ML20210N354

Notifies of Listed Correction of OI Annual Rept for Fy 1996

ML20210N354
Person / Time
Issue date:	04/30/1997
From:	Hutchison W NRC OFFICE OF INVESTIGATIONS (OI)
To:
Shared Package
ML20210N320	List: IA-97-229, Provides Commission W/Oi Annual Rept Fy 1996 Re Results of Investigations Completed by NRC OI ML20210N316 ML20210N330 ML20210N354 ML20217M703
References
FOIA-97-229 SECY-96-270, SECY-96-270-R, NUDOCS 9708250192
Download: ML20210N354 (1)

Text

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ga asouq UNITED STATES o

NUCLEAR REGULATORY COMMISSION WA9HINGTON, D.C. SuMHooi e....

April 30, 1997 ERRATA Report

Title:

0FFICE OF INVESTIGATIONS ANNUAL REPORT, FISCAL YEAR 1996 (SECY-96 270)-

Prepared by:

William D. Hutchison, Assistant to the Director Office of Investigations (301) 415 3484 E mail: WDH Date Published:

December 31, 1996 Correction:

Please correct the following portion of the 01 Annual Report for FY 1996:

On page 4 in the section entitled SIGNIFICANT ACTIONJ, under the subsection entitled NRC Enforcement Actions. 'ha first two sentences are corrected to read:

"1nere were 173 escalated enforcement actions taken by the NRC in FY 96, which included civil penalties, and notices of violation at or above severity level III. Of these. 43, or 25%, were taken based upon findings provided by 01 investigations."

The last sentence in this paragraph-is correct as is.

Distribution:

Commissioners OGC OCAA DIG OCA EDO Rita Albright, OC g82g92970820 96-270 PDR Office of Investig:tions P

Nuclear Regulatory Commission i'

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POLICY ISSUE I

December 31, 1996 SECY-96-270 TheCommissio(nersInformation)

EQB:

ER0t!:

James H, Taylor Executive Director for Operations

SUBJECT:

0FFICE OF INVESTIGATIONS ANNUAL REPORT, FISCAL YEAR 1996 PURPOSE:

To provide the Comission with an annual report regarding the results of investigations completed by the NRC Office of Investigations (01) (reference SRM COMJC 89 8, dated June 30. 1989). This is the eighth 01 annual report and addresses fiscal year 1996 (FY 96).

SACKGROUND:

01 conducts investigations of alleged wrongdoing by individuals or organizations who are licensed by the NRC or have applied for NRC licenses or who are vendors or contractors of NRC licensees. 01 is composed of four regionally based Field Offices rex)rting to 01 Headquarters. During FY 96 01 reported to the Deputy Executive 01 rector for Nuclear Materials Safety.

Safeguards, and Operations Support.

In FY 96 there were, on average, 30 special agents and 10 operational support staff assigned nationwide. The average experience of an 01 special agent in FY 96 was approximately 17 years in Federal criminal law enforcement. This experience wa:; gained within the NRC and through 3revious service with such agencies as the Federal Bureau of Investigation, tie Drug Enforcement Administration, the Bureau of Alcohol, l

Tobacco and Fireares, the U.S. Secret Service, the U.S. Army Criminal Investigation Command, the Naval Investigative Service, and various Inspector General offices within the Federal comunity.

SUMMARY

Since 1992, OI has been participating in the allegation management and review process to identify and develop potential wrongdoing issues at a much earlier stage. This initiative has eliminated much duplication of effort and has facilitated a closer working relationship between 01 and the technical staff.

02 g 5 970820 SAVAGE 97-229 PDR Coittact: William D. Hutchison, 01 415 3484 LIMIED[bTRIBlTD

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2-It has also allowed 01 to more accurately and efficiently focus its limited investigative resources on critical safety related investigations. The impact of this new process on the 0! wtrkload was a 224% increase in cases opened by FY 96, as compared to FY 92.

In the past few years 01 has been striving, through management, organizational and process related initiatives, to increase efficiency and productivity, and by doing so, to further improve our responsiveness to the technical staff ano our other customers. OI is continually evaluating the investigative program by setting outcome oriented goals and measuring results against these goals.

As a consequence of this constant analysis. 01 has been a61e to make major improvements in critical areas of its operation. We are confident that we are indeed working smarter and that the impact of our efforts has been an enhanced contribution to the overall NRC regulatory mission.

The following are major 01 achievements during FY 96:

A long term goal of 0! has been to complete investigations, on average, e

within 12 months.

In FY 96, 01 exceeded that goal for the 6th year by completing cases in an overall average of less than 8 months. More significantly, the average completion time for investigations of high safety priority was 9.9 months, and for those of high >riority in which 01 substantiated or did not substantiate wrongdoing tie most com)1ex investigations conducted by 01 the average time in process was D.2

months, e

To further focus on the timeliness issue, 01 established a supporting goal of reducing the average number of cases which remained within its active case inventory for more than 12 months. As a result, during FY 95, 01 succeeded in reducing such older cases to 25% of the open case inventory, on average, and down still further to 13% of open cases during FY 96, e

Another goal which has been reached and exceeded over the past few years was to pursue significantly more investigations to a full conclusion based on the merits of the case, either substantiating or not substantiating wrongdoing. 01 was able to increase by more than 2004 the number of cases where such conclusions were reached between FY 94 and FY 96, while substantially fewer cases (a decrease of more than 70%)

were closed administrative 1y. More remarkably, the number of cases where 01 s)ecifically substantiated wrongdoing increased by 172% between FY 94 and Y 96. The fact that this was done with no decrease in caseload and without an increase in 01 resources or the number of hours worked fully supports the assertion that 01 is more effectively utilizing its resources to close more substantive safety related cases.

Since FY 94. 01's goal has been to assimilate discrimination cases into the overall case inventory cnd to conduct such investigations independent of the Department of Labor. Our success in meeting this goal is noteworthy: Discrimination cases, which represented 25% of the investigative inventory prior to.this policy change, rose to 42% of the LIMIAD DISRIBUTM nye t a v In or sti

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3 inventory as of FY 96, an 88% increase. Additionally, discrimination investigations brought to either a substantiated or unsubstantiated conclusion on the merits increased 554% from FY 94 to FY 96, while the time to complete such cases decreased by 73t.

INVESTIGATIONS OPENED / CLOSED:

A statistical summary of investigations opened and closed during FY 96, and a detailed listing of closed cases are at Enclosure 1.

Cases Doened durina FY %:

OI opened 227 investigations in FY %, and carried over 141 investigi.tions from FY 95. Thus, the total number of investigations in the 01 inventory during FY 96 was 368 cases, many of which contained multiple suspected wrongdoing violations.

Investigations opened in FY 96 are categorized by major types of alleged wrongdoing as follows:

Deliberate Material False Statements:

57 Discrimination and Retaliation:

96 (Harassment and Intimidation Cases) l Deliberate Violations of NRC Rules, Regulations, or License Conditions:

71 Other Deliberate Violations:

3 Gaggs Closed durino FY %:

01 completed 240 investigations in FY 96, which represents 65% of the total 368 investigations in the 0! inventory in FY 96. Of the investigations completed in FY 96, o

68 cases were closed after investigation substantiated one or more of the allegations of wrongdoing, o

107 cases were closed after investigation did not substantiate wrongdoing, o

27 were closed where the evidence developed indicated that the safety significance did r.ot warrant expenditure of additional 01 resources, o

13 were closed due to the lack of a regulatory violation or requirement, o

1 investigation was closed where insufficient evidence of actual wrongdoing was developed during initial evaluation.

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o' 8 were closed for miscellaneous administrative reasons.

o 16 were assists to technical staff inspections.

The completed investigations are categorized by major types of alleged wrongdoing as follows:

Deliberate Material False Statements:

61 Discrimination and Retaliation:

105

- Deliberate Violations of NRC Rules, Regulations, or License Conditions:

62 Other Deliberate Violations:

12 SIGNIFICANT ACTIONS:

E Enforcement Actions:

.There were 173 esca ate enforcement act ons ta en y t e RC in FY %, which l

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hN included civil penalties, orders, and notices of violation at or above severity level III. Of these,105, or 61%, were taken based upon findings provided by! investigations totalled $811,500.01 investigations..The civil penalties propose result of O The following are examples of significant cases which resulted in enforcement action being taken by the NRC in FY 96:

Baltimore Gas & Electric Company An investigatioil disclosed that Baltimore Gas & Electric Company '(BG&E)-

knowingly awarded a contractor em)1oyee unescorted site access at its Calvert Cliffs Nuclear Power Plant even tiough it was aware that the employee had a criminal record and had presented security screening documents containing material false statements. The investigation further disclosed that the contractor employee was an illegal alien, had intentionally made false statements to screening personnel in his application, and had deliberately submitted fraudulent identification documents.

Based on the results of the investigation. BG&E paid a $50,000 civil penalty on January 30, 1996. On April 19, 1996, the NRC-issued an order prohibiting the involved individual from engaging in NRC licensed activities for a period of 5 years.

Eastern Testing and Inspection, Inc.

An investigation disclosed that Eastern Testing and Inspection, Inc. (ETI),

had deliberately directed at least one unqualified and untrained employee to perform radiography and that the ETI president and the radiation safety

- officer had generated inaccurate documents indicating that the en)1oyee had been properly trained. tested, and certified to perform radiograply. The investigation also found that ETI did not complete the required source r

r I

5-utilization records on 97 occasions, It was further determined that the 3 resident of ETI threatened a former employee on two occasions because he

>elieved that the employee may have coo >erated with the NRC. Based on the investigation, on March 29, 1996, the NRC issued an immediately effective order suspending ETI's license.

MIT Services, Inc.

An investigation determined that NDT deliberately used a radiographer untrained in NDT's emergency and operating procedures, which resulted in a disconnect event requiring the evacuation of a Sun Oil Refinery in Puerto Rico. Additionally, the radiation safety officer (RS0) and the president of NDT provided false documents regarding the training program.

NDT was fined

$15,000 by the NRC, and the president and the RSO of NDT were given orders prohibiting their participation in NRC licensed activities.

Crystal River Nuclear Plant An investigation and extensive regional inspection determined serious management errors and inadequate procedures which contributed to a pattern of unauthorized tests by control room operators.

Several ope'rators received letters of reprimand, and Florida Power Corporation, the licensee, was assessed a $500,000 civil penalty, which was paid on September 9,1996, Arizona Public Service Company An investigation determined that a former contract instrumentation and control (I&C) employee at Palo Verde Nuclear Generating Station (PVNGS) was discriminated against by not being rehired for a second outage because he reported safety concerns to the NRC.

In FY 95, in Federal District Court, the former I&C supervisor at PVNGS pleaded guilty and was sentenced to 1 year grobation, 75 hours8.680556e-4 days <br />0.0208 hours <br />1.240079e-4 weeks <br />2.85375e-5 months <br /> of comunity service, a $50 fine, and court costs for discrimination agair.st an employee of a nuclear power plant. On March 7, 1996, based on the 01 investigation, the NRC issued an order imposing a fine of $100,000 to Arizona Public Service Company.

Hadigan Army Medical Center An investigation determined that a physicist directed a dosimetrist to include a constant value for iridium 192 in a computer program. This constant was incorrect and resulted in patient test plans and final treatment plans being incorrectly calculated from February 1994 until May 1995. The use of this inappropriate data resulted in five separate misadministrations to four different patients. The investigation substantiated that the physicist had deliberately violated NRC reporting requirements regarding misadministrations; had failed to perform contamination surveys or wipe tests of radioactive sources; and had provided false information on required survey records, In FY 95, the NRC issued an Order Prohibiting Involvement in NRC Licensed Activities to the physicist. On May 20, 1996, the NRC issued an order imposing a civil penalty in the amount of $8,000 to the Department of the Army, Madigan Army Medical Center.

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6-SouthTexasProject An investigation disclosed that a former Ebasco, Inc., electrician had been the subject of employment discrimination for protected activities related to his work at South Texas Project. On September 19, 1996, the NRC issued a civil penalty to the licensee in the amount of $100,000.

Federal Court Actions:

Of the 240 investigations closed in FY 95, 66 cases were referred to the Department of Justice (D0J) for prosecutorial review.

During FY 96, 01 supported seven Federal grand juries.

In addition 01 investigations resulted in two indictments, two convictions, and one guilty plea in Federal courts.

The following are significant cases involving DOJ and Federal Court actions during FY 96:

National Circuits Caribe, Inc.

A joint investigation of this firm's activities was conducted by the EPA, FBI, and NRC, requiring extensive use of a Federal grand jury in Puerto Rico. As a result, the president of National Circuits was indicted for abandoning a gauging device containing byproduct material at the company facility in Fajardo, Puerto Rico. The indictment also charged the president with improper storage of hazardous wastes, an EPA violation. He was arrested by the FBI in October 1995. On June 6, 1996, in U.S. District Court, Baltimore, Maryland.

he pleaded guilty to abandoning the gauge and was subsequently sentenced to 2 years probation, 150 hours0.00174 days <br />0.0417 hours <br />2.480159e-4 weeks <br />5.7075e-5 months <br /> of community service, and a $100 fine.

Ball Hemortal Hospital An investigation revealed that two Ball Memorial sunrvisory nuclear medicine technologists had administered greater than prescri:ed dosages of radiopharmaceutical to 3atients and also had instructed subordinate technicians to do so.

)atients' records of radiopharmaceutical dosages were falsified to create the appearance that the correct prescription had been administered. This investigation was referred to the United States Attorney's office for prosecution. The two former supervisory nuclear medicine technicians pleaded guilty to the above violations. On July 11, 1996, one.

technician was sentenced to 3 years probation and a $5,000 fine for violations of the Atomic Energy Act. The second technician was sentenced to 1 year probation and a $1,000 fine for violations of the Atomic Energy Act. On April 19, 1996. Ball Memorial Hospital paid a $300,000 settlement, based on a civil agreement with the U.S. Justice Department, for violations of NRC regulations and improper Medicare /Hedicaid billings.

D.C. Cook Nuclear Plant An investigation disclosed that a contract insulator gained unauthorized access to the D.C. Cook Nuclear Plant in Bridgeman, Michigan, by falsifying information on a background questionnaire. The contract insulator was also TED ltSTRMUTION M$hMshhi c E.UY" ""

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7 found to have gained access to the James A. FitzPatrick Nuclear Power Plant, Scribo, New York, and the Watts Bar Nuclear Plant, Spring City, Tenressee, by falsifying similar background questionnaires.

On September 26, 1996, the contract insulator was indicted by a Federal grand jury in Grand Rapids, Michigan, on three counts of making material false statements, and subsequently pleaded guilty.

TRENDS AND PROJECTIONS: shows the number of cases opened from FY 94 through FY 96. The overall decrease in cases opened during this period (9%) is, we believe, a general leveling off in case openings in comparison to past years, confirming our prediction of last year and consistent with the stabilization,of the procedures adopted in 1992 for 01's new role in case development.

Future changes in investigative focus, priorities, and/or thresholds for acceptance of cases by 01 notwithstanding, it is anticipated that the number of cases opened each year will remain at approximately the current level.

It would also a> pear that the distribution of types of cases has stabilized to some degree. T1e trend begun in FY 93 following the policy revision for 01 to pursue discrimination c proceedings, continues.pseswithoutregardtoDepartmentofLabor(00L) Enclosure 2 clearly show the dominant type of investigation o deliberate violations of NRC rules, pened from FY 94 through FY 96, with regulations or license conditions rising of FY 95. place in FY 95, and false statement cases coming in third by the end to second By the end of FY 96, discrimination cases had experienced a modest increase of 7% (from 90 to 96), violations of rules, regulations, or license conditions had increased by 13% (63 cases to 71 cases), and false statement cases had substantially decreased from the FY 94 level of 86 cases down to 57 cases (34%). The continuing dominance of discrimination cases is a result of the increased focus by 01 and the agency itself on such cases.

_, indicating the >ercentage of the total inventory of cases opened in FY 94, FY 95, and FY 96. )y the type of case, further supports this trending analysis.

In FY 96 discrimination cases represented 42% of the cases 8

There was a 287% overall increase in the number of cases opened from FY 91 (70 cases) to FY 93 (271 cases), as a result of the implementation in March 199? of the procedures which enabled 01 to become involved with the technical staff in developing suspected wrongdoing issues at an earlier stage, effectively lowering the threshold for 01 acceptance of investigations. The number of cases opened began to decrease after FY 94 and continued through FY 95 and FY 96 (250 cases, 218 and 227 cases, respectively).

8 Prior to 1993, 01 in most instances awaited a review by the NRC technical staff of Department of Labor (DOL) actions to determine whether further 01 investigation was necessary or whether the NRC could take enforcement action based solely on the DOL findings. As of 1993, it became OI policy to open an investigation and conduct >reliminary investigative activities on discrimination cases without waiting for X)L results.

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opened: violations of rules, regulations or license conditions accounted for 31% of the open case inventory: and false statement cases represented 25% of open cases. is a gra>h demonstrating the distribution of cases opened from FY 94 through FY 96 )y cases involving reactor licensees: byproduct, source, and special nuclear materials licensees; and vendors to licensees. Since vendor cases represent only 3% of the open case inventory, the 42t decrease in such cases is not considered significant. Of interest, however, is the fact that reactor cases increased 17% (144 to 169) and now represent 77% of the open caseload, while materials cases decreased 18% (62 to 51) and now represent 23% of open cases. These changes have resulted in a 77:23 ratio of reactor cases to materials cases, a change from the approximately 70:30 ratio in past years. This may well follow from the increasing dominance of discrimination cases in general (Enclosure 3), since there are significantly more discrimination cases at reactor sites than at materials licensee facilities, demonstrates the average monthly active case inventory in FY 96 of investigations in process for more than the 01 goal of 12 months. There was an overall 54% decrease during FY 95 in the number of such cases, and, in FY 96, a 57% decrease. The FY 96 average of 16 cases open longer than 12 months was significantly below last year's average of 37, demonstrating the continuing success of 01's efforts to bring investigations to closure within the 12 month goal. shows that the number of closed cases developed to a point of either a substantiated or unsubstantiated conclusion on the merits increased by 207% from FY 94 to FY 96 (57 cases in FY 94 to 175 cases in FY 96). These cases, upon which the technical and enforcement staff can base a regulatory decision, are by far the most complex and lengthy investigations performed by

01. As mentioned in the sumary, by closing this greater number of substantiated or unsubstantiated cases, 01 has demonstrated a significant improvement in the efficiency of the investigative process and a substantial impact on the regulatory process.

Although the total number of cases closed by 01 from FY 94 through FY 96 has remained fairly constant (an overall 6% decrease), there has been a 77%

decrease over this period in the number of cases administratively closed due to higher priority investigations (115 cases in FY 94 to 27 cases in FY 96, as shown in Enclosure 6). These cases are routinely normal or low priority investigations and were closed in past years due to a need for OI to use its limited resources on higher priority cases. This decrease in cases closed due to the need to focus resources on higher priority matters is directly attributable to 01 initiatives over the past few years. More specifically, by streamlining the investigative process, 01 has im) roved efficiency to a point where OI is currently investigating a greater num>er of normal or low priority cases without sacrificing higher priority investigations.

Another indicator of the success of 01 initiatives to enhance the outcome of our efforts is a 70% decrease in the number of cases that were DISTRIBUTI hg he c or, I.

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administrative 1y closed after determining that there was no regulatory violation (45 cases in FY 94 to 13 cases in FY 96, as shown in Enclosure 6).

This reflects the heightened cooperation and coordination with the technical staff in determining the regulatory nexus prior to opening an 01 case, thus eliminating the need to commit 01 resources in a preliminary investigation to make such determinations. indicates the time cases were in process from FY 94 through FY 96.

The OI goal of closing investigations, on average, within 12 months has been surpassed consistently since FY 93. The overall number of months to complete cases decreased 7% during this period (from 8,2 months in FY 94 to 7.6 months in FY 96), As mentioned, the most significant cases which 01 investigates are high priority cases developed to a substantiated or unsubstantiated conclusion on their merits. From FY 94 through FY 96, there was a decrease of 29% in the time to complete such complex cases (from 14.39 months in FY 94 to 10.15 months in FY %). This decrease in completion time was accomplished during a period where there was a 207% increase in the number of such cases developed to a conclusion. Together with the numerous case management initiatives which account for this decrease in processing time, a part of it can be attributed to a modification of 0! procedure which authorized field office directors to sign final reports on substantiated cases, thus eliminating the average six weeks it was requiring for review of such cases at headquarters. The overall decrease in time in rocess to case completion, and especially the decrease in time to conclude hig priority cases and provide that conclusion to the technical staff, fur her demonstrate 01's impact on the regulatory process and its success in focusing 01 resources on substantive safety.related investigations.

It might be well to note, however, that Management Directive 8.8, Management of Allegations, which contained revised criteria for prioritizing 01 investigations, was implemented in the third quarter of FY 96. The application of these new criteria within the existing case inventory resulted in an approximately 90% increase in the number of high priority cases open.

(Discrimination cases increased by 118% and non discrimination cases by 64%.)

High priority cases require more investigative hours due to their complexity, sensitivity, and safety significance, If the number of high priority cases being investigated continues to increase, then the overall time to complete 01 investigations may also increase. depicts the number of referrals of substantiated cases to the Department of Justice (D0J) between FY 94 and FY 96. Prior to FY 95, the number of referrals remained stable ht approximately 25 per year.

In FY 95 referrals increased 116% from the previous year (from 25 cases to 54), and, in FY 96, increased again by 22% (from 54 to 66 cases). This increase was due to a continuing upward trend in cases where wrongdoing was substantiated. These substantiated cases represented 10% of the total closed case inventory in FY 94, 20% in FY 95, and, finally, 28% in FY 96.

In the past the enforcement process was delayed when the technical staff deferred enforcement action on substantiated 01 cases while awaiting a prosecutorial evaluation by the Department of Justice (D0J). Changes in April

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10-1995 to the D0J referral process resulted in the staff being able to proceed with civil action in a more expeditious manner. The prior procedure was to make referrals in writing after issuing an investigation report. The revised referral process authorizes field office directors to make referrals by telephone or in person after completion of investigative field work. This revised process additionally authorizes the directors to accept telephonic or verbal dec11 nations of prosecution from D0J and document them in the investigation report. This initiative has resulted in a reduction of the average time cases remained at D0J for evaluation from 3.8 months to 1.2 days.

A reduction which is especially noteworthy considering that during this period there was an overall 164% increase in the number of investigations referred to D0J (from 25 cases in FY 94 to 66 cases in FY 95), as shown in Enclosure 8. shows investigations closed from FY 94 through FY 96, with the trend generally paralleling the trend in cases opened.

However, by FY 96, cases involving deliberate violations of rules, regulations or license conditions had overtaken false statement cases. There was an overall decrease of 6% fr6m FY 94 through FY 96 in cases closed (256 cases in FY 94, down to 240 cases in FY 96). This slight decrease can be attributed to a stabilization of the number of cases closed per year after the major change in the investigative process implemented in FY 92 (See Footnote 1), and efficiencies implemented since that time in the report writing format and elsewhere. The number of discrimination cases closed increased by 32% from FY 94 through FY 95 (84 cases to 111 cases), then modestly decreased by 5%

from FY 95 through FY 96 (111 cases to 105 cases), essentially corresponding to the overall decrease of 6% in cases closed noted above. 0 depicts a comparison of the wrcentages by types of investigations closed from FY 94 through Y 96. Not surprisingly, discrimination cases accounted for 44% of the closed case inventory:

violations of rules, regulations or license conditions represented 26%; and false statements accounted for 25% of cases closed. 1 indicates the relatively constant case specific working hours from FY 94 through FY 96 and shows the current ratio (73:27) of investigative to administrative time expended.

In achieving this ratio, 01 has once again surpassed its goal of a 60:40 ratio of investigative activities (field work, investigative travel, etc.) to administrative activities (allegation review process, writing the final investigation report, management review of the case, etc.) associated with a case.

Field agents spending more time on actual investigative duties rather than on administrative requirements is an additional factor contributing to improved operational efficiency.

INITIATIVES:

In FY 96. 01, together with the Office of Enforcement, provided the Commission with a plan to better focus resources on high priority 01 discrimination cases (SECY 96 199). This plan is currently before the Commission for evaluation.

In the interim, 01 continued to pursue discrimination cases, with greater concentration on high priority discrimination cases in line with the 118%

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11-increase in such cases as a result of the implementation of the HD 8.8 priority criteria.

It was projected that by the close of FY 96, 01 would have completed the upgrade of its entire management information systen to be more user friendly and to provide useful management tools for administrative, statistical and investigative purposes at all levels of operation. This project has been delayed several months by an agency initiative to consolidate all outside contracts involving information systems. The upgrade of the 01 Hanagement Information System (OIHIS) is currently scheduled for completion in FY 97.

01 continues to evaluate and improve its efficiency, effectiveness and productivity in both operations and administration.

In furtherance of this effort, it is Ol's goal in FY 97 to establish and maintain, within the upgraded OlHIS, a continuing statistical data base, which will generate recurring reports to supmrt and assist every level of management within 01.

This data base will be slared with the Agency Allegation Advisor, and the Office of Enforcement, where appropriate, to facilitate access to data on allegation related activity and investigative results.

It is anticipated that this expanded data base and the sharing of information will improve the agency's ability to trend and analyze the activities of licensees.

A team building seminar designed to improve cooperation and communication at all levels within 01 was developed in conjunction with the Office of Personnel in FY 95.

The seminar was conducted in two field offices during FY 96.

It is anticipated that the remaining field offices and Headquarters will have participated in the seminar by the close of FY 97.

In summary, 01 has been successful in meeting its goals in FY 96.

However, we are cautiously optimistic for the coming fiscal year as we await the impact of escalated resource requirements in the area of discrimination cases.

Additionally, in light of the new organizational structure, 01 intends to assist in the overall agency integration of NRC regulatory efforts.

/

r ecutive Di ector for Operations Enclosu.es:

1.

Statistical Sumary Report aid List of Closed Cases for FY 96 2.

Graph Investigations Opened 3.

Charts Comparison of Investigations Opened FY 94 FY 96 4.

Graph Cases Opened (Reactors /Haterials/ Vendors) 5.

Graph Active Inventory of Cases Open Longer than 12 Honths 6.

Gra h. Closed Cases by Category of Closure 7.

Gra h Time in Process (Months) 8.

Gra h D0J Referrals 9.

Gra h Investigations Closed

10. Charts Comparison of Investigations Closed FY 94 FY 96

11. Graph Case Specific Work Hours LIMIhD DISGIBO finvJs igat vkInfo m tion May ot be e o cehor d' t ibu d ut C

Wiyhou c sul in th D' ec or 01.

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7 15tC-1251314-90 0FFICE OF INVESTIGATIONS MMtAGDENT.INFORMATION SYSTEM DATE: 12/12/96 STATUS OF CASES FOR TE PERIOD 10/01/95 - 09/30/ %

CASES OPEN AT START OF THIS PERIOD:

141 227 CASES OPDED THIS PERIOD:

CASES cl m THIS PERIOD:

240

• SUBSTANTIATED 68 UNSUBSTANTIATED 107 LKK OF REGULATORY REQUIRDENT 13 INSUFFICIENT EVIDDICE OF 1840NGDOING 1

HIGHER PRIORITY 27 TRAllSFERS TO OTER REGIONS 1

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128 66 CRIMIllAL REFERRALS:

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7 RC-125131A-A Afl!Iu4L REPORT OF CLD5ED CASES DATE: 12/17/96 FOR TE PERIOD 10/01/95 - 09/30/95 CLOSED CASE IKreER ALLEGATION S0tRCE FACILITY NM E DATE/ RESULT DOJ ACTION 1- % 013 FALSIFICATION OF D G A

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NRC-12513IA-A 0FFICE OF INVESTIGATIONS FEE:

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Cu an CASE IU SER ALLEGATION 50tstCE FACILITY IIAE IRTE/ RESULT DGJ ACTION 2-94-010R ALLEED FALSE STATDeffs Afm A

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M TTS BAR 1 03/27/96 / U ist CollTRACT DFLDTEE FOR RAISIIIG SAFFTY CONCDutS IIEGaltDING IlfTEtiRATED LEAK RATE TESTIIIG EA IUeDtS: 11A OE ACTIONS: NO ACTI0li 2-94-0365 ALLEGED VIOLATION OF PUNIT L

UtTSTAL RIVER 3 02/13/96 / 5 DECLIIIATION i

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95-124 OPDIATOR - LETTER 07/10/96 l

95-125 LETTER 95-126 CIVIL PDIALTY D

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' MC-12513IA-A OFFICE OF IMESTIGATIONS Pag:

9 AINIAL EPWT OF CLOSED CASES DATE: 12/17/96 FOR T E PERIOD 10/01/95 - 09/30/96 CLOSED CASE 1000t ALLEGATION SomCE FACILITY IME DATE/REStLT 00J ACTI0li 5

2-94-038 ALLEGED O FLOYEE A

MATTS BAR 1 12/29/95 / U R

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MATTS BAR 1 12/19/95 / U m

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SEQUOTAH 1 04/30/96 / U R

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GENERAL ELECTRIC CD.

07/11/96 / P R

BIGASSAY TEST E SLtTS EA IUeDtS: IIA DE ACTIONS: NO ACTI0lt DISCRIMIIIATION AGAIIIST A

StiRRY 1 06/28/96 / U Ist 2-95-003 - '

CONTRACTOR DFLOYEE FM 1

REFUSAL TO BYPASS QUALITY J

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CONCDUIS IIE RADIOLOGICAL CONTROLS DtAtIIIS STRUCTWAL EA IUeDts: IIA E ACTIONS: 110 ACTION 2-95-006 ALLEGED FALSIFICATIONS A

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06/28/96 / U R

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9R01815 FDIRY 1 02/26/96 / U R

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Ctosta CASE MSSDt ALLEGATION 50tstCE FACILITY IWWE DATE/ RESULT DBJ ACTIR 2-95-027 ALLEEED DISCRINIEATION AGAI45T A'

CRYSTAL RIER 3 09/24/96 / 5 DECLINATION ROOFING CONTRACTM ESCENtT BY ROOFIIEi CONTRACTR FR RAISING SAFETY CONCDUIS IIE VISITORS.

' EA INGERS: 96-336 - DE ACTIONS: Nov 12/5/96 96-335 LETTER 12/5/96 96-461 IISIVIDUAL LETTER 12/5/96 -

2-95-028 ALLEED DISCRIMIRATION OF A

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MtC-125131A-A 0FFICE OF IllWESTIGATIONS PagiE:

13 AINRIAL EPRT OF n m CASES DATE: 12/17/96 F R T E PERIOD 10/01/95 - 09/36/96 CLOSED CASE NWWER ALLEGATION SOURCE FACILITY lu m DATE/ RESULT DGJ ACTIR 2- % 002 As t rarn COUDur 0F IMATTUITIVE' A

IWWlIS 1 05/I4/96 / U let GUAND INCIDENT SY BWUt5 SECiptITY PWuullBtS EA IIWeDtS: IIA DE ACTIONS: NO ACTION 2- % 004 ALLEED DI50tIMinATI0lt AGAIIIST A

EONGIA STATE DIV/EN/RES 03/29/96 / U let IIESPECTOR FGt PtstSUIIIG SAFETY CONCOUIS AT EINIGIA TECH ltE5EANCH E ACTUR EA InseDts: NA DE ACTIONS: 110 ACTION 2-5 007 ALLEEED DISOtIMIRATION AGANIST A

SEGUDYMt 1 06/17/96 / U Iut GUALITY A m asarr IIE5PECTOR FOR ltAISIIIG SAFETY CONCDUIS EA IR8eDts: IIA DE ACTIONS: 110 ACTION 2-5 014 DISutIMinATION AGAI*IT OumLITY A

letTTS BNt 1 08/26/96 / U Mt.

ASSURNICE ENGIEER FOR ltAISIIIG SAFETY CONCDut5 IIE Cull 51RUCTIOpi OEFICIDICIES EA IIWWDts: 24 OE ACTIONS: 110 ACTIOlt 2- % 0I6 ASSIST TO STAFF ASSESSENT OF A

GA. TECH 06/07/96 / F let EONGIA TECH IIEACTOR SAFETY PROEfUWI EA IRfeDts: IIA DE ACTIONS: 110 ACTION l

3-93-035 ALLEEDLY MI DFLOYEE OF A

OUWE-ALOYC0 01/16/96 / U Ist OtANE-ALOYC01845 DISOWWEiED FOR 10DITIFYIIIG COWITUtFEIT VALVES Alm itECollDS

,l EA IRfsDts: IIA DE ACTI0ll5: 110 ACTIOlt 3-94-003R ALLEEDLY BMIT FALSELY L

88W NUCLEAR TEO m0LOGIES 03/f d96 / U let CERTIFIED TienT CONTRACT EWLDYEES ET CRITERIA FOR tpESCDRTED ACCESS TD LICDISED EA IF.fsDts: NA DE ACTIONS: 110 ACTI0lt H ESTihTIVE ION: WY; TI TE -

1.

NRC-125131A-A 0FFI E O INVESTIGATIONS PMiE:

14 NNNML llEPORT OF CLOSED CASES MTE: 12/17/96 FOR TE 8ERIOD 10/01/95 - 09/30i%

i' rtnsrn CASE NISSER ALLEGATIGI SOURCE FACILITY lime DATE/NESULT 00J ACTION

. 94-0115 ALLEED DELISEMTE "

"1 I

(RIVOtSITY OF MISSOURI 02/01/96'/ U int OF INIC LICDESE IIEE 4

REGULATIONS EA IRSEDts: M E ACTIONS: NO ACTION 3-94-045 DISCRIMIIIATION AGAINST A

BRAIDWOOD 1 06/30/96 / 5 DECLIMTION SECWLITY PUtSOMEL RR RAISING SAFEGillfSS CONCDNIS DIRING INIC Ill5PECTION EA IRpeDts: 96-364 OE ACTIONS: PD EIIIG 3-94-057 ALLEED MATERIAL FALSE L

NORTH EMORIAL M. DICAL CT 10/30/95 / 5 DECLIIIATION STATEENT IIEGNIDIIIG A MISAEMINISTRATIGI EA IRSSDts: 94-199 E ACTIONS: LETTER 5/1/96 3-;t-065 ALLEGED FALSIFICATION OF DOSE L

EDICAL ART 5 CENTER 10/12/95 / U int CALIBRATOR TESTING llECGIDS BY

^

A CONTRACTOR AT EDICAL ARTS

~

CDITER EA IRpeDts: IIA OE ACTIONS: 110 ACTION i

3-94-067 ALLEED FALSIFICATION OF L

COOK 1 12/19/95 ! 5 IleICTENT BADEIR0tDe IWOIURTION EA IRfeDtS: 96-289 OE ACTIONS: PDIDING 3-94-068 ALLEED MATERIAL FALSE A

BRAND INDUSTRIAL SVCS CD.

12/14/95 / U Ist STATD elT EA NtseDts: IIA E ACTIults: 100 ACTION 3-95-007 ALLEED FALSIFICATI0li 0F I

CLINT0ll 01/10/96 / 5 DECLINATION BAD Glotse SCREENING /INFCIBIATION REGNtDilIG A CRIMIIIAL HISTORY EA IR380ts: 96-026 E ACTI0ltS: IIIDIVIDUAL ORDDt 03/26/96 3-95-015 ALLEED HARASSENT AND A

LUCY LEE HOSPITAL 04/05/96 / P int DISCRIMIllATION OF All ALLEER EA NLDEDts: NA DE ACTI0lts: NO ACTION

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istC 12513IA A 0FFICE OF INVESTIGATIONS PNiE:. 16 AISIUAL REPORT OF CLOSED CASES DATE: 12/17/%

FOR TE PERIOD 10/01/95 - 09/30/ %

l CtOSED.

CASE NupeER ALLEGATION 50lRCE FACILITY NME.

DATE/ RESULT DOJ ACTION 3-95 027 ALLEED POTENTIAL I

IntAIDWD001 10/10/95 / R NR FALSIFICATION OF RECORDS EA NL99ERS: NA.

OE ACTIONS: NO ACTION 3 95-028 ALLEED DISCRIMINATION AGAINST A

FERMI 2 10/10/95 / U let A IRICLEAR SHIFT SUPEltVISOR FOR PROVIDING DOCIDENTATION TO TE NRC EA Nt#GERS: NA

- DE ACTIONS: NO ACTION 3-95-029 ALLEGED DELIBERATE VIOLATION A

DRESDEN 2-02/13/96 / P ist OF PLANT PROCEDURE l

EA NtfeERS NA DE ACTIONS: NO ACTION i

3 95-030 ALLEED DISCRIMINATION AGAINST A

MANOIR - ELECTRO ALLOYS.

01/09/% / U ist A RADIOGRAPER FOR REPGtTING SAFETY CONCERNS TO TE RC.

EA NlpeERS: NA DE ACTIONS: NO ACTION 3-95-031 ALLEKD DELIKRATE FAILtstE TO I

DIAGNOSTIC REAGENTS. INC.

03/29/96 / 5 DECLINATION AEND LICENSE TO REFLECT CHANGE IN A00RESS EA N!)3ERS: 96-140 CE ACTIONS: CIVIL KNALTY $1.000 08/05/96 3 95-032 ALLEED DELIBERATE TRMISFER OF I

PROCESS TECHNOLOGY INC.

01/23/% / U Ist LICENSED MATERIAL-TO A ColfMlY W/0 PROPER LICENSE-r EA NlfeERS: NA DE ACTIONS: NO ACTION 3-95-033 ALLEED DELIKRATE MISColeUCT

.L LASALLE I 01/10/ % / 5 DECLINATION BY TWO AUXILIARY OPERATORS REGARDING REMOVAL OF SECtRITY BA0GE FROM SITE EA MlfeERS: 96 024 OE ACTIONS: LETTER 02/29/%

3-95-034 ALLEGED DISCRIMINATION FOR A

COOK 1 01/31/ % / 0 ist REPORTING SECLRITY CONCERNS TO SITE SECLRITY MANAGEENT EA NtseERS: NA DE ACTIONS: NO ACTION

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. Pag

- :17 18tC-125131A-A1 0FFICE OF INUESTIGATINIS AIENstL NEPWT OF CLO5ED CASES -

DATE: 12/17/ M '

F R T E PERIOD 10/01/95 - 09/30/96 CLOSED

' CASE IRMIER

' ALLEGATICII 50tstCE

. FACILITY ll# E.

DATEMtESIA.T DQJ ACTION; 3-95-035 As a wn DISCRIMIIIATION AGAllIST -

.A' FDBl! 2 -

01/10/96 / R Ist SECtstITY TRAINIIIE SPECIALIST FOR ltEPORTIIIE INFtBBtATICII TD -

IWIC SECistITY IIISPECTOR

~ EA IRfGEltS: IIA '

'OE ACTIONS: NO ACTION'

^3-95-036 ALLEED DELISEllATE VIOLATI0li I

ISIANA DEPT. OF TRAllSPOR 07/03/96 / 5 DECLIIIATICII 0F LICEIISE COWITICIIS EA IR9sDts: 96-248 OE ACTI0llS: CIVIL PENALTY $2.50010/24/96 -

196 381 I WIVIDUAL LETTER 10/24/96 3 95-037 ALLEED DELI 8EltATE I

COMUSTI0ll ENGIIIEERIIIG 11/17/95 / R let UNAllTletIZED SHIPIEli 0F;

. CollT?MIIIATED SEER SLtEIGE TD '

^

' AN INILICDISED FACILITY EA IROGElts: IIA DE ACTI0llS: NO ACTION -

3-95-038-

' ALLEED FAILtNtE TO PGtFOIDI L

' Oump CITIES 1

~01/30/96 / 5

' DECLINATION FITESS FOR DiffY TESTS EA IRBEDtS: 96 037-E ACTIGIS: WITieltAlsl ACTI0li 03/06/96 -

3-95-039 ALLEED DISCRIMIIIATICII AGAlllST A.

CONTIEllTAL DISC CORP.

01/10/96 / U-Ist A FolWGt DM.0 VEE FWt IIAISIIIS '

SAFETY CONCDUIS REGallDIIIS

-l DEFECTIVE Pit 0 DUCTS EA N18SDtS: NA DE ACTIONS: IID ' ACTION 3-95 040 MISItEPltESDITATICII 0F I.

.letCY-fE10 RIAL E DICAL CE 01/08/96 / U NR '

r QUALIFICATICIIS OlftIIE LICDISE -

AEIDEIT PN0 CESS EA impeutS: 96-095

' OE ACTICIIS: NOV 02/28/96 3-95 041 DISDtIMIIIATICII AGAIIIST A

.'A

~ FUWil 2 01/26/96 / U. let GUALITY maAIN SPECIALIST BY HIS SUPDtVISORS EA Nt# Buts: 96-052 ' OE ACTICIIS: POSIIIG.

3-95 042-

' ALLEGED DEL 180 TATE FAILURE TO I

DAVIS 8 ESSE 12/05/95 / P IIR -

FOLLOW PLAllT Pit 0CEDistE -

EA NupWERS: NA DE ACTICIIS: 100 ACTIoll 1,

I Ep wt I

NRC-125131A-A 0FFICE OF INVESVIGAT10NS PAGE:

18 ANNUAL REPORT OF CLOSED CASES DATE: 12/17/96 FOR THE PERIOD 10/01/95 - 09/30/ %

l CLOSED CASE NWEER ALLEGATION..

SOURCE FACILITY NAE DATE/ RESULT 00J ACTION 3-95-043 ALLEED DELIBERATE FAILURE TD A

POINT BEACH 1 07/10/% / 5 DECLIMTION 8.-

CONTROL RADI0 ACTIVE MTERIAL AND ALLEED COVERT lP 06 CONDITIONS ADYERSE TO SAFETY EA IU SERS:-96-262 OE ACTIONS: PENDING 96-284-INDIVIDUAL NOV 09/05/96 76 l

[emme.

D-95-046 ALLEED FALSIFICATION OF L

THORACIC /CARDIOVASC. INST 03/25/ % / 5 DECLIMTION SuRvtv RECORDS EA IU SERS: 96-141 E ACTIONS: NOV 05/I6/%

3- % 001 ALLEED DISCRIMINATION AGAINST A

DRESDEN 1 02/29/% / R NR A CONTRACT EALTH PHYSICS T1:CHNICIAN EA IU BERS: NA E ACTIONS: NO ACTION 3 96-003 ALLEED DRUG USE BY REACTOR L

PRAIRIE ISLAND 1 05/24/96 / U M

OPERATORS AND SUPERVISORS EA IOGERS: NA OE ACTIONS: NO ACTION 3- % 005 ALLEGED DELIBERATE L

BRAIDWOOD 1 03/25/ % / 5 DECLIMTION CONTAMINATION OF LABORER *S CLOTES EA IUBERS: %-128 OE ACTIONS: LETTER 06/04/% :

% -132 INDIVIDUAL NOV 06/19/96 3-96-006 ALLEED DELIBERATE L

FERMI 2 04/24/96 / 5 DECLIMTION FALSIFICATION OF WORK PACKAE RECORDS (GAS BOTTLES)

EA IU BERS: 96-149 OE ACTIONS: LETTER 08/15/%

LI/IYEDDIS1dMUTIM B

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NRC-825131A A 0FFICE OF INVESTIGATIONS PAGE:

19 ANNUAL REPORT OF CLOSED CASES DATE: 12/17/96 FOR TE PERIOD 10/01/95 - 09/30/96 CLOSED CASE NLDEER ALLEGATION SOURCE FACILITY NAE DATE/ RESULT 00J ACTION 3- % -007

. ALLEED DELIBERATE L

DAVIS-BESSE 06/18/96 / S DECLINATION i

FALSIFICATION OF EERGENCY LIGHTS SURVEILLANCE RECORDS EA NLDBERS: 96-230 CE ACTIONS: PENDING 3

[

sm e ne m m,.

'7A

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3-%-009 ALLEED FALSIFICATION OF L

BYRON 1 05/15/96 / 5 DECLINATION SLRVEILLANCE DOC 1pENTATION EA NtfeERS: 96-218 OE ACTIONS: INDIVIDUAL NOV 08/23/%

96-219, INDIVIDUAL NOV 08/23/%: ALSC % 220 NOV 07/31/96 78 EA NtfBERS: 96-251 OE ACTIONS: LETTER 07/23/%

3- % -011 ALLEED DISCRIMINATION AGAINST A

QUAD CITIES 1 07/25/96 / U

=

A ENERAL FOREMAN FOR RAISING A SAFETY CONCERN EA Nt96ERS: NA DE ACTIONS: NO ACTION 3-96-012 ASSIST TO INSPECTION REGARDING FERMI 2 06/28/96 / F NR CHILLING EFFECT AT FERNI EA NtfBERS: NA OE ACTIONS: NO ACTION 3-96-016 VIOLATION OF P.ADIATION L

QUAD CITIES 1 05/15/ % / S DECLINATION PROTECTION CONTROL PROCEDURES DLRING WHOLE BODY FRISK w

EA NtfEERS: 96-224 OE ACTIONS: NOV 07/31/%

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0FFICE OF INVES?IGATIONS PAGE:

20 NRC-125131A A ANNUAL REPORT OF CLOSED CASES DATE: 12/17/%

FOR THE PERIOD 10/01/95 - 09/30/ %

l CtOSED CASE NLf6ER ALLEGATION 50lRCE FACILITY NAE DATE/ RESULT DOJ ACTION x

3-96 020 UNAUTHORIZED ENTRY INTD A L

QUAD CITIES 1 07/19/96 / 5 DECLINATI PROTECTED AREA EA IOSERS: %-285 OE ACTIONS: INDIVIDUAL NOV 08/23/%

3-96 021 ASSIST TO INSPECTION REGARDING A

HOECHST NARION RO'J5SEL 06/27/% / F NR RADIATION SAFETY PROGRAM EA NWBERS: NA DE ACTIONS: NO ACTION 3-96 022 DISCRININATION AGAINST A

LASALLE 1 09/27/96 / U pm CONIRACTOR SECLRITY SUPERVISOR FOR RAISING CONCERNS RE PERFORMANCE OF SECLRITY EA Nt9BERS: NA DE ACTIONS: NO ACTION 3- % -024 FALSIFICATION OF QUALITY L

POINT BEACH 1 08/26/96 / P NR ASSLRANCE RECOR05 EA NlteERS: %-366 OE ACTIONS: PENDING

%-376 INDIVIDUAL NOV 11/14/96 3 96 025 VIOLATION OF LICENSE CONDITION I

CLEVELAND CLINIC FOUNOATI 08/06/ % / 5 DECLINATION 37 EA NWEERS: %-289 OE ACTIONS: PENDING 96-296 PENDING 96-297 PENDING 3 96 030 ASSIST TO STAFF / FALSIFICATION A

AT&T HICROELECIRONICS 06/12/% / F NR NRC FORM 314 (CERTIFICATE OF DISPOSAL OF MATERIALS)

EA NLIGERS: NA DE ACTIONS: NO ACTION 3-96-031 F/151FICATION OF SEC1RITY L

DAVIS-BESSE 08/23/96 / P NR ACCESS INFORMATION BY CONTRACT EMPLOYEE EA NWEERS: % -330 OE ACTIlVS: PENDING th0DIhBUTI tRyIstar0uTS p.

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NRC-125131A-A 0FFICE OF INVESTIGATIONS PAGE:

21

+

ANNUAL REPORT OF CLOSED CASES DATE: 12/17/96 FIR TE PERIOD 10/01/95 - C/30/96 CLOSED CASE 1R9eER

. ALLEGATION SOURCE FACILITY NAE -

DATFJRESULT DOJ ACTION 3-96-032 FALSIFICATION OF FIREMATCH L

. COOK 1-09/30/% / R '

R LOGS EA IR9eDts: NA DE ACTIONS: NO ACTION 3 %-034 FAIListE TO FOLLOW RADIATION L --

ZION 1 09/16/M / P NR PROTECTION PROCE0tstES BY A CONIRACTOR EA Ip eERS: 96 374 OE ACTIONS: PENDING 4 92-0075 ALLEED DELIBERATE FAILL5tE TO I

UNC MINING & MILLING 09/17/96 / S let 00pFLY WITH istC ORDER EA 1RDGERS: 93 170 OE ACTIONS: PENDING 4-93 046-ALLEGED FALSIFICATION OF HVAC SOUTH TEXAS 1 02/26/% / U NR RECORDS EA IUSDtS: IIA DE ACTIONS: NO ACTION 4 94 030 ALLEGED DISCRIHIIIAT10ll F(R A

PALO VERDE 1 11/30/95 / U ist l

ISSUIIIG A CRITICAL REPORT IN 1989 EA Ill#EERS: IIA -

DE ACTIONS: 110 ACTION 4-94-035 ALLEGED HARASSENT ABID A

SAN ONOFRE 2 04/25/96 / U NR INTIMIDATI0ll FOR REPORTIIIG SAFETY COIICERit EA IllfGDts: IIA DE ACTIONS: 110 ACTI0lt 4-94 037 DISCRIMINATI0ll AGAIllST FULLER A

SOUTH TEXAS 1 05/31/96 / 5 DECLINATION EBASCO ELECTRICIAll FOR RAISIIIG SAFETY CONCDtil5 EA NtseDts: 96136 OE ACTIONS: CIVIL PEllALTY $100,000 09/19/96 4-94 048 ALLEGED DELIBERATE A

PETTIS VA E DICAL CENTER 11/17/95 / P NR DISCRININATI0ll BY MAllAGEENT FOR RAISIIIG RADIAT10lt SAETY CONCERil5 EA IRpeERS: NA DE ACTIONS: NO ACTI0li

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IftC-125131A-A 0FFICE OF INVESTIGATIONS PAGE:

22 AISIUAL REPORT OF CLOSED CASES DATE: 12/17/96 :

FOR TE PERIOD 10/01/95 - 09/30/96 l.

' CLOSED CASE NtMIER ALLEGATION 50tRCE FEILITY MAE

. DATE/ RESULT -

DOJ ETION 4 95 004 ALLEGED DISCRIMI MTION AND

'A ARKANSAS 1 02/26/% / R M

TERMIM TION FOR REFUSAL TO FALSIFY WORK STEPS (FIRE.

PROTECTION SEALS)'

a EA NiMIERS: % 178 DE ACTIONS: LETTER 09/06/%

4-95 005 ALLEED HARASSENT AIS

-A RIVER BEND 1 11/27/95 / 5 DECLIMTION INTIMIDATION SY MANAGEENT FOR.

REPORTING QUALITY CONCERNS EA NLMIERS: 95 2P1' OE ETIONS: LETTER 03/26/%

'95-285 INDIVIDUAL LETTER 03/26/16 4 95-007 ALLEED DISCRIMIll4 TION AND A

DIABLO CANYON 1 02/29/96 / U let

- FAILtRE TO PROVIDE ACCLRATE INFORMATION TO TE 15tC (FOREIGil MATERIAL EXCLUSION)

EA IRMIERS: NA DE ETIONS: NO ACTION 4-95-010 '

ALLEED INTIMIDATION AND COVER A

RIVER BEND 1 12/IS/95 / U let UP OF QUALITY ASSURANCE ISSUES BY QA MANAGEE NT EA IN SERS: liA DE ACTIONS: NO ETION -

4 95 011

- ALLEED

'L COMAllCHE PEAK 1 11/15/95 / 5 DECLIlsATION DISCRIMIIIATIoll/ REVOCATION OF ACCESS FOR REPORTING CONCERN 1

TO NRC EA lu eERS: 95-271 OE ACTIONS: LETTER 02/22/%

95 272 INDIVIOUAL LETTER 02/22/96(3)95-273 95 274 4-95-012 ALLEED FALSIFICATION / COVERUP A

V. A. EDICAL CTR.

10/26/95 / F let OF CONTAMINATION StRVEY RECORDS BY RADIATION SAFETY OFFICER / CHIEF 0F NUCLEAR EA IU SERS: NA DE ACTIONS: NO ETION 4-95 014 ALLEED H&I FOR IDENTIFYING A

RIVER BEND 1 12/29/95 / U Ifi CONCERNS TO SITE MANAGEENT EA NtfeERS: NA DE ACTIONS: NO ACTION

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NRC-125131A-A 0FFICE OF INVESTIGATIONS PAGE:

23' ANNUAL REPORT CF CLOSED CASES -

DATE: 12/17/96 FOR TE PERIOD 10/01/95 - 09/30/96 CLOSED CASE RDBER ALLEGATION 50lRCE FACILITY NA E DATE/ RESULT 00J ACTION 45 016 Atirnrn H&I FOR FIL( E A DOL A

RIVER BEND 1 12/28/95 / U NR C0ffLAINT 9,

EA Nl#BERS: NA DE ACTIONS: NO ACTION 4 95-017 ALLEGED DISCRIMINATION FOR A

SOUTH TEXAS 1 11/17/95 / U R

IDENTIFYING CONCERNS RELATED TO NUCLEAR TRAINING OEPARTENT EA NLDSERS: NA OE ACTIONS: NO ACTION 4-95-021 ALLEGED INTENTIONAL FAltlRE TO

.I WOLF CREEK 1 12/12/95 / P R

PREPARE REQUIRED PERFCRNAEE IlfROVEENT REQlEST EA NLDBERS: NA OE ETIONS: NO ACTION

(

4-95 023 ALLEGED TAPFERING WITH STEAM L

ARKANSAS 1 10/27/95 / R NR SAFETY VALVE SEAL WIRE EA NipBERS: NA DE ETIONS: NO ACTION 4-95-024 ALLEGED DISCRIMINATION AGAINST L

SAN ONOFRE 2 10/02/95 / R NR CONTRACT ELDER AND FALSIFICATION OF WELD FIT-UP EA NLDBERS: NA DE ETIONS: NO ACTION 4 95-025 ALLEGED DELIBERATE FAILERE TD T

FOLEY CONSTRUCTION SERV 11/21/95 / 5 DECLINATION FILE 15tC FORM 241 EA ilfeERS: 95 270 OE ACTIONS: CIVIL PENALTY $1.000 02/29/ M 4-95-026 ALLEGED DISCRIMINATION FOR T

RIVER BEND 1 12/13/95 / U R

RAISING SAFETY CONCERNS AND FALSIFICATION OF A QUALITY ASSlRANCE REPORT EA NLSEERS: NA DE ETIONS: NO ETION

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NRC-125131A A-OFFICE OF INVESTIGATIONS PAGE:

24 AINRIAL REPORT OF CLOSED CASES DATE: 12/17/96 FOR T E PERIOD 10/01/95 - 09/30/%

.l CLOSED CASE IU BER ALLEGATION.

SOURCE FACILITY NME DATE/ RESULT DOJ ACTION 4-95-027 ALLEED DELIBERATE USE OF L

MADIGAN ARMY E DICAL CTR 11/21/95 / 5.

DECLIMTION INAPPROPRIATE DATA. RESULTING IN MISADNINISTRATION EA NL9eERS: %-004 OE ACTIONS: CIVIL PENALTY $8.000 02/22/%

% -005 INDIVIDuft LETTER 02/22/%

4-95-028 ALLEED LELIBERATE FAlLlRE TO T

-IleUSTRIAL MARINE. INC.

02/15/ % / 5 DECLINATION FILE NRC FORM 241 EA NLpeERS: %-065 OE ACTIONS: CIVIL PENALTY $1.500 06/06/96 4-95-029 ALEED DELIBERATE VIOLATION T

WASHINGTON NUCLEAR 2 10/27/95 / 0 set OF DRUG TESTING PROGRMt EA NtpeERS: NA DE ACTIONS: NO ACTION 4-95 030 ALLEED DISCRININATION AGAINST A

SOUTH TEXAS 1 04/25/96 / U let FORER ET INSTRUCTOR BY STP MANAGEENT FOR REPORTING SAFETY CONCERNS EA NLDBERS-NA OE ACTIONS: faJ ACTION 4 95-032 ALLEED FALSE STATEENTS BY I

WASHINGTON NUCLEAR 2 10/05/95 / P NR FIRE WATCES TO 15tC INSPECTORS EA NlpeERS: NA OE ACTIONS: NO ACTION 4-95-033 ALLEED DIRECTION BY A

CONANCE PEAK 1 01/31/% / U NR SUPERVISOR TO DISCHARGE RADWASTE TALK WITHOUT SMFLING EA IllfeERS: NA DE ACTIONS: NO ACTION 4 95 034 ALLEED DELIBERATE IpFROPER L

DIN 10ND H TESTING C0lFANY 10/18/95 / 5 DECLINATION RADIOGRAPY PRACTICES EA NLDEERS: 95 148 OE ACTIONS $ CIVIL PENALTY 03/05/%

95-231 INDIVIOUAL LETTER 10/25/ %

4-95-035 ALLEED DELIBERATE A

WATERFORD 3 01/17/% / P NR FALSIFICATION OF FIRE WATCH RECORDS EA NLfeERS: %-072 OE ACTIONS: NOV 03/20/96 I\\ LIMITED DISOI W

T NFORMATf0N:

NOT@EftE D OR D QTp B1, y l

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NRC 125131A A 0FFICE OF INVESTIGATIONS PAGE:

25 -

A10104L IIEPORT OF CLOSED CASES DATE: 12/17/96 FOR TE PERIOD 10/01/95 - 09/30/96 CLOSED CASE NLMIER ALLEGATI0lt 50tstCE FACILITY NME DATE/ RESULT 00J ACTION 4-95-036 ALLEED DELIBERATE L

PALO VUtDE-1 02/15/ % / 5 DECLIIIATION FALSIFICATION OF ltESPONSE TEST

'FOR ALARMING 00SIETERS l

EA NLMIUts: 96 082 OE ACTIONS: NOV 04/23/96 l

l 4-95-037 ALLEED DISCRIMIllATION AGAINST A

WASHIIIGTON NUCLEAR 2

~02/06/96 / U R

SENIOR ElIGIIEER FOR REPORTING SAFETY CONCERNS EA NIMIDts: IIA ~

OE ACTIONS: NO ACTION 4-95-038 ALLEED DELIBERATE FAILURE TO I

OfelITR04 INT *L. INC.

02/15/96 / U ist FILE letC FORM 241 EA NLMIDtS: 96-061 OE ACTIONS: IIOV 06/21/%

4-95 039 ALLEED DELIODtATE FAILt#tE TO

'T BENIS CONSTRUCTION. INC.

11/30/95 / S DECLIllATION FILE letC FollM 241 EA IllMIDtS: 95-276 OE ACTIONS: CIVIL PEllALTY $2.500 03/19/96 4 95 040 ALLEED DISCRIMlllATION BY A

WASHIIIGT0ll NUCLEAR 2 04/15/96 /.U IIR 1

MMIAGEENT FOR REPORTilIG SAFETY COIICERIIS EA IRMIDtS: NA DE ACTIONS: NO ACTION 4-95 041 ALLEED DELIBERATE A

SAN ONOFRE 2 04/19/96 / U - let FALSIFICATION OF REQUIRED VDtIFICATION RECORDS AllD DISCRIMill4TI0ll EA NLMIDtS: IIA DE ACTI0llS: 110 ACTI0li 4-95 042 ALLEGE 3 DELIBDtATE FAIListE TO A

GAf9th TECH 02/28/96 / S DECLIllATION FILE 18tC FORM 241 EA NIMIDtS: 96-093 OE ACTI0ltS: CIVIL PEIIALTY $1.500 06/06/9ti 4 95-043 ALLEGED DELI 80 TATE L

WASHIIIGToll IIUCLEAR 2 01/31/% / F ist-FALSIFICATI0ll 0F TIE CARDS BY GE SUPERVISORS EXCEEDING 1EO911 CAL SPECIFICATION EA IllfBERS: IIA DE ACTI0llS: NO ACTI0ll e s t

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26

.NRC 125131A A ANNLEL REPORT OF CLOSED CASES

.DATE: 12/17/96 FOR T E PERIOD 10/01/95 - 09/30/96 j

CtOSED CASE NtpeER ALLEGATION S0lRCE FACILITY NAME DATE/ RESULT

~ DOJ ACTION 4-95-044 ALLEED ')ELIBERATE A

MTERFORD 3 02/08/96 / 5 DECLINATION FALSIFICATION OF FIRE ETCH REC 0kDS EA NLBGERS NA DE ACTIONS: NO ACTION 4-95 045 ALLEED DELIBERATE I

FRONTIER LOGGI E CORP, 01/30/% / E R

FALSIFICATION OF M C FORM 314 (CERTIFICATE OF DISPOSITION OF MATERIAL)

EA NtfeERS: % 073 E ACTIONS: NOV 04/15/%

4 95 046 ALLEED DELIBERATE VIOLATION

.I SAN ONOFRE 2 05/28/96 / U R.

OF PLANT PROCEDlRES AW FALSIFICATION OF REQUIRED RECORDS EA Nt9BERS: 96-214 OE ACTIONS: NOV 05/28/96 ALLEED DISCRIMINATION FOR A

ETERFORD 3 01/31/96 / U M

4 95 047' REPORTING FIRE WATCH CONCERNS TO SITE MANAGEENT EA NtpeERS: NA DE ACTIONS: NO ACTION 4-95 048 ALLEED DELIBERATE FAILtRE TO I

ENSEL PELPS CONSTRUCTIO 11/17/95 / U R

FILE MC FORM 241 EA MIDGERS: 95-275 OE ACTIONS: NOV 12/27/95 4-95-049 ALLEED DELIBERATE I

COpMlMITY HOSPITAL 01/30/ % / S DECLINATION FALSIFICATION OF DOSE ADMINISTRATION EA MDBERS: 96 056 DE ACTIONS: CIVIL PENALTY $2,500 06/12/%

'96-063 INDIVIDUAL NOV 06/12/%

4-95-050 ALLEGED DISCRIMINATION AGAINST L

COMANCE PER 1 02/15/% / U M

ENGINEERING STAFF BY SITE MANAGEENT EA NlteERS: NA DE ACTIONS: NO ACTION L TSUDIS706UTI PRbqgDORMSptIB 1

/.. fNgST[GAnyE I

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'NRC-125131A A 0FFICE OF INVESTIGATIONS' PAGE:

27 ANNUAL REPORT OF CLOSED CASES DATE: 12/17/96 FOR TE PERIOD 10/01/95 y 09/30/96-CLOSED CASE (RfeER ALLEGI. TION' SOURCE FACILITY NAE DATE/ RESULT DOJ ACTION 4-95-052 ALLEED DELI 8ERATE MISCONDUCT A

SOUTH TEXAS 1 05/21/96 / U NR BY TWO CEMISTRY TECHS IN TE DISPOSAL OF RADI0 ACTIVE EFFLUENT SAW LE FILTERS EA IRf9ERS: NA

-DE ACTIONS: N3 ACTION 4-95-053 ALLEED IMROPER RADIOGRAPHIC A

MATTINGLY TESTING SERVICE 02/08/96 / U let PRACTICES EA NLSEERS: NA DE ACTIONS: NO ACTION 4 95-054 ALLEED HARASSENT AND L

FORT ST VRAIN 02/09/ % / 5 DECLINATION INTIMIDATION OF CONTRACT W TECMICIAftS BY ANOTER CONTRACTOR'S SUPERVISOR

.'EA MlfeERS: 96-050 OE ACTIONS: PENDING 4-95-055 ALLEED DISCRIMINATION AGAINST A

SAN ONOFRE 2 06/28/96 / U let

' FORER EWLOYEE FOR REPORTING SAFETY CONCERNS REGARDING SPENT FEL POOL EIR GATE EA NLDBERS: NA OE ACTIONS: NO ACTION -

4-95-056 ALLEED DELI 8ERATE VIOLATION L

CALLAMAY 2 01/23/% / 5 DECLINATION OF FFD PROGtAM BY SUBSTITUTING URINE SA W LE EA NiteERS: 96-039 OE ACTIONS: INDIVIOUAL NOV 10/22/96 4 95-056S ALLEED DELI 8ERATE VIOLATION L

CALLAWAY 2 07/12/% / U NR OF FITESS-FGt DUTY PROGtAM BY StBSTITUTING INtIINE SAMLE Als HARASSENT AfD INTIMIDATION EA NlteERS: NA DE ACTIONS: NO ACTION 4-95-057 ALLEED DELIButATE FAILURE TO

.I UNIY OKLAHOMA 01'/24/96 / S DECLINATION SEttstE BYPRODUCT MATERIAL BY.

DRIVER DELIVERING i

i RADIOPHARMACEJTICALS EA NLfBERS: 96 049 OE ACTIONS: CIVIL PENALTY $2.500 06/17/ %

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4 15tC 135131A A "0FFICE OF INVESTIGATIONS"

- PAIE: ' 28 ',

AIERIAL llEPGtT OF CLOSED CASES DATE: 12/17/96 F(R TE PERI (B 10/01/95 - 09/30/96' l-CLD5ED

. CASE M5eER :

ALLEGATION SotalCE FACILITY IIIfE DATE/IIEsta.T Diu ACTION

- ~

'T l

4-95-058

- MLEED DELIBEllATE MImusurT.

-L'

. RIVER BEle 1 04/23/96-/ 5= ' OECLIIIATION i

BY LICEllSEE EWLOVEE ItEGAllDIIIG SECtRITY ACCESS AIITHORIZATION,.

. EA EseERS: IIA '

OE ACTIONS: 110 ACTION 4-95-059 ~

ALLEED DELIBERATE VIOLATION L

COOPER 05/29/96 / 5 DECLIIIATICII '

' 0F PERSCISEL ACCESS AUTHIRIZATitm PROCEDistES SY SECMI1Y SCitEEIEltS' EA IR9eEltS: 96 225 OE ACTIONS: IISIVIOUAL NOV 09/27/96 4 95-060 ALLEED DELI 8EllATE VIOLATION L

EDWAltDS' PIPELINE 10/31/95 / F-1Et 0F istC ORDER DE ACTIONS: 110 ACTI0li EA IIl90ERS: IRA 4 95 061-

- ALLEED DELIBERATE FAILtNIE TO A..

H & H X-RAY SERV., IIIC.

.02/26/% / P R ~

rnururT QUAltTEltLY FIELD AtBITS -

Ale FALSIFICATICII 0F ltEQUIItED RECORDS-EA IR880tS: IIA OE ACTIONS: 110 ACTI0li 4 95-P62 ALLEGED DIstitIMill4TIoll AGAlllST A'

. WATERFORD 3 08/07/% / U Ist SECtRITY OFFICDtS BY SITE

. SECtRITY MAllAGDEllT Fim TALKIIIS TO IstC EA IIl980tS: IIA' OE ACTI0llS: 110 ACTI0li -

4-95 063 ALLEGED DISCitIMIllATIGIl AGAlltST

'A COOPER 08/07/96 / U let A QUALITY CONTit0L IllSPECitR EA NtfeetS: IIA GE ACTICIES: 110 ACTICII'

~

4 95-064 ASSIST TO TECH STAFF /ALLEED L

F0ltT ST VRAIN 12/29/95 / F IR-DISCRIMlllATICII AIS Ifl0NGFUL TEIIMINATION OF C011 TRACTOR

- RADIATICII PIIOTECTICII EA infeutS: IRA DE ACTI0llS: NO ACTION

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- / LIMITEIdI3 TRIMd(M fT

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lett 12513IA-A

-0FFICE OF INVESTIGATIONS PAGEi 29 mW REPORT OF CLOSED CASES DATE: 12/17/96 FOR TE pef IOD 10/01/95 - 09/30/96 CLOSED CASE IRMIER ALLEGATION SOURCE FACILITY NAE DATE/ RESULT 00J ACTION 4-95 065

. ALLEED DELIBERATE VIOLATICEIS A

CONSOLIDATED ENGINEERING 04/02/96 / U NR

- 0F LICEllSE ColWITIONS Alm DISCRIMillATION BY MAllAGEENT EA 1RMIERS: 114

'OE ACTIONS: NO ACTION 95 066 ALLEGED DISCRIMillATION BY A

CALLAN 4Y 06/27/% / U let MANAGE M NT FOR REPORTING ENVIROMENTAL MONITORING ISSUE TO TE istC EA IRMIDtS: NA DE ACTI0llS: NO ACTION

~4-95 067 ALLEED DELI 80 TATE VIOLATI0ll A

SAN ON0ntE 2 07/05/% / U Ist OF PROCEDtNtE AIS FEAR OF RETALIATI0ft FtNt REPORTING SAFETY CONCDtitS TO IWtc EA NlpeDts: NA

- DE ACTI0ltS: 110 ACTI0lt ALLEED DELISDtATE VIOLATI0ll L

04FAI TRANSPORT CO.

04/02/96 / U let 4-95-068

' 0F 00T SHIPPIllG ltEQUIREENTS l

FOR RADI0 ACTIVE MATERIAL-EA IRfeDts: IIA DE ACTI0ftS: NO ACTION 4-95-069 ALLEED DELIBDtATE FAILiftE TD I

TRINITY TEST & ENGINEER.

05/08/96 / U let FILE 15tC FollM 241 EA IRMIDtS: 96-184 OE ACTI0ftS: LETTER 07/08/% -

4-95-070 ALLEED DISCRIMillATICII AGAlliST A

- MATERFORD 3 04/03/% / U NR FIRE MATCH FOR PEFUSIllG TO VIOLATE SITE SECLNtITY Pit 0CEDURES EA IRDEUtS: IIA DE ACTIONS: NO ACTI0li 4-95-071 ALLEED DIRECTICII TO A

RIVER BEND 1 05/03/% / U ist SUPERVISOR 110T TO SUBMIT ColWITION REPORTS EA 80lteDts: NA DE ACTI0lts: 110 ACTION LIMITb m DI,,STRIBl/

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NRC-125131A-A 0FFICE OF INVESTIGATIONS PAGE:

30 ANNu4L REPORT OF CLOSED CASES DATE: 12/17/96 FOR TE PERIOD 10/01/95 - 09/30/ %

l CLOSED CASE NupeER ALLEGATION 50lRCE FACILITY NA E DATE/ RESULT 00J ACTION i.

[.

l l

l 4 95 072 ALLEED DELIBERATE VIOLATION A

SAN ONOFRE 2 07/31/% / U W

0F MAINTENANCE PROCEDLRE (NAlN l

CIRCULATOR)

EA NtpeERS: M OE ACTIONS: NO ACTION 4-96-002 ALLEED DELIBERATE VIOLATION L

COOPER 05/08/ % / S DECLIMTION OF PLANT OPERATING PROCEDURES W ING CONTROL R00 INSERTION IA NlpeERS: W 202 OE ACTIONS: PENDING

% -276 INDIVIDUAL LETTER 09/30/96

% -277 INDIVIDUAL LETTER 09/30/96 4-96 003 ALLEED DELIBERATE VIOLATION L

DIABLO CANYON 1 06/28/96 / U R

OF SECURITY ACCESS REQUIREENTS EA NtpeERS: NA DE ACTIONS: NO ACTION 4 % 004.

ALLEED DELIBERATE VIOLATION L.

WATERFORD 3 06/28/ % / 5 DECLINATION l

OF SECLRITY REQUIREENTS. AW l

PROVIDING POTENTIAL FALSE INFORMATION TO R C INSPECTOR EA NipSERS: % 241 OE ACTIONS: PENDING 4- % -005 ALLEED DELIBERATE VIOLATION L

COOPER 07/19/ % / 5 DECLINATION OF PLANT NAINTENANCE PROCEDLRES EA MlfeERS:. W 275 OE ACTIONS: LETTER 11/12/96

% -305 INDIVIDUAL LETTER 10/08/%

96 306 IfEIIVIDUAL LETTER 10/08/96 r

4-96 006 ALLEED DISCRININATION FOR A

SOUTH TEXAS 1 02/20/96 / R R

COOPERATING IN 00L AND M C INVESTIGATIONS EA NlpeERS: NA DE ACTIONS: NO ACTION 4 % 007 ALLEED DELIBERATE FAILtRE TO

.A MATTINGLY TESTING SERVICE 02/28/96 / U R

TRAIN AND SUPERVISE RADIOGRAPER EA NlpeERS: NA DE ACTIONS: NO ACTION

/N dMffEDDIMRIBUTION i

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RC-125131A A 0FFICE OF INVESTIGATIONS PAGE:

31

+

ANNUAL REPORT OF CLOSED CASES

~~~: 12/17/96 FOR TE PERIOD 10/01/95 - 09/30/96

~

CLOSED CASE NUMBER

. ALLEGATION SOURCE FACILITY NtK DATE/ RESULT 00J ACTION 4-96-009 ALLEGED DELIBERATE FAILIRE TD

I GRAfGIN TESTING LAB. INC.

09/13/96 / 5 DECLIIIATION FILE 18tC FORM 241 EA IS BERS: 96-382 OE ACTIONS: PENDING 4-96-010 ALLEGED DELIBERATE VIOLATION t-WACKENHUT 09/30/% / U R

OF COOPER SECIRITY PLAll AND DESTRUCTION OF SECIRITY ACCESS RECORDS EA !R#EERS: 96 384 OE ACTIONS: PENDING 4-96 012 ALLEGED DELIBERATE VIOLATI0ll T

LEE 10.. PHILIP J. W.

06/26/96 / F Ist OF LICEllSE COISITIONS REGARDING USE OF EYE APPLICATI0ll TERAPY EA IU SERS: NA DE ACTI0llS: NO ACTION 4-96-014 FAILtRE TO IJeEL -

A NOC SYSTEMS 08/28/% / 5 DECLINATION GAUGES /IIICLIEE LEAK TEST RESULTS ON EXPORTED SOIRCE MTERIALS EA NLDBERS: 96-342 OE ACTI0ltS: PElmilIG E 360 IIIDIVIOUAL PENDING E 363 IIIDIVIOUAL - PE! WING 4-96-015 FALSIFICATI0ft OF DIGITAL ROD L

COMANCE PEAK 1 08/30/96 / U IIR POSIT 10lt IlWICATOR VERIFICATI0ll SEETS SY CONTRACTOR EA NISSERS: NA DE ACTIONS: 100 ACTION 4- % 016 DISCRIMIIIATICII AGAlltST A

S3UTH TE/AS 1 06/28/96 / U NR CollTRACT EMPLOYEE FOR REQESTIIIG STATI0ll PR(BLEM j

REPORT FORMS TO DOCIENT EA IU BERS: IIA DE ACTI0llS: NO ACTION 4 96 017 FALSIFICATI0ll 0F ACCESS A

WESTERN STRESS. IllL.

08/08/96 / U let AUTHORIZATI0lt IIIFORMATION PROVIDED TO MAINE YAIIKEE EA MIABERS: NA DE ACTIONS: NO ACTION

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Ct05tD CASE IU BER ALLEGATION 50tRCE FACILITY NAE DATE/ RESULT 00J ACTION 4 %-018 DISCRININATION FOR REPORTING A

PA10 VERDE 1 08/28/ % / U Ist SAFETY CONCTRPG REGARDING ELECTRICAL MAINTENANCE DEPARTENT EA SUSERS: hA DE ACTIONS: NO ACTION 4 % 021 DELIBERATE VIOLATION OF L

ENERGY FUELS NUCLEMt. INC 07/19/% / 5 DECA.INATION PROCEDtRES REQUIRING PERSONAL PROTECTIVE EQUIPENT EA NtteEP.S: %-068 OE ACTIONS: LETTER 10/03/%

% -287 INDIVIDUAL NOV 09/06/96 4 % 023 DISCRININATION AGAiNST FORER A

DIABLO CANYOJ 1 09/27/% / U let CONTRACTOR FOR PAST C0lFLAINTS TO DOL EA NtteERS-NA DE ACTIONS: NO ACTION 4-96 024 DELIBERATE FAILtRE TO FILE istC A

ROBCO PROD. LOG., INC.

09/24/96 / 5 DECLINATION FORM 241 EA SU SERS:-96-378 OE ACTIONS: PENDING 4-96 025 DELIBERATE FALSIFICATION OF L

DALO VERDE 1 09/13/96 / 5 DECLINATION INFORMATION PROVIDED BY CONTRET EIFLOYEES IN ORDER TO GAIN ACCESS EA IU SERS: 96-373 OE ACTIONS: PENDING 96-394 INDIVIDUAL LETTER 11/21/96 96-395 INDIVIOUAL NOV 11/21/96 4- % 027 DELIBERATE FAILURE TO FILE NRC I

TESTING LA85.. INC.

09/26/96 / 5 DECLINATION FORN 241 EA NtDEERS: %-447 DE ACTIONS: PENDING 4 % -034 DISCRININATION AGAINST DESIGN A

WATERFORD 3 08/26/96 / U Ist ENGINEER FOR IDENTIFYING SAFETY CONCERNS EA NLPBERS: NA DE ACTIONS: NO ACTION LIh!TEDVDISTRI8ibh A

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NRC 125131A A 0FFICE OF INVESTEGATIONS PAGE:

33 g*

ANNUAL REPORT OF CLOSED CASES DATE: 12/17/%

FOR TE PERIOD 10/01/95 - 09/30/96 CLOSED CASE IU WER ALLEGATION

-SOURCE FACILITY ME DATEftESULT -

00J ACTION 4- % -038 DISCRIMI M TION AGAlllST-A SAN ONOFRE 2 08/29/M / U R

MACHINISTS 8Y GEIERAL FOREMN FOR REPORTING SAFETY CONCERNS EA IUWERS: NA DE ACTIONS: NO ACTION 4-96 039 DISCRINIllATION AGAINST A

SOUTH TEXAS 1 09/13/% / U NR CONTRACTOR FOR PREVIOUS WHISTLEBLOWING ACTIVITIES EA IU SERS: NA DE ACTIONS: NO ACTION 5 93 011R ALLEGED EIFLOYEE A

PALD VERDE 1 12/20/95 / U R

DISCRIMINATION EA ISBERS: flA DE ACTIONS: NO ACTION 5 93-012R ALLEGED PRODUCT StBSTITUTION T

BRAN 00N SUPPLY COP *.

10/05/95 / U R

OF VALVES SUPPLIED TO SONGS EA IU BERS: NA DE ACTIONS: N3 ACTION 5-94-004 ALLEGED EIPLOYEE A

PALO VERDE 1 11/29/95 / P R

DISCRIAlllATION EA Ml#EERS: IIA DE ACTIONS: 100 ACTION f

l II,,Vml IVE hin-T

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Investigations Opened FY94 - FY96 300 '

E 250-

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200-Ee

_E 150-o Q-1994 1995 1996 Total Opened 3 Discrimination C1 Other y

3 False Statements Violations of NRC Rules, Regulations, or Ucense Conditions i

O 4

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• Opened 1995 Other(2%)

Violations of NRC Rules, Discrimination (42%)

Regulations, or License Conditions (30%)

FY 1994 Other(4%)

Violations of NRC Rules, Disenmination (36*/o)

Regulations, or License Conditions (25%)

False Statements (26%)

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False Statements (34%)

" Of NRC Rule

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Active Inventory FY96 Cases Open Longer Than 12 Months 50-45-Averace Inventonr of Cases Ooen Loncer Than 12 Months in FY95 = 37 35-E 8

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Closed Cases By Category of Closure 180 '

175 160-t

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.16 1994 1995 1996 Substantiated or Unsubstantiated Cases Closed for No Regulatory Requirement a

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1994 1995 1996 Total Closed E Discrimination g

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IOVestigagyons cfOsed W iess

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Violations of NRC Rules, Discrimination (43%)

Regulations, or License Conditions (26%)

FY 1994 Violations of NRC Rules, Regulations, or Licen False Statements (27%)

Conditions (23%)

FY 1996 Other(5%)

i False Statements (39%)

Violations of NRC Rules, Discrimination (44%)

Regulations, or License Conditions (26%)

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False Statements (25%)

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