ML20128E756
| ML20128E756 | |
| Person / Time | |
|---|---|
| Issue date: | 02/18/1982 |
| From: | Schnebelen A NRC OFFICE OF INSPECTOR & AUDITOR (OIA) |
| To: | Parrish R NRC OFFICE OF THE GENERAL COUNSEL (OGC) |
| Shared Package | |
| ML20127A137 | List:
|
| References | |
| FOIA-84-415 NUDOCS 8505290462 | |
| Download: ML20128E756 (1) | |
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February 18, 1982 4
MEMORNIDUM FOR: Richard Parrish, Attorney -
Office of Gen,eral Counsel ,
Arthur Schnebelen Acting AD/ Investigations FROM:
Office of Inspector and Auditor
SUBJECT:
APPEAL OF INITIA!. FOIA DECISION, FOIA 81-488 In response to the subject request, we have again reviewed our files and hereby reaffirm our response to the original. request.
It should be noted that in our response of December 9, 1981, we were silent as to the issue of " draft reports." The silence was intended
-to convey the message that no draft reports are maintained within OIA office files.
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CONTACT:- R. M. Smith, OIA 492-4454 - i Distribution: -
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, lb FOIA 81-488 v' ,
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DEC 9 1981 MEMORNtQUM FOR: John C. Carr, Chief Freedom of Information and Privacy Branch FROM: Arthur Schnebelen, Acting Assistant Director for Investig'atier.s. Office of Inspector and Auditor .
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SUBJECTi FOIA-81-486 Attached for. release are the following documents: -
- l. Ltr,CummingstoTracey(AUSA), August 17, 1981.
- 2. Memo, Cunnings to Palladino, August 6,1981. _
- 3. Pemo, Cummings to Stallo, February 10, 1981, w/o attach.
- 4. Memo, Fortuna to Keppler," January 29, 1981.
- 5. Memo, Cumings to Ahearne, January 5,1981.
- 6. Memo, Sinclair to File, F'ebruary 5, 1981.
The following documents are maintained in our files, but were generated '
by other offices:. ,
- 1. Last. two documents listed in Felton response to FOIA-81-376, dated November 20, 1981, genera,ted by IE..
- 2. Mema, Palladino to Dircks', November 16, 1981.
- 3. Memo, Palladino to Cumin ~gs, October 2,1981.
- 4. Memo,.Palladino to Dircks' September 4, 1981.
- 5. Memo, Keppler to Stello, March 17, 1981.
- 6. 14emo Stello to Phillips, Danuary 16,*1981.
Distribution: ,j
' 7. Memo, Phillips to Region III Files, December 15, 1980. F01A-81-488 V
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- 8. R5mith" Memo, Keppler to Stello, Danuary 12,d dA1981. b ^ - - lrf f A*ts, w n+c
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August 17, 19n1 f*s. Ann l'.aric Tracey
- Assistant U.S. Attorney linited States Attorney Southern District of Ohio-Cincinnati, Ohio 45202 .
Dear fis. Tracey:
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Fnclosed is a copy of the Office of Inspector and Auditor's (OIA) report of investigation pertainino to an !!P.C investigation conducted in April 1980 by the Office of Inspection and Enforcenent (IE) at the liillian H.
Zinner !!uclear Construction Project. l.e- are providing this report in order that your offico rc,ains fully inforced of the results of investiga-tions conducted by the IIRC at Zinner.
A,s discussed during our April 22, 1931 mecting, OIA r<as tasked to investigate the adequacy of orevious efforts at the Zirx cr site to resolve allegations of alleged faulty construction thich r.sy have ' violated cuality assurance criteria set forth in ilP.C regulations and adversely effceted !!P.C's ability to ensure ratters effecting public health and safety.
Our report specifically focuse:: on the rerits of IE investication 50- .
750/80-00 and " extends neither tc the evaluation of other Region III actions relating to Zinner nor to the question of allegedly faulty ~
construction at Zinner." However, CIA bas initiated an investigation into the recent disccveries, by Region III, relating to both alleged altering or falsifying docunentation and failures te conduct cuality control inspections pursuant to Appendix B, Part 50, Titic 10, Code of Federal Pcgulations. These allegations as they pertain to regulatory violations have been the subject of a recently conpleted IE investigation.
This draft IE report of investigation will be foniarded to your offic.e under sencrate cover.
l If there are any questions regarding this matter or assistance needed, feel free to centact Arthur Schnebelen, Acting Assistant Director for Investigation or John Sinclair of the investigative staff (301-492-7170).
Sincerely,
, Distribution hOlAFils_81-18 /s/ Arthur Schnebelen OIA File I.2.b. Janes J.' Cumings, Director J5inclair .3 g g Office of Inspector and Auditor -
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OIA rpt of investigation /
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- AUG 6 1981 4
2 MEMORANDUM FOR: ' Chaiman Palladino Comissioner Gilinsky Comissioner Bradford Comissioner Ahearne
- Comissioner Roberts FROM:
James J. Cumings, Director Office of Inspector and Auditor
SUBJECT:
OIA SPECIAL INQUIRY RE ADEQUACY OF IE INVESTIGATION
. 50-358/B0-09 AT THE . WILLIAM H. ZIMMER NUCLEAR POWER STATION Mr. Applegate's allegations with, respect to my actions in this matter are as follows: ,
Pace 16 of cricinal GAP Petition _ , , ,, ,,
"For instance, Phillip st'ated that the NRC became aware of the allegations against Zimer after Applegate called on February 28.
On that date, Applegate called NRC Chaiman Ahearne. In fact, however, the process had , begun two weeks earlier on February 15, when Applegate called Inspection and Audit Director James Cumings to lodge his claims. Mr.' Applegate called Cumings several more
. times before giving up-in' frustration and contacting the'Chaiman.
l The relevant telephone bill for Mr. Applegate's residence is attached
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asExhibit5.) Mr. Cumings received infomation which he apparently sat on." ,
Phillip Interview ',,, ,, ,
" Senator Glenn's office p'rovided him with the name of James Cumings, Director. 01A, NRC. Phillip then explained that Applegate claimed he contacted Cumings by telephone and related the infomation concerning the problems at the Zincer site. Applegate also related to Phillip that he (Applegate) becam'e frustrated with Cumings as a l
result of several telephone converations with Curnings which culminated I
with Cumings' requesting' that Applegate provide "something in writing" compiling the al,1egatio,ns. Phillip stated that Applegate According l
thought about the request over a weekend and became angry.
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' to Phillip,(Applegate because he sta'ted that he was upset about the reque I
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bring the infomab on to someone's a'ttention and now he was requested to do mo e. Applegate said he 'then c111ed Chaiman Ahearne's office wno appa'rently referred the matter to IE."
In view of the above, I think 'it appropriate for me to provide., for the !
record, my best recoliection of the situation.
On February 19, 1981, Mr. Applegate cal, led my office, spoke to nty l secretary, and asked taat I return his call. After several telephone attempts by both Mr. Applegate .and myself, we finally spoke two or three days later. My best recollect,fon of the highlights of this conversation is as follows: , ,,
Because of his investigat' ion of the Zimer plant, he feared for his life and wanted me to provide for. his transportation from Cincinnati, Ohio, to Washingt6n, D.C., and to also, provide for his protective custody.
. Applegate had been to both the Cincinnati FBI and the Cincinnati U.S. Attorney's office and had not received a satisfactory solution from these offices of his'probl.em.,
He had currently locked himself in his home and was afraid to go outside because of the investigative reports he had written. He reasoned that if he could give these reports to someone in the .
Federal Government, then the pressure would be off- him, i.e. , they would be out of his control and that being the case he could go about his business with l'ess fear.
. Applegate did not trust NRC and woul,d definitely not deal with the NRC Regional Office.
I told Applegate that I could 'not provide either the transportation or protective custody that he sou~ght, but that I would be happy to receive his written investigative reports regarding the Zir:ner Plant. Applegate told me that my having a copy 'of lhis repo.rts might solve his problems, but that he would have to think about, it over the weekend and let me know of his decision. , , ,
After talking to Applegate I c'alled the Cincinnati FBI office and verified that Applegate had been to their' office s'eeking protective custody. The
' agent to whom I spoke characte'rized Mr. Applegate as apparently totally sane. .
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Several days- later, exact date not recalled, probably about February 25 or 26, Applegate again called my office, but I was not in the office to ~
receive his call. He called agai,n that same day and again I was not in to receive his call. During the course.of his conversation with my secretary, during the second c'all, he asked for the name of my supervisor.
My secretary provided this infomation to. Applegate and then called fomer Chaiman Ahearne's seer,etary alerting her that I would be away from the office all day and she, might expect a call frem Applegate. The next morning I was contacted by one of. fomer Chaiman Ahearne's staff and told that he had spoken to Ap'plegate and had referred him to the
. That same day I was subsequently Office'of contactedInspectionby Bill Ward, andIE, Enfor' wh'o' t'old cement me t (I,E) hat he had spoken to Applegate and that Applegate had agreed 'to riet with Headquarters IE staff in Cincinnati in the next few day's'., In view of this arrangement I did not recentact Applegate. ,
i I Distribution:
OIA OIA Reiding JCumings .
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. FEB 101981 MEMORANDUM FOR: Victor J. Stello, Director .
Office of Inspection and Enforcement 7,' g i l
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. '. *, *. '. 9.df FROM: James J. Cumings, Director l 3! '
Office of Inspector and Auditor s
SUBJECT:
TRANSFER OF DOCUMENTATION PROVIDED BY GOVERNMENT ACCOUNTABILITY PROJECT (2/9/81)
Ref: (A) Memo Fortuna to Keppler, dtd 1/29/81,
Subject:
Confidentiality and Restriction of Info Forwarded by Office of Inspector and Auditor (OIA)
Pursuant to the Chairman's December 15, 1980 memorandum requesting OIA to. investigate the adequacy of an investigation (50-358/80-90) conducted by the Office of Inspection and Enforcement into' allegations raised by Thomas W. Applegate, this Office is furnishing the attached documentation in order for you to address possible safety issues.
OIA recently obtained the documents .from representatives of the Government AccountabilityProject(gap). Representatives of GAP have agreed to furnish all information which they have received as a result of interviews and inquiries into the Applegate allegations and are aware that DIA would provide the described information to IE if there were potential safety questions. The only condition for providing the statements and the identities of individuals related to the confidentiality and possible disclosure of the infonnation. Reference (A) describes the conditions of the agreement and OIA is furnishing the enclosed material accompanied '
with the previously agreed upon restrictions.
Attachments: '
- 1. GAP Memo Dtd 2/4/81 r
- 2. Hyde Affidavit Otd 1/31/81
- 3. Harris Affidavit Dtd 1/31/81 i- 4. Hofstadter Affidavit w/ enc 1 Dtd 1/29/81 cc: James Keppler, Region III .
Distribution:
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s v 'C g January 29,,1981 MEMORANDtM FOR: James G. Kappler, Director, Region III TR0!'.: Roger A. Fortuna, Assistant Director for Investigation, Office of Inspector and Auditor .
SUBJECT:
CONFIDEh'IIALITY AND RESTRICTION OF IN70K4ATION FORWARDED BT THE OFFICZ OF INSPECIOR AND AUDIIOR (OIA)
- During the initial phase of the OIA investigatien into the IE investigatien of the Thor.as Applegate allegations by Region III, additional documentation and names of individuals vara obtained from representatives of the Covernment Accountability Project (GAP). The documents were provided to OIA under the agreement that the individuals identities were to re=ain confidential and not identified in any report. The agreement which was reached by OIA and GAP representatives was also confirmed by telephone conversations between the Director, DIA, and GAP officials. Under the conditions set forth in the agreement, CIA guaranteed the confidentiality of the individuals by stating that identities vould not be disclosed during the investigation or the reporting of the investigation. GAP was advised that the only exceptions so the agreement vould be: 1) request by Congress, 2) gd=inistrative or judicial proceedings, and 3) request from official law enforcement agencies. We ,
therefore, are furnishing the described documents to you under the same conditions which are binding upon you during the II investigation into this r.atter.
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l Peger A. Fortuna Assistant Diractor for Investigation pps/ 5%AZ) &
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January 5, 1981 1:El:Op.tJLDipt 'FDP.: Chaiman Ahearne 4
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FRO': Janes J. Cunnings, Director Office of Inspector and Auditor ch. 4,%
SUBJECT:
THWAS 11. APPLEGATE ALLEGATI0!G tttached is a letter to you frcra the Office of the Special Counsel dated Dece,her 29, 1980, which was directed to this office. ,
A.s you requested in ,) cur Deca,ber 15, 1980, r,enerandun tn ne, this
. office will investicate the adequacy of the Office of Inspection and Fnforcenent's (IF) handlino of Applegate's allenations. Ife will also refer to apr.repriate law enforce,ent agenc.:es any allegations of crininal
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activity beyond the scope of IE's current investigation of the safety issues raised by !!r. Appleoate.
tttechnent: . .
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cc: Cennissioner Gilinsky, w/cy Special Counsc1 Itr Comrissioner Hendrie, w/cy Special Counsel ltr Ca,nissioner Rradford, w/cy Special Counsel ltr Victor Stello, u/ attach L. Bickwit, w/ attach Dist'ribution ,
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OIA rdr Gamble Sinclair .
CONTACTS: David Gamble ::
John Sinclair l,'p OII. - 27170 1p 1 f 4-y % p
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February 5,1981 ,
MEMORANDUM FOR: File FROM:
John R. Sinclair, Investigator Office of Inspector,and Auditor
SUBJECT:
INVESTIGATION OF IE EFFORTS PERTAINING TO INVESTIGATIONS OF ALLEGED CONSTRUCTION DEFICIENCIES AT THE ZIMliER NUCLEAR FACILITY (APPLEGATE)
On February 3,1981, the Office of Inspector and Auditor (OIA) was telephonically contacted by Mr. Thomas Devine, Deputy Director, Government Accountability Project (GAP), who was attempting to establish the current status of both the OIA and IE investigations into claims made by Thomas Applegate.
Mr. Devine was advised that it was too early to make any complete assessments of the OIA investigative effort, however, work had been initiated and all of the initial information was being r viewed. In response to the question of the IE investigative effort, Mr. Devine was advised that preliminary work was currently being done, but as yet there had not been a formulation of a new IE investigation team. Mr. Devine indicated that he was not requesting a formal or official status report, but was merely trying to obtain a general picture of how things were proceeding.
Mr. Devine stated the primary purpose of his call was to apprise OIA that his organization had obtained additional affidavits from individuals. '
-some of whom appear to have firsthand knowledge of specific alleged construction deficiencies at Zimer.
Mr. Devine indicated that there were approximately a dozen (12) new affidavits and statements (some unsigned): He believed that the information would assist NRC in resolving some of the allegations raised by Thomas Applegate and wanted to share the information. Mr. Devine explained that he had been contacting individuals who appeared to have specific information in obtain affidavits. During this process many of the individuals order expresse concern as to their " anonymity" and requested written guarantees to,d from GAP explaining the restrictio.is on the confidentiality of their statements. According to Devine, GAP had provided this, but had not yet .
received an NRC memorandum restating the confidentiality procedures
- expressed during the first meeting (January 7,1981) between OIA and GAP representatives. Mr. Devine again requested the document and reiterated that the new information in his possession was available for OIA at our convenience.
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