ML20134H298
| ML20134H298 | |
| Person / Time | |
|---|---|
| Issue date: | 02/04/1997 |
| From: | Hayes B NRC |
| To: | Tolbert P External (Affiliation Not Assigned) |
| Shared Package | |
| ML20134F836 | List: |
| References | |
| FOIA-96-475 NUDOCS 9702110235 | |
| Download: ML20134H298 (100) | |
Text
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. Liteo 8tates of America/-N2/hg(' d. el NUCLEAR REGULATORY COMMISSION
- . .m.:. ,I N- n' bcQ IN THE MATTER OF: 0I IHVESTIGATION CASE NO. : ' 9purtgf l TO: 'IL M 1 YOU ARE HEREBY COMMANDED, pursuan) to Section 161 (c) of the Atomic Energy Act of 1954, as amended, to appear at S fa uirA orMhe gypf ,8 , at- c--# an. to testify in the
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- I Cu^ C Q~ j<r as N n$u yDg .c$ducd m a,yupn n nac~ e m YOUAREFURTHER COMMANDED to provide the NRC any and all records (such as but not limited to purchase orderf invoices, etc.) pertaining to the provision Oh any electrical devices or componedts to civilian nuclear power plants either
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% kp a ,L % /935 BY ORDER OF THE DIRECTOR, OFFICE OFINVESTIGATIONS BY 9en B . Ha yes , Director _
DATE 1 ""
Requested by:
On motion made promptly, and in any event at or before the time specified in the subpoena for mmpliance by the person to whom the subpoena is directed, and on notice to the party at whose instana the subpoena was issued, the Commission may (1) quash or modify the subpoena ifit is unreasonable or requires evidence not relevant to any matter in issue, or (2) condition denial of the motion on just and reasonable terms. Such motion should be directed to the Secretary of the Commission, Washington, DC 20555. Failure to complywith the terms of this subpoena may result in the Commission's seeking judicial enforcement of the subpoena pursuant to Section 233 of the Atomic EnerEy Act of 1954, as amended,42 U.S.C. 2281.
I RETURN -
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t CERTIFICATE OF PERSONAL SERVICE: :
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I certify that I caused a copy of this subpoena to be mailed by mail, postage prepaid, to the address 9;+Wd and with delivery restricted to the person named thereon on
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1 (Signature) i (Printed Name and Title)
Office ofInvestigations l U.S. Nuclear Regulatory Commission j 1
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YOU ARE HEREBYCO3BMNDED, pursuant to Section 161 (c) of the Atomic Energy Act of 1954, as amended, to appear 4 c.- 4.m t c.4 on-the- ~ day of- ; 19- , at
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BY ORDER OF THE DIRECTOR, .
OFFICE OF DNESTIGATIONS BY DATE Requested by:
On tootion made promptly, and in any event at or before the time specified in the subpoena for comphance by the person to wbom the subpoena is directed, and on notice to the party at whose instance the subpoena was issued, the Commission may (1) quash or modify the subpoena if it is unreasonable or requires evidence not relevant to any matter in issue,or (2) condition denial of the motion on just and reasonable terms. Such motion should be directed to the Secretary of the Commission, Washington, DC 20555. Failure to comply with the terms of this subpoena may j result in the Commission's seeking judicial enforcement of the subpoena pursuant to Section 233 of the Atomic '
EnerEy Act of 1954, as amended,42 U.S.C. 2281.
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RETURN CERTIFICATE OF PERSONAL SERVICE:
I certify that I delivered a copy of this subpoena in hand to:
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l CERTIFICATE OF SERVICE BY MAlla I certify that I caused a copy of this subpoena to be mailed by mail, postage prepaid, to the address specified and with delivery restricted to the person named thereon on
, 19 , Receipt No. .
(Signature) j (Printed Name and Title)
Office of Investigations U.S. Nuclear Regulatory Commission
. Enited Biates of Amerita NUCLEAR REGULATORY COMMISSION ccooOOooox UV THE MNITER OF: O T w e 7c.n .- CASE NO. :
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1 BY ORDER OF TIIE DIRECTOR, )
OFFICE OF INVESTIGATIONS !
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BY DATE Requested by:
On motion made promptly, and in any event at or before the time specified in the subpoena for compliance by the person to whom the subpoena is directed, and on notice to the party at whose instance the subpoena was issued, the Commission may (1) quash or modify the subpoena if it is unreasonable or requires evidence not relevant to any matter in issue, or (2) condition denial of the motion on just snd reasonable terms. Such motion should be directed to the Secretary of the Commission, Washington, DC 20555. Failure to comply with the terms of this subpoena may result in the Commission's secking judicial enforcement of the subpoena pursuant to Section 233 of the Atomic EnerEy Act of 1954, as amended,42 U.S.C. 2281.
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g l l VRAFT GRAFT IN THE UNITED STATES DISTRICT COURT FOR THE EASTERN DISTRICT OF VIRGINIA NORFOLK DIVISION UNITED STATES OF AMERICA )
)
- v. ) CRIMINAL NO. 91- -N
)
- 1. WILLIAM M. STOKLEY ) Count 1 (Counts 1-20) ) Conspiracy
) 18 U.S.C. S 371 '
)
- 2. JANET M. STOKLEY ) Counts 2-20 (Counts 1-20) ) Trafficking in
) Counterfeit Goods
. ) Aiding and Abetting
- 3. STOKLEY ENTERPRISES, INC. ) 18 U.S.C. SS 2320, 2 a/k/a STOKELY ENTERPRISES, INC.) *
(Counts 1-20) ,
3 TW)6, l@9[ QhM N & W)s b [.H
" INDICTMENT .
THE GRAND JURY CHARGES THAT: )
INTRODUCTORY ALLEGATIONS i
At various times material to this Indictment:
- 1. Defendant STOKLEY ENTERPRISES, INC. (also known as "Stokely Enterprises, Inc., bin some documents), was a Virginia corporation, whose President was defendant WILLIAM M. STOKLEY and
, whose Secretary-Treesurer was defendant JANET M. STOKLEY.
- 2. Another person, Michael E. Martin, held approximately a 34 percent interest in STOKLEY ENTERPRISES, INC., until the
, Stokleys bought him out in May, 1989.
- 3. STOKLEY ENTERPRISES, INC., operated out of a warehouse l located at 880 Avenue J, in Norfolk, Virginia, in the Eastern District of Virginia.
- 4. Defendant WILLIAM M. STOKLEY, with the help of defendant JANET M. STOKLEY, was responsible for the day-to-day operations f') j b[
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of STOKLEY ENTERPRISES, INC.
- 5. Defendant JANET M.
STOKLEY was responsible for handling many of the duties for STOKLEY ENTERPRISES, INC., including preparing invoices, assembling accounting statements, paying vendors, receiving payments from customers, and shipping electronics parts to STOKLEY customers.
- 6. !
STOKLEY ENTERPRISES, INC., operating through WILLIAM M. !
STOKLEY, JANET M. STOKLEY, and other persons, had gross sales receipts in excess of one million dollars per year. For example, in its fiscal year 1988 (September 1, 1987, to August 31, 1988),
the approximate gross sales of STOKLEY ENTERPRISES, INC. were
$1,314,000; in its fiscal year 1989 they were $1,088,000; and in its fiscal year 1990 they were $1,161,000.
7.
Both defendants WILLIAM M. STOKLEY and JANET M. STOKLEY were paid fIrom the profits earned by STOKLEY ENTERPRISES, INC.
In fiscal year 1988 the company's officers (WILLIAM M. STOKLEY, i JANET M. STOKLEY, and Michael E. Martin) received together .
$555,000; in fiscal year 1989 they received together $464,000;
- and in fiscal year 1990 they received approximately $284,000.
8.
Defendants WILLIAM M. STOKLEY, JANET M. STOKLEY, and ,
i STOKLEY ENTERPRISES, INC., sold various electronic component parts such as shipboard controllers (also known as " shipboard !
controls," " motor controls," or " motor controllers"),
transformers, circuit breakers, and motor-driven relays (also
};nown as "MDR's").
C f. Customers of STOKLEY ENTERPRISES, INC., included the 2
i I
United States Navy; major shipbuilding companies such as Litton !
Systems, Inc., Ingalls Shipbuilding Division (sometimes referred I to as "Ingalls Shipbuilding"); National Steel and Shipbuilding; Bath Iron Works, Inc.; and subcontractors working for the Carolina Power and Light Company.
lD jr. The component parts sold by WILLIAM M. STOKLEY, JANET M. '
STOKLEY, and STOKLEY ENTERPRISES, INC., were used in important applications, including operational systems aboard United States Navy vessels and in electrical systems re' lated to nuclear powered reactors. k6. As one example of these important applications, STOKLEY ENTERPRISES, INC., sold six circui't breakers to Temsco, Inc., l which were destined to be used in the overhaul of the power control system of the reactor coolant pumps and the pressurizer for the nuclear-powered fast attack submarine USS Baltimore (SSN-704). ! ft,El. As another example of these important applications, STOKLEY ENTERPRISES, INC., sold a circuit breaker to the Naval 3 Supply Center Detachment, Long Beach, California, where it was , installed in support of a fire control radar on the Aegis class guided missile cruiser USS Princeton (CG-59) and was in use in the vessel when it was deployed to the Persian gulf during Operation Desert Storm. G JJP. As another example of these important applications, STOKLEY ENTERPRISES, INC., sold approximately thirty motor-driven relays to a subcontractor working on the Shearon Harris 3 4
nuclear power plant in New Hill, North carolina, d 15. Because the parts sold by STOKLEY ENTERPRISES, INC., were used in important applications, customers of STOKLEY ENTERPRISES, INC., would buy parts bearing codnterfeit label plates only as a result of confusion, mistake, or deception. ,
)
5 ,14. Because the parts sold by STOKLEY ENTERPRISES, INC., ! were used in important applications, customers of STOKLEY l ENTERPRISES, INC., would buy parts that operated unsafely only as ' a result of confusion, mistake, or deception. IL .k5. Because the parts sold by STOKLEY ENTERPRISES, INC., l were used in important applications, customers of STOKLEY ENTERPRISES, INC., would buy parts'that were not in compliance , with applicable manufacturer or military specifications only as a result of confusion, mistake, or deception. e l f734r. Companies such as the General Electric Company; l Westinghouse Electric Corporation; ITE Circuit Breaker Company; SPD Technologies; Gould, Inc.; Potter & Brumfield; Jefferson Electric Company; Ward Leonard Electric Company, Inc.; Cutler-Hammer, Inc.; Sonicraft, Inc.; and others had registered their trademarks for electronic component parts on the principal register in the United States Patent and Trademark Office, and these marks were in use on their products. d17. The United States Navy and customers of companies such a's the General Electric Company; Westinghouse Elect ic' Corporation; ITE Circuit Breaker Company; SPD Technologies; Gould, Inc.; Potter & Brumfield; Jefferson Electric Company; Ward l l 4 1
Leonard Electric Company, Inc.; Cutler-Hammer, Inc.; Sonicraft, Inc.; and others relied on the trademarks of these companies to ) determine the authenticity of the electronic component parts that they were buying. I A J8. The defendants WILLIAM M. STOKLEY, JANET M. STOKLEY, and STOKLEY ENTERPRISES, INC., were not authorized by the General Electric Company; Westinghouse Electric Corporation; ITE Circuit Breaker Company; SPD Technologies; Gould, Inc.; Potter & Brumfield; Jefferson Electric Company; Ward Leonard Electric Company, Inc.; Cutler-Hammer, Inc.; Sonicraft, Inc.; or other companies to use their trademarks for the types of goods that
\
these companies were manufacturing and distributing. 1039. The General Electric Company (sometimes referred to herein as " General Electric" or "GE") had in use and registered on the principal register in the United States Patent and . Trademark Office a mark consisting of a monogram cursive "GE" inside a circle surrounded on the left side by the word " General" and on the right side by the word " Electric" for various products, including shipboard controls, circuit breakers, and transformers. ,
~1) 24. Cutler-Hammer, ' ;c. (sometimes referred to herein as - " Cutler-Hammer" or "CH") had in use and registered on the principal register in the United States Patent and Trademark Office a mark consisting of a block "C" enclosing the left half of a block "H" and also a mark consisting of the hyphenated word " Cutler-Hammer" for various products, including shipboard 5
controls, circuit breakers, and transformers. 1171. The Westinghouse Electric Corporation (sometimes referred to herein as " Westinghouse") had in use and registered on the principal register in the United States Patent and Trademark Office a mark consisting of the word " Westinghouse" and also a mark consisting of a "W" with a line underneath it surrounded by a circle for various products, including shipboard controls, circuit breakers, and transformers. 73J4. Siemens Energy and Automatic, Inc., and SPD Technologies, Inc., had in use and registered, by assignment from the I-T-E Circuit Breaker Company (sometimes referred to herein ; as "ITE") and Gould, Inc., among 6thers, on the principal i i register in the United States Patent and Trademark Office a mark consisting of "I-T-E," a mark consisting of "I-T-E" surrounded by a circle, and also a mark consisting of the same circle enclosing "I-T-E" which is in turn enclosed in a jagged right-hand pointing triangle for various products, including shipboard controls, circuit breakers, and transformers. Tl25. SPD Technologies, Inc. (sometimes referred to herein as "SPD") had in use and registered on the principal register in the United States Patent and Trademark Office a mark consisting of a { ard w!w c. m h <ws h f 14 4
- spp .> '
semi-circle above several curving linesffollowed Li -t-hs-worde-
'"EPD Techncis-ies" for various products, including shipboard controls, circuit breakers, and transformers.
15 14. Jefferson Electric Company (sometimes referred to herein as " Jefferson Electric") had in use and registered on the 6
principal register in the United States Patent and Trademark office a mark consisting of the word " Jefferson" for various products, including shipboard controls, circuit breakers, and I transformers. i l 1 1 9 9 e 1 1 1 l l 7 l l i
i p_OUtTT 1 i { ? The introductory allegations are hereby alleged and 2 incorporated by' reference as if set forth in full herein. j THE CONSPIRACY Beginning on or about August 12, 1985, and continuing until
- on or about September 13, 1990, the exact dates being unknown to !
j the grand jury, within the Eastern District of Virginia and s elsewhere, WILLIAM M. STOKLEY, JANET M. STOKLEY, and STOKLEY ENTERPRISES, INC., the defendants herein, unlawfully, willfully and knowingly did combine, conspire, confederate, and agree i together with each other, and with others both known and unknown to the grand jury, named as co-conspirators but not as defendants in this particular indictment, to commit offenses against the United States. More particularly, the defendants WILLIAM M. STOKLEY, JANET M. STOKLEY, and STOKLEY ENTERPRISES, INC., and the co-conspirators, did combine, conspire, confederate, and agree together and with each other to commit an offense against the United States, specifically to unlawfully, knowingly, and intentionally traffic and attempt to traffic in goods and services and knowingly to use counterfeit marks on and in connection with such goods and services, which counterfeit marks 1 were identical with and substantially indistinguishable from genuine marks in use and registered for those goods and services ! on the principal register in the United States Patent and Trademark Office, and the use of which marks was likely to cause I confusion, to cause mistake, and to deceive, in violation of 8 .
r Title 18, United States Code, Section 2320. PURPOSES AND OBJECTS OF THE CONSPIRACY [
- 1. It was an object of the conspiracy that the defendants, WILLIAM M. STOKLEY, JANET M. STOKLEY, and STOKLEY ENTERPRISES, 3
1 INC., would unjustly enrich themselves through selling products
- with counterfeit marks, including counterfeit electronic
, component parts such as shipboard controls, transformers, circuit breakers, and motor-driven relays.
- 2. It was also an object of the conspiracy that the defendants, WILLIAM M. STOKLEY, JANET M. STOKLEY, and STOKLEY a
ENTERPRISES, INC., would manufacture and sell various products in ? , such a fashion that the products would appear to be genuine products manufactured by other companies such as General j Electric, Westinghouse, SPD Technologies, Potter & Brumfield, and Jefferson Electric. j 3. It was also an object of the conspiracy that the defendants, WILLIAM M. STOKLEY, JANET M. STOKLEY, and STOKLEY ENTERPRISES, INC., would manufacture and sell various products in
- such a fashion as to make them appear to be more recently 1
manufactured than they actually were.
- 4. It was also an object of the conspiracy that the defendants, WILLIAM M. STOKLEY, JANET M. STOKLEY and STOKLEY ENTERPRISES, INC., would keep those who received their counterfeit products, either directly or indirectly, from learning that they were counterfeit.
9
WAYS, MANNER, AND MEANS OF THE CONSPIRACY 1. It was a part of the conspiracy that, to achieve the objects of the conspiracy, defendants WILLIAM M. STOKLEY, JANET M. STOKLEY, and STOKLEY ENTERPRISES, INC. would sell counterfeit products, including counterfeit electronic component parts such as shipboard controls, transformers, circuit breakers, and motor-i driven relays. 2. It was a part of the conspiracy that, to achieve the objects of the conspiracy, defendant WILLIAM M. STOKLEY, with the , help of defendant JANET M. STOKLEY, would oversee the construction of products with label plates bearing counterfeit i marks.
- 3.
It was a part of the conspiracy that, to achieve the objects of the conspiracy, defendant WILLIAM M. STOKLEY would instruct the conspirators in how to assemble counterfeit parts I and add counterfeit marks. 4. It was a part of the conspiracy that, to achieve the i objects of the conspiracy, defendant JANET M. STOKLEY would handle various duties for STOKLEY ENTERPRISES, INC., including taking orders, filling orders, ordering component parts necessary for the construction of counterfeit parts, paying for counterfeit label plates, maintaining accounting records, and other duties.
- 5. It was a part of the conspiracy that, to achieve the objects of the conspiracy, the defendants, WILLIAM M. STOKLEY, JANET M. STOKLEY, and STOKLEY ENTERPRISES, INC., would manufacture parts with counterfeit marks that would confuse and 10 O
l dnesiva various p rcona, including callors aboard United States Navy vessels and subcontractors repairing nuclear power plants, into believing that the parts were actually produced by electronics manufacturers such as General Electric, Westinghouse, SPD Technologies, Potter & Brumfield, and Jefferson Electric. ! 6. It was a part of the conspiracy that, to achieve the l l objects of the conspiracy, defendants WILLIAM M. STOKLEY and STOKLEY ENTERPRISES, INC., would provide false, deceptive, and misleading information to investigative, regulatory and military agencies, including the United States Navy and the Nuclear Regulatory Commission. OVERT ACTS In furtherance of the conspiracy and to accomplish the purposes thereof, the defendants, WILLIAM M. STOKLEY, JANET M. STOKLE l and STOKLEY ENTERPRISES, INC., committed the following overt acts, among others, in the Eastern District of Virginia and elsewhere: . General Overt Acts
- 1. On or about August 12, 1985, defendants WILLIAM M.
STOKLEY and JANET M. STOKLEY incorporated defendant STOKLEY ENTERPRISES, INC., under the law governing corporations for the Commonwealth of Virginia. 2. Between on or about August 12, 1985, and an or about September 13, 1990, in the Eastern District of Virginia, defendant WILLIAM M. STOKLEY, assisted by JANET M. STOKLEY, hired various employees for STOKLEY ENTERPRISES, INC., including 11
employees who were skilled in the cons *roction of electronics i parts such as shipboard controls, circuit breakers, transformers, dnd motor-dr1Ven relays.
- 3.
Sometime after on or about August 12, 1985, and before on or about January 1, 1988, defendant WILLIAM M. STOKLEY established with Virginia Art Metal and Plastic Company a catalog i 4 of label identification plates that included label plate stencils for industrial electrical components including: motor controls, transformers, connection boxes, low level switch matrices, f ! contactors, switch boards, pushL..iton stations, motor driven ! relays, circuit breakers, fuse units, fans, power transfer
- switching units, ,
- and AC motors and power distribution panels.
4. Sometime before January, 1988, defendant WILLIAM M. i STOKLEY arranged for Virginia Art Metal and Plastic Company, of ! i Norfolk, Virginia, to produce label plate stencils for various electronics parts by simply identifying a label plate in the catalog. J 5. Between on or about August 12, 1985, and on or about i i September 13, 1990, in the Eastern District of Virginia, STOKLEY. j { s ENTERPRISES, INC., assembled an inventory of label plates from I I Virginia Art Metal and Plastic Company for use in the construction'of counterfeit parts. 1 j 6. Between on or about August 12, 1985, and on or about September 13, 1990, JANET M. l STOKLEY paid for the inventory of 3 label plates from Virginia Art Metal and Plastic Company for use 2
! in the construction of counterfeit parts.
12 ^ d 2
l 7. Batwoon on or about August 12, 1985, and on or about
-September 13, 1990, STOKLEY ENTERPRISES, INC., assembled an inventory of electronic parts and hardware for use in the construction of counterfeit parts.
8. Between on or about August 12, 1985, and on or about September 13, 1990, JANET M. STOKLEY paid for the inventory of electronic parts and hardware acquired by STOKLEY ENTERPRISES, INC., for use in the construction of counterfeit parts. 9. Between on or about August 12, 1985, and on or about September 13, 1990, JANET M. STOKLEY maintained various records for STOKLEY ENTERPRISES, INC., including financial records and records reflecting the profits paid to. WILLIAM M. STOKLEY and l JANET M. STOKLEY.
- 10. On or about February 9, 1990, JANET M. STOKLEY signed a STOKLEY ENTERPRISES, INC., check to WILLIAM M. STOKLEY for approximately $37,021.81.
- 11. On or about February 9, 1990, JANET M. STOKLEY signed.a STOKLEY ENTERPRISES, INC., check to herself for approximately
$8,414.69.
12. On or about April 20, 1990, JANET M. STOKLEY signed a STOKLEY ENTERPRISES, INC., check to WILLIAM M. STOKLEY for approximately $49,818.23. 13. On or about April 20, 1990, JANET M. STOKLEY signed a STOKLEY ENTERPRISES, INC., check to herself for approximately
$10,022.50.
- 14. On or about July 6, 1990, JANET M. STOKLEY signed a 13
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STOKLEY ENTERPRISES, INC., check to WXLLIAM M. STOKLEY for approximately $66,230.
- 15. On or about July 6, 1990, JANET M. STOKLEY signed a STOKLEY ENTERPRISES, INC.,
$10,104.09.
check to herself for approximately 16. On or about July 27, 1990, JANET M. STOKLEY signed a STOKLEY ENTERPRISES, INC.,
$7,948.00.
- check to herself for approximately I
- 17. On or about August 4, 1989, defend' ant JANET M.
..-- 9 STOKLEY signed a STOKLEY ENTERPRISES, ,,
INC., check to WILLIAM M. STOKLEY ; for approximately $39,730.78. 18. Between on or about August 12, September 13, 1990, 198 )and on or about . in the Eastern District of Virginia, the defendants, WILLIAM M. STOKLEY, JANET M. STOKLEY, and STOKLEY ENTERPRISES, INC., shipped to various customers numerous parts with counterfeit marks on them. Overt Acts Relatino to Shioboard Controls
- 19. On or about May 7, 1990, STOKLEY ENTERPRISES, INC.,
acting through its employees and at the direction of WILLIAM M . STOKLEY and JANET M. STOKLEY, took an order from Ingalls Shipbuilding for approximately twenty General Electric motor controllers, including v three controllers with General Electric part number 229B3039,
/ s' six with General Electric part number l 194B8435G1S2, thre,ewithGeneralElectricpartnumber188B3082I i i
threewithGeneralElectricpartnumber229B3036G1Iandfivewith General Electric part number 188B3083.' ~
- 14
i
- 20. On or about June 19, 1990, STOKLEY ENTERPRISES, INC.,
ordered ten label plates for General Electric shipboard controls
~. - p y from Virginia Art Metal and Plastic Corporst4en, in Norfolk, Virginia, in the Eastern District of Virginia.
- 21. On or about May 8, 1990, WILLIAM M. STOKLEY, acting on behalf of STOKLEY ENTERPRISES, INC., ordered from Jo-Kell five switches for use in the construction of counterfeit General Electric motor controls. '
- 22. On or about May 9, 1990, STOKL'- .NTERPRISES, INC.,
ordered from Baker Sheet Metal in Norfolk ' zginia, in the Eastern District of Virginia, ten steel .a .ekets of approximate dimensions of 12 and 1/2 inches by'8 and 3/4 inches for use in ,,
,the construction of counterfeit General Electric motor controls.
- 23. On or about June 28, 1990, defendant JANET M. STOKLEY sent a check for approximately $115.30 to Baker Sheet Metal to i
pay, in part, for the ten steel brackets. I
- 24. On or about May 11, 1990, STOKLEY ENTERPRISES, INC., .
ordered one General Electric 115 volt coil from California Marine Supply for use in the construction of counterfeit General Electric motor controls. -
- 25. On or about June 20, 1990, JANET M. STOKLEY'sent California Marine Supply a check for approximately $1253.25 to pay, in part, for one General Electric 115 volt coil.
- 26. On or about May 18, 1990, STOKLEY ENTERPRISES, INC.,
ordered one General Electric contact part in "as is" condition from Kinnamen Electric, Inc. 15 e
. . . . - . . _. -- - - . - . _ . -- ._ - ~ . .--
i i 27. On or Gbout June 14, 1990, JANET M. STOKLEY sent Indmar Corporation, also known as Kinnamen Electric, Inc., a check for approximately $1253.25 to pay, in part, for one General Electric contact part. i
- 28. On or about June 4, 1990, STOKLEY ENTERPRISES, INC., '
' shipped te Ingalls Shipbuilding in Pascagoula, Mississippi, A approximately three shipboard controls, known more particularly I by General Electric Part number 229B3039, with counterfeit '
- General Electric marks, l
for use in the overhaul of the destroyer J USS John Hancock (DD-981) . 29. 1 On or about July 19, 1990, an employee of STOKLEY ! ENTERPRISES, INC., signed a Certificate of Compliance for the three counterfeit controllers attesting that: "All items '. furnished on this purchase order are in full compliance with all specification and purchase order requirements." ' 30. On or about August 1, < 1990, STOKLEY ENTERPRISES, INC., ! received'approximately $5,643 from Ingalls Shipbuilding for three I shipboard controls. ,{ 31.
- On or about June 19, 1990, STOKLEY ENTERPRISES, INC.,
i i j shipped to Ingalls Shipbuilding in Pascagoula, Mississippi, l approximately six shipboard controls, known more particularly by General Electric part number 1948 3435 GIS1 22929039, with counterfeit General ! Electric marks.
- 32. On or about July 2, 1990, STOKLEY ENTERPRISES, INC.,
received approximately $9,578.10 from Ingalls Shipbuilding for six shipboard controls. 16 h e
- _ . . . . _ . . . - . - . - . .~ . - --_ . - .- - - . - - . . -. . - .
I 1
- 33. On or about July 19, 1990, STOKLEY ENTERPRISES, INC.,
shipped to Ingalls Shipbuilding in Pascagoula, Mississippi, approximately three shipboard controls, known more particularly i by General Electric part number 229B3036G1, with counterfeit . General Electric marks.
- 34. On or about September 5, 1990, STOKLEY ENTERPRISES, INC., shipped to Ingalls Shipbuilding in Pascagoula, Mississippi, approximately two shipboard controls, known more particularly by -
General Electric part number 188B3082, with counterfeit General Electric marks.
- 35. On or about September 13, 1990, in the Eastern District of Virginia, employees of STOKLEY ENTERPRISES, INC., including e poM, a
defendant WILLIAM M. STOKLEY, beganassemblingqfou counterfeit - General Electric shipboard controls, known more particularly by General Electric part number 188B3083, before they were interrupted by agents from the Naval Investigative Service executing a federal search warrant.
- 36. On or about September 13, 1990, employees of STOKLEY ENTERPRISES, INC., began electroplating contactors for counterfeit General Electric shipboard controls.
I
- 37. On or about September 13, 1990, employees of STOKLEY !
ENTERPRISES, INC., began painting metal enclosures for counterfeit General Electric shipboard controls.
- 38. On or about September 13, 1990, employees of STOKLEY ENTERPRISES, INC., began wiring component parts for counterfeit General Electric shipboard controls.
17
.. 3 , .
G #
I 39. On or about September 13, 1990, employees of STOKLEY ENTERPRISES, INC., retrieved counterfeit " General Electric shipboard control" label plates from the STOKLEY inventory of such plates. 40. On or about July 23, 1990, JANET M. STOKLEY sent to Virginia Art Metal and Plastic Company a check for approximately
$848.75 to pay, in part, for label plates for General Electric shipboard controls.
41. In or about August and September, 1989, STOKLEY ENTERPRISES, INC., agreed to sell to the Charleston Naval Shipyard four General Electric shipboard controls, known more particularly by the General Electric part number 858C100.
- 42. .
On or about August 31, 1989, STOKLEY ENTERPRISES, INC.,
- ordered from Baker Sheet Metal Corporation six steel brackets, to be fabricated to match a sample provided by STOKLEY ENTERPRISES ,
INC., including adding flanges at the top. 43. On or about October 11, 1989, JANET M. STOKLEY sent to Baker Sheet Metal Corporation a check for $401.28 to pay, in part, for six steel brackets.
- 44. On or about August 24, 1989, STOKLEY ENTERPRISES, INC., '
shipped to the Charleston Naval Shipyard a shipboard control, known more particularly by the General Electric part number 858C100, with counterfeit General Electric marks.
- 45. On or about August 29, 1989, STOKLEY ENTERPRISES, INC.,
shipped to the Charleston Naval Shipyard a shipboard control, known more particularly by the General Electric part number 18
858C100, with counterfeit General Electric marks.
- 46. On or about August 30, 1989, STOKLEY ENTERPRISES, INC.,
shipped to the Charleston Naval Shipyard a counterfeit General i Electric shipboard control, known more particularly by the I j l General Electric part number 858C100.
- 47. On or about September 11, 1989, STOKLEY ENTERPRISES, INC., shipped to the Charleston Naval Shipyard a shipboard control, known more particularly by the General Electric part
{ number 858C100, with counterfeit General Electric marks. 4
- 48. On or about January 12, 1990, WILLIAM M. STOKLEY, l
acting on behalf of STOKLEY ENTERPRISES, INC., agreed to sell the j e Charleston Naval Shipyard six ship ~ board controls, known more ) i ] particularly by the Cutler-Hammer part number 6962H154-4. {
- 49. On or about January 15, 1990, STOKLEY ENTERPRISES, 1
INC., ordered ten counterfeit Cutler-Hammer label plates from i i Virginia Art Metal and Plastic Company. 9 3 50. On or about January 25, 1990, STOKLEY ENTERPRISES, 1 INC., sent to the Charleston Naval Shipyard six shipboard 4 controls with counterfeit Cutler-Hammer marks.
- 51. On or about January 25, 1990, defendant JANET M.
l STOKLEY signed a Certificate of Compliance representing that six counterfeit Cutler-Hammer shipboard controls were in full compliance with all specification and purchase order j requirements. Overt Acts Relatina to Circuit Breakers i 5 2,. On or about November 21, 1989, STOKLEY ENTERPRISES, i 19 l 9
1 INC., agreed to sell to Temsco, Inc., four Westinghouse circuit breakers, known more particularly by the Westinghouse part number AQB-LF250.
- 53. Sometime in or about November, 1989, STOKLEY ENTERPRISES, INC., ordered from Virginia Art Metal and Plastic company various label plates that appear on Westinghouse circuit breakers.
- 54. On or before December 5, 1989, employees of STOKLEY .
ENTERPRISES, INC., assembled four counterfeit Westinghouse circuit breakers, known more particularly by the Westinghouse part number AQB-LF250.
~
- 55. On or about December 5, 1989, STOKLEY ENTERPRISES, INC. .
shipped to Temsco, Inc., four circuit breakers with counterfeit Westinghouse marks destined to be used in the overhaul of the nuclear-powered fast attack submarine USS Baltimore (SSN-704). ,
- 56. On or about November 2, 1989, STOKLEY ENTERPRISES, I INC., agreed to provided to Temsco, Inc two ITE circuit breakers, known more particularly by the ITE part number ETN6908-10.
- 57. On or about October 20, 1989, STOKLEY ENTERPRISES, INC., ordered from Virginia Art Metal and Plastic Company approximately twelve generic ITE circuit breaker label plates.
- 58. On or after November 2, 1989, WILLIAM M. STOKLEY ordered from Electro Mech two ITE LF 400 (ETN 690810) trip units.
- 59. On or about December 12, 1989, JANET M. STOKLEY sent Electro Mech a check for approximately $5680 to pay, in part, for 20
i two ITE LF 400 trip units.
- 60. Before on or about November 9, 1989, employees of STOKLEY ENTERPRISES, INC., assembled two counterfeit circuit breakers, known more particularly by the ITE part number ETN6908- l 10.
- 61. On or about November 9, 1989, STOKLEY ENTERPRISES, I INC., shipped to Temsco, Inc., two circuit breakers with I counterfeit ITE marks destined to be used in the overhaul of the nuclear-powered fast attack submarine USS Baltimore (SSN-704).
- 62. On or about October 20, 1989, STOKLEY ENTERPRISES, INC., agreedtoprovidetheNavyShipfPartsControlCenterin Mechanicsburg, Pennsylvania, with 'one circuit brea)(er, known more ,
particularly by the ITE part number ETN6727-10S31.
- 63. Before on or about October 25, 1989, STOKLEY ENTERPRISES, INC., assembled a counterfeit ITE circuit breaker.
- 64. Oh or about October 25, 1989, STOKLEY ENTERPRISES, I INC., shipped a counterfeit ITE circuit breaker to the Naval Supply Center, Naval Station Mayport, Florida, for the shore power system of the fast frigate USS Doyle (FFG-39).
l
- 65. On or about November 3, 1989, STOKLEY ENTERPRISES, ,
INC., agreedtoprovidetheNavyShip1PartsControlCenterin Mechanicsburg, Pennsylvania, with one circuit breaker, known more particularly by the ITE part number ETN6727-10S31, for approximately $2215.75.
- 66. Before on or about November 9, 1989, STOKLEY ENTERPRISES, INC., assembled a counterfeit ITE circuit breaker.
21
l i l i i j 67. On or about November 9, 1989, STOKLEY ENTERPRISES, i ) i j INC., shipped a circuit breaker with counterfeit ITE marks to the ' Naval Supply Center, Naval Station Mayport, Florida, for the !, i ! ] shore power system of the fast frigate USS Doyle (FFG-39).
- 68. On or about July 24, 1990, STOKLEY ENTERPRISES, INC., !
agreed to provide the Navy Ships Parts Control Center with one j s 4 circuit breaker, known more particularly by the ITE part number ' a ' i ETN6727-10S31. I
- 69. On or about July 25, 1990, WILLIAM M. STOKLEY ordered from Hardware Specialty Company in Seattle, Washington, one
,! surplus AQBA400 circuit breaker that "needed work" according to t i the shipping invoice. . I \
\
- 70. On or about August 8, 1990, JANET M. STOKLEY sent j Hardware Specialty a check for approximately $1548.25 to pay, in
- part, for one surplus AQBA400 circuit breaker.
I j 71. Before on August 3, 1990, employees of STOXLEY l i l ENTERPRISES, INC., assembled a counterfeit ITE circuit breaker. l i ! l
- 72. On or about August 3, 1990, STOKLEY ENTERPRISES, INC., j I
shipped to the Naval Education Training Center, in Newport, Rhode l 4
- Island, one circuit breaker with counterfeit ITE marks for the !
- l i
shore power system of the USS Simpson (FFG-56). l
- 73. On or about December 22, 1989, STOKLEY ENTERPRISES, 0
INC., agreed to provided the Navy Ships Parts Control Center with l
!i, i a circuit breaker, known more particularly by the part number !
} ! ! ETN9708-10S22. I ! k f l 74. On or about December 26, 1989, STOKLEY ENTERPRISES, i i
; 22 ,
3 i I a i d
l 1 {
}
INC., ordered from Gary S. Hopkins one 1:QBA1600 circuit breaker. !
- 75. On or about January 5, 1990, JANET M. STOKLEY paid Gary !
3 S. Hopkins approximately $2,000 for one NQBA1600 circuit breaker. , ] 7 6 .. Before on or about December 28, 1989, employees of i STOKLEY ENTERPRISES, INC., worked on the NQBA1600 circuit breaker I j to make it appear to be brand new. 1
- 77. On or about December 28, 1989, defendants WILLIAM M.
STOKLEY, JANET M. STOKLEY, and STOKLEY ENTERPRISES, INCpd4dshippel and caused to be shipped to the Aegis class guided missile cruiser USS Princeton (CG-59) a circuit breaker known by the part 4 number ETN9708-10S22. 4
- 78. On or about September 10', 1990, STOKLEY ENTERPRISES, INC., agreed to provide the Murray Benjamin Electric Company two circuit breakers, known more particularly by the ITE part number l ETN9707-20, destindd for. installation on the floating dry dock ,
USS Oak Ridge (ARDM 1). l 79. On or about September 13, 1990, in the Eastern District i of Virginia, employees of STOKLEY ENTERPRISES, INC., began i assembling two counterfeit ITE circuit breakers, before they were l interrupted by agents from the Naval Investigative Service ; j executing a federal search warrant.
- 80. On or about September 13, 1990, employees of STOKLEY ENTERPRISES, INC., replated the stationary contacts of a circuit s
breaker to make it appear to be a new ITE ETN9707-20 circuit breaker.
- 81. On or about September 13, 1990, employees of STOKLEY W
23 j i
I ENTERPRISES, INC., installed new design arc chutes on a circuit breaker t< make it appear to be a new ITE ETN9707-20 circuit breaker. Overt Acts Relatina to Transformers
- 82. On or about October 25, 1989, STOKLEY ENTERPRISES, INC., agreed to provide Ingalls Shipbuilding three Westinghouse transformers, known more particularly by the Westinghouse part number SKVA 450/120V iPH 60HZ.
- 83. On or about October 26, 1989, STOKLEY ENTERPRISES, t
INC., ordered three bottom metal sheets from Baker sheet metal. r :
- 84. On or about October 3, 1989, STOKLEY ENTERPRISES, INC.,
ordered from Virginia Art Metal an'd Plastic Company three e Westinghouse transformer diagrams with blanks for federal stock numbers and for the year of manufacture. !
- 85. On or about November 6, 1989, STOKLEY ENTERPRISES, INC., shipped to Ingalls Shipbuilding three transformers with i counterfeit Westinghouse marks.
- 86. On or about October 25, 1989, STOKLEY ENTERPRISES, INC., agreed to provide to Ingalls Shipbuilding six Jefferson Electric transformers, known more particularly by the Jefferson Electric part number 25 KVA 450/120V 1PH 400HZ.
- 87. On or about November 6, 1989, STOKLEY ENTERPRISES, '
INC. shipped to Ingalls Shipbuilding six transformers with ' " ' ~ ~ counterfeit Jefferson Electric marks. Overt Acts Relatina to Potter-Brumfield Motor-Driven Relavs 4
- 88. On or about May'24,.1990, WILLIAM M. STOKLEY agreed to 2'4 -
l t provide Spectronics, Inc., with three different models of j approximately thirty Potter and Brumfield motor-driven relays. i
- 89. On or about May 25, 1990, STOKLEY ENTERPRISES, INC.,
, ordered from Virginia Art Metal and Plastic various label plates j that normally appear on Potter and Brumfield motor-driven relays.
- 90. On or about June 14, 1990, STOKLEY ENTERPRISES, INC.,
1
! sent to the Shearon Harris nuclear power plant approximately 1
thirty counterfeit Potter and Brumfield motor-driven relays.
- 91.
4 On or about June 27, 1990, in the Eastern District of Virginia, defendant WILLIAM M. STOKLEY lied to investigators from i 1 the Nuclear Regulatory Commission by, telling them that STOKLEY
^
ENTERPRISES, INC., does not replace label identification plates .
- of the electronic components that it sold.
l 92. On or about June 27, 1990, defendant WILLIAM M. STOKLEY 4 j lied to investigators from the Nuclear Regulatory Commission by j telling them that STOKLEY ENTERPRISES, INC., never made any i j internal alterations on the electronics components that it sold. 2 i i j (All in violation of Title 18, United States Code, Section j
- 371.)
i 4 [ i l i-1 i
- j. 25
- j 1
COUNT 2 THE GRAND JURY FURTHER CHARGES THAT: The introductory allegations are hereby alleged and incorporated by reference as if set forth in full herein. On or about June 4, 1990, in Norfolk, Virginia, in the Eastern District of Virginia, the defendants, WILLIAM M. STOKLEY, JANET M. STOKLEY, and STOKLEY ENTERPRISES, INC., unlawfully and intentionally did traffic and attempt to traffic in goods and - services, to wit, did assemble, sell, and "
- lls Shipbuilding shipboard controls, known more particularly by the
, General Electric part number 229B3036G1, and unlawfully and Know'ingly used counterfeit marks on and in connection with such goods and services, that is, marks consisting of a monogram cursive "GE" inside a circle surrounded on the left side by the word " General" and on the right side by the word " Electric",
which counterfeit marks were identical with and substantially indistinguishable from genuine marks in use and registered for those goods and services on the principal register in the United States Patent and Trademark Office, and the use of which marks J was likely to cause confusion, to cause mistake, and to deceive. : 1 i (All in violation of Title 18, United States Code, Sections 2320 and 2.) 26 c * !
- . . . - . . . _-. -.. . . . - . . - . ~ . .....-.--. - _- --- -_ -.- - -.-.-
i COUNT 3 THE GRAND JURY FURTHER CHARGES THAT: The introductory allegations are hereby alleged and incorporated by reference as if set forth in full herein. On or about June 19, 1990, in Norfolk, Virginia, in the Eastern District of Virginia, the defendants, WILLIAM M. STOKLEY, JANET M. STOKLEY, and STOKLEY ENTERPRISES, INC., unlawfully and intentionally did traffic and attempt to traffic in goods and services,'to wit, did assemble, sell, and ship to Ingalls Shipbuilding shipboard controls, known more particularly by the General Electric part number 229B3036G1, and unlawfully and
" ^
knowingly used counterfeit marks on and in connection with such ' goods and services, that is, marks consisting of a monogram cursi'ra "GE" inside a circle surrounded on the lef t side by the word " General" and on the right side by the word " Electric", which counterfeit marks were identical with and substantially indistinguishable from genuine marks in use and registered for I those goods and services on the principal register in the United States Patent and Trademark Office, and the use of which marks was likely to cause confusion, to cause mistake, and to deceive. (All in violation of Title 18, United States Code, Sections 2320 and 2.) l J I . 27
, 'e ' .
._ __._ ._-_._ _ _ . _ . _ . _ _ _ _ . _ _ _ . _ . . _ _ _ . . _ __.._._m-_ __ _
1 i COUNT 4 4 THE GRAND JURY FURTHER CHARGES THAT: The introductory allegations are hereby alleged and i. l incorporated by reference as if set forth in full herein. J 1 On or about July 19, 1990, in Norfolk, Virginia, in the 4 Eastern District of Virginia, the defendants, WILLIAM M. STOKLEY, blI l JANET M. STOKLEY, and STOKLEY ENTERPRISES, INC., unlawfully and y j intentionally did traffic and attempt to traffic in goods and { services, to wit, did assemble, sell, and ship to Ingalls J i Shipbuilding shipboard controls, known more particularly by the j General Electric part number 229B3036G1, and unlawfully and knowingly usedJcounterfeit harks o'n and in connection with such i goods and serviges,'that is, marks consisting of a monogram cursive "GE" inside a circle surrounded on the left side by the j word " General" and on the right side by the word " Electric", j which counterfeit marks were identical with and substantially l indistinguishable from genuine marks in use and registered for i those goods and services on the principal register in the United States Patent and Trademark Office, and the use of which marks { was likely to cause confusion, to cause mistake, and to deceive. i i i (All in violation of Title 18, United States Code, Sections 2320 and 2.) i i 4 28 4 ) s 1 -- . - -- _ _-.- -- --- _ - H
I COUNT 5 THE GRAND JURY FURTHER CHARGES THAT: The introductory allegations are hereby alleged and incorporated by reference as if set forth in full herein. On or about September 5, 1990, in Norfolk, Virginia, in the Eastern District of Virginia, the defendants, WILLIAM M. STOKLEY, JANET M. STOKLEY, and STOKLEY ENTERPRISES, INC., unlawfully and intentionally did traffic and attempt to traffic in goods and services, to wit, did assemble, sell, and ship to Ingalls Shipbuilding shipboard controle,known more particularly by the General Electric part number -s 229B3036dl, and unlawfully and knowingly used counterfeit marks on*and in connection with such . goods and services, that is, marks consisting of a monogram cursive "GE" inside a circle surrounded on the left side by the word " General" and on the right side by the word " Electric", which counterfeit marks were identical with and substantially indistinguishable from genuine marks in use and registered for ' those goods and services on the principal register in the United States Pat.ent and Trademark Office, and th'e use of which marks was likely to cause confusion, to cause mistake, and to deceive. (All in violation of Title 18, United States Code, Sections 2320 and 2.) 29 i
._. . _ ._ _ ._ _ . . _ _ _ . _ _ . _ . _ _ _ . . _ _ _ _ _ . _ _ . _ ___ _.m . _ ._.
4 COUNT 6 THE GRAND JURY FURTHER CHARGES THAT: The introductory allegations are hereby alleged and 2 incorporated by reference as if set forth in full hersin. 4 On or about August 24, 1989, in Norfolk, Virginia, in the 1 Eastern District of Virginia, the defendants, WILLIAM M. STOKLEY, JANET M. STOKLEY, and STOKLEY ENTERPRISES, INC., unlawfully and J intentionally did traffic and attempt to traffic in goods and 1 i services, to wit, did assemble, sell, and ship to the Charleston Naval Shipyard a shipboard control, known more particularly by the General Electric part number 858C100, and unlawfully and
~
knowingly used counterfeit marks on and in connection with such goods and services, that is, marks consisting of a monogram cursive "GE" inside a circle surrounded on the left side by the word " General" and on the right side by the word " Electric", J which counterfeit marks were identical with and substantially .. indistinguishable from genuine marks in use and registered for - those goods and services on the principal register in the United i i States Patent and Trademark Office, and the use of which marks was likely to cause confusion, to cause mistake, and to deceive. 1 (All in violation of Title 18, United States Code, Sections 1 l 2320 and 2.) i 30 i J
COUNT 7 THE GRAND JURY FURTHER CHARGES THAT: The introductory allegations are hereby alleged and i incorporated by reference as if set forth in full herein. l On or about August 29, 1989, in Norfolk, Virginia, in the Eastern District of Virginia, the defendants, WILLIAM M. STOKLEY, JANET M. STOKLEY, and STOKLEY ENTERPRISES, INC., unlawfully and intentionally did traffic and attempt to traffic in goods and services and services, to wit, did assemble, sell, and ship to the Charleston Naval Shipyard a shipboard control, known more particularly by the General Electric part number 858C100, and
~
unlawfully and knowingly used counterfeit marks on.and in connection with such goods and services and services, that is, marks consisting of a monogram cursive "GE" inside a circle surrounded on the left side by the word " General" and on the right side by the word " Electric", which counterfeit marks were 1 identical with and substantially indistinguishable from genuine I i marks in use and registered for those goods and services on the L principal register in the United States Patent and Trademark Office, and the use of which marks was likely to cause confusion, to cause mistake, and to deceive. I (All in violation of Title 18, United States Code, Sections 2320 and 2.) t 31
i, I l COUNT 8 THE GRAND JURY FURTHER CHARGES THAT: The introductory allegations are hereby alleged and incorporated by reference as if set forth in full herein. , On or about August 30, 1989, in Norfolk, Virginia, in the f 1 Eastern District of Virginia, the defendants, WILLIAM M. STOKLEY, JANET M. STOKLEY, and STOKLEY ENTERPRISES, INC., unlawfully and intentionally did traffic and attempt to traffic in goods and services, to wit, did assemble, sell, and ship to the Charleston Naval Shipyard a shipboard control, known more particularly by the General Electric part number 858C100, and unlawfully and knowingly used counterfeit marks on and in connection with such . goods and services, that is, marks consisting of a monogram cursive "GE" inside a circle surrounded on the left side by the
- word " General" and on the right side by the word " Electric", l which counterfeit marks were identical with and substantially indistinguishable from genuine marks in use and registered for 'l those goods and services on the principal register in the United I
States Patent and Trademark Office, and the use of which marks was likely to cause confusion, to cause mistake, and to deceive. (All in violation of Title 18, United States Code, Sections 2320 and 2.) 32
l COUNT 9 THE GRAND JURY FURTHER CHARGES THAT: The introductory allegations are hereby alleged and incorporated by reference as if set forth in full herein. On or about September 11, 1989, in Norfolk, Virginia, in the i Eastern District of Virginia, the defendants, WILLIAM M. STOKLEY, l JANET M. STOKLEY, and STOKLEY ENTERPRISES, INC., unlawfully and intentionally did traffic and attempt to traffic in goods and services, to wit, did assemble, sell, and ship to the Charleston Naval Shipyard a shipboard control, known more particularly by , the General Electric part number 858C100, and unlawfully and 5 knowingly used counterfeit marks o'n and in connection with such goods and services, that is, marks consisting of a monogram cursive "GE" inside a circle surrounded on the left side by the word " General" and on the right side by the word " Electric", ) which counterfeit marks were identical with and substantially
- indistinguishable from genuine marks in use and registered for 1
l those goods and services on the principal register in the United 1 States Patent and Trademark Office, and the use of which marks a
- was likely to cause confusion, to cause mistake, and to deceive.
l l (All in violation of Title 18, United States Code, Sections 2320 and 2.) 1 n 33 j i
6 i COUNT 10 ' THE GRAND JURY FURTHLR CHARGES THAT: The introductory allegations are hereby alleged and ; incorporated by reference as if set forth in full herein. On or about January 25, 1990, in Norfolk, Virginia, in the Eastern District of Virginia, the defendants, WILLIAM M. STOKLEY, JANET M. STOKLEY, and STOKLEY ENTERPRISES, INC., unlawfully and intentionally did traffic and attempt to traffic in goods and ' services, to wit, did assemble, sell, and ship to the Charleston Naval Shipyard shipboard controls, known more particularly by the ! Cutler-Hammer part number 6962H154-4, and unlawfully and j knowingly used counterfeit marks o'n and in connection with such , i goods and services, that is, marks consisting of a block "C" enclosing the left half of a block "H" and also mar):s consisting of the hyphenated word " Cutler-Hammer", which counterfeit marks were identical with and substantially indistinguishable from genuine marks in use and registered for those goods and services , on the principal register in the United States Patent and Trademark Office, and the use of which marks was likely to cause l confusion, to cause mistake, and to deceive. (All in violation of Title 18, United States Code, Sections 2320 and 2.) i 34 a
?
-.m*
._. _.., _ _ _ . _ _ _ _ - _ _ _ ~ . - _ - _ _ . _ _ _ _ . __. . _ - _ . _ _ _. . . _ -.
i 4 COUNT 11 ~ THE GRAND JURY FURTHER CHARGES THAT: i The introductory allegations are hereby alleged and l incorporated by referance as if set forth in full herein. On or about September 13, 1990, in Norfolk Virginia, in the , j Eastern District of Virginia, the defendants, WILLIAM M. STOKLEY, l JANET M. STOKLEY, and STOKLEY ENTERPRISES, INC., unlawfully and =i 4 intentionally did attempt to traffic in goods and services, to wit, did attempt to assemble, sell, and ship to Ingalls j Shipbuilding shipboard controls, known more particularly by the General Electric part number 188B3083, and unlawfully and i 1 knowingly-used counterfeit marks o'n and in connection with such l ' goods and services, that_is, marks consisting of a monogram { cursive "GE" inside a circle surrounded on the left side by the word " General" and on the right side by the word " Electric", f which counterfeit marks were identical with and substantially I l indistinguishable from genuine marks in use and registered for 4 1 those goods and services on the principal register in the United States Patent and Trademark Office, and the use of which marks 4 was likely to cause confusion, to cause mistake, and to deceive. I l (All in violation of Title 18, United States Code, Sections !
- 2320 and 2.)
( l i i l 1 9 ] 35 i b l 1 d
--w--r --t r - - - - - - ' - ~ = e e- =* e- ---r +e- = -
e----+- *--e' ---+"'w*v + t--'- m'- Te
COUNT 12 THE GRAND JURY FURTHER CHARGES THAT: The introductory allegations are hereby alleged and incorporated by reference as if set forth in full herein. i On or about December 5, 1989, in Norfolk, Virginia, in the Eastern District of Virginia, the defendants, WILLIAM M. STOKLEY, i JANET M. STOKLEY, and STOKLEY ENTERPRISES, INC., unlawfully and intentionally did attempt to traffic in goods and services, to 9 wit, did attempt to assemble, sell, and ship to Temsco, Inc., , circuit breakers, known more particularly by the Westinghouse part number AQB-LF250, and unlawfully and knowingly used counterfeit marks on and in connection with such goods and , services, that is, marks consisting of the word " Westinghouse" and a "W" with a line underneath it surrounded by a circle, which counterfeit marks were identical with and substantially indistinguishable from genuine marks in use and registered for those goods and services on the principal register in the United States Patent and Trademark Office, and the use of which marks was likely to cause confusion, to cause mistake, and to deceive. I (All in violation of Title 18, United States Code, Sections 2320 and 2.) . . . 9 e .- . _ , . . I-e 36
I t COUNT 13 THE GRAND JURY FURTHER CHARGES THAT: The introductory allegations are hereby alleged and incorporated by reference as if set forth in full herein. i I 4 On or about November 9, 1989, in Norfolk, Virginia, in the I f Eastern District of Virginia, the defendants, WILLIAM M. STOKLEY, JANET M. STOKLEY, and STOKLEY ENTERPRISES, INC., unlawfully and intentionally did traffic and attempt to traffic in goods and 4 I services, to wit, did assemble, sell, and ship to Temsco, Inc., circuit breakers, known more particularly by the part number ITE ETN6908-10, and unlawfully and knowingly used counterfeit marks
^
on and in connection with such goods and services,.that is, marks . consisting of "I-T-E" and also a mark consisting of "I-T-E" surrounded by a circle, which counterfeit marks were identical with and substantially indistinguishable from genuine marks in use and registered for those goods and services on the principal register in the United States Patent and Trademark Office, and a l the use of which marks was likely to cause confusion, to cause i mistake, and to deceive. (All in violation of Title 18, United States Code, Sections 2320 and 2.) l 37
COUNT 14 THE GRAND JURY FURTHER CHARGES THAT: The introductory allegations are hereby alleged and incorporated by reference as if set forth in full herein. On or about October 25, 1989, in Norfolk, Virginia, in the Eastern District of Virginia, the defendants, WILLIAM M. STOKLEY, JANET M. STOKLEY, and STOKLEY ENTERPRISES, INC., unlawfully and intentionally did traffic and attempt to traffic in goods and services, to wit, did assemble, sell, and ship to the Naval Supply Center, Naval Station Mayport, Florida, for the fast frigate USS Doyle (FFG-39) a circuit breaker, known more particularly by the part number IT'E ETN6727-10S31,,and unlawfully and knowingly used counterfeit marks on and in connection with such goods and services, that is, marks consisting of "I-T-E" and. also a mark consisting of "I-T-E" surrounded by a circle, which counterfeit marks were identical with and substantially indistinguishable from genuine marks in use and registered for those goods and services on the principal register in the United States Patent and Trademark Office, and the use of which marks was likely to cause confusion, to cause mistake, and to deceive. (All in' violation of Title 18, United States' Code, Sections J 2320 and 2.) 38
I1 COUNT 15 THE GRAND JURY FURTHER CHARGES THAT: The introductory allegations are hereby alleged and incorporated by reference as if set forth in full herein. On or about November 9, 1989, in Norfolk, Virginia, in the Eastern District of Virginia, the defendants, WILLIAM M. STOKLEY, JANET M. STOKLEY, and STOKLEY ENTERPRISES, INC., unlawfully and intentionally did traffic and attempt to traffic in goods and *I services, to wit, did assemble, sell, and ship to the Naval Supply Center, Naval Station Mayport, Florida, for the fast frigate USS Doyle (FFG-39) a circuit breaker, known more
^
particularly by the part number ITE ETN6727-10S31,.and unlawfully , and"knbwingly used counterfeit marks on and in connection with ' such goods and services, that is, marks consisting of "I-T-E" and also a mark consisting of "I-T-E" surrounded by a circle, which counterfeit marks were identical with and substantially indistinguishable from genuine marks in use and registered for those goods and services on the principal register in the United States Patent and Trademark Office, and the use of which marks was likely to cause confusion, to cause mistake, and to deceive. (All in violation of Title 18, United States Code, Sections 2320 and 2.) 39
COUNT 16 3 THE GRAND JURY FURTHER CHARGES THAT: i The introductory allegations are hereby alleged and incorporated by reference as if set forth in full herein. i I On or about August 3, 1990, in Norfolk, Virginia, in the l 1 Eastern District of Virginia, the defendants, WILLIAM M. STOKLEY, JANET M. STOKLEY, and STOKLEY ENTERPRISES, INC., unlawfully and intentionally did traffic and attempt to traffic in goods and . services, to wit, did assemble, sell, and ship to the Naval n Education Training Center, Newport, Rhode Island, for the fast frigate the USS Simpson (FFG-56) a circuit breaker, known more particularly by the part number IT'E ETN6727-10S31,,and unlawfully , and knowingly used counterfeit marks on and in connection with such goods and services, . . that is, marks consisting of "I-T-E" and also a mark consisting of "I-T-E" surrounded by a circle, which ! counterfeit marks were id6ntical with and substantially indistinguishable from genuine marks in use and registered for those goods and services on the principal register in the United States Patent and Trademark Office, and the use of which marks was likely to cause confusion, to cause mistake, and to deceive. (All in violation of Title 18, United States Code, Sections 2320 and 2.)
.?,' .-
40 l
1 COUNT 17
- THE GRAND JURY FURTHER CHARGES THAT
The introductory allegations are hereby alleged and incorporated by reference as if set forth in fall herein. .d On or about December 28, 1989 in Norfolk, Virginia, in the Eastern District of Virginia, the defendants, WILLIAM M. STOKLEY, a 4 JANET M. STOKLEY, and STOKLEY ENTERPRISES, INC., unlawfully and l l intentionally did traffic and attempt to traffic in goods and ' I i services, to wit, did assemble, sell, and ship to the Naval Supply Center Detachment, Long Beach, California, for the Aegis i class guided missile cruiser USS Princeton (CG-59) a circuit i breaker, known more particularly b'y the part number ITE ETN9708- , ; 10S22, and unlawfully and knowingly used a counterfeit mark on ' . and in connection with such goods and services, that is, marks l
)
3 consisting of a semi-circle above several curving linesjfottowedq,4 aho by-the words "SPDf which counterfeit marks were identical with and substantially indistinguishable from genuine marks in use and registered for those goods and services on the principal register in the United State,s Patent and Trademark Office, and the use of which ma'rks was likely to cause confusion, to cause mistake, and to deceive. (All in violation of Title 18, United States Code, Sections 2320 and 2.) m 41 i
l COUNT in THE GRAND JURY FURTHER CHARGES THAT: The introductory allegations are hereby alleged and incorporated by reference as if set forth in full herein. On or about September 13, 1990, in Norfolk, Virginia, in the Eastern District of Virginia, the defendants, WILL.IAM M. STOKLEY, JANET M. STOKLEY, and STOKLEY ENTERPRISES, INC., un, lawfully and S ' intentionally did attempt to traffic in goods and services, to . ^ wit, did attempt to assemble, sell, and ship to the Murray Benjamin Electric Company for installation on the floating dry l dock USS Oak Ridge (ARDM 1) circuit breakers, known more particularly by the part number IT'E ETN9707-20, and unlawfully , l and knowingly used counterfeit marks on and in connection with l l such goods and services, that is, marks consisting of "I-T-E" and also a mark consisting of "I-T-E" surrounded by a circle, which counterfeit marks were identical with and substantially indistinguishable from genuine marks in use and registered for . those goods and services on the principal register in the United i States Patent and Trademark Office, and the use of which marks l was likely to cause' confusion, to cause mistake, and to deceive. l (All in violation of Title 18, United States Code, Sections 2320 and 2.) o
-6
- e 9
'42
COUNT 19 THE GRAND JURY FURTHER CHARGES THAT: The introductory allegations are hereby alleged and 1 incorporated by reference as if set forth in full herein. On or about November 6, 1989, in Norfolk, Virginia, in the l Eastern District of Virginia, the defendants, WILLIAM M. STOKLEY, JANET M. STOKLEY, and STOKLEY ENTERPRISES, INC., unlawfully and intentionally did traffic and attempt to traffic in goods and services, to wit, did assemble, sell, and ship transformers, known more particularly by the Westinghouse part number SKVA 450/120V 1PH 60HZ, and unlawfully and knowingly used counterfeit
^
marks on and in connection with such goods and services, that is, marks consisting of the word " Westinghouse" and also a mark consisting of a "W" with a line underneath it surrounded by a circle, which counterfeit marks were identical with and substantially indistinguishable from genuine marks in use and registered for those goods and services on the principal register in the United States Patent and" Trademark Office, and the' use of which marks was likely to cause confusipn, to cause mistake, and
~
to deceive. (All in violation of Title 18, United States Code, Sections 2320 and 2.) l '
-m 7!.h .9. -
43 . r . O O
i t COUNT 20 THE GRAND JURY FURTHER CHARGES THAT: The introductory allegations are hereby alleged and incorporated by reference as if set forth in full herein. - l On or about November 6, 1989, in Norfolk, Virginia, in the ' Eastern District of Virginia, the defendants, WILLIAM M. STOKLEY, JANET M. STOKLEY, and STOKLEY ENTERPRISES, INC., unlawfully and intentionally did traffic and attempt to traffic in goods and services, to wit, did assemble, sell, and ship transformers, i-known more particularly by the Jefferson Electric part number 25 ! KVA 450/120V 1PH 400HZ, and unlawfully and knowingly used
^
counterfeit marks on and in connection with such goods and services, that is, marks consisting of the word " Jefferson," which counterfeit marks were identical with and substantially indistinguishable from genuine marks in use and registered for , those goods and services on the principal register in the United 's m 44 6
1, States Patent and Trademark Office, and the use of which marks was likely to cause confusion, to cause mistake, and to deceive. (All in violation of Title 18, United States Code, Sections 2320 and 2.) A TRUE BILL FOREPERSON HENRY E. HUDSON UNITED STATES ATTORNEY By: Robert J. Seidel, Jr. Assistant United States Attorney By: ' Paul G. Cassell Assistant United States Attorney i i By: Kevin 5.' Comstock Special Assistant United States Attorney 401 Hoffman U.S. Courthouse 600 Granby Street Norfolk, Virginia 23510 (804) 441-6331 , 45 .. .
mi m , M & P Laboratory Report Otnfidential - Pbr intamal distrihrtion only. TINE: SAMPLES 'IAKEN E101 MDR RELAYS JLIE 20, 1990. REIAYS WGE BROUGfr IN BY K.R. FAIDU. THE 7ND RELAYS FAMPLED WERE IAmm MDR 138-8 MO WERE NLNBERED 2 NO 3. B01H REIAYS HAD BED 4 DJITIALED G.C. Mi1G WITH THE PAIE 6- 14-90. PI G DCTi M BER 90-0311
/)TdL; W M - m, ASSIGED TO: MELVIN R. SDiSMEIER CRIGItAIm: MIKE SCULLY IWIE CmFLE*IID: 28-JtN-1990 DNIE RECEIVED: 20-JtN-1990 PART NLMBG MO QUANTITY: 3 SAMPLES 7AKEN E701 'DO MDR 138-8 RELAYS.
RESUL'IS: SAMPLE # 1 :
- SMALL SECTIO 1 OF NAME PIATE - CUT F101 THE CORNER OF MDR 138-8 RELAY #3.
MNIERIAL USED:
- ANCDIZED A11MIlm WIIH #1 ACRYLIC ADHESIVE Qi IIS BACK SIDE.
SMPLE # 2 :
- RED PAINT SCRAPED E701 SNIIG RDG SIUDS NO FUIS - F701 MDR RELAY # 3 FRIERIAL USED:
- ALKYD RESIN WITH PIG 1ENT AND ADDITIVES CUTIAINDG THE ELEMENIS MAGESIlN, ALLEINLE, SILICIII, SULEUR, BARIlM NO I101.
SAMPLE # 3:
- GREY PAINT SCRAPED E701 NYLQ4 GRCNME'IS ( E m COIL LEAD WIRES )
OF MDR 138-8 REIAY # 2 . t%7ERIAL USED:
- ALKYD RESIN WITH PIGETT NO ADDITIVES CIIIIAINItG 7EE ELDiENTS MAGNESILM, ALUMI! M , SILICQJ, TIIN4ILM N O IIO4.
CIIClJSIO1: 'IHE 'IHP1E STM LES 'IAKEN E704 'INE 'INO REIAYS ARE ICT THE SAME 1%7ERIALS AS ' NOSE SPECIFIED BY PorIER NO BRLMFIEID IM USE Q4 MDR RDAYS. SEE ATIACHED PAGES IM DEIAILED RESULTS i OF MALYSES. 1/ \ D, i DISTRIBUTIOi : R. CDUSIN, DR. J. ERIEL, G. JOES, B. IAMB, K. LUDEBURGER, D. PATIQi
, A1 - .A
, M & P PFnTECT # 90-0311 PAGE 2 DE'IAILED RESULTS OF MALYSIS OF MDR REIAYS.
SAMPLES FKM MDR 138-8 REIAY'S NLMBERED 2 NO 3 BROLGfr IN BY K.R. PRIDU 6-20-90. 1 SAMPLE # 1 - SAMPLE OF t&ME PIATE 'IAIGIJ EKM MDR RELAY # 3. DE !@ME PIATE WAS MADE fBCM AN AIIMIN.M ALLOY CINIAINI!G A SMAIL MOLNT OF MAGNESILM NO SILICCN ( SEE FIGURF 1 KR AN DERGY DISPERSIVE X-PAY SPTIHE OF 'INE BASE PRIERIAL ). DE SURFACE ( SEE FIGURE 2 FDR DE DERGY DISPERSIVE X-BAY SPEX3RLM ) OF DE t@PE PIA 7E HAD BEEN #0DIZED ( ALIMINLM OKIDE COATING PRESLMABLY FORMED USING A SULFURIC ACID ELECITOLYIE EUE 'IO 'IHE SULFUR EUJO IN DE DEPOSIT , DYED GOLD N O THEN SEALED WIDI A NICKEL SALT SOIIJTIQ4 ). FIGURE 3 IS AN INEPARED SPECIR M OF DE ACRYLIC ADHESIVE 04 DE BA3 SIDE OF THE ?&ME PLA7E. ! I DE POTIER & BRLMFIDD MA7ERIAL SPECIFIED FOR DE FAME PIA 7E IS A NIOEL SILV E ( COPPER, NICKEL N O ZINC ALICY ) MATERIAL WIDi 10 ADHESIVE l BACKING . FIGURE 4 IS AN D4EE"Y DISPERSIVE X-RAY SPEX3MM OF A TYPICAL t&ME PIATE FRCE QE OF OUR RELA 75. THIS PARTICULAR SAMPLE WAS 1AKEN FBCM DE 1AMEPIATE OF A MDR REIAY MAtUFACIURED BY PCTTIER MO BRLMFIEID l WITH A DA7E CODE OF DE SEXIIO WEEK OF 1980. I l SAMPLE 2 - RED PAINT SCRAPED FRCH SWITOi RING SUDS NO NLTIS ETCM MOR REIAY # 3. FIGURE 5 IS AN INFPARED SPECIRM OF DE RED PAINT REMNED FKM MDR REIAY # 3. FIGURE 6 IS AN DERGY DISPERSIVE X-RAY SPECIRM REPRESD7IATIVE OF OIIPS FPCM DiIS RED PAINT. FIGURE 7 IS AN INf7ARED SPEC' IRE OF 7HE RED ALKYD ENAMEL SPECIFIED BY POTIER NO BRLMFIELD. FIGJRE 8 IS AN DERGY DISPERSIVE X-RAY SPECTRLM REPRESD7IATIVE OF OIIPS IPCM DE SPECIFIED PAINT. DE INFPARED SPDCIPA ARE DIFTERD7T FOR DE TWO PAINTS ( EVEN B0 UGH DEY BOIH ARE ALKYD TYPE PAINTS ) WHIOi SHOWS D RT DEY ARE TUT OF DE SAME COMPOSITIQ4. DE X-PAY SPECIPA FURRER S10WS DRT DE PIGMENIS NO ADDITIVES ARE DIFFERDIT. DE RED PAINT RDOVED FPCM MDR REIAY # 3 C0fIAINS DE ELD 1ENIS BARILM NO SULFUR WHIOi ARE ICT IN DE PCTTIER RO BRUMFIEID SPECIFIED PAINT. ADDITIGALLY, UE ELEMENT CALCILM FOLIO IN DE POTIER NO BRLMFIEID SPECIFIED PAINT IS TOT PRESENT IN DE RED PAINT RDOVED FBCM MDR REIAY # 3.
ed i an.
, M & P PROJECT # 90-0311 PAGE 3 SAMPLE # 3 - GREY PADE RDORD FRCM DE GRO1MEIS OF MDR REIAY # 2.
FIGURE 9 IS AN INFRARED SPECTRLM OF DE GREY PAINT RDDHD FRCM DE GRCitEIS ( FOR DE CDIL LEAD WIRES ) OF MDR RELAY # 2 . FIGJRE 10 IS AN DERGY DISPERSIVE X-RAY SPECIRA REPRESENIATIVE OF CHIPS F1G DIIS PADE. ICTIER NO BRLMFIELD HAS 7WO GREY PADES SPECIFIED FOR MDR REIAYS. FIGUPE 11 IS AN INFRARED SPECIRLM OF DE MIL. SPE. VERSICN SPECIFIED FOR MDR REEAYS. FICURE 12 IS AN ENERGY DISPERSIVE X-RAY SPEC'IM M REPRESENIATIVE OF GIPS FRm DE MIL. SPEC. VERSICN OF DE GREY PADE. FIGURE 13 IS AN DifBARED SPErIELM OF DE SEC2O VERSICN SPECIFIED BY POTIER NO BRLMFIEID. FIGURE 14 IS AN ENERGY DISPERSIVE X-PAY SPECIELN REPRESENIATIVE OF CHIPS FPCM DIIS VERSICN OF DE GREY PADE. DE INFRARED SPEC' IRA AGAIN SHCW DRT DE GREY PAINT RDDRD EKM MDR REIAY # 2 , IS ALSO AN ALKYD TYPE, BUT OF A DIETERENT C090SITIGJ DIAN DE DO GREY PAINIS SPECIFIED BY POTIER NO bpm FIELD. D E MIL. SPEC. PAINT SPECIFIED BY POTIER NO BRLMFIELD CIIIIAINS A RESIN DIAT IS A 39 % PHIHALIC R&iYDRIDE, PHEIOL NO BOSDJ PODITIED SH~RT OIL ALKYD RESIN, NHILE DE SEXIIO VERSICN (A PALE GREY AND WIHi A 70RE GIDSSY APPEARNJCE ) IS A PODIFIED UREIHAtE. FRCH DE X-RAY SPECIPA IT CAN BE EURIHER SEIN THAT DE GREY PAINT FRCH MDR REIAY # 2 HAS A DIFFERENT ELEMENIAL CCMPOSITION DIAN DOSE SPECIFIED BY PCTTIER AND BRUMFIEID. CAIfILM ( AS CAICILM CARBORIE ) IN DE MIL. SPEC. PADE IS MISSD G FBCM DE GREY PAINT RDOAD IHM MDR REIAY # 2. DE SEGIO VERSIOJ OF DE GREY PADE IS DIFTERENT DJ DMT IT DOES ICT CENIAIN IRCN ( AS IRCN OXIDE ) EUR DE (DIDRING AGEIR AS WAS FDLIO IN DE GREY PAINT RDUAD FRCH MDR RELAY # 2. FBCM DE ABCNE NALYSES, IT CAN BE CQJCLUDED DAT DE DIREE SAMPLES OF CCMPOJEIES fBCM DE DO MDR RELAYS ARE OF A DIFFEREIR OCMPOSITIQ1 THAN DOSE 1%2ERIALS SPECIFIED BY POTIER MO BRUMFIELD. 1
AE l ud., M & P PIORIT # 90-0311 PAGE 4 1 . 1 2 THE 10LIGI!G INS'IMMENIATIN NAS USED FIR THESE AtALYSES: 1 INFPARED SPECIBOSCDPY - BEGMAN MIOGAB 620 MX DISPERSIVE I! BARED SPECIBORGmETER. ] X-RAY SPECIBOSCOPY - AMRAY !ODEL 1830I SCAtNING ELEImW MICR02KDPE WITH INIEGRA7YD ENEEGY DISPERSIVE X-RAY SYSIDI. I ALL SAMPLES WERE RLN AT 30 KV , 30 DEGREES SAMPLE TILT WITH j 7HE EXCEPITW OF THE ALIMDM NAMEPIAIE IN FIGURE 1 AtO i FIGURE 2. THEY WERE RLN AT 20KV, 30 DEGUES TILT. ADDITICNALLY, THE ECW IV " WDOWLESS " LIGfr ELEMENT i DEIECTING LNIT NAS USED FTR THE SPECIRM CErIAINED IN FIGURE 2. I 1 1 1
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- SAMPLI?G, ANALYSES AND REPTT BY MELVIN R. SENSMEIER, S'IAFT CHEMIST i
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es a r o y t: a vl L ' yg ans u s. ructamm aatutAroav commissiO= no.svesta O# EVioENCE/ PROPERTY CUSTODY DOCUMENT OF FICE OF INVESTIGAf SONS Docat7muusta tonnovet.e >n cone.neo an on.en.seran proces, < ur 00*> AtClivlNG ACTivsTV Location Office of Investigations, Region II USNRC Atlanta, GA 30323 Is1Mt.GAADE AND TITLE Of PER$0% FROM wwou atctivED ADDRESS # seress erles Com/ Coaata Carolina Power & Light Company ggor.. Arthur Roberts Senior Specialist-Mechanical Shearon Harris Nuclear Plant - Box 165 New Hill, NC 27562 LOCATION F ROM wntRE OST AthtD Rf A50N O81 AINED TIME Daf t 087AihtD Provided by Arthur Roberts at Receiving Warehouse Evaluation as 1630/06-14-90 Shearon Harris Nuclear Plant Evidence
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1 1 CC,. agated box, white, approximately 8-3/4'x6-1/2"x6-1/4", unsealed, bearing white adhesive label marked "MDR173-1", box is marked "GHC 6/14/90 1738 (1)" Above described box contains the fol'owing items: Relay, electrical, rotary, non-latching, MDR173-1, bearing unserialized metallic plate bearing manufacturer's trademark " Potter and Brumfield" and other non-unique identifying information, marked "GC 6-14-90 1" Plastic cushion type packaging for above relay i Envelope, manila, approximately 5-1/2"x3-1/8" containing accessory screws l' for above relay 2 1 Same as above except box marked "GHC 6/14/901738(2)" and relay marked "GC 6-14-90 2" i 3 1 Same as above except box marked "GHC 6/14/90 1738 (3)" and relay marked "GC 6-14-90 3" 4 1 l Same as above except box marked "GHC 6/14/901739(4)" and relay marked :
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g ,,,, Arthur Roberts Senior Specialist-Mechanical Shearon Harris Nuclear Plant - Box 165 New Hill, NC 27562 LOCATION F ROM WHERE Oef AINED RE ASON OST AINED TsME DATE OST AINED Provided by Arthur Roberts at Receiving Warehouse Evaluation as Shearon Harris Nuclear Plant Evidence 1630/06-14-90
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j 1 1 Corrugated box, white, approximately 4 "x4k"x4 ", unsealed, bearing white l adhesive label marked "MDR138-8", box is marked "GHC 6/14/90 1737 (1)" Above described box contains the following items: ! Relay, electrical, rotary, non-latching, MDR138-8, bearing unserialized metallic plate bearing manufacturer's trademark " Potter and Brumfield" and other non-identifying information, marked "GC 6-14-90 1" Plastic cushion type packaging for above relay Envelope, manila, approximately 5b"x 3-1/8" containing accessory screws for above relay 2 1 Same as above except box marked "GHC 6/14/90 1737 (2)" and relay marked "GC 6-14-90 2" 3 1 Same as above except box marked "GHC 6/14/90 1737 (3)" and relay marked "GC 6-14-90 3" ! 4 1 Same as above except box marked "GHC 6/14/90 1737 (4)" and relay marked "GC 6-14-90 4" i) l I IM PELE A$ED a y O DAff RECElvED8v ECUS'
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Arthur Roberts . Shearon Harris Nuclear Plant - Box 165 Senior Specialist-Mechanical New Hill, NC 27562 LOCAT ION F ROM *Mt HE 08 f AINE D RE ASON 08 f AINE D 11Mi DATE OST AINtQ Provided by Arthur Roberts at Evaluation as Receiving Warehouse Evidence 1630/06-14-9C-4 Shearon Harris Nuclear Plant -
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, 'l/O 1 1 Corrugated box, white, approximately 8-3/4"x6-1/4"x6-1/4", unsealed, bearing white adhesive label marked "MOR142-1", box is marked "GHC 6/14/901738(1)" Above described box contains the following: Relay, electrical, rotary, non-latching, MDR142-1, bearing unserialized metallic plate bearing manufacturer's trademark " Potter and Brumfield" and other non-unique identifying information, marked "GC 6-14-90 1" Plastic cushion type packaging for above relay Envelope, manila, approximately 5-1/2"x3-1/8" containing accessory screws for above described relay 2 1 Same as above except box marked "GHC 6/14/90 1738 (2)" and relay marked "GC 6-14-90 2" 3 1 Same as above except box marked "GHC 6/14/90 1738 (3)" and relay marked "GC 6-14-90 3" 4 1 Same as above except box marked "GHC 6/14/90 1738 (4)" and relay marked "GC 6-14-90 4"
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# of fLAOR 04 cominACIQ4 MURRAY BENJAMIN ELECTRIC,CO ITEM guPJP }Ey)}If}VMS(/ ' QUANTITY UNIT UNIT PRICE AMOUNT 0001 NSN/LSN NONE CONTROLLER 4 EA .'. . < . .
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4 a' Problems with P&B MDR Relays
- 1. I week delivery - no other distributor or manufacturer could i meet this time.
1 a
- 2. Spectronics is located in Mobile, Alabama; UPS label shows relays were shipped from Stokely Enterprises, Norfolk, Virginia, j 3. Paint gray - dif ferent color (ASA61? vs ASA49?), touched up reddish-brown (on fastners as lock) - different color, different texture, overrun, tacky upon receipt, not locking.
i ! 4. Coil wire - different size, type, insulation, color.
- 5. Solder joint - different equipment used (i.e., resistive unit vs solder pencil / gun low wattage), wicking present on some d
relays, sloppy unqualified joints.
- 6. Fasteners screws / nuts - 3 same color finish, one different. i
! 7. Top plastic piece - latching relay marks on top of a 2 noniatching relay. 1 I
- 8. Coil insulators painted on some (gray ASA61), nonpainted on relays in stock, and some on this order not painted.
- 9. Rivets - painted rivets on some, silver-color rivets on
'i others.
- 10. Contact stacks - contact stacks are numbered; some relays
] seem to have two or more different number sets to make up a 1 l single stack.
- 11. Roter - hollow on some (maybe for live center), others are solid. ,
1
- 12. Croove on OD of coil stack on some, no groove on others.
- 13. Screws in envelopes of all these relays; screws packaged in l heat-sealed plastic on other supplied relays.
- 14. Box - different weight & color cardboard, different labels.
- 15. Bubble wrap vs thin styrofoam packaging material for previously supplied relays.
16 Nameplates on this order are " silk screen," all others supplied by P&B were etched / stamped.
- 17. Some relays have been mounted and released, causing them to pick up addition layer of paint from mounting board, and all of this has been painted over.
7
~
2-90-01a EXHIBIT
]
MEM/MS-9023140/2/OS2 PAGEL / OF El PAG (S)
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- 18. Coil stack pulled down more on some than other (nuts flush with screw tops vs 2 - 3 threads above nuts).
- 19. No date code stamping on top plastic cap.
- 20. Coil resistance (ohms) - some are close to book value, others
! are twice book value. l l l l l l l l l i ! I l I l i o i l l l EXHIBli 7 PAGE J OF 2. PAGE(S) MEH/MS-9023140/3/OS2
. VIRGINIA' ART rdETAL & PLASTIC Writt$n Byl // ^ _ work Order N' 4541 1520 Juniper Street - Norfolk, Va. 23502 Cash # Date Chg #
(804) 855-3173 Fax # (804) 855-7181 Date Ordered: 3 2' / Date Required: O O_ P.O. #
- 'QV ?x t -v'.44 Sold to: d C # Et 5, Ship to:
d Ordered by: Ts ; e [o a Phone # PO# Open Acet: COD Pick Up ! UPS Mail Other Quantity Description Unit Price Amount in 4 m, (Sk,Huis ) 4 in2 mIP 3.sn M.W Rded Le w ,/ dvd OX . ' (o t1:<R Ma cb :. L)h D ~ fun - (n b 2 T13:I1 Cat 195 vhc. QJ 41Aff Ala lb
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Amt. of Order $ d{ M ROUTING Trophy Set Up by: o. p f h Proofed by: Metal Photo Etching Engraving Engraved by: Shipping-Hdig. Sik Screen FILE # TOTAL: k, t en ho r _ ._ _ _ _ ' 2.90-0Iu EXHIBIT II ft f J ~.0 PAGE l OF lL _PAGE(S) (
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VIRGiNid ART METAL & PL' ~) , written By: work order N! 4563
- 1520 Juniper Strut - Nettolk, \ e3502 Chg # Cash # Date (804) 855-3173 Fax # (804) 8ba-7181 ]
Date Ordered: 5-M 'YG Date Required: D9C4 p,o, y LlSlifr, ) Sold to: "STh(__u-N Ship to: Ordered by: MNU, Phone # PO# Open Acct: Y COD Pick Up UPS Mail Other Quantity Description Unit Price l Amount I Ch -# B OL, Q/ chinme, h fl ~7 50 NtW_ t'36 6I- Colt 12.5 Ubc, b6 50 tb Q2.cc i Ch3LA fMP U W in 4 '811 llC - N uV , l ( n n //
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g }l v i ROUTING Amt. of Order S 49 50 MetalPhoto M Trophy Set-Up by;
'94 roofed by:
- Sales N %
Etching Engraving Engraved by: Sub Total G 49 50 Silk Screen Shipping Hdig. - Other- FILE # TOTAL.: E.uc) SD EXHlBIT 1I PAGE 3 OF.47 PAGE(S)
1
** ADontSS K1 Consefu=4CArtDNg gactet avoecil t) IMr5 BLoCR to St ComPLEf t3 et fya e flesetL&tt L
, c,gg'ALLEV**A4/iesonfryn'"e EEeo TVA REFERENCE NO. 89HL9-830288 [K )
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IT!9 1. CCNFIRMING TELEPHONE ORDER OF 09/15/39 TO P*TE T3LSERT. 33 NOT SPECTRONICS INC OUPLICATE. 1201 MONTLIMAR ORIVd NOBILE AL 3660, SrVP3 DV4I TEL PHONE 4 8 VENoo# Str 8.o . __ _ TLEfTW5 AN$urt R$aCR _. mAu sannarunt TEN 86tS< VALLIT AurHoAirY. SV . FRANCE 5 HANNA4 runcMassio Actut poser or seemswr _ . . . _ _ _ _ sHe H.P R i P A I O poort w asamuractunt crry U#5 COLmry start mrtwoo w s rwwe sxie wv. act w cm >ena oars ains avano com otLun to aossm TENNESSEE VALLEY AUTHORITY J TENNESSEE VALLEY AUTHORITY copN S QU3YAH NUCLEAR PLANT 84A8L TENNESSEE VALLEY AUTH (N) POWER STORES UNIT I Y ACCOUNTS PAYA3LE DEPT TarttCAft PO 80X 15500 NEAR 5000Y-DAISY,TN 373T9 CHA AIRPORT l j
. FOR EACH KNOXVILLE, TN 37901-5500 l PAYtIDif TO:
l TO"*",oYeow"rmic*v"mImS" Sts'ca"e "*rIo'Er"An'*icYo'n' "" C*" met 8 9 N L 9- B 3 0 2 8 5 l mEnvics. gg_r uw emes. Ae rota assotar. nas rinut or enrua"' aim M L CRANEe SUPERVIS0R am se anticus on samas envi otscamm ca cAvaco moa cuanrrry user uwt emes f amoimt F08 0ESTINAT10N: Legibility evahsatejand QA LEVEL III ###'M M I MA NON CSSC r N 10 CFR PART 21: N e~ i 10 CFR 50.49: NO #gY ^ ^
-'t N LIMITED QA: YES S?Muture g INTENDED USE 0-RLY-82-0G38dTR2 g puncESir
- QUALITY ASSURANCE ODES APPLY. (
10 CPR PART 21 NOTICE DOES NOT APPLY 1 RELAYe 28 VOC COIL. 4 POT, 3 EA 810.00 CONTACT RATED AT 0.8 A AT 270.00 125 VOC RESISTIVE
- MANUFACTURER AND PART NUMBER: .
POTTER C SRUMSIELD, M04-135-1
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, THE FOLLOWING TVA ATT ACHMENT APPLIES:
s -
-CONTRACT. PERFpCE TOTAL 810.00 i
6 .m. eses omn==ctma
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2 89NLS-830288 q TVA INTERNAL INFORMATION ONLY
--------------------------- QUALITY 455URANCi LEVELS --------------------------
QU A L IT's ASSURANCE lev!L POR ALL ITEM 51 3 NOTE TO POWER STOREst TAG MATERIAL wITH THE POLLOWING IDENTIFICATION. LIMITED QA. POR ITEM 1. STORAGE PER ANSI N65.2.2 LEVEL S. l . 1 d EXHIBIT /Y PAGE_ 1 OF f PAGE(S)
, . . . ___ . _ . _ _ _ _ _ _ .m . _ _ ~ . _ - .. _ _ _ . .. _ _ _ _ _ - .
. 1 GENERAL CONDITIONS ON CONTRACTS OF $25.000 AND LESS Part I - Conditiotts Applicable to Contracts Valued at $25.000 a and Less 4
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BPECTRONICS. INC. FORMERLY SPECIALTY DISTRIDUTING CD. 1201 MONTLIMAR DRIVE, SUITE 650 MOBILE, ALABAMA 36609 PHOPE (205) 344-0450 FAX (205) 344-04S2 CERTIF ICATE OF COMPL. I ANCE. IT 15 ERESY CERTIFIED THAT ALL MATERIALE USED IN TIE GUANTITY CALLED FOR ON TM SUBJECT PURCHASE ORDER COlFORM TO TE MATERIAL AN0/OR MANUFACTURING SPECIFICATIONS AB CALLED FOR ON SAID PURCHASE ORDER. obPETE TOLBERT, V.P. l EXHIBli **-
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i THE MARTIN COMPANY, INC. Invoice U. S. Navy Shipboard Equipment & Parts i 108 Locks Road Chesapeake. VA 23320 Office (004) 547 2793 - Fax (804) 547-31% No. Qgf}Q Date 10/10/69 l Sold To SPECTRONICS shipped to SAME
, P O B01 9517 , 1201 MOTLIMAR DR
. MOBILE AL 36691 , MOBILE AL 36609 Your Order No. Our Order No. Salesman 1954 R1 Cate Shepped Shipped VIA F.O B. Terms
" 10/16/89 UPS BLUE CllESA !!ET 30 O" "' "' O de epp Stock f4umberIDescripti n Price Per Amount 3 3 fiDR 135-1 $ 225 00 E $ 675 00
/
/ UPS 9 00
, / TOTAL. . . $ 681, QQ (MuseO9nay (Cawy-Duplicate) (Pok.f eiplicatel 4
. EXHIBIT l' 2 - 9 1 - 0 1 '* .
PAGE l OF l PAGE(S) o3 /
REPORT NO. PIO50 RECEIVING REPORT PAGE-HO: 0 RECEIVJNO LOCATION 5800 SEQUOYAH .
- h VENDOR: SPECTRONICS INC 90 ////
CONTRACT /R NO. 89NLB-83020B- R(PORT NO. : '8 p,',' DATE: 10/24/89 CARRIER:t/ TYPE:# A ~ FRT NO.:* DBL NO.* CHARDES: #8
' P= PREPAID,C= COLLECT,U= UNKNOWN HOW PAID: [
SHIPMENT STATUS: d.- C= COMPLETE,P= PARTIAL LINE ITEM TIIC/ ---ONDERED--- DU) STAND CEPTED-
- 40. BIN NO. DESCRIPTION OTY UN OTY OTY UN Ex RELAY, 28 VDC COIL, 4PDT, 0 0 1
10 -BIN -FND CONTACT RATED AT 0.8 A AT 3.00 EA 3.00 3 M Qoy p /1 125 VDC RESISTIVE ** OA3** nCCOUNT NO 1200-056000-0600 ,A5800 PR QTY 3.00 IN OTY
' ART NUMBER: MDR-135-1 MFR NAME: POTTER fr BRUMFIELD DATE RECEIVED: _____/f.;/_q_ # _
DATE COMPLETED: ____,_ fA::f:E_-f.f _ B Y : _ COMMENTS: _,3ff/t' M _ g __f__g g _ g __ _ _____________,________
.____ _ _____________________________________________________ LATE ORD CODE __.
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N U ((l @ ((7 NUMBER 3996-01 L INTERNATIONAL, INC. ms PuncnAse onoun Ano Pans nuusta
- uuST. APPEAn oN ALL INVOICE S. PACKN0G SUPS ANO#ACKAGES 501 SOUTH ELEVENTH STREET /MT. VERNON. ILLINOIS 62864/(618) 244-6000 ,, . w .o, .o,,,
o m.,e m = , s uum,a aa,. =.,v, u o.ua x,, ...,,, DATE 2-15-90 . JOB NUMBER: TVA-3996 SHIP TO: SAME AS ADOVE UNLESS TO Potter Brumfield OTHERWISE INDICATED /ENDOR c/o Spectronics P.O. Box 9517 ggBUb p pDDS /0 M bile, Alabama 36691 Qb QBD PHONE: 800-678-6758 Ngg$ ILUNOIS RETAlLERS OCCUPATIONAL TAX REGISTRATION NO. 20252481 A Pete Tolbert O TAXABLE 361 NON-TAXABLE G.EDED DElMetv DATE FOR TEMMS g, VENDOH NO. SMP MA 2-20-90 ship Point N/30 N/A UPS
'E M QUANT 4fV DESCfWTION UNff PHICE AMOUNT 1 30, Pottar Brumfleid Relays P/N MDR 134-1, 8 PDT, 115 VAC '
c7 Shippent Schedule k2 2 f0 24 by 2-20-90
/ hD 2 6 by 3-19-90
'N Yh/Tg Relays will be shipped with paperrosork, traceable back to manufacturar.
-- 'NTAL: l COMMERCIAL GRADE PURCHASE ORDER CONDf 7 DON $ On.G~AL M PACusNG $tip wust aCCCma*.aNY 4 L $HIPut NTS '4L8,Iw58U8**SHE D uust et Nt e aND UNuGDW IE D 8 AOM OnicsNa6 uANU, ACTUHL A UNLISS NOTE D M(RE W , _ GOnDS SU6Ji CT !O Opp mset cto, ON aunfv4 NOTWIIMS. ANDING PHtOR PaYMINT TO 08f Ai*s Casa DiscOuwT E1 *^ A **
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QUAllTY ASSURANCE O(NIO!I I3 swvau aJ-6
- 'PAGE / OF / # AGE (S) 2-9C-01u - ,s s
INVOICE THE MARTIN COMPANY OF VIRGINIA, INC. U.S. Navy Shipboard Equipment & Parts , 1 108 Locks Road e Chesapeake, VA 23320 Please refer to this number Office: (804) 547-2799 Fax: (804) 547-3196 on all correspondence 0855 , FPEC'm0tHCS _ _ . _ SPECI"tCHICS . _
.__ P C. DCX_%17 _ . . _ . ._ .
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r cuevowa o.ma eso wwona para cava es.no s w eao m com - remes q 3900 3/26/90 3/29/90 ftpc; rHrce ':tn 20 OUANTITY .f'.;:h '*4.*P'^ DESCRIPTION
. -..'+ '#' " UNIT.PR$.?
' TOTAL AMOUNT
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FDR172-1 MISSING.JARTS_ . _. _.
.5 250.00. . _S_1500.00 _.
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.; AI'lL : BILL
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r. 1 r THE MARTIN COMPANY INVOICE OF VIRGINIA, INC. . . U.S. Navy Shipboard Equipment & Parts 108 Locks Road Chesapeake, VA 23320 g pg,,,, ,cfer no this number 4 Office: (804) 547-2799 Fax: (804) 547-3196 ** *N **"Pondence g SPJ. N.il G Rp m Jfr'R P O Tr1X 9517 I?nLMYm.TMAR nu RfiTTP 6;n F1)RTir Af. 36691 Stir Af. VAnQ i cxcuvoe<mnpou encews- ~>mwe= = ==e P
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- DUPLICATE 2.-90-01 EXHIBIT /[
PAGE / OF / PAGE(S)
_ - --. . _ - - . - . - - . . _ _ . . . _~ . -. . .. ._ - _ - - _ _. i - ? I
- SPECTRONICS, INC.
t P. O. BOX 9517 I N V O I CE 4 MOBILE AL 36691 I i BILL TO: SHIP TO: l NUTHERM INTERNATIONAL, INC. NUTHERM INTERNATIONAL, INC. ] 501 SOUTH ELEVENTH STREET 501 SOUTH ELEVENTH STREET MOUNT VERNON IL 62864 MOUNT VERNON IL 62864 4 INDOICE# DATE ORDER #.- DATE CUST.# CUSTOMER P.D. # TERMS SALESMAN l 12311 3/26/90 10608 2/15/90 583 3966-01 NET 30 DAYS 10 i THANKS FOR THE ORDER. SPECTRONICS, INC. UPS-ADD FREIGHT e STOCK # DESCRIPTION U/M QUANTITY UNIT PRICE AMOUNT MDR134-1 SP900053-16 ROTARY RELAY EA 4 j 4 .EM-1 2 ON oHLKORDER i l j SUB TOTAL
- uPS I 10TAL DUE 4
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TI,[3[ EU s e r L..[blu L=. c ! N LJ T H E R M LETTER franssittal: 111 Ref.: l International, Inc. 123836 TVA-3996 501 S. lith St. OF Mt. Vernon, IL 62864 By: 24 Project: (618) 244-6000 TRANSMITTAL Date: 05/04/90 WBNP l TO: P. O. No.: 90NLB-41497C Tennessee Valley Authority j Watts Bar Nuclear Plant Plant: Watts Bar Power Stores Section near Spring City, TN 37379 Attn: J. R. Borum, Supervisor . i DOCUMENT DATA Action No. of Ea. Item 1)Appr l No. 2.11nfo Document Document No. Rev Print Repro l Nutherm Certificate 1 1 of Compliance CC-3996-1 1 1 Nutherm Certificate O 2 1 of Compliance CC-3996-2 g .2 1 3 2 Project Traveler 3996-001 0 1 TVA OC ChecFlist/ 4 2 Shipping Release Release No. 2 - 1 t i ! I l l i l l
==. I COMMENTS:
EXHIBli J 3
- PAGE I 0F PnGE(S)
-2 90-014 r
w h w: m (
,( $
~ CERTIFICATE DF COMPLIANCE Date: May 1, 1990 CC-3996-2 Rev. O Page 1 of 2 1.0 OBJECTIVE 1.1 To certify that the items listed in Section 5.0 have been engir.eered, processed, inspected, packaged, and shipped in accordance with the NUTHERM International, Inc. Quality Assurance Program, 10 CFR 50 Appendix B, ANSI N45.2 and contractual provisions. 2.0 SCOPE 2.1 Applies to:
2.1.1 Client
Tennessee Valley Authority
2.1.2 Class
1E Equipment 2.1.3 contract No.: 90NLB-41497C and C/O #1 2.1.4 Power Plant: Watts Bar Nuclear Plant 2.1.5 NUTHERM OA Manual No.: 0A-N-10179-5 Rev. 3 2.1.6 NUTHERM Reference No.: TVA-3996 j 2.1.7 Item
Description:
See Section 5.0 3.0 RESPONSIBILITY 3.1 The Quality Assurance Manager has the responsibility to ensure that the contract has been executed in accordance with Section 2.0. 4 4.0 QUALIFICATION CERTIFICATION 4.1 Nutherm International, Inc. certifies that the devices listed in Section 5.0 have been compared to the tested specimen and the results are acceptable for use as replacement parts in the Watts Bar Nuclear Plant. The test specimen is qualified in Nutherm International, Inc. Report No. 51091R, Rev. 4, Nutherm Testing Laboratories Reference No. N-109. Additional testing performed as a function of Nutherm's dedication process is documented in Nutherm (continued) Nutherm& wrsm47av4t.n: MT VERNON. lL 62864. (618) 2444000 PAGE 2. OF [ PAGE(S)
9
~
CERTIFICATE OF COMPLIANCE Date: May 1, 1990 CC-3996-2 Rev. O Page 2 of 2 International, Inc. Report No. TVA-3996R, Rev. O. Report Nos. 51091R, Rev. 4 and TVA-3996R, Rev. O, remain on file at j Nuthern International, Inc. and Tennessee Valley Authority. i 4.2 This Certificate of Compliance, CC-3996-2, Rev. O, f j applies only to the devices purchased through Nutherm I
- International, Inc. under the purchase order stated below.
Tennessee Valley Authority Purchase Order No. 90NLB-41497C and Change Order No. 1 Tennessee Valley Authority Original Purchase Order No. 82K6-829656 i Tennessee Valley Authority Specification No. A21176.10 Nutherm Reference No. TVA-3996 Nutherm Original Reference No. T-1124 4 5.0 ITEM DESCRIPTION l ITFM GUANTITY QTY QTY DESCRIPTION l ON .? R D E R SHIPPED B/O 2 28 5 0 Relay, Electromagnetic rotary, 10
; amp, coil voltage 120 volt AC, 60 Hz, SPDT; Mfg. and Part No.:
Potter-BrumfieId, MDR134-1 l l CERTIFICATE OF COMPLIANCE 1 REVIEWED BY: ' W DATE: 5/A /90 F. Starr Engineer Quality Assurance
>/jM/j REVIEWED AND APPROVED B BMie - _ ~D DATE: //8 urence Patterson //
anager Quality Assurance EXHIBIT U NutherM MM,M PAGE J OF 6 PAGE(St MT VERNON, IL 62864,(618) 2444000
. ., p .
c ...u. mfi t 6 ~ CERTIFICATE OF COMPLIANCE Date: May 1, 1990 CC-3996-1 Rev. 1 Page 1 of 2 l 1.0 OBJECTIVE 1.1 Te certify that the items listed in Section 5.0 have been engineered, processed, inspected, packaged, and shipped in accordance with the NUTHERM International, Inc. Quality Assurance Program, 10 CFR 50 Appendix B, ANSI N45.2 and contractual provisions. 2.0 SCOPE 2.1 Applies to:
2.1.1 Client
Tennessee Valley Authcrity
2.1.2 Class
lE Equipment 2.1.3 Contract No.: 90NLB-41497C and C/O #1 2.1.4 Power Plant: Watts Bar Nuclear Plant 2.1.5 NUTHERM QA Manual No.: QA-N-10179-5 Rev. 3 2.1.6 NU1HERM Reference No.: TVA-3996 2.1.7 Item
Description:
See Section 5.0 3.0 RESPONSIBILITY 3.1 The Quality Assurance Manager has the responsibility to , ensure that the contract has been executed in accordance I with Section 2.0. 4.0 QUALIFICATION CERTIFICATION 4.1 Nutherm International, Inc. Certifies that the devices listed in Section 5.0 have been compared to the tested specimen and the results are acceptable for use as replacement parts in the Watts Bar Nuclear Plant. The test specimen is qualified in Nutherm International, Inc. Report No. 51091R, Rev. 4, Nutherm Testing Laboratories Reference No. N-109. Additional testing performed as a function of Nutherm's dedication process is documented in Nutherm (continued) EXHIBfT 03 Hutherm NTBWATKWAl.,M.
,,a y ag --
~- -
MT VERNON. IL 62864. (618) 244-6000
i CERTIFICATE OF COMPLIANCE Date: May 1, 1990 CC-3996-1 Rev. 1 Page 2 of 2 l l International, Inc. Report No. TVA-3996R, Rev. O. Report Nos. 51091R, Rev. 4 and TVA-3996R, Rev. O, remain on file at Nutherm International, Inc. and Tennessee Valley Authority. l 4.2 This Certificate of Compliance, CC-3996-1, Rev. 1, applies only to the devices purchased through Nutherm International, Inc. under the purchase order stated below. l Tennessee Valley Authority Purchase Order No. 90NLB-41497C
- and Change Order No. 1 i
- Tennessee Valley Authority Original Purchase Order No. 82K6-8296b6 Tennessee Valley Authority Specification No. A21176.10 Nutherm Reference No. TVA-3996 Nutherm Original Reference No. T-1124 5.0 ITEM DESCRIPTION ITEM QUANTITY QTY QTY DESCRIPTION l ON ORDER SHIPPED B/O j 1 28 23 5 Relay, Electromagnetic rotary, 10 amp, coil voltage 120 volt AC, 60 Hz, SPDT; Mfg. and Part No.:
Potter-Brumfield, MDR134-1 CERTIFICATE OF COMPLIANCE REVIEWED BY: MA DATE: F. Starr Engineer Quality Assurance REVIEWED AND f ' - APPROVED B y /4 E ru# e a DATE:' f/d2bo pnurence Patterson / p -Manager
/ Quality Assurance EXHIBIT 43 Nutherm WTE7W4ntw4t.,m PAGE d OF [ PAGE(S)
MT VERNON. IL 62864. (618) 244-6000
n. gm , e r. a *:v ,:u e , ' V ygg oon,,, CAROLINA POWER & LIGHT COMP .JY I M gog,g,g. g A
. PURCHASE REQUISITION ., o,3, ,,on uo.
DVDQt TED AMT. Ot L,vt. T O/wo hvubE N sig o c j L nypAft ou D Pact so. ENOQ A ADDRE.38 g YM^r MTon fu. Aid.y AOLr
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PME
P. O. box cii "" " INv6I C e"* H, il? CHASING MOBILE AL 36691 BIL : 6[, I4 1990 SHIP TO: CAROLINA POWER AND LIGHT C.P.& L HARRIS PLANT ! ACCOUNTS PAYABLE DEPT OPERATIONS RECEIVING BLDG P.O. BOX 1551 STATE ROAD 1134 RALEIGH NC 27612 NEW HILL NC 27562 I NV O I CE tt DATE ORDER # DATE 14141 6/04/90 12741 5/24/90 CUSTg CUSTOMER . O. # TERMS SALEEMAN 6q 4 568740M-B NET 30 DAYS 70
- Ti TANKS FOR THE ORDER. SPECTRONICS, int .
UPS-ADD FREIGHT STOCK 4) DESCRIPTION U/M OUANTITY UNIT PRICE AMOUNT MDR142-1 ROTARY RELAY EA 4 690.000 2760.00 ITEM-1 MDR173-1 ROTARY RELAY EA 6 690.000 4140.00 ITEM-2 MDR128-8 ROTARY RELAY EA 12 370.000 4440.00 ITEM-3 SUB TOTAL 1134g,gg UPS TOTAL DUE 132.00 / 11 72.00 CO h\ l EXHIBIT 2[
. PAGE / OF ( PAGE(S) 2-90;:-016 -
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.r & COOMk.URCHASING COPY U- PURCHASE ORDER P .
g . 568740M-BJ l 06-04-9 NiiT COMPANY DTL l cet REauis: TION NUMBER mt.N
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- P.O. BOX 165 STATE RD. 1134 o,4 r,s,$'[*24 ar .,, "* ,
NEW HILL, N.C. 27562
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ocscR!rrion l UNIT PRICE i PEr 1 .12 EA #MDR138-8 RELAY, ROTARY, NON-LATCHING, $370.00 E 8PDT, 125VDC, MDR138-8 CP&L #724-329-17 ' 2 6 EA #MDR173-1 RELAY, ROTARY, 16 PDT, 125 VDC 690.00 E NON LATCHING MDR173-1 CP&L #724-195-26 3 '# EA #MDR142-1 RELAY, ROTARY, 24PDT, 125VDC, 690.00 E (en.9/ NON LATCHING CP&L #724-325-94 CONFIRMING TO PETE ON MAY 30, 1990. DO NOT DUPLICATE
&MW ff4 kkwL,. DbO225, k 52 A"* t1'pt u5 abiukey .saeka2%.
N'd Y dhtf W te Dp a,gJ 4 6 QUAUTY ASSURANCE MATERIAL f O.
$9,960.00 TOTAL = u , : rrwennn u e l uurnera .vo i aonion'zto sion.un:a.
ARY S. Til0MPSON j 919-546_710}5 _ ,
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- CP&L HNP OPS R20. BLl>3. e SPECTRONICS P.O. BCX 185 m PO BOX 9517 STATE RD. 1134 J, f MOBILE, ALA 38601 NEW HILL, N.C. 275e2 L' '
l Mg omio e.At AND 2 cords or tNyorce To l 4 CAROUNA POWER Er UGHT Co. w vere Ao par e.g. essa Ch av005 a.Csac GDPS fi.co ses. C/O ACCOUNTS PAYABLE UNIT [
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JUN'07 '90 12825 CP&L PUof wdING I I Rev. 12/29h; l VLTDolutpsTRUCTicNs
- l l
THE IFD CATED INSTRUCTIoHS AND/CR REQUIRD115TS ARE IMPOSED ON THIg ITD1: l
****w********************n***************,,****e********;;;eeees**w**********************
- 7,ere shall be no changes in part numbers or itsa descripticata unless approved by CP&L. * '
- Should changes be required, vendor shall provido a request for change on his *
- 1etterhead addressing the interchangeab.ltcy of the parts and/or part numbers and a =
acatement that the new part/part number sames the same fit, form, and function as
- the old part/part numbc,r. Payment will nat be made for material that does not *
- comply with the requirements of the purchase order, ansi auch material may be
- returned at his ex e********************panew.ee*ww***************.es*************************
All material shall be, as a sinism, securolv tagged, stenciled, or marked as appropriate to erey.ide tracea),j.11tv tr.,,MM4.g _plungn; Jarstgr__and t vender suneliad de mutantatien M .]olievine-
- 1. .Y.gndor enre mmagg
- 2. CP E turchas.t erfJ.W;1}ul Da above i_m in add *II21Lu,,any_ sngjfgj ma_rkina recuired by snee f ficat ie 1, For small parts not suitable for individual cegging er marking, the container shall be securely tag 5ed or marked with al:. requirac :.dentification. Vendor authorizes CP&L to return freight collect any n.storial that is net correctly marked. Vendor further agress tc prortpely correct the marking discrepancy ard toturn the material freight prep.sid to CP&L.
A . This item is important to nue:.str safety. The Vendor shall irplement a documented cy ality asturance pr> gram which conforms to the applicable requirements of ANSI M45.2, "4.s t'.ity Assurance Pro $ ram Require = tats for Nuclas Power Plants,a 197*. . edition (c.r later edition implemented in accordance with a e.ndorsing NRC Reguin:ory Guido) or Appendix B of 10CFR50, " Quality Assurance Criteria for Nuclear Power P14.ms and Fuel Reprocessing Plants." Supplier sha'.1 extend applical bi QA requirements to lower-tier suppliers. Surveillance vill noc nor: tally be conducted on replacement items , but CP6L ahall have the righ: cf access cc supplier facilities and QA reeards for sour: inspec. tion and QA amlic. This item is subject to the prwistons cf 10CFR21. CP&L Nuclesr Licensing and the a;propriate Nucicar Project location shall be concurrently notified of ar.y reports mada to the NRC pursuom to 10CfR21. Submit notification to: Carolina Power 6 Light Compan) Carolina Power & Light Company Manager - Nucient Licensing Department Manager Box 1551 Raleigh, Norta Carolina 27602 Brunswick Nuclear Project NC Hwy, 2 1/2 Mi. North Box 10429 Southport, NC 28461 Carolina f ever 6 Ligte Comps.ny Carclina Power 6 Light Oce any Department Monater Department Manager Harris Nuclea: Project Robinson Nuclear Project State Road 1134, Box 165 sc Ewy. 151 6 23, Box 790 New Hill, NC 27562 Ha rt sville , sc 29550
_ . . _ _ _ - _ _ _ - _ . _ _ ~ _ _ . _ _ _ - . - _ _ _ . . _ _ _ . _ _ _ . - _ . _
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S l b dtlH E 3dN W O d :t > 919-54,-G Q 84 JUN $7 *$2 12825 CP&L #tRt4 DING ,
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Nonconformance to Purchase Order requirements or Cp6L approved documents whi. ! i consist of one or more of the follcwing shall be submitted to CF&L for appro- ,i of the recommended dispositten-I l
- 1. Technical or satorial requirement is violated.
2
- 2. Suppliar documenes approv..d by CF&L are violated.
I. Nonconformance car.not be co:rected by continuance of the original
- manufacturing pr3 cess or tyaework.
l l 4
; The itta does not confors to the original requirements even though the it can be restored to a condi tion auch that the capability of the iten to function is unta? aired.
These submintals shall includa Mupplior's recommended disposition (for exampi '
"use as is" er "repatr") and rechnical justification. Forward submittals to the appropriate Nuclear Frejet: location (address' listed above).
B } _ This is a camsusable item. i c This itaa shall be sected, packaged, and shipped in accordance with ANSI N65.2.2. 1972 edition (or :. ster edition implemented in accertance with ar ] andorming NRC Regulatery Guide <.r approved equivalent. The vendor shall
- identify any special storage rec uirements imposed.
E This is considered a "Commercia: Crade" ites. The vendor is not required to b ] on the, Approved Supp .iers Lis t. F Vendor aunt have a QJ. systers which satisfies the requirements of ASME Bailer & Fressurs Vessel Coce Sect;cn VI I (edition as specified in Extended i Description). t } G Th'is ites is used in equipnesnt that is important to the protection of nuclear. j safety relate d equipo.ent from fire. If originally produced subject to 3 i Undervriter's Laborst.ory (UL) Iisting or raccory Mutual (FM) approval, i documentaticF of such listing :t approval shall be provided. H This item must be previded in accardance with the specification attached or 1 referenced. I l .____ Calibratien aust be secomplished uncer suitable environmental conditions by 1, appropriately trained persor. net and certification must be to certified i equipment having valid traceabilicy to nationally recognized star.de.rds. 3~ A statement of envitonnental corditions and copies of calibration procedures and personnel qvalificatiens sheil be provided to the purchaser er made available to the purchaser for review if req'asted.
- Purchaser shall have right of .tc:ess to the calibration facility te verify or witness calibration of inattume'nts and to review appropriate documentation.
The accuracy of callbration stani..rds used must be four times 3reater than the accuracy of the equipze nt beir.r :alibrated. J - Vendor is not required to be on Alproved suppliers List. l e .4 e
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D C Li LIMITED DISTRIBdTION ALLEGATION REVIEW BOARD
SUMMARY
. I Allegation Number NRR-90-A-0020 I
- 1. The NRR Allegation Review Board met on June 11, 1990 at 3:00 p.m. l l
- 2. Present at the meeting were: B. Grimes, NRR U. Potapovs, NRR l S. Varga, NRR D. Murphy, 01 B. D. Liaw, NRR J. Lee, NRR
- 3. Facilities / organizations involved: (1) Spectronics and (2) Stokely Enterprises 4 Allegation title: Possible Fraudulent Relays
- 5. This allegation has been assigned to Vendor Inspection Branch for resolution.
- 6. The ARB determineo the allegation to be of potential safety significance.
- 7. The ARB assigned this allegation a Priority Level of 2 at'ter consideration of its safety significance.
- 8. The ARB made the following decision on 01 referral: Yes
- 9. (For 01 referrals) The ARB reconsnends en investigation priority of high,
- 10. The following resolution plan and schedule was approved by the ARB.
Activity Due Date
- a. Inspection by VIB with assistance by 01 June 14, 1990
- b. 01 referral July 3,1990
- 11. Prepared by: ,, 6 /2hd JengLe Office Allega 1 ' Coordinator Date
- 13. Approved by: I e t -a J< < he d /f 90 Brian K. Grimes, Chairperson, ARB Date '
Distribution: NRR Executive Team Director, 01 BGrimes WBrach NRR 0AC SVarga LIMITED DISTRIBUTION v}}