91-06T CE ACTION: ORDER 4-90-014
$USPECTED DELIBERATE VIOLATION I
WESTERN STRESS. INC.
03/0T/91 / S DECLINATION OF NRC REOULATIONS EA NUMBER: 90-213 OE ACTION: CIVIL PENALTY 4-90-016
$USPECTED DELIBERATE VIOLATION L
TUMBLEWEED X-RAY CO.
04/25/91 / $
DECLINATION OF NRC REOULATIONS EA NUMBER: 91-012 DE ACTION: ORDER 4-91-001 SUSPECTED FALSE STATEMENTS TO I
CHUN, M.D.,
PATRICK K.C.
08/10/91 / S DECLINATION NRC EA NUMBER: 91-104 OE ACTION: ORDER 4-91-005 ALLEGED DISCRIMINATION AGAINST A
RIVER BEND 1 10/30/91 / U NR RADIATION TECHNICIAN EA NUMBER: NA DE ACTION: NO ACTION I
I5bu k--h P@f OP.
b1,m ENCLOSURE 1
.r m gg
'A 4
NRC-125131A-J OFFICE OF INVESTIGATIONS ANNUAL REPORT OF CLOSED CASES PAGE:
8 DATE: 04/27/92 FOR THE PERIOD 01/01/91 - 12/31/91 i
CLOSED CASE NUMBER ALLEGATION SOURCE FACILITY NAME DATE/ RESULT D_0J_ ACTION I
4-91-007 ALLEGED INTIMIDATION AND A
RIVER BEND 1 10/28/91 / U NR HARASSMENT OF RDS CONTRACT EMPLOYEE EA NLHUER: NA DE ACTION: NO ACTION
}
4-91-008 ALLEGED INTIMIDATION AND A
RIVER BEND 1 10/31/91 / U NR HARASSMENT OF QUALITY ASSURANCE SUPERVISOR EA NUMBER: NA DE ACTION: NO ACTION i
4-91-011 ALLEGED FALSIFICATION OF A
FORT CALHOUN 1 12/26/91 / S EVALUATION TRAINING RECORDS EA NUMBER: 91-123 OE ACTION: NOV 5-88-004 SUSPECTED MATERIAL L
DIABLO CANYON 1 03/22/91 / S NR SUBSTITUTION (CIRCUIT BREAKERS)
EA NUMBER: NA DE ACTION: NO ACTION 5-88-010 VIOLATION OF THE NRC A
FINLAY TESTING LAB.
04/30/91 / U NR SETTLEMENT AGREEMENT REGARDING RADIOGRAPHIC OPERATIONS EA NUMBER: NA DE ACTION: NO ACTION i
5-90-009 ALLEGED FAILURE TO PERFDRM A
FEWELL GE0 TECHNICAL ENGIN 02/15/91 / S DECLINATION i
REQUIRED RADIATION SURVEYS EA NUMBER: 90-190 DE ACTION: ORDER (EA NO.90-198
)
M.
i l
I LIMITED DISTRIBtTTION InvesMg6 reproducept dutrttsted outsida NoC dthout Consulting the Director, ENCLD50RE 1
O NRC-125131A-J OFFICE OF INVESTIGATIONS PAGE:
B FOR P k D 0 /0
/91 CLOSED ASE_ NUMB E ALLEGATION SOURCE FACILITY _NAME DATE/ RESULT 00J.ACTIO 76 l
4
}
5-91-004 ALLEGED FALSIFICATION OF A
PALO VERDE 3 11/26/91 / S NR RECORDS EA NUMBER: 91-180 CE ACTION: NO ACTION s-91-005 ALLEGED DISCRIMINATION A
TROJAN 10/08/91 / U MR EA NUMBER: NA DE ACTION: NO ACTION LIMITEtLDETRIBUT'IA atjgnt. jam reprohdistributed Outside NRC without ConsUttim3dhe Director, 01.
t Invesp gf 4h ENCLOSURE 1
~ ~ ~
~
~UOMPA'HISON Of-MAJUH I Pt:S F INVESTIG TIONS I
~
OF WILLFUL VIOLATIONS OPENED BY Of FROM 1988 THROUGH 1991 100-90-TOTAL 1
OPENED o
ua E
80-n.O E
70-O
~
60-F E
0-FALSE u.
STATEMENTS O
E 40-l VIOLATIONS OF UCENSE CONDITIONS /
- 3 g
THE ATOMIC ENERGY ACT z
20-IWMIDAVON AND 10-HARASSMENT P
S 0
88 89 90 91 N
YEAR INVESTIGATIONS OPENED
=
LIMITED DISTRIBUTION G s
,Inves igative Information: May not be' repro or distributed'outside NR tTn N Directot 4
COMPARISON OF MAJOR TYPES OF INVESTIGATIONS
- ~
OF WILLFUL VIOLATIONS COMPLETED BY Of FROM 1988 THROUGH 1991 140 hLETED g=
vsg 110-u e
100-1 zO 90-
,80-,A<seSr.1e.eN1S g
e0-oa 50-ea e
j VIOLATIONS OF UCENSE CONDITIONS /
30-THE ATOMIC ENERGY ACT 20-
"'g-10-N g
INTIMIDATION AND HARASSMENT g
o M
88 89 90 91 w
YEAR INVESTIGATIONS CLDSED nsuiting Tiseltrectorvo Invy In a
o e
1 i
<=
)
PERCENTAGES OF THE TYPES OF INVESTIGATIONS OF MAJOR WILLFUL VIOLATIONS COMPLETED BY Of DURING 1991 1
OTHER INTIMIDATION AND HARASSMENT 23 %
FALSE STATEMENTS 58 %
O! j;!
3
' {[k$ gg.
VIOLATIONS 1
OF LICENSE CONDITIONS OR THE ATOMIC ENERGY ACT 16 %
i IM Si ro or efouts de lhe 1.
ENCLOSURE 4 i
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ENCLOSURE 5 l
7.
CASE - SPECIFIC WORK HOURS E
1988 - 1991 50-Total Case Hours 100 %
40-
?v 30-8E Case Preparation 56.4 %
E (Pre-Field Work and
.E 20-Report Writing) 8x Field Work :
~
I'~
Ot %
- 19.7%
Travel *7 -- -
~ ~
....,,,,,j i.5 %
Ep o
y 88 89 90 91 A
Years cn I6 t _.r= s=. 4%.ca __. - -
I AVERAGE NUMBER OF MONTHS 01 CASES REMAINED OPEN I
1988 - 1991 l
t 25 -
i 20 -
P l
C 15 -
o v>
.C, i
C O
2 10 -
I i
5-1 i
i i
o, l
88 89 90 91 Years 1
1 0
1 i
i 1
ENCLOSURE 7
- o.
R DISTRIBUTION OF CASES OPENED y
1987 - 1991-80-b o 00-wz
=.
oo E
REACTOR CASES E 40-o E
we2:s x
MATERIALS 20-CASES i
1 m
M G
VENDOR-ll CASES.
0 m
=
87 88 89 90 91 YEARS LIMITED DISTRIBtlTION InvestJiativfTnfdhgatio etsit iiRC~iiTUibdht--constrittnM4 rec
. A yL 4.
DOJ REFERRALF OURING THE PERIOD 1988 THROUGH 1991 i
40-l I
I 5 30-l B
O i
w m
m E
w i
m m 20-w m
4 o
u-i o
a m
W m
t lE 3 10-2 Z
i b
f i
8 0,
88 89 90 91 YEAR CASES REFERRED 1
LIMlTED DISTRIBtfT10N s - 6 e m m\\uneun - a m a c m, [una ~ A a.
ENCLOSURE 9 i
,