ML20198B040

Ofc of Investigations FY97 Annual Rept

ML20198B040
Person / Time
Issue date:	01/31/1998
From:	NRC OFFICE OF INVESTIGATIONS (OI)
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NUDOCS 9812180040
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%,%***/ 1 OFFICE OF INVESTIGATIONS FY 1997 ANXCAL REPORT January 1998

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EXECUTIVE

SUMMARY

This report provides the Commission with A statistical summary of investigations l the results ofinvestigati ns completed by the NRC opened and closed during FY 97 and a detailed Office of Investigations (OI) (reference SRM listing of closed cases are contained in the Ap-COMJC-89-8, dated June 30,1989). This is the pendix to this report.

ninth OI annual report and addresses fiscal year 1997 (FY 97). OI is continually striving, through manage- l ment, organizational, and process-related initia- l OI conducts investigations of alleged wrong- tives, to increase efficiency and productivity. l doing by individuals or organizations who are li- Areas where improvements can be made are iden-  !

censed by the NRC or applicants for NRC licenses tified through the OI self-assessment program. As '

or who are vendors or contractors of NRC licens- a consequence of this continuing analysis, OI has ces. OIis compmed of four regionally based Field been able to make significant improvements in Offices reponing to OI Headquaners. OI repons important areas of its operation, thereby to the Deputy Executive Director for Regulatory enhancing its contribution to the overall NRC Effectiveness. In FY 97 there were, on average, regulatory mission.

31 special agents and 9 operational support staff assigned nationwide. The average experience of The following are significant achievements an OI special agent in FY 97 was approximately during FY 97:

19.4 years in Federallaw enforcement. This expe- .

rience was gained within the NRC and through pre- - OI was several months underits 12-month case vious service with such agencies as the Federaj C mPl etion goal.

Bureau ofInvestigation, the Dmg Enforcement Ad-

" OI succeeded in funher reducing the number

~~

ministration, the Bureau of Alcohol, Tobacco and of cases in the inventory older than 12 months.

Firearms, the ES. Secret Service, the U.S. Army Criminal Investigation Command, the Naval Inves- Z OIimproved coordination and involvement with tigative Service, and various Inspector General of- the technical, legal, and enforcement staffs at fices within the Federal community. the initial allegation review stage to earlier iden-tify and prioritize potential willful violations of

, The NRC received 1.296 allegations regard-NRC rules, regulations, or requirements, thereby l

ing potential violations of its rules, regulations, more effectively utilizing OI resources to de-or requirements during FY 97, of which 16%

velop substantive cases. This was clearly dem-l mvolved potential wrongdoing.

onstrated by a significant increase in the num-OI carried over 128 investigations from ber of investigations brought to a full conclu-l sion based on the merits of the case, either sub-l FY 96, and opened 206 investigations in FY 97.

stantiating or not substantiating wrongdoing, and l

Therefore, the total number of mvestigations by significantly fewer cases being closed either m the OI inventory during FY 97 was 334. In FY 97, OI completed 238 investigations, or 71% due to working higher priorities, or because the l initial OI investigation indicated that there was of the total 334 investigations in the inventory.

no NRC regulatory nexus.

Approximately 10% of these cases contained mul-tiple suspected wrongdoing violations.

l.lMITED DISTRIBtmON Investigative Information: May not be reproduced or d:stnbuted outside NRC without consutting the Director. Office of Investigations s =- "-

Ol ANNUAL REPORT I

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~N P ] . ] ] f_~7 ~~".%} [ [ Q , ,*_ *i LCK)){Q7[_' ' 'N'L C"-QQG . . - 'N i5 d INVESTIGATIONS ANALYSIS OF CASES OPENED:

-- m; .,_m -- - =m_ investigations Opened (Major Types of Cases)

The following is an analysis of the 206 cases opened by OIin FY 97: j;. E' ,

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The investigations opened are categorized f 200 -

a in Figure 1 by major types of alleged wrongdoing { 1so -

as follows: i ,, , ,,

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Deliberate Material Fals: Statements 61 f~ ,, 'h z 50 i

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Deliberate Violations of NRC Rules, L J,._ lul /, _ li

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Regulations, or License Conditions 47 3995 5998 1997 Discrimination and Retaliation 98 ' '**' P'"** E*""""*'*"

False Statements t- - I other Figure 1 indicates a decreasing trend in the '

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number of cases opened from FY 95 through conaitions FY 97. This is attributed to OI's improved work- Figure 1 ing relationship with the technical staff early in the allegation review process, and more accu-rate identification of potential wrongdoing is-sues having a nexus to NRC violations. The graph at Figure 3 depicts the distribu-tion of cases opened from FY 95 through FY 97 The number of discrimination cases opened involving reactor licensees, materials licensees, is steadily increasing, as is the number of cases of and vendors. Vendor cases represent 3%

suspected false statements, while the number of of the cases opened in FY 97, which is within the cases which involve regulatory violations has range exhibited for the past several years. Reac-fallen to the point where false statement issues tor cases appear to be relatively stable, while again dominate, as they did prior to FY 94. materials cases show a steadily decreasing trend.

The ratio of reactor to materials cases is approxi-Figure 2 depicts the distribution of cases from mately 75:25.

FY 95 to FY 97 by percentage and category of

, cases opened. The FY 97 distribution shows Management Directive 8.8, Management discrimination cases representing 47% of the cases ofAllegations (MD 8.8), which was implemented opened, an increase from FY 96. False statements in the third quarter of FY 96, contained revised accounted for 30% of cases opened, an increase criteria for prioritizing OIinvestigations. The ap-l from FY 96. Violations of rules, regulations or plication of these new criteria within the existing i

license conditions represented 23% of cases case inventory resulted in an approximately 90%

opened, a decrease from FY 96. increase in the number of high priority cases

( l LIMITED DISTRIBUTION f

investigative Inforrnation: May not be reproduced or distnbuted l

outside NRC without consumng the Director. Office of Investigations 2 U.S. NUCLEAR RssutAtoRY CoMMIS$loN W" ?i QM" ' ~ ' " " "

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_ w w. g - m e .- :m ~rre ex Investigations Opened (Percentage by Category) 1995 1996 Violatons of NRC Rules. Violations of NRC Rules, Regulations, or Ucense Other (2%) Regulations, or License Other (2%)

Condrtions (30%) / Conditions (31%) /

Disenmination (42%) Disentnination (42%)

, _ )

False Statements (26%) False Statements (25%)

1997

'holations of NRC Rules, negulations, or License Disenmination (47%)

h False Statements (30%)

Figure 2 opened. High priority cases require more investi-Investigations Opened gative hours due to their complexity, sensitivity, (Reactor / Materials / Vendor) and potential safety significance. After the initial

'S # _ implementation of the revised MD 8.8, the num-227

s. . ber of high priority cases being investigated con-32co_ # tinued to increase another 74%, from 86 in FY 96 j, *

, to 150 in FY 97.

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.s i l There are new initiatives being implemented ioo - which will again revise the prioritization criteria y 4' ,,

l , in MD 8.8, specifically regarding discrimination

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j cases, as well as the policy for handling such cases

, k.._ .' '_, in general. It is anticipated that as a result, high 1995 3998 1997 priority discrimination cases will stabilize at a l ta Totai opened c J uatenais cases I wer percentage oMe omd caseload and, hs, I

IE5lB Reactor Cases [2 VendorCases have a proportional impact on the number of cases opened in FY 98.

LIMITED DISTRIBUTION Investigative information: May not ce reproduced or d'stributed outside NRC without consulting the Director. Office of Investigations Ol ANNUAL REPoer 3

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o h]7 %DMI f@ *k p = ~ * ,- #NaDN [_II j py t k) 7-ANALYSIS OF CASES ClosEo: unvestigations cuosea

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(Major Types of Cases)

Figure 4 depicts the 238 completed investi- 300 _ ,

gations categorized by major types of alleged n.

wrongdoing as follows: 250 - g y E

Deliberate Material False Statements 65 3,200-5 Deliberate Violations of NRC Rules, _!15o-3 Regulations, or License Conditions 64 4" -y y

$ 100 - 6 Discrimination and Retaliation 109 $ $ h "e f3 (

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Investigations closed from FY 95 through FY 97 generally paralleled the trend in cases 0 i,

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g, opened. As shewn in Figure 4, there was a mod-est 8% decrease in cases closed from FY 95 $[,'"h $ [,""

through FY 97 (259 cases down to 238 cases). The t 3 v.., omne n,..

number of discrimination cases closed decreased J "Xg*"""

by 2% from FY 95 through FY 97 (111 cases to 109 cases). Figure 4 Figure 5 is a percentage comparison by cat-egory ofinvestigations closed from FY 95 through E 3 were closed due to the lack of a regulatory FY 97. Discrimination cases accounted for violation or requirement.

46% of the closed cases in FY 97, with the remaining 54% divided equally between viola. E 5 were closed for miscellaneous administrative tions of rules, regulations, or license conditions reasons.

and false statements.

E 14 were cases where OI provided assistance to Of the 238 investigations completed in technical staffinspections.

FY 97:

The number of closed cases developed to

! 2 62 cases were closed after investigation sub- a point of either a substantiated or unsubstanti-stantiated one or more of the allegations of ated conclusion on the merits increased by 110%

l wrongdoing. from FY 94 to FY 95 (57 cases to 120 cases).

_ Figure 6 shows that from FY 95 through FY 97 a 130 cases were closed after investigation did the number of such cases increased again by 60%

not substantiate wrongdoing.

(120 cases to 192 cases). This is the type of case E 10 were investicated fully, but nc onclusion upon which the technical, legal, and enforcement was drawn at tl5e specific request of the De_ staffs normally base regulatory decisions. They partment of Justice. are usually the most complex and lengthy inves-tigations performed by OI. An increase in T.14 were closed where the evidence developed closures in this area indicates a gain in investi-indicated that the safety c5 ;ificance did not

- gative efficiencies. This significant improvement warrant further expendiv ' OI resources. in the efficiency of the investigative process LIMITEo Dis %IBUTION l Investigative Information: May n;t be reproduced or distributed outside NRC without consulting the Director, Office of investigations 4 U.S. NUCLEAR REGULAfoRY CoMM SsioN

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l EZ: mmc 7mncm g,mt- ;3 z;g1&m - m. ~ ar w : .m.n; Investigations Closed (Percentage by Category) I 1995 1996 l l

Violations Regulations,oforNRC Rules, other (4%)

License Violations of NRC Rules, other (s%)

Regulations, or License Conditions (26%) I f Conditions (26%) Disenmination (44%)

Disenmination (43%)

False Statements (27%) False Statements (2s%) l Violations of NRC Rules, l

Regulations, or License Conditions (27%)

Discrimination (46%)

l False Statements (27%)

Figure 5 l

l should, in turn, have a positive impact on the Investigations Closed overall regulatory process. (Category of Closure) 300 _ -

Although the total number of cases closed 28o - 259 by OI from FY 95 through FY 97 decreased 7 2o; , go g8 by only 8%, as shown in Figure 6, there was an f220-85% decrease in the number of cases closed - 2o0 -

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due to working higher priority investigations i 180 - r la l

• 16o - j (91 cases to 14 cases). This trend again reflects j uo _ ,,, .

3 the increased efficiencies gained in both the alle-  ! i2o - 1l' i gation review and investigative processes in j 1M - f I '

l recent years. i !

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, Another indicator of improved efficiency depicted by Figure 6 is the 81% decrease m the 2o -

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{Q 199s 1996 1997 number of cases closed after it was determined a Total Closed CC Cosed for No Regulatory that there was no regulatory violation (16 cases e subsantiated or a Requirement in FY 95 to 3 cases in FY 97). This reflects the unsudstantiated Cases other Administrative improved coordination at the initial allegation a aosedgn,, oge t$ty o, cases review board meeting with the technical, legal, -

Figure 6 and enforcement staffs, facilitating a mutually 1.lMITED DISTRIBUTION Investigative Information: May not be reproduced or distributed outside NRC without consulting the Director. Office of Inves+igations

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Ol ANNUAL RipoRT 5

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j '"*~ w s _, . .. -K',,, , Q ,- ,- T7"'*7 7"J".T supportive determination of the regulatory nexus bers from 192 to 202 either substantiated or un-prior to Ol's opening a case. By dispositioning substantiated, or 85%.) At the same time, there an allegation in this manner, the need to open a was a decrease in the pe'rcentage of cases closed l case and commit OI resources is eliminated. due to working higher priorities, from 35% in FY 95 to 6% in FY 97. This further supports the In FY 94,22% of the closed cases were ei- i premise that OIis increasing its effectiveness in ther substantiated or unsubstantiated, and 45%

using its resources to develop substantive cases.

were closed due to working higher priority cases.

In that same year, initiatives to improve the effi-Figure 8 depicts the time cases were in pro-ciency of the investigative process were com- cess from FY 95 through FY 97 by results and menced and resulted in the continuing trends by priority of the investigation. As mentioned, depicted in Figure 7 from FY 95 to FY 97. There the results ofinvestigations where OI reaches a was an increase in the percentage oisubstantiated conclusion either substantiating the allegation or or unsubstantiated cases closed, from 46% in FY not, are used by the technical, legal, and enforce-95 to 81% in FY 97. (Note: An additional 10 ment staffs in making regulatory safety and en-cases were fully investigated, but no conclusion forcement decisions. In addition, high priority was reached based on instructions from the De- cases are the most time consuming and routinely partment of Justice. This would increase the num- the most complex cases in OI's inventory. By investigations Closed (Percentage Substantiated and Unsubstantiated) 1995 1996 Substantiated and Substantiated and Other (19%) Other (16%)

Unsubstantiated (46%) Unsubstantiated (73%)

Closed Due to /

Working Higher Prionties (11%)

Closed Due to -

Working Higher Prionties (35%)

1997 Substantiated and Other (13%)

Unsubstantiated (81%)

Closed Due to Working Higher Pnonties (6%)

Figure 7 l.lMITED DISTRIBUTION Investigative Information: May not be reproduced or distributed outside NRC without consulting the Director. Office of Investigations 6 U.S. NuctsAR RtoutnoRY COMMISSloN '~

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. 1 (from 120 cases in FY 95 to 192 cases in FY 97).

investigations Closed This increase in the number of substantive cases I (Completion Time - All Cases) completed, together with the overall decrease in time to completion, and especially the decrease

'8 : in time to conclude high priority cases and pro- j 16 - vide that Conclusion to the staff, further demon- l i N: 3 3 e, strates that OI is optimizing its resources and j g3: " ~

s' improving efficiency. l 811- ,',3 ~ 1o is

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~~~_ Figure 9 shows the monthly active case l

g a ; '"~.....,,,~."Jf................,...],.,o inventory in FY 97 of cases being investigated for 8-

• more than the OI goal of 12 months. There was j: - - se ..a s ue..me... -, eon w.,

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a 57% decrease from FY 95 to FY 96 in

,_ the average number of such cases (37 down to 16 l l- 1995 1996 cases). Between FY 96 and FY 97, there was 1997 another significant decrease of 44% (16 down Figure 8 to a monthly average of 9 cases). These older cases represented 13% of the inventory in FY 96, while in FY 97 they were down to 8%. This demon-strates the continuing success of Ol's efforts to focusing Ol's efforts to achieve or maintain the bring investigations to closure more expediently 12-month case completion goal on these substan- and efficiently.

tive investigations, OI is contributing its optimum effort toward more effective and timely regula-tory action.

Active inventory The OI goal of closing investigations, on Cases Open Longer than 12 Months average, within 12 months has been surpassed

! since FY 93 for all cases combined. The overall 50 '

number of months to complete cases decreased 45 -

28% during the period shown in Figure 8 (9.83 ,o _ ^",'i'on",

n "'$" """CO*,3 37 months in FY 95 to 7.04 months in FY 97). ' '

Figure 8 also depicts a decrease of 38% in the time g 'S -

to complete substantiated or unsubstantiated high 530-priority cases (13.09 months in FY 95 to 8.10 15 25 -

months in FY 97). 2o - o^"pe'n'S*

Longer than " ""Y12 '""""

Months'r1C"FY 96 e 16

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15 -

Despite the already mentioned 90% ,,

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l increase in high priority cases as a result of the to - JJ~J , J J

revised prioritization criteriain MD 8.8,the over ~ s- ]i all time to complete such cases decreased o F B- - - - - -

by 21%. In addition,it should be noted that the om h De Jan Feb Mu Apr May Jun M Aug Sep l time to completion shown in Figure 8 decreased Figure e significantly despite a 60% increase in the number of cases developed to a conclusion llMITED DISTRIBUTION Investigative Information: May not ce reproduced or distributed outside NRC without consulting the Director, Office of Investigations

- se 01 ANNUAL Report 7

n a,y w my ,cq- wyg,gnwm ., .gg Prior to FY 95, the number of referrals of sub-stantiated cases to the Department of Justice (DOJ) Case-Specific Staff Hours

! remained stable at approximately 25 per year. In l FY 95 referrals increased 116% from the previous year (25 cases in FY 94 to 54 cases in FY 95). Fig-3a _

ure 10, depicting the number of cases referred to 'd 5 DOJ between FY 95 and FY 97, indicates that re- j40- 7 ferrals increased another 33 % (54 cases to 72 cases) g n

! during that period. The 25 cases referred in FY 94 c: 30 -

represented 10% of the total closed case inventory, 3 and the 72 cases represented 30% of the closed in- p20- u ventory in FY 97. ,o _

As shown in Figure 11, case-specific staff n

hours decreased by 13% (from 51,000 to 44,500) 1995 1996 1997 l from FY 96 through FY 97. This reduction resulted, Total Case-Specific Hours in part, from a decrease in average staff strength,

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Case Administration Figure 11 DOJ Referrals 80 '

72 70 - 66 7 as well as efficiencies added to the investigative j 60 - 54 process. The current ratio of investigative activi-i E so - ties (field work, investigative travel, etc.) to admin-j y_ istrative activities (allegation review process, y writing the final report of investigation, manage-3- ment review of the case, etc.) is 71:29, which is 3

j 20 -

well above the OI goal of 60:40. This ratio, to-so _ gether with the reduction in hours and a signifi-

, _.__, cant merease in the number of substantive cases i 39,5 3993 3997 completed (as shown in Figure 7), further demon-l strates that OI is using its hours and resources Figure 10 wisely, to reach the desired outcome of producing more substantive investigations in reduced time.

i l

l llMITED DISTRIBUTION Investigative inforrnat:on: May not be reproduced or distributed outside NRC wrthout consulting the Director. Office of Investigations

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8 U.S. NucttAn ResutAtoRY Commission

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,g y SIGNIFICANT ACTIONS NRC ENFORCEMENT ACTlONSl and personal certification summaries. Further, the falsifications were condoned or directed by PI management. The investigation also disclosed that There were 242 escalated enforcement ac-tions taken by the NRC in FY 97, which included a minimum of 38 radioactive source utilization civil penalties, orders, and notices of violation at I gs were falsely created to satisfy questions asked or above Severity Level III. In 68, or 28% of. during an NRC inspection, and that a PI written these actions, the OIinvestigative fm' dings were response to the NRC was deliberately incomplete factored into the decision to take escalated enforce- and inaccurate. The NRC proposed a civil pen-ment action. The civil penalties proposed in FY 97 alty in the amount of $40,000, and issued orders where OI findings were considered in making the against the former president and vice-president of enforcement decision, totaled 51,035,600, a 28c7o PI, banning them from NRC-licensed acuvities for increase over FY 96. Period of 10 and 5 years, respectively.

The following are examples of significant Limerick Generating Station cases, the results of which were factored into en-forcement action taken by the NRC in FY 97: An investigation determined that a PECO Energy Company chemist and chemistry techni-ian deliberately falsified Reactor Enclosure Cool-Public Service Electric &

ing Water survey documentation at the direction Gas Company of the primary chemistry manager, and were sub-An investigation disclosed that Public Ser- sequently pressured by the primary chemistry vice Electric & Gas (PSE&G) discriminated manager to provide false information about their against two safety review engineers in the Salem actions to licensee personnel investigating the Generating Station on-site Safety Review Group matter. Orders prohibiting involvement in (SRG) by placing negative comments in the per- NRC-licensed activities for 5 years were issued formance appraisal of one individual and trans- against the former primary chemistry manager fening the second individual to the Hope Creek and the former chemist. Also, as a result of the SRG for raising a safety issue. Based on the re- investigation, the licensee was assessed an $80,000 sults of the investigation, PSE&G was assessed civil penalty.

an S80,000 civil penalty.

Koppel Steel Corporation Power inspection, Inc.

An investigation determined that Koppel An inves'igation t determined that Power In- Steel Corporation's Radiation Safety Officer spection, Inc. (PI), fal6ied qualification certifi- (RSO) was discriminated against by having his cations for employees who performed eddy current employment terminated for providing information

! (ET) examinations at two nuclear power plants, to an NRC inspector. As a result, the licensee was i ET qualification certification examination results, assessed an $8,000 civil penalty.

llMITED DISTRIBUTION Investigative information: May not be reproduced or distributed outside NRC witnout consulting the Director, Office of Investigations S -

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Ol ANNUAL REPORT 9

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n: g Capital Engineering Services, Inc. of plant operations and a shift supervisor) had deliberately violated required procedures related An investigation determined that the Presi-to actions to isolate the B reactor recirculation loop dent and RSO of Capital Engineering Services, in an attempt to keep the unit in operation. In part Inc. (Capital), deliberately violated an NRC or-as a result of the OIinvestigation, the NRC issued der that had suspended Capital's license to use Notices of Violation, Severity Levels II and III, moisture density gauges, and a subsequent order, and assessed civil penalties totaling S450,000.

i by using or directing the use of the gauges on more than 140 occasions. Based on the investigative findings, the NRC revoked Capital's NRC license Ohio State University and issued an order prohibiting Capital's presi-An investigation concluded that a former l dent from engaging in NRC-licensed activities for health physicist and a former RSO willfully failed l a period of 3 years.

to conduct inventories personally, or to ensure that inventories were conducted as required, and that Susquehanna Steam Electric Station the same former RSO willfully failed to have li-

! censed material disposed of, as required. The in-i Two OIinvestigations, technical staffinspec- vestigation also concluded that senior management j tions, and information provided by the licensee and/or the radiation safety committee personnel i during an enforcement conference collectively shared culpability due to their lack ofinvolvement i identified numerous examples of both licensed and in and/or guidance to the radiation safety program.

non-licensed personnel not performing required The NRC issued to the licensee a Severity Level l activities, yet documenting on record that the ac- H violation, two Severity Level III violations, and

, tivities were performed. This raised serious ques- assessed a combined civil penalty of $13,000. In l tions regarding the adequacy of management and addition, a Demand for Information was issued l supervisory oversight at the Susquehanna Steam because the licensee failed to prevent recurrent l Electric Station. These findings resulted in a No- willful violations.

tice of Violaticn and assessing the licensee a civil oenalty of $160,000.

United Nuclear Corporation Sequoyah Nuclear Plant An investigation determined that United Nuclear Corporation deliberately provided inaccu-An extensive investigation disclosed that a rate and incomplete information in response to an senior Tennessee Valley Authority (TVA) manager NRC order to set aside certain funds for decom-had discriminated against a Sequoyah chemistry missioning, which were to be used for the cleanup department manager for engaging in protected of a milling operation in New Mexico. The NRC activity.~ The NRC issued a Severity Level I vio- issued a Notice of Violation, % verity Level II, and lation and assessed a $100,000 civil penalty. Also, assessed the licensee a civil penalty of $100,000.

l the senior manager was issued an order prohibit-j ing him from engaging in NRC-licensed activi-Fa rbanks Memorial Hospital 1

nes for 5 years.

l An investigation determined that a nuclear l Clinton Power Station medicine technologist employed by Fairbanks Memorial Hospital, an NRC licensee, adminis-An investigation concluded that four licensed tered 6.6 millicuries of iodine-131 to a patient in-reactor operators (including the assistant director stead of the intended dose of 100 microcuries, and LIMITED DISTRIBUTION Investigative information: May not be reprcduced or d:stributed outside NRC without consulting the Director. Office of Investigations

! 10 U.S. NucuAR REsuwoRY CoMMIS$loN 7' " * ~

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V T*T.'"- _ M*TQ3m'~mW"'m%; y o L F*gtWr*ug u M-~'f*'~~~T (,,' k A Qm" deliberately did so without a written directive eters. The NRC assessed a civil penalty in the signed by a physician. The NRC assessed a civil amount of $4,000, and issued a confirmatory or-penalty of $2,500 against the licensee, and issued der to the radiographer banning him from NRC-a Notice of Violation, Severity Level III, to the licensed activities for a period of 3 years. Aletter nuclear medicine technologist. was also sent to the assistant radiographer remind-ing him of the potential consequences of his de-NDC Systems, Inc. liberate misconduct.

l An in.'estigation determined that NDC de-liberately falsified labels on radioactive probes, FEDERAL COURT ACTIONS l failed to complete required Department of Trans-portation forms and labeling, and failed to com- Of the 238 investigations closed in FY 97, plete leak tests prior to shipping sensors to 72 cases were referred to DOJ for prosecutorial overseas customers. The NRC issued a Confir- review. During FY 97, OI supported five Federal matory Order Modifying License and a Notice of grand juries. In addition, OI investigations re-Violation. Letters were issued to four NDC em- sulted in one guilty plea in Federal court.

ployees, reminding them of the potential conse-quences of a violation of the " Deliberate The following are examples of significant Misconduct" mle. cases involving DOJ, other Federal agencies, and Federal court actions which took place over ,

Fort Calhoun several years, resulted in criminal prosecution, and culminated with NRC enforcement action An investigation disclosed that a contract in FY 97:

employee, who had been granted unescorted ac-cess, had falsified his personnel history question- National Circuits Caribe, Inc.

naire regarding a misdemeanor charge of theft in 1991. The employee indicated he had never been Ajoint investigation of this firm's activities arrested; however, FBI inquiries revealed an ar- was conducted by the EPA, FBI, and NRC, rest and incarceration. When confronted with this requiring extensive use of a Federal grand jury information, the employee provided false infor- in Puerto Rico. As a result, the president of mation to the licensee and the NRC inspector. The National Circuits was indicted for abandoning a NRC issued an order banning the contract em- gauging device containing byproduct material at ployee from being involved in NRC-licensed ac- the company facility in Fajardo, Puerto Rico. The tivities for a period of 5 years. indictment also charged the president with im-proper storage of hazardous wastes, an EPA vio-Barnett Industrial X-Ray, Inc. lation. Consequently, the firm's president was arrested by the FBI in October 1995. On June 6, During an investigation of the circumstances 1996, in U.S. District Court, Baltimore, Maryland, surrounding a radiography incident involving a he pleaded guilty to abandoning the gauge and radioactive source extended outside a camera,it was subsequently sentenced to 2 years probation, was determined that although the radiographer and 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 fm' e.

assistant radiographer involved had been properly On December 12,1996, the NRC issued an order j trained, they deliberately chose not to wear film prohibiting the president from participating in l badges, alarming rate meters, or pocket dosim- NRC-licensed activities for 5 years.

l lJMITED DISTRIBUTION Investigative Information: May not be reproduced or distributed outside NRC without consulting the Director, Office of investigations

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L*- DC Cook cocaine at Turkey Point and his access had been An investigation detennined that a contract revoked. In March 1997, the contract insulator I

insulator employed at DC Cook had falsely pleaded guilty, was sentenced to 2 years proba- '

, claimed he had never been denied access at a tion, and was fined S2,000. In June 1997, the NRC i ' nuclear plant in his application for access at DC . issued an order which prohibited this individual's Cook and Fitzpatrick in 1994. In fact, in 1991,- involvement in NRC-licensed activities for a r :. the contract insuhtor had tested positive for period of 5 years.

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lNITIATIVES 1

In the past, OI has on occasion identified to procedures, timeliness, and the outcome of our the technical staff safety issues not directly re- work in efficiency, productivity, and client satis-l lated to specific wrongdoing which surfaced dur- faction. To assess the usefulness and value of l ing the course of its investigations. We believe our investigative product, OI interviews the Re- l that the skills possessed by OI agents may be put gional Administrator, the Enforcement Coordi-to greater use in this respect. Therefore, it is OI's nator, the Allegation Coordinator, and the l intention to report on such generic / programmatic Regional Counsel In addition, at NRC Head-issues as management oversight, training defi- quarters level, interviews focusing on potential ciencies, workplace culture / climate, and poten- efficiencies and end-user satisfaction are con-tial areas for improving or clarifying NRC ducted with supporting and supported offices. OI requirements, which are developed during inves- intends to continue these self-assessments to de-tigations. Identification of these issues will re- velop additional efficiencies and insights toward quire continued close coordination with the improving the investigative process.

technical staff, while enhancing the OI mission to include elements of licensee oversight and OI has been working with the Office of the regulatory effectiveness. Chief Information Officer (OCIO) and its con-tractors to upgrade the OI Management Informa-In a Staff Requirements Memorandum, re- tion System (OIMIS). The upgrade of OIMIS, garding SECY-96-199 and SECY-97-147, the which will be implemented in approximately staff was asked to make recommendations re- May/ June 1998, will gain many efficiencies for garding a plan to better focus resources on high OI in accomplishing its investigative mission.

priority discrimination cases. As a result, the staff recommended several adjustments to the allega. OI is also participa. ting, under the auspices tion review and handling process, the investiga. of the CIO,in development of an interface of the tive process, and the enforcement process, which data bases of the Office of Enforcement, the A'-

should serve to increase the agency's ability legation Management System, and the Office for to respond to discrimination matters. These ad. Analysis and Evaluation of Operational Data.

justments are being implemented currently and The linkage of this data should improve the their impact should be measurable by the end agency's ability to detect potential safety perfor-of FY 98. mance trends based on such factors as increased frequency and/or significance of allegations,in-OI conducts a continuing self-assessment vestigative findings (generic / programmatic is-program, which includes annual visits to field sues identified as well as specific wrongdoing),

offices, interviews of major supported region and enforcement matters.

staff, interviews of program managers at Head-quarters, and periodic training seminars.The field In addition to the above initiatives, OI has office visits focus on internal OI performance supported the NRC effort to formulate an NRC measures related to general operational and ad. Strategic Plan and an NRC Performance Plan.

ministrative matters, compliance with policy and In so doing, we are developing an OI Operating l

l l 1.lMITED DISTR lBUTION Investigative Inforrnation: May not be reprocuced or dis +r:buted outside NRC without consulting the Director. Office of Investigotions m - . . - - 01 ANNUM REPORT 13

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Plan, which will describe the strategies OI will In summary, this has been a productive year use to support the Performance and Strategic for OI. We have successfully met our goals in  ;

Plans and to adjust budgetary requirements to ac-FY 97, and we 'will strive for development of L .complish these strategies. . additional efficiencies in the coming fiscal year.

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l llMITED DISTRIBUTION investigative information: May not be reproduced or distributed outside NRC without consulting the Directot Office of Investigations 14 : U.S. NuctsAn Riouwoey Couuission - em' ='m- - - c- ,. -w 1

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APPENDIX: .

STAHSDCAL

SUMMARY

REPORT AND l.IST OF CLOSED CASES FOR FY 97 l l

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a.. Ol ANNUAL RtroRT 15

NRC-1251314-90 0FFICE OF INVESTIGATIONS MANAGEMENT INFORMATION SYSTEM

' STATUS OF CASES FOR THE PERIOD 10/01/ % - 09/30/97' CASES OPEN AT START OF THIS PERIOD: 128 CASES OPENED THIS PERIOD: 206 CASES CLOSED THIS PERIOD: 238

• SUBSTANTIATED 62 UNSUBSTANTIATED 130 LACK OF REGULATORY REQUIREMENT 3 INSUFFICIENT EVIDENCE OF W ONGD0 LNG 0 HIGHER PRIORITY 14 TRANSFERS TO OTHER REGIONS 0 OTilER 15 ASSISTANCE TO STAFF 14' TOTAL CASES OPEN AT Ef0 0F Tills PERIOD:  %

1 CRIMINAL REFERRALS: 72

• SOURCE: ALLEGER /WHISTLEBLOWER/INTERVENOR - 13S NRC (INSPECTOR / TECH STAFF) - 44 LICENSEE / LICENSEE EMPLOYEE CONCERN PROGRAM - 49 OI (SELF-INITIATED AND DEVELOPED BY OI) 3 OTHER GOVERNMENT AGENCIES - 7 i

LIMITED DISTRIBUTION Investigative Information: May not be reproduced or distributed further without consulting the Director. 01.

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NRC 12513IA-A 0FFICE OF INVESTIGATIONS PAGE: -1 ANNUAL REPORT OF CLOSED CASES DATE: 12/09/97 FOR THE PERIOD 10/01/ % - 09/30/97 CLOSED ,

CASE N8JMBER ALLEGATION SOURCE FACILITY NAME DATE/ RESULT 00J ACTION -

1-95-013 POTENTIAL INTENTIONAL A SALEM 1 03/31/97 / S DECLINATION OPERATION OF PLANT OUTSIDE ITS DESIGN BASIS & FAILURE TO EVALUATE AN UNRESOLVED SAFETY QUESTION

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EA NUMBERS: 97-204 OE ACTIONS: LETTER 06/06/97 ,

1-95-0325 DISCRIMINATION AGAINST A QA A PILGRIM 1 07/18/97 / U NR ENGINEER FOR QUESTIONING THE USE OF A HARDNESS TESTER FOR A QA RECEIPT INSPECTION EA NUMBERS: NA DE ACTIONS: NO ACTION i 1-95-033 WRONGFUL ADMINISTRATION OF L NIH 01/23/97 / S DECLINATION P-32 EA NUMBERS: 97-238 OE ACTIONS: LETTER 09/17/97 LEGEND t,

SOURCE: A = ALLEGER /WHISTLEBLOWER/INTERVENOR 003 ACTION: NR = NO REFERRAL I = NRC (INSPECTOR / TECH STAFF)

L = LICENSEE / LICENSEE EMPLOYEE CONCERN PROGRAM 0 - 01 (SELF-INITIATED AND DEVELOPED BY OI)

T = OTHER (GOVERNMENT AGENCIES: E.G.. CONGRESS, FBI, CUSTOMS, STATE POLICE) ,

RESULT: A = ADMINISTRATIVELY CLOSED I = INCORPORATED 5 = SUBSTANTIATED  !

T = TRANSFERRED U = UNSUBSTANTIATED R = LACK OF REGULATORY REQUIREMENT E = INSUFFICIENT EVIDENCE OF WRONGDOING P = HIGHER PRIORITY F = INVESTIGATIVE ASSISTANCE TO STAFF 0 = OTHER

• This case was placed in last year's statistics due to a computer error. The closure date is accurately reflected here.

LIMITED DISTRIBUTION INVESTIGATIVE INFORMATION: MAY NOT BE REPRODUCED OR DISTRIBUTED OUTSIDE NRC WITHOUT CONSULTING THE DIRECTOR. 01.

NRC-125131A-A 0FFICE OF INVESTIGATIONS PAGE: 2 ANNUAL REPORT OF CLOSED CASES DATE: 12/09/97-FOR THE PERIOD 10/01/ % - 09/30/97 9

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CLOSED t ALLEGATION SOURCE FACILITY NAE DATE/ RESULT DOJ ACTION CASE Nt#EER 1-95-046 ALLEGEDDISCRIMINATIONAGAINST A MILLSTONE 1 01/23/97 /

SENIOR ENGINEER FOR RAISING ,

CONCERNS RE MILLSTONE UNIT 1 SPENT FUEL POOL EA NUMBERS: NA DE ACTIONS: NO ACTION 1-95 0495 CONTINUED DISCRIMINATION A V. A.. DEPARTENT OF 06/17/97 / U NR AGAINST THE R50 FOR RAISING CONCERNS TO THE NRC ABOUT THE l

SAFETY IMPACT OF EMPLOYEE FURLOUGHS EA NUMBERS: NA DE ACTIONS: NO ACTION 1 % -001 POTENTIAL REPORTABILITY/ I MILLSTONE 1 12/03/% / U INCOMPLETE AND INACCURATE +

INFORMATION ON VIOLATIONS RE CU-29 CONTAINMENT ISOLATION VALVE EA NUMBERS: NA OE ACTIONS: NO ACTION 1 96-004 AtLEGED DISCRIMINATION AGAINST A 'ALEM 1 10/31/% / U NR PSE&G ENGINEER FOR RAISING CONCERNS RE SALEM SOURCE TERM ,

DESIGN BASIS ISSUES l

EA NUEERS: NA OE ACTIONS: NO ACTION ,

1-96 005 ALLEGED DEFICIENCIES IN OFFGAS A VERMONT YANKEE 06/1B/97 / U NR SYSTEM AND DISCRIMINATION '

AGAINST ENGINEERING PERSONNEL BY PLANT MANAGEMENT EA NUE ERS: NA DE ACTIONS: NO ACTION 1-96-006 ALLEGED FALSIFICATION OF A A LIERICK 1 01/23/97 / 5 DECLINATION RECW WATER SAMPLE DOCUMENT EA NUMBERS: 97-050 OE ACTIONS: CIVIL PENALTY $80,000 08/05/97 ,

i 97-283 INDIVIDUAL - LETTER 08/05/97 97-077 INDIVIDCAL - ORDER 08/05/97 97-078 i

LIMITED DISTRIBUTION INVESTIGATIVE INFORMATION: MAY NOT BE REPRODUCED OR DISTRIBUTED OUTSIDE NRC WITHOUT CONSULTING THE DIPICTOR 01.

NRC-125131A-A- 0FFICE OF INVESTIGATIONS PAGE: 3-  ;

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ANh0AL REPORT OF CLOSED CASES DATE: 12/09/97 FOR THE PERIOD 10/01/ % - 09/30/97 '

CLOSED CASE NUPEER ALLEGATION S0tRCE FACILITY NAE DATE/ RESULT 00J ACTION 1-96-014 DISCRIMINATION AGAINST DESIGN A MILLSTONE 2 04/23/97 / DECLINATION ENGINEER FOR RAISING CONCERNS ,

RE DISCREPANCIES IN PIPING AND f INSTRUPENT DIAGPAMS' .

EA NUMBERS: NA DE ACTIONS: NO ACTION' r i

1- % 016 . DISCRIMINATION AGAINST A HOPE CREEK 1 09/26/97 / U NR -

LICENSED OPERATOR FOR REPORTING RADIATION VIOLATION ,

BY SHIFT SUPERVISOR EA NUPEERS: NA DE ACTIONS: NO ACTION 1  !

1 96-020 DISCRIMINATION AGAINST SENIOR A INDIAN POINT 2 01/13/97 / U NR ,

REACTOR OPERATOR FOR RAISING SAFETY CONCERNS RE r SUPERVISOR'S BEHAVIOR EA NUPEERS: NA DE ACTI0r2: NO ACTION 4

LIMITED DISTRIBUTION r INVESTIGATIVE INFORMATION: MAY NOT BE REPRODUCED OR DISTRIBUTED OUTSIDE NRC WITHOUT CONSUL 11NG THE DIRECTOR. OI.

3- NRC-12S131A-A 0FFICE OF INVESTIGATIONS PAGE: 4 ANNUAL REPORT OF CLOSED CASES DATE: 12/09/97 FOR THE PERIOD 10/01/ % - 09/30/97 CLOSED

< CASE NVIEER ALLEGATION SOURCE FACILITY NAME DATE/RE* ULT 00J ACTION-1- % -021 DISCRIMINATION AGAINST RSO FOR A ' K0PPEL STEEL CORPORATION 11/19/%' / 5 DECLINATION PROVIDING INFORMATION TO AN NRC INSPECTOR ,

EA NtfEERS: 96-498 OE ACTIONS: civil PENALTY $8,000 03/19/97 1- % -022 WILLFULLY FAILING TO CORRECT I MILLSTONE 3 07/17/97 / r INACCURATE DESIGN BASIS INFORMATION SUBMITTED TO TE 7

NRC EA NUMBERS: NA DE ACTIONS: NO ACTION 1- % -023 LICENSEE MANAGEMENT CHOSE TO I MILLSTOE 1 01/13/97 / P NR "

DEllBERATELY VIOLATE PROCEDURES REQUIREMENTS RELATED TO THE EPL PROGRAM AT NU EA NUPEERS: NA 'OE ACTIONS: NO ACTION ,

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1- % -02S INACCURATE INFORMATION L MAINE YANKEE 06/27/97 / S DECLINATION PROVIDED TO NRC REGARDING CAPACITY OF ATMOSPHERIC STEAM DUMP EA NUteERS: NA DE ACTIONS: NO ACTION s

1-96-027 DELIBERATE VIOLATIONS OF I HOPE CREEK 1 10/26/% / U PR i

RADIOLOGICAL CONTROL REQUIREMENTS BY A SENIOR

' NUCLEAR SHIFT SUPERVISOR l EA NUMBERS: NA OE ACTIONS: NO ACTION LIMITED DISTRIBUTION '

INVESTIGATIVE INFORMATION: MAY NOT BE REPRODUCED OR DISTRIBUTED OUTSIDE MRC WITHOUT CONSULTING THE DIRECTOR. 01.

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'NRC-125131A A 0FFICE OF INVESTIGATIONS PAGE: 5 ANNUAL REPORT OF CLOSED CASES DATE: 12/09/97 FCR THE PERIOD 10/01/ % - 09/30/97 CLOSED CASE NUtBER ALLEGATION SOURCE FACILITY NAE DATE/ RESULT D0J ACTION 1- % -029 COMPROMISE OF SECURITY BADGE I SALEM 1 10/29/% / F NR C0f: TROL PROGRAM EA NutBERS: NA DE ACTIONS: NO ACTION 1-96-030 DISCRIMINATION AGAINST A A NOVACOR CE MICALS INC 10/30/% / il NR RADIATION SAFETY OFFICER FOR RAISING RADIOLOGICAL CONCERNS EA NUMBERS: NA DE ACTIONS: NO ACTION l

1-96-032 DELIBERATE USE OF RADI0 ACTIVE I SADOVSKY. ROY (DVM) 12/16/ % / S DECLINATION MATERIAL AT LOCATIONS NOT SPECIFIED ON TE LICENSEE *S NRC MATERIALS LICENSE EA NUMBERS: 97 019 OE ACTIONS: ORDER 05/01/97 97-150 CIVIL PENALTY $4,000 05/01/97 .97-149 INDIVIDUAL - ORDER 05/97 1-96-033 FALSIFICATION OF A A LIMERICK 1 02/19/97 / 5 DECLINATION SURVEILLANCE TEST BY A FIRE PROTECTION TECHNICIAN EA NUMBERS: 97-115 OE ACTIONS: LETTER 08/05/97 97-282 INDIVIDUAL - LETTER 08/05/97 LIMITED DISTRIBUTION INVESTIGATIVE INFORMA110N: MAY NOT BE REPRODUCED OR DISTRIBUTED OUTSIDE NRC WITHOUT CONSULTING TE DIRECTOR, 01.

m NRC-125131A-A 0FFICE OF INVESTIGATIONS PAGE: 6 ANNUAL REPORT OF CLOSED CASES DATE: 12/09/97 FOR THE PERIOD 10/01/ % - 09/30/97 .

CLOSED CASE NUPBER ALLEGATION SOURCE FACILITY NAE DATE/ RESULT 00J ACTION 1- % -034 DISCRIMINATION AGAINST A HADDAM NECK 06/27/97 / DECLINA1.A!

MULTIPLE LICENSEE EMPLOYEES FOR ENGAGING IN PROTECTED ACTIVITIES VIA JAN 1996 LAYOFF EA NUPBERS: NA DE ACTIONS: NO ACTION 1- % 035 FAILURE TO PERFORM REQUIRED I WASHINGTON HOSPITAL CENTE 12/03/ % / S DECLINATION BIO-ASSAYS EA NUMBERS: % 385 OE ACTIONS: CIVIL PENALTY $5,000 04/10/97 96 522 NO ACTIGN 1-96 037 FALSIFICATION OF REACTOR L NINE MILE POINT 1 03/26/97 / F NR OPERATOR QUALIFICATION RECORDS EA NUPBERS: NA DE ETIONS: NO ACTION 1 % -039 TECH SPEC VIOLATION DUE TO L SUSQUEHANNA 2 01/30/97 / S DECLINATION FAILURE OF NPOS TO CONDUCT ADEQUATE SURVEILLANCES AND FALSIFICATION OF SURVEILLANCE RESULTS EA NUPBERS: 97-054 OE ACTIONS: NOV 06/20/97: CIVIL PENALTY $160.000 06/20/97

% 270 CIVIL PENALTY $50,000 06/20/97

% 347 1-96 040 INCOMPLETE AND INACCURATE A MAINE YANKEE 05/30/97 / U ' NR INFORMATION DELIBERATELY PROVIDED TO THE IstC REGARDING THE EF'S AT MAINE YANKEE EA NUPBERS: NA DE ACTIONS: NO ACTION 1- % 041 DISCRIMINATION AGAINST A CERTIFIED TESTING LABS. 01/28/97 / U NR TECHNICIAN FOR RAISING CONCERNS RE: POSSIBLE LEAKS IN PORTABLE HOISTURE DENSITY GAUGES EA NUPBERS: NA DE ACTIONS: NO ACTION LIMITED DISTRIBUTION INVESTIGATIVE INFORMATION: MAY NOT BE REPR00UCT5'MTf5TRIBUTNRITSIDE NRC WITHOUT CONSULTING THE DIRECTOR 01.~

PAGE: 7 0FFICE OF INVESTIGATIONS'

.NRC-125131A-A DATE: 12/09/97 ANNUAL REPORT OF CLOSED CASES FOR THE PERIOD 10/01/ % 09/30/97 CLOSED FACILITY NAME DATE/ RESULT 00J ACTION ALLEGATION SOURCE CASE N M ER I CAPITAL ENGINEERING SERV 1 02/24/97 / 5 DECLINATION 1-96 042 USE OF TROXLER GAUGES CONTRARY TO AN NRC ORDER EA NUPEERS: 97-074 OE ACTIONS: i 97-125 INDIVIDUAL - ORDER 05/15/97  !97-202 ORDER 5/15/97 .97-203 t

A WHITEFORD ENVIR SERV 02/21/97 / F NR '

1-96-044 ASSIST TO OTER FEDERAL AGENCIES EA NUPEERS: NA OE ACTIONS: NO ACTION A HADDAM NECK 04/10/97 / DECLINATION 1-96-045 DISCRIMINATION AGAINST SECURITY GUARD FOR RAISING CONCERNS TO MANAGEK NT RE TESTING OF INTRUSION ALARM SYSTEM EA NUMBERS: NA DE ACTIONS: NO ACTION L SUS 7JEHANNA 2 04/30/97 / U NR 1-96-046 PP&L LICENSED OPERATORS FALSIFIED TOUR TURNOVER SHEETS EA NUMBERS: 97-311 OE ACTIONS: OPERATOR - LETTER 06/20/97 97-312 370 NNTm ' rTTER 06/20/9-A HADDAM NECK 08/05/97 / DECLINATION 1-96-048 DISCRIMINATION AGAINST A LICENSEE EMPLOYEE FOR RAIS1tG SAFETY CONCERNS EA N'JMBERS: NA DE ACTIONS: NO ACTION i

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0FFICE OF INVESTIGATIONS PAGE: 8 NRC-125131A-A DATE: 12/09/97 .

ANNUAL REPORT OF CLOSED CASES r FOR THE PERIOD 10/01/ % - 09/30/97 CLOSED SOURCE FACILITY NAME DATE/ RESULT 00J ACTION CASE NUM ER ALLEGATION-l

-i 1-97-004 FALSE STATEENT IN LICENSEE I NEWARK E DICAL ASSOC 07/23/97 / S- -

APPLICATION CONCERNING THE <

IDENTIFICATION OF THE RSO AND 3

AUTHORIZED USER EA NUMBERS: 97-306 DE ACTIONS: INDIVIDUAL - ORDER 07/31/97 97-307 INDIVIDUAL - ORDER 07/31/97 97-402 INDIVIDUAL - ORDER 08/27/97 97-404 INDIVIDUAL - ORDER 09/15/97 1-97-005 DISCRIMINATION AGAINST A A PEACH BOTTOM 2 03/25/97 / U NR E CHANICAL ENGlhEER FOR RAISING CONCERNS REGARDING SAFETY RELATED EQUIPMENT EA NUMERS: NA DE ACTIONS: NO ACTION .

1-97-012 ASSIST TO INSPECTION OMSS) A AMER INDUSTRIAL TECH 05/28/97 / F NR EA NUN ERS: NA DE ACTIONS: NO ACTION 1-97-013 DISCRIMINATION AGAINST A A MILLSTONE 1 06/13/97 / U DECLINATION '

SENIOR DEPARTENT ASSISTANT I I

-FOR RAISING HARASSENT CONCERNS AT A SITE KETING DE ACTIONS: NO ACTION j EA NLMBERS: NA

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NRC-12513IA A 0FFICE OF INVESTIGATIONS PAGE: 9 ANNUAL REPORT OF CLOSED CASES DATE: 12/09/97 FOR TE PERIOD 10/01/ % - 09/30/97 CLOSED CASE NUMBER ALLEGATION SOURCE FACILITY NAE DATE/ RESULT D0J ACTION 1-97-014 DISCRIMINATION AGAINST A NEW JERSEY. UNIV. OF ED. 07/31/97 / U NR DIRECTOR OF NUCLEAR E DICINE FOR PROVIDING INFORMATION TO  !

TE NRC ABOUT ANOT fER LICENSEE EA NUMBERS: NA ut .*STIONS: NO ACTION 1 97 015 DISCRIMINATION AGAINST A DOSE A THREE MILE ISLAND 1 09/03/97 / P NR ASSESSMENT TECH DUE TO RAISING EP CONCERNS TO MANAGEE NT AND DIRECTLY TO TE NRC EA NUMBERS: NA DE ACTIONS: NO ACTION 1-97-022 ASSIST TO INSPECTION A V. A. , DEPARTENT OF 07/08/97 / F NR EA NUMBERS: NA DE ACTIONS: NO ACTION 1 97-025 ASSIST TO INSPECTION A LIERICK 1 09/24/97 / F NR EA NUNERS: NA DE ACTIONS: NO ACTION 1-97-028 ASSIST TO INSPECTION A BEAVFR VALLEY I 08/22/97 / F NR '

EA NUMERS: NA DE ACTIONS: NO ACTION 1-97-029 ASSIST TO INSPECTION A HADDAM NECK 09/25/97 / F NR EA NUMBERS: NA DE ACTIONS: NO ACTION 1-97-032 ASSIST TO INSPECTION I VERMONT YANKEE 09/30/97 / F NR EA NUMBERS: NA OE ACTIONS- NO ACTION 2 94-024 ALLEGED FALSIFICATION OF A QUALITY CONCEPTS 10/29/% / U NR CERTIFICATION EA NUMBERS: NA DE ACTIONS: NO ACTION ,

LIMITED DISTRIBUTION INVESTIGATIVE INFORMATION: MAY NOT BE REPRODUCED OR DISTRIBUTED OUTSIDE NRC WITHOUT CONSULTING TE DIRECTOR, 01. ,

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NRC-125131A-A 0FFICE OF INVESTIGATIONS PAGE: 10 ANNUAL REPORT OF CLOSED CASES DATE:'12/09/97 FOR TE PERIOD 10/01/ % - 09/30/97 CLOSED CASE NUMER- ALLEGATION . SOURCE FACILITY NAME DATE/ RESULT' D0J ACTION >

2-95-001 DISCRIMINATION AGAINST A BRUNSWICK 2 01/31/97 / U NR DEPARTMENT MANAGER FOR RAISING CONCERNS RE CONTROL ROD DRIVES EA NUMERS: NA DE ACTIONS: NO ACTION ,

2-95-020 ALLEGED DISCRIMINATION AGAINST A CRYSTAL RIVER 3 02/26/97 / U NR OPERATIONS SHIFT SUPERVISOR FOR RAISING SAFETY CONCERNS +

ABOUT AN OPERATING CURVE EA NUMBERS: NA DE ACTIONS: NO ACTION -

2-95-021 ALLEGED DISCRIMINATION AGAINST A CRYSTAL RIVER 3 02/28/97 / U NR OPERATIONS ASSISTANT SHIFT SUPERVISOR FOR RAISING SAFETY CONCERNS RE OPERATING CURVE EA NUMERSt NA DE ACTIONS: NO ACTION 2- % -033 ALLEGED FALSIFICATION OF A CHARLESTON AREA ED CTR 02/13/97 / U NR INFORMATION PROVIDED TO NRC REGARDING A THERAPEUTIC EVENT EA Nt#EERS: NA DE ACTIONS: NO ACTION 2-95-034 ALLEGED FALSIFICATION OF A ST LUCIE 1 08/22/97 / 5 DECLINATION INFORMATION PROVIDED TO NRC REGARDING EVALUATION OF RELIEF VALVES EA NUMBERS: 97-451 OE ACTIONS: INDIVIDUAL - LETTER 10/08/97 I 2-95-035 ALLEGED FALSIFICATION OF L TURKEY POINT 3 02/10/97 / P NR ACCESS AUTHORIZATION COMPUTER RECORDS 'I i

EA NUPBERS: 97-086 OE ACTIONS: LETTER 03/19/97 l

LIMITED DISTRIBUTION INVESTIGATIVE INFORMATION: MAY NOT BE REPRODUCED OR DISTRIBUTED (TUTSIDE NRC WITHOUT CONSULTING THE DIRECTOR, 01.  ;

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.NRC-125131A-A 0FFICE OF INVESTIGATIONS PAGE: 11 ANNUAL REPORT OF CLOSED CASES -DATE: 12/09/97 FOR THE PERIOD 10/01/96 - 09/30/97 CLOSED CASE NUMER ALLEGATION SOURCE FACILITY NAME 'DATE/ RESULT 00J ACTION 2- % -001 ALLEGED DISCRIMINATION AGAINST A PILGRIM 1 12/19/% / U NR CONTRACTOR EMPLOYEE FOR RAISING CONCERNS REGARDING RADIATION DECONTAMINATION PROCEDURES EA NUMERS: NA DE ACTIONS: NO ACTION 2 % -003 ALLEGED DISCRIMINATION AGAINST A TVA/ MULTIPLE 03/12/97 / U N; SECURITY COMPUTER PROJECT LEADER FOR RAISING SAFETY CONCERNS REGARDING SECURITY SYSTEMS EA NUMERS: NA DE ACTIONS: NO ACTION 2 96-005 ALLEGED VIOLATION OF SITE L CRYSTAL RIVER 3 12/13/ % / S DECLINATION SECURITY PLAN BY CONTRACT SECURITY PERSONNEL REGARDING BADGE CONTROL EA NUMERS: 97-008 OE ACTIONS: NOV 04/18/97 97-009 INDIVIDUAL - LETTER 01/24/97 97-010 '1DIVIDUAL - LETTER 01/24/97

,97-011 2-96-006 ALLEGED IMPROPER DENIAL OF L DUKE POWER CD 03/19/97 / U NR UNESCORTrD ACCESS EA NUMBERS: NA DE ACTIONS: NO ACTION 2 96 008 ALLEGED CONTINUING A BROWNS FERRY 1 11/20/% / U NR DISCRIMINATION AGAINST FORMER STONE & WEBSTER IRONWORKER FOR RAISING PAST CONCERNS RE FIREWATCHES EA NUMBERS: NA DE ACTIONS: NO ACTION 2-96-009 ALLEGED FALSIFICATION OF L SEQUOYAH 2 01/24/97 / U NR FIREWATCH JOURNALS EA NUMBERS: 97-092 OE ACTIONS: NOV 03/14/97 LIMITED DISTRIBUTION INVESTIGATIVE INFOR (TION: MAY NOT BE REPRODUCED OR DISTRIBUTED OUTSIDE NRC WITHOUT CONSULTING T E DIRECTOR. 01.

NRC-125131A A 0FFICE OF INVESTIGATIONS PAGE: 12 ANNUAL REPORT OF CLOSED CASES DATE: 12/09/97 FOR THE PERIOD 10/01/ % - 09/30/97 CLOSED CASE NUMBER' ALLEGATION SOURCE FACILITY NAE DATE/ RESULT D0J ACTION 2- % -010 ALLEGED FALSIFICATION OF L MCGUIRE 1 03/31/97 / S DECLINATION QUALITY ASSURANCE DOCUMENT EA NUMBERS: 97-219 OE ACTIONS: NOV 06/16/97 97-243 INDIVIDUAL - ORDER 08/18/97 2-96-011 ALLEGED DISCRIMINATION AGAINST A CRYSTAL RIVER 3 02/28/97 / U NR CONTROL OPERATOR FOR RAISING SAFETY CONCERNS REGARDING MAKEUP TANK OVERPRESSURE EA NUPEERS: 97-011 OE ACTIONS: ORDER 03/24/97

- 2 'J6 012 ALLEGED DISCRIMINATION AGAINST A CRYSTAL RIVER 3 03/11/97 / U NR CONTROL OPERATOR FOR RAISING SAFETY CONCERNS REGARDING MAKEUP TANK OVERPRESSURE EA NLMBERS: NA DE ACTIONS: NO ACTION 2-96-015 FALSIFICATION OF SURVEY L SEQUOYAH 2 02/12/97 / 5 DECLINATION RECORDS EA NUMBERS: 97 085 OE ACTIONS: NO ACTION 2-96-017 EMPLOYER DISCRIMINATION A BARTLETT NUCLEAR. INC. 10/31/% / U NR

• AGAINST CONTRACT EMPLOYEE FOR RAISING RADIATION SAFETY CONCERNS EA NUMBERS: NA DE ACTIONS: NO ALTION 2 96-018 FAILURE TO FOLLOW C00LDOWN I CRYSTAL RIVER 3 12/12/% / U NR RATE PROCEDURES j

EA NUMBERS: NA DE ACTIONS: NO ACTION 2-96 019 FALSIFICATION OF SECURITY A THE ATLANTIC GROUP- 10/21/% / U NR QUESTIONNAIRE ,

EA NUMBERS: NA DE ACTIONS: NO ACTION I

LIMITED DISTRIBUTION INVESTIGATIVE INFORMATION: MAY NOT BE REPRODUCED OR DISTRIBUTED OUTSIDE NRC WITHOUT CONSULTING THE DIRECTOR, 01.

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NRC-125131A A 0FFICE OF INVESTIGATIONS PAGE. 13 ANNUAL REPORT OF CLOSED CASES DATE: 12/09/97 FOR THE PERIOD 10/01/ % - 09/30/97-CLOSED CASE NUEER ALLEGATION SOURCE FACILITY NAE DATE/ RESULT 00J ACTION 2 96-020 DISCRIMINATION AGAINST A BROWNS FERRY 2 11/22/% / U NR CONTRACT PIPEFITTER FOR RAISING CONCERNS RE PROCEDURAL REQUIREMENTS ASSOCIATED WITH WORK ORDERS EA NUMERS: %-521 OE ACTIONS: NO ACTION 2-96 021 DISCRIMINATION AGAINST AN A BRUNSWICK 2 11/22/% / U NR OPERATOR TRAINING INSlRUCTOR FOR RAISING CONCERNS REGARDING TRAINING EA NUMBERS: NA DE ACTIONS: NO ACTION 2-96-022 DISCRIMINATION AGAINST A CRYSTAL RIVER 3 -04/30/97 / U NR CONTRACT SECURITY GUARD FOR RAISING CONCERNS REGARDING SECURITY PROCEDURES EA NUMBERS: NA DE ACTIONS: NO ACTION 2-96-023 DISCRIMINATION AGAINST A ST LUCIE 1 07/30/97 / U NR r

CONTRACT SECURITY GUARD FOR RAISING CONCERNS REGARDING RADIATION PROTECTION EA NUEERS: NA DE C fTONS: NO ACTION 2-96 024 VIOLATION OF LICENSE CONDITIO!t A MARYVIEW ll0 SPITAL 03/31/97 / U NR REGARDING USE OF RADI0 PHARMACEUTICALS EA HUMBERS: NA DE ACTIONS: NO ACTION 2-96-026 DISCRIMINATION AGAINST A CRYSTAL RIVER 3 04/30/97 / U NR CONTRACT SECURITY GUARD FOR RAISING CONCERNS REGARDING FITNESS FOR DUTY ,

LA NUNERS: NA OE ACTICNS: NO ACTION LIMITED DISTRIBUTION INVESTIGATIVE INFORMATION: MAY NOT BE REPRODUCED OR DISTRIBUTED OUTSIDE NRC WITHOUT CONSUL. TING THE DIRECTOR 01.

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NRC-125131A A CFFICE OF INVESTIGATIONS PAGE: 14 ANNUAL REPORT OF CLOSED CASES DATE: 12/09/97 FOR THE PERIOD 10/01/ % - 09/30/97 CLOSED CASE NUMBER ALLEGATION SOURCE FACILITY NAME .DATE/ RESULT DOJ ACTION 2 % 027 DISCRIMINATION AGAINST I&C A TURKEY POINT 3 03/20/97 / U NR TECHNICIAN FOR RAISING SAFETY CONCERNS REGARDING CALIBRATION OF TEST EQUIPMENT EA NUMERS: NA DE ACTIONS: NO ACTION 2- % -029 FAILURE 10 FILE RECIPROCITY I PENSACOLA TESTING LABS 11/18/% / U NR FOR TROXLER GAUGE WORK AT U.S.

GOVERNMENT FACILITY EA NUMERS: NA DE ACTIONS: NO ACTION 2- % -030 DISCRIMINATION AGAINST QUALITY A OCONEE 1 11/22/% / U NR CONTROL SUPERVISOR FOR RAISING SAFETY CONCERNS REGARDING QC HOLDPOINTS EA NUMERS: NA DE ACTIONS: NO ACTION 2-96-032 IMPROPER SECURITY SEARCH OF A EMPLOYEES BY SITE SECURITY SUMMER 06/27/97 / R NR PERSONNEL EA NUMERS: NA DE ACTIONS: NO ACTION 2-96-033 ALLEGED COVERUP OF FUEL I CRYSTAL RIVER 3 HANDLING INCIDENT 01/27/97 / U NR EA NUMBERS: NA OE ACTIONS: NO ACTION 2-96-034 FALSIFICATION OF SECURITY L CRYSTAL RIVER 3 02/14/97 / P NR j BACKGROUND QUESTIONNAIRE BY CONTRACTOR EMPLOYEE l

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EA NUMBERS: 96-356 OE ACTIONS: INDIVIDUAL - 04/04/97 l

LIMITED DISTRIBUTION INVESTIGATIVE INFORMATION: MAY NOT BE REPRODUCED OR DISTRIBUTED OUTSIDE NRC WITHOUT CONSULTING THE DIR

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-NRC-125131A-A 0FFICE OF. INVESTIGATIONS PAGE: 15 ANNUAL REPORT OF CLOSED CASES DATE: 12/09/97 FOR TE PERIOD 10/01/ % - 09/30/97 CLOSED CASE NUMBER ALLEGATION SOURCE FACILITY NME DATE/ RESULT- D0J ACTION 2-96 035 DISCRIMINATION AGAINST A SEQUOYAH 1 05/28/97 / U NR CKMISTRY DEPARTMENT EMPLOYEES

' TESTIFYING ON ALLCGER'S BEHALF DURING ALJ E ARING EA NUMBERS: NA DE ACTIONS: NO ACTION 2-96-036 DISCRIMINATION AGAINST A BRUNSWICK 2 05/29/97 / U NR EQUIPENT QUALIFICATION ENGINEER FOR RAISING TECHNICA'.

CONCEPJfS REGARDING EQ PRACTICES EA NUMERS: NA DE ACTIONS: NO ACTION 2-96 038 OISCRIMINATION AGAINST A SEQUOYAH 1 02/18/97 / U NR ENVIRONMENTAL QUALIFICATION PROGRAM COORDINATOR FOR REPORTING EQ CONCERNS EA NUMERS: NA DE ACTIONS: NO ACTION 2-96 039 POSSIBLE TAMPERING WITH DIESEL L' CRYSTAL RIVER 3 07/17/97 / 0 NR GENERATOR OIL FILTER EA NUMERS: NA OE ACTIONS: NO ACTION 2-96-041 DISCRIMINATION AGAINST HEALTH A BRUNSWICK 2 06/30/97 / U NR '

PHYSICS TECHNICIAN FOR RAISING H/P SAFETY CONCERNS  ;

EA NUMERS: NA OE ACTIONS: NO ACTION 2-96-042 FALSIFICATION AND BACKDATING A ST LUCIE 1 02/12/97 / U NR OF-EERGENCY PREPAREDNESS DOCUMENT EA NUMBERS: NA DE ACTIONS: NO ACTION 2-96-043 FALSIFICATION OF TRAINING .A PROFESSIONAL SERVICE INDU 05/30/97 / U NR RECORDS BY RADIATION SAFETY  ;

0FFICER EA NUMBERS: NA DE ACTIONS: NO ACTION LIMITED DISTRIBUTION '

INVESTIGATIVE INFORMATION: MAY NOT BE REPRODUCED OR DISTRIBUTED OUTSIDE NRC WITHOUT CONSULTING THE DIRECTOR. 01.

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NRC-125131A A 0FFICE OF INYC,TIGATIONS - PAGE: 16 ANNUAL REPORT OF CLOSED CASES DATE: 12/09/97 FOR THE PERIOD 10/01/ % - 09/30/97 CLOSED CASE NUPEER ALLEGATION $00RCE FACILITY NAME DATE/ RESULT D0J ACTION 2-96 044 DISCRIMINATION AGAINST FORMER A V. A. EDICAL CENTER 02/07/97 / U NR LAB TECHNICIAN FOR PAISING SAFETY CONCERNS REGARDING RA0 WASTE DISPOSAL EA NUHBERS: NA DE ACTIONS: NO ACTION 2-96-045 DISCRIMINATION AG4;NST TVA A WATTS BAR 1 06/30/97 / U NR EMPLOYEE FOR CSTJ VING FOR A FORMER TVA EMPLOYEE DURING DOL PROCEEDINGS EA NUPEERS: NA DE ACTIONS: NO ACTION 2-96-046 DISCRIMINATION AGAINST A GA. TECH 08/13/97 / U NR RESEARCH REACTOR EMPLOYEE FOR RAISING SAFETY CONCERNS TO NRC REGARDING REACTOR MANAGEENT EA NUMBERS: NA DE ACTIONS: NO ACTION 2-97-001 DISCRIMINATION AGAINST FORER T SEQUGYAH 1 06/25/97 / U NR ENVIRONMENTAL ENGINEER FOR EXPRESSING RADWASTE SAFETY CONCERNS EA NUPEERS: 97-396 OE ACTIONS: CHILLING EFFECT LETTER 09/08/97 2-97-002 FALSE STATEE NT TO THE NRC A ST LUCIE 1 08/20/97 / U NR REGARDING LICENSEE SELF-ASSESSMENT EA NUMBERS: NA DE ACTIDNS: NO ACTION 2-97 003 DISCRIMINATION AGAINST STONE & A BROWNS FERRY 2 05/30/97 / U NR WEBSTER CONTRACT EMPLOYEE FOR RAISING SAFETY CONCERNS RE VALVE MODIFICATION EA NUMBERS: NA DE AITIONS: NO ACTION LIMITED DISTRIBUTION INVESTIGATIVE INFORMATION: MAY NOT BE REPRODUCED OR DISTRIBUTED OUTSIDE NRC WITHOUT CONSULTING THE DIRECTOR, 01.

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6 NRC-12513IA A 0FFICE OF INVESTIGATIONS PAGE: 17 ANNUAL REPORT OF CLOSED CASES DATE: 12/09/97 FOR THE PERIOD 10/01/ % - 09/30/97 CLOSED CASE NUMBER ALLEGATION SC'RCE J FACILITY NAE DATE/ RESULT 00J ACTION 2-97-004 DISCRIMINATION AGAINST TVA A WAT15 BAR 1 08/19/97 / U hR EMPLOYEE FOR RAISING SAFETY CONCERNS REGARDING PREVENTATIVE MAINTENANCE EA NUMBERS: NA DE ACTIONS: NO ACTION 2-97-006 DISCRIMINATION AGAINST TVA A WATTS BAR 1 09/08/97 / U NR SYSTEM ENGINEER FOR RAISING SAFETY CONCERNS REGARDING ICE CONDENSER FASTENERS EA NUMBERS: NA DE ACTIONS: NO ACTION 2-97-007 DISCRIMINATION AGAINST SENIOR A TURKEY POINT 3 09/29/97 / U NR REACTOR OPERATOR FOR RAISING SAFETY CONCERNS REGARDING i OPERATING PROCEDURES EA Nt9BERS: NA DE ACTIONS: NO ACTION 2-97-012 DISCRIMINATION AGAINST QUALITY A OCONEE 1 08/12/97 / U NR ASSURANCE SUPERVISOR FOR ,

RAISING CONCERNS REGARDING WELDING ISSUES EA NUMBERS: NA DE ACTIONS: NO ACTION 2-97-013 FITNESS FOR DUTY VIOLATION - A HATCH 1 08/28/97 / S DECLINATION FAILURE TO REPORT DUI  ;

EA NUMBERS: 97-487 OE ACTIONS: INDIVIDUAL 2-97-014 FAILURE TO FOLLOW WELDING L HATCH I 09/30/97 / 5 DECLINATION ,

PROCEDURES EA NUMBERS: 97-526 OE ACTIONS: INDIVIDUAL

~IMITED DISTRIBUTION INVESTIGATIVE INFORMATION: MAY NOT BE REPRODUCED OR DISTRIBUTED OUTSIDE NRC WITHOUT CONSULTING THE DIRECTOR 01.

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_ _ 4 IstC-125131A A ' 0FFICE OF INVESTIGATIONS PAGE: 18 ANNUAL REPORT OF CLOSED CASES DATE: 12/09/97' . ij FOR THE PERIOD 10/01/ % - 09/30/97 .

t

. CLOSED I CASE NUtBER ALLEGATION SOURCE FACILITY NAE DATE/ RESULT 00J ETION t

3-94 0455 ALLEGED EMPLOYE NT A BRAIDWOOD 1 03/14/97 / 0 NR 3

DISCRIMINATION AGAINST {

i CONTRACT SECURITY PERSONNEL FOR RAISING SECURITY CONCERNS EA NIDEERS: NA OE ACTIONS: NO ACTION

3-94-0515 ALLEGED DELIBERATE O DAVIS-BESSE 10/11/% / 0 ~ NR i FALSIFICATION OF PERSONNEL

, SECURITY BACKGROUND FORMS ,

EA NIDEERS: 95-172 OE ACTIONS:-INDIVIDUAL - NOV 06/18/97 +

3-95-008 DISCRIMINATION AGAINST A UNIVERSITY OF MISSOURI- 10/31/% / U NR RESEARCHER FOR RAISING SAFETY -

CONCERNS TO INDEPENDENT SAFETY ASSESSENT TEAM .

EA NUPBERS: NA' OE ACTIONS: NO ACTION .

I 3-95-024 ALLEGED FALSIFICATION OF A DRESDEN 3 12/04/% / U .NR t' RECORDS AND DISCRIMINATION AGAINST A CONTRACTOR FOR RAISING FALSIFICATION CONCERNS  ;

EA 10 BERS

NA DE ACTIONS: NO ACTION  ;

3-95-026 ALLEGED FALSIFICATION OF DAILY I ALBION COPMUNITY HOSPITAL 10/31/% / P . NR DOSE RECORDS AND MATERIAL .F FALSE STATEE*1TS TO AN NRC l INSPECTOR EA NUPEERS: 97-015 OE ACTIONS: LETTER 01/09/97 l 3-96 002 ALLEGED DISCRIMINATION AGAINST A DUANE ARNDLD 01/10/97 / S- DECLINATION

, A CONTRACT EMPLOYEE FOR "

i RAISING A FITNESS-FOR-DUTY CONCERN l EA NUPSERS: 97-064 OE ACTIONS: LETTER 05/09/97 I

i

LIMITED DISTRIBUTION ,

INVESTIGATIVE INFORMATION: MAY NOT BE REPRODUCED OR DISTRIBUTED OUTSIDE INtC WITHOUT. CONSULTING TE DIRECTOR, 01. I i

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NRC-125131A-A 0FFICE OF INVESTIGATIONS PAGE: 19 ANNUAL REPORT OF CLOSED CASES DATE: 12/09/97 FOR THE PERIOD-10/01/% - 09/30/97

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CLOSED CASE NUSER ALLEGATION SOURCE FACILITY NAE DATE/ RESULT D0J ACTION 3- % -004 ALLEGED MATERIAL FALSE . 'I NUCLEAR & RADIOLOGIC IMAG .12/20/% / 5 DECLINATION STATEMENT REGARDING DISPOSAL OF RADI0 ACTIVE SOURCES-EA NUNERS- %-526 DE ACTIONS: INDIf/IDUAL - NOV 03/21/97 3-96 0105 MATERIAL FALSE STATEMENT BY A L QUAD CITIES 1 02/27/97./ 0 NR LICENSED OPERATOR REGARDING THE STARTING OF A RHR PUN EA NUM ERS: NA DE ACTIONS: NO ACTION 3 96 013 ALLEGED FALSIFICATION OF L PRAIRIE ISLAND 1 01/10/97 / 5 DECLINATION VISITOR RECORDS EA NLMBERS: 97-088 OE ACTIONS: NOV 05/01/97 3-96 017 DISCRIMINATION AGAINST NUCLEAR A CITIZENS EMORIAL HOSPITA 10/11/ % / S DECLINATION EDICINE WORKER FOR RAISING CONCERNS RE RADIATION SAFETY PROGRAM AND NRC REQUIREENTS EA NUMERS: 96 445 '0E ACTIONS: 01/28/97 3- % -018 FALSIFICATION OF EE RGENCY I ZION 1 03/06/97 / S DECLINATION LIGHTING SURVEILLANCE RECORDS EA NUM ERS: 97-109 OE ACTIONS: NOV 04/03/97 i 3 96-023 MATERIAL FALSE STATEMENT TO I DRESDEN/ QUAD CITIES 05/30/97 / S DECLINATION TE NRC EA NUMERS: 97-266 OE ACTIONS: ACTION PENDING 97-413 ACTION PEWING LIMITED DISTRIBUTION' INVESTIGATIVE INFORMATION: MAY NOT BE REPRODUCED OR DISTRIBUTED OUTSIDE NRC WITHOUT CONSULTING TE DIRECTOR 01.

-NRC-125131A-A 0FFICE OF INVESTIGATIONS PAGE: 20 ANNUAL REPORT OF CLOSED CASES DATE: 12/09/97 FOR THE FERIOD 10/01/ % - 09/30/97 CLOSED CASE NUMBER ALLEGATION SOURCE FACILITY NANE DATE/ RESULT 00J ACTION 3 96-026 DISCRIMINATION AGAINST SENIOR A CLINTON 05/02/97 / U NR RADIATION PROTECTION TECHNICIAN FOR RAISING SAFETY CONCERNS EA NUPEERS: NA DE ACTIONS: NO ACTION 3-96 033 FALSIFICATION OF EDUCATION L DAVIS-BESSE 04/11/97 / U NR ,

BACKGROUND BY LICENSED ,

6 OPERATOR EA NUPEERS: 97-270 OE ACTIONS: LETTER 08/01/97

• 97-271 INDIVIDUAL - LETTER 08/01/97 3-96-035 MATERIAL FALSE STATEMENTS TO A ROCK ISLAND ARSENAL 02/13/97 / U DECLINATION NRC AND DELIBERATE FAILURE TO FOLLOW RADIATION PROTECTION PROCEDURES EA NUtEERS: NA DE ACTIONS: NO ACTION 3-96-037 ATTEMPTED FALSIFICATION OF L CLINTON 10/31/ % / 5 DECLINATION PREVENTIVE MAINTENANCE RECORDS EA NUMBERS: DE ACTIONS: NOV 03/31/97  !

3-96-038 ALLEGED RECORDS FALSIFICATION L QUAD CITIES 1 12/18/96 / U NR EA NUMBERS: NA DE ACTIONS: NO ACTION LIMITED DISTRIBUTION INVESTIGATIVE INFORMATION: MAY NOT BE REPRODUCED OR DISTRIBUTED OUTSIDE NRC WITHOUT CONSULTING TIE DIRECTOR. 01. l 1

. _ . _ .- _ . _ _ m _ _ _ - _ . _ _ _ _ . _ _ _ _ _ _ _ _ _ _ . _ _ _ _ _ _ . _ . . . _ _ _ _ _ _ _ _ _ _ . _ _ . _ _ _ _ _ _ . _ _ _ . _ _ _ _ _ _ _ . _ _ _ _ _ . _ _____.__.__.______.-._______m_.m__

0FFICE OF INVESTIGATIONS PAGE: 21 NRC-125131A-A' ANNUAL REPORT OF CLOSED CASES DATE: 12/09/97- ,

FOR THE PERIOD 10/01/ % - 09/30/97 CLOSED ALLEGATION SOURCE FACILITY NAME 'DATE/ RESULT D0J ACTION CASE NUMBER 3-96-039 ALLEGED RECORDS FALSIFICATION I ST FRANCIS HOSPITAL 11/08/ % / S DECLINATION EA NUMBERS: 96-491 OE ACTIONS: CIVIL PENALTY $2.500 05/14/97 96-507 INDIVIDUAL - LETTER 05/14/97 r 3 96-040 ALLEGED DELIBERATE FAILURE TO T H.H. HOLMES TESTING.lhC. 04/25/97 / 5 DECLINATION

• FILE NRC FORM 241 EA NUMBERS: 97-237 OE ACTIONS: CIVIL PENALTY $2.500 08/22/97 3-96-041 VIOLATION OF LICENSE I OHIO STATE UNIVERSITY 05/30/97 / S DECLINATION CONDITIONS EA NUMBERS: 97-258 OE ACTIONS: CIVIL PENALTY $13.000 10/23/97 3-96-042 DISCRIMINATION AGAINST A DRESDEN 2 07/01/97 / U NR

• RADIATION PROTECTION TECHNICIAN FOR REPORTING i

SAFETY CONCERNS EA NUMERS: NA DE ACTIONS: NO ACTION 3 96-043 DISCRIMINATION AGAINST A A LASALLE 1 01/23/97 / U NR MAINTENANCE WORKER FOR RAISING SAFETY CONCERNS EA NUNERS: NA DE ACTIONS: NO ACTION 3-96-045 ALLEGED DELIBERATE FAILURE TO 1 NORTHERN MEDICAL IMAGING 10/15/% / U NR

'i WEAR PERSONNEL MONITORING '

EQUIPMENT AND A LABORATORY COAT EA NUN ERS: NA DE ACTIONS: NO ACTION j

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INVESilGATIVE INFORMATION: MAY NOT BE REPR000CED OR DISTRIBUTED OUTSIDE NRC WilHUUl t,UlOULf!Nb Ilit OIRECTOR, 01.

.NRC-125131A-A -- 0FFICE OF INVESTIGATIONS PAGE: 22 ANNUAL REPORT OF CLOSED CASES .DATE: 12/09/97 FOR THE PERIOD 10/01/ % - 09/30/97 CLOSED CASE NUPEER ALLEGATION SOURCE FACILITY NAME DATE/ RESULT D0J ACTION 3- % 047 ALLEGED DEllBERATE FAILURE TO I CLINTON 12/20/ % / 5 DECLINATION FOLLOW PROCEDURES REQUIRED BY TECHNICAL SPECIFICATIONS EA NUPEERS: 96-412 GE ACTIONS: CIVIL PENALTY $200,000 06/09/97 l 96 513 - % -514 INDIVIDUALS - LETTER 05/20/97

• 96 515 - % -520 INDIVIDUALS - LETTER 02/07/97 3-96-048 ALLEGED DISCR'IMINATION AGAINST A BYRON 1 04/11/97 / U NR I AN SRO FOR IDENTIFYING FIRE PROTECTION ISSUES

• EA NUMBERS: NA DE ACTIONS: NO ACTION 3 96-049 ALLEGED DELIBERATE FAILURE TO A ALT & WITZIG ENGINEERING 01/15/97 / P NR PROVIDE DOSIMETRY TO RADIATION WORKER EA NUMBERS: 97-049 OE ACTIONS: LETTER 01/30/97 3-96-050 ALLEGED DELIBERATE FAILURE.TO I ST MARY'S HOSPITAL 04/11/97 / P NR .

PERFORM RADIOLOGICAL  ?

REQUIREMENTS EA NUMBERS: 97-234 OE ACTIONS: CIVIL PENALTY $2.500 07/23/97 97-24B INDIVIDUAL - LETTER 07/23/97 ,

3 96-051 ALLEGED DISCRIMINATION AGAINST A POINT BEACH 1 09/12/97 / U NR CONTRACT HP SUPERVISOR FOR CONCERNS RAISED BY HIS SPOUSE EA NUEERS: NA DE ACTIONS: NO ACTION 3-96-052 ALLEGED FALSIFICATION OF A L BRAIDWOOD 1 04/15/97 / P NR .

QUALITY CONTROL REPORT BY A CONTRACT QC INSPECTOR EA NWEERS: NA DE ACTIONS: NO ACTION t

a LIMITED DISTRIBUTION  :

INVESTIGATIVE INFORMATION: MAY NOT BE REPRODUCED OR DISTRIBUTED OUTSIDE NRC WITHOUT CONSULTING THE DIRECTOR OI.

0FFICE OF INVESTIGATIONS PAGE: 23 NRC 125131A-A ANNUAL REPORT OF CLOSED CASES DATE: 12/09/97 FOR THE PERIOD 10/01/ % - 09/30/97 CLOSED ALLEGATION SOURCE FACILITY NAME DATE/ RESULT DOJ ACTION CASE NUMBER 3 96 053 ALLEGED FALSE STATEMENTS MADE I S. C. JOHNSON & SON. INC. M/11/97 / U NR TO NRC INSPECTOR AND ALLEGED DELIBERATE IMPROPER DISPOSAL OF RADI0 ACTIVE MATERIALS EA NUMBERS: 97-338 OE ACTIONS: CIVIL PENALTY $2.500 09/03/97 3-96-054 ALLEGED DISCRIMINATION AGAINST A BATTELLE E MORIAL INSTITU 08/06/97 / U NR A HEALTH PHYSICS TECHNICIAN FOR RAISING HP CONCERNS EA NUMBERS: NA DE ACTIONS: NO ACTION 3-96 056 ALLEGED EMPLOYMENT A BRAIDWOOD 1 07/01/97 / U NR DISCRIMINATION AGAINST RADIATION PROTECTION (RP)

WORKER FOR RAISING RP CONCERNS EA N'JMBERS: NA DE ACTIONS: NO ACTION 3-96-057 ALLEGED FALSIFICATION OF OJT L FERMI 2 - 04/25/97 / U NR TRAINING CERTIFICATIONS BY PLANT OPERATORS EA NUMBERS: 97-242 OE ACTIONS: NOV 10/27/97 3-97-001 ALLEGED FALSIFICATION OF A FERMI 2 04/21/97 / S DECLItaT!0N ACCESS AUTHORIZATION DOCUMENTATION BY A CONTRACT WORKER EA NUMBERS: 97-388 OE ACTIONS: ACTION PENDING 97-423 INDIVIDUAL - ACTION PENDING LIMITED DISTRIBUTION INVESTIGATIVE INFORMATION: MAY NOT BE REPRODUCED OR DISTRIBUTED OUTSIDE NRC WITHOUT CONSULTING TE DIRECTOR, 01.

1 NRC-125131A-A 0FFICE OF INVESTIGATIONS PAGE: 24 ANNUAL REPORT OF CLOSED CASES DATE: 12/09/97 FOR THE PERIOD 10/01/ % - 09/30/97 CLOSED CASE NUMBER ALLEGATION SOURCE FACILITY NAME DATE/ RESULT -00J ACTION 3-97-002 ALLEGED DISCRIMINATION AGAINST A MINNESOTA MINING & MFG. 05/21/97 / U NR AN OPERATOR FOR RAISING SAFETY CONCERNS EA HlfEERS: NA DE ACTIONS: NO ACTION  :

3-97-005 ALLEGED FALSIFICATION OF L PRAIRIE ISLAND 1 02/20/97 / S DECLINATION ACCESS AUTHORIZATION INFORMATION EA NUMBERS: 97-091 ')E ACTIONS: INDIVIDUAL DEMAND FOR INFORMATION 04/24/97 97-302 INDIVIDUAL - ORDER 06/23/97 3-97-006 ALLEGED DISCRIMINATION AGAINST A ZION 1 07/1B/97 / U' NR RADIATION PROTECTION SUPERVISOR FOR RAISING SAFETY CONCERNS EA NUPEERS: NA OE ACTIONS: NO ACTION 3 97-007 ALLEGED FALSE STATEMENTS 0 SIEENS POWER CORP. 06/17/97 / U NR REGARDING ORIGIN OF ENRICHED URANIUM EA NUMBERS: NA OE ACTIONS: NO ACTION 3 97-008 ALLEGED MATERIAL FALSE I POINT BEACH 1 06/04/97 / S DECLINATION STATEMENTS RE AVAILABILITY OF PLANT COOLING SYSTEMS BY PLANT MANAGEMENT TO NRC EA NUMBERS: 9/-281 OE ACTIONS: NO ACTION 3-97-010 ALLEGED DELIBERATE FAILURE TO I BRAIDWOOD 1 04/15/97 / P NR CONDUCT POST MODIFICATION -

TESTING WITHOUT A PROCEDURE EA NUMBERS: NA OE ACTIONS: NO ACTION LIMITED DISTRIBUTION INVESTIGATIVE INFORMATION: MAY NOT BE REPRODUCED OR DISTRIBUTED OUTSIDE NRC WITHOUT CONSULTING THE DIRECTOR. 01.

I NRC-125131A A 0FFICE OF It'VESTIGATIONS PAGE: 25 '

ANNUAL REPORT OF CLOSED CASES DATE: 12/09/97  ;

I FOR THE PERIOD 10/01/ % - 09/30/97 CLOSED ALLEGATION SOURCE FACILITY NAE DATE/ RESULT 003 ACTION CASE NUEER r

3-97-011 ALLEGED DELIBERATE FAILURE TO L CLINTON 05/30/97 / R NR FOLLOW PROCEDURES REQUIRED BY TECHNICAL SPECIFICATIONS EA NUMBERS: NA DE ACTIONS: NO ACTION 3-91-014 ALLEED FALSIFICATION OF L CLINTON 03/?8/97 / P NR CHEMISTRY FEEDWATER RECORDS EA NUEERS: 97-169 OE ACTIONS: MOV 07/14/97 3-97-019 ALLEED DISCRIMINATION AGAINST A ZION 1 09/12/97 / U NR CONTRACT CARPENTERS FOR RAISING RADIATION PROTECTION CONCERNS EA NUMBERS: NA DE ACTIONS: NO ACTION 3-97-029 ASSIST TO INSPECTION ON A SARENT & LUNDY 09/29/97 / F NR INTERVIEW OF FORMER SARGENT &

LUN0Y ENGINEER EA NUMBERS: NA DE ACTIONS: NO ACTION 4-94-022 ALLEED INTENTIONAL USE OF A SAN ONOFRE 2 01/28/97 / U NR '

SUBSTANDARD FASTENERS EA NUMBERS: NA DE ACTIONS: NO ACTION LIMITED DISTRIBUTION INVESTIGATIVE INFORMATION: MAY NOT BE REPRODUCED OR DISTRIBUTED OUTSIDE NRC WITHOUT CONSULTING TE DIRECTOR, DI.

i NRC-125131A-A 0FFICE OF INVESTIGATIONS PAGE: 26 -

ANNUAL REPORF OF CLOSED CASES DATE: 12/09/97 FOR THE PERIOD 10/01/ % - 09/30/97 CLOSED CASE NUMER ALLEGATION SOURCE FACILITY NAME DATE/ RESULT ~DOJ ACTION 4-95 051 ALLEGED DISCRIMINATION AGAINST A RIVER BEND l' 10/31/% / U NR SENIOR ENGINEER FOR REPORTING CONCERNS ABOUT AN ATWS CALCULATION EA NUMBERS: NA DE ACTIONS: NO ACTION-4-96-008 ALLEGED DELIBERATE IMPROPER A CTI. INC. 12/05/% / U NR i RADIOGRAPHIC PRACTICES EA NUMERS: NA DE ACTIONS: NO ACTION 4 96-011 ALLEGED DISCRIMINATION AGAINST A RIVER BEND 1 11/25/% / U NR FORER SUPERVISOR. NUCLEAR SAFETY. FOR PAST '

WHISTLEBLOWING ACTIVITIES EA NUMBERS: 7:A DE ACTIONS: NO ACTION 4-96-013 DISCRIMINATION AGAINST SENIOR A DIABLO CANYON 1 06/18/97 / U NR REACTOR OPERATOR FOR RAISING SAFETY CONCERN RE REFUELING OUTAGE EA NUMERS: NA DE ACTIONS: NO ACTION 4-96-019 DISCRIMINATION AGAINST A RIVER BEND 1 06/10/97 / U NR SUPERVISOR OF IN-HOUSE EVENTS ANALYSIS FOR REPORTING QUALITY CONCERNS IN THE PAST EA NUMERS: NA DE ACTIONS: NO ACTION  ;

l L

3 LIMITEn ntSTRIBUTION INVESTIGATIVE INFORMATION: MAY NOT BE REPR000CLD f,'i filLRIBUTED OUTSIDE NRC WITHOUT CONSULTING THE DIRECTOR. 01.

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NRC-12SI31A-A 0FFICE OF INVESTIGATIONS PAGE: 27

. ANNUAL REPORT OF CLOSED CASES DATE: 12/09/97 FOR THE PERIOD 10/01/ % - 09/30/97 CLtCED  ?

CASE NUMBER ALLEGATION SOURCE FACILITY NAME DATE/ RESULT D0J ACTION ,

c-4 96 022 DELIBERATE VIOLATION OF' A UNC MINING & MILLING 11/25/96 / U NR PROCEDURES AND FALSIFICATION OF EMPLOYEE RECORDS EA Nt9EERS: NA DE ACTIONS: NO ACTION 4-96-026 DISCRIMINATION AGAINST SENIOR A GRAND GULF 1 11/14/96 / U NR

. ENGINEER BY LICENSEE FOR REPORTING SAFETY CONCERNS RE QUALITY ASSURANCE AUDITS EA NUPEERS: NA DE ACTIONS: NO ACTION 4- % -028 DELIBERATE FAILURE TO COMPLY A OKLAHOMA. UNIVERSITY OF 11/14/96 / U NR WITH LICENSE CONDITIONS REGARDING INCINERATION AND TRANSPORTATION OF LICENSED MATERIAL EA NUPEERS: NA DE ACTIONS: NO ACTION 4-96-029 DELIBERATE VIOLATION OF L 'FAIRBANKS E MORIAL HOSPIT 01/23/97 / S DECLINATION LICENSE CONDITION BY NUCLEAR MEDICINE TECHNOLOGIST EA NUMBERS: 96-505 OE ACTIONS: CIVIL PENALTY $2.500 04/01/97 96-506 INDIVIDUAL - NOV 04/01/97 4 96-030 DISCRIHINATION AGAINST A DIABLO CANYON 1 04/25/97 / U NR CONTRACTOR BY LICENSEE SYSTEM ENGINEER EA NUPEERS: NA DE ACTIONS: NO ACTION 4-96 031 DISCRIMINATION AGAINST A WATERFORD 3 02/19/97 / U NR ENGINEERING SUPERVISOR FOR ADVOCATING A CORRECTIVE ACTION '

CONTRARY TO MANAGEMENT'S POSITION EA NUtEERS: NA OE ACTIONS: NO ACTION LIMITED DISTRIBUTION INVESTIGATIVE INFORMATION: MAY NOT BE REPRODHCED OR DISTRIBUTED OUTSIDE NRC WITHOUT CONSULTING THE DIRECTOR, 01.

_ - _ - _ _ _ . . _ . . . - . _ _ . ,_ _ _ _ _ _ _ _ - _ - _ _ _ _ _ _ _ - _ _ __ . _ . .__ . _ - , -- _ _ _ -.__ .__- _ _ . . . - _ . _-. - _ -.__- - - -- __ _ . . ._-_ _ = _ - ____

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NRC-125131A-A' 0FFICE OF INVESTIGATIONS PAGE: 28 ANNUAL REPORT OF CLOSED CASES DATE: 12/09/97-FOR THE PERIOD 10/01/ % - 09/30/97 l

CLOSED CASE NUMER ALLEGATI.ON SOURCE FACILITY NAE DATE/ RESULT D0J ACTION 4- % 032 DISCRIMINATION AGAINST STAFF A WATERFORD 3 01/29/97 / U NR ENGINEER FOR RAISING SAFETY CONCERN TO MANAGEE NT a EA NUMERS: NA ' OE ACTIONS: NO ACTION [

4-96 033 DISCRIMINATION AGAINST A WATERFORD 3 02/14/97 / U NR i ENGINEER FOR IDENTIFYING SAFETY CONCERN TO MANAGEENT EA NUMBERS: NA DE ACTIONS: NO ACTION 4 % -0355 DISCRIMINATION AGAINST TWO- A SOUTH TEXAS 1 09/24/97 / U NR '

ENGINEERS FOR REPORTING SAFETY CONCERNS EA NUMBERS: NA DE ACTIONS: NO ACTION 4-% 036 DELIBERATE VIOLATION OF I DEL.; INDUSTRIAL X-RAY 01/31/97 / U NR LICENSE CONDITION EA NUM ERS: NA DE ACTIONS: NO ACTION  ;

e 4- % -037 DELIBERATE TRANSPORT OF L IDAHO DEPT. OF TRANSP. 11/15/% / U NR LICENSED MATERIAL IN VIOLATION OF REGULATIONS EA NUM ERS: % -486 DE ACTIONS: NOV 01/15/97 r

4-96 040 DELIBERATE FAILURE TO FILE NRC 1 WESTERN COLORADO TEST. 01/08/97 / 5 DECLINATION  ;

FORM 241 ,

EA NUM ERS: 96-459 OE ACTIONS: CIVIL PENALTY $2,500 06/13/97 97-260 INDIVIDUAL - LETTER 06/13/97 97-261 262 INDIVIDUAL - LETTER 06/13/97 ,

LIMITED DISTRIBUTION INVESTIGATIVE INFORMATION: MAY NOT BE REPRODUCED OR DISTRIBUTED OUTSIDE NRC WITHOUT CONSULTING THE DIRECTOR, 01.

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. NRC-125131A-A 0FFICE OF INVESTIGATIONS PAGE: 29 '

ANNUAL REPORT OF CLOSED CASES DATE: 12/09/97 FOR THE PERIOD 10/01/ % - 09/30/97 CLOSED i ALLEGATION SOURCE FACILITY NA E DATE/ RESULT DOJ ACTION CASE NUMBER ,

L 4- % -041 DISCRIMINATION AGAINST I WATERFORD 3 03/12/97 / U NR CONTRACTOR FOR REPORTING SAFETY CONCERNS EA NUMBERS: NA DE ACTIONS: NO ACTION 4-96-042 FAILURE TO PROVIDE COMPLETE L SOUTH TEXAS 1 12/19/% / U NR AND ACCURATE INFORMATION ON OPERABILITY OF TORNADO DAMPER EA NUMERS: 97-004 OE ACTIONS: LETTER 03/26/97

_ 4-96 043 DISCRIMINATION AGAINST A T PALO VERDE 1 01/29/97 / U NR SENIOR NUCLEAR AUXILIARY i

OPERATOR FOR REPORTING SAFETY CONCERNS EA NUMBERS: NA DE ACTIONS: NO ACTION 4-96-044 FALSIFICATION OF SECURITY I FORT CALHOUN 1 05/23/97 / S DECI.INATION ACCESS RECORDS AND FALSE INFORMATICH TO NRC INSPECTOR EA NUMBERS: 97-293 OE ACTIONS: INDIVIDUAL - DEMAND FOR INFORMATION 07/22/97 i 97-385 INDIVIDUAL - LETTER 08/19/97 97-527 INDIVIDUAL - ORDER 11/19/97 .l 4-96-045 DELIBERATE VIOLATIONS OF A H & H X-RAY SERV., INC. 02/07/97 / U NR LICENSE CONDITIONS REGARDING POSTING AND SURVEYING [

EA NUNERS: NA DE ACTIONS: NO ACTION  ;

4-96-046 DELIBERATE VIOLATION OF LOCKED L TROJAN 11/19/ % / S DECLINATION HIGH RADIATION AREA BY AN .[

IRONWORKER EA NUMBERS: 96-533 OE ACTIONS: INDIVIDUAL - LETTER 01/06/97 LIMITED DISTRIBUTION- .

INVESTIGATIVE INFORMATION: MAY NOT BE REPRODUCED OR DISTRIBUTED OUTSIDE NRC WITHOUT CONSULTING THE DIRECTOR 01.

NRC 125131A-A 0FFICE OF INVESTIGATIONS PAGE: 30 -

ANNUAL REPORT OF CLOSED CASES DATE: 12/09/97 FOR THE PERIOD 10/01/ % - 09/30/97 CLOSED CASE NUMBER ALLEGATI.ON SOURCE FACILITY NAE DATE/ RESULT DOJ ACTION 4-96-048 DISCRIMINATION AGAINST A DIABLO CANYON 1 04/04/97 / U NR EMPLOYEE BY MANAGEMENT FOR REPORTING HARASSMENT AND INTIMIDATION EA NUMBERS: NA DE ACTIONS: NO ACTION 4-96-049 DISCRIMINATION AGAINST A WATERFORD 1 11/20/% / U NR SECURITY OFFICER BY SECURITY MANAGEMENT FOR REPORTING SECURITY PROGRAM CONCERNS EA NUPEERS: NA DE ACTIONS: NO ACTION 4- % -050 DELIBERATE VIOLATION OF I SAN ONOFRE 2 02/28/97 / 5 NR LICENSEE VEHICLE SEARCH PROCEDURES BY SECURITY OFFICER EA NUPEERS: 97-114 OE ACTIONS: MOV 05/08/97 4- % -051 DELIBERATE VIOLATION OF L WOLF CREEK 1 01/31/97 / 5 DECLINATION LICENSEE PROCEDURE REGARDING HIGH RADIATION BOUNDARIES EA NUMBERS: 97-063 OE ACTIONS: INDIVIDUAL - LETTER 04/07/97 ,

4-96-052 DISCRIMINATION AGAINST SENIOR A WASHINGTON NUC!. EAR 2 06/20/97 / U NR ,

HEALTH PHYSICIST BY MANAGEMENT FOR REPORTING SAFETY CONCERNS EA NUMBERS: NA DE ACTIONS: NO ACTION LIMITED DISTRIBUTION INVESTIGATIVE INFORMATION: MAY NOT BE REPRODUCED OR DISTRIBUTED OUTSIDE NRC WITHOUT CONSULTING THE DIRECTOR, 01.

-NRC-125131A-A 0FFICE OF INVESTIGATIONS PAGE: 31 ANNUAL REPORT OF CLOSED CASES DATE: 12/09/97

-FOR THE PERIOD 10/01/96 - 09/30/97 CLOSED .

CASE NUMBER ALLEGATION SOURCE FACILITY NAE DATE/ RESULT 00J ACTION L

.[

r 4 96-055 DELIBERATE FAILURE TO PROPERLY L UNIV. OKLAHOMA -

11/15/ % / S NR SECURE RA010 PHARMACEUTICALS B

EA NUMBERS: % -504 OE ACTIONS: LETTER 12/18/%

4- % -056 DISCRIMINATION AGAINST SENIOR A SAN ONOFRE 3 04/09/97 / U NR ,

ENGINEER BY MANAGEMENT FOR RAISING SAFETY CONCERNS EA NUM ERS: NA DE ACTIONS: NO ACTION 4 96-057 DISCRIMINATION AGAINST ! ELDER I COMANCHE PEAK 1 06/20/97 / U NR f BY MANAGEMENT FOR REFUSING TO CONDUCT IMPROPER WELD EA NUM ERS: NA DE ACTIONS: NO ACTION ,

4-96 058 PRODUCT SUBSTITUTION OF VALVE T- SAN ONOFRE 2 09/12/97 / U NR  !

BY VENDOR (BRANDON SUPPLY)

EA NUMBERS: NA DE ACTIONS- NG ACTION 4-96-059 DISCRIMINATION AGAINST WO T SOUTH TEXAS 1 06/27/97 / 5 DECLINATION ELECTRICAL /I&C ENGINEERS BY MANAGER FOR REPORTING SAFETY CONCERNS EA NUMBERS: NA DE ACTIONS: NO ACTION

~

LIMITED DISTRIBUTION i INVESTIGATIVE INFORMATION: MAY HOT BE REPRODUCED OR DISTRIBUTED OUTSIDE NRC WITHOUT CONSULTING THE DIRECTOR 01.

4

. , 7 .: ,

'k NRC-1251314-A- -0FFICE OF INVESTIGATIONS IPAGE: 32 ANNUAL REPORT OF CLOSED CASES '

DATE: 12/09/97 j FOR TE PERIOD 10/01/ % - 09/30/97 '

, 'T CLOSED CASE NUMBER- ALLEGATION SOURCE - FACILITY NAE DATE/ RESULT 00J ACTION 4- % -060 -DELIBERATE IMPROPER A CTI, INC. 01/30/97 / U NR I RADIOGRAPHY PRACTICES AND DISCRIMINATION AGAINST FORER l ElfLOYEE FOR REPORTING SAFETY  !

CONCERNS EA MUPBERS: NA 'OE ACTIONS: NO ACTION 4- % -061 DISCRIMINATION AGAINST A SAN ONOFRE 2 06/20/97 / U R MACHINIST BY SUPERVISION FOR .

PAST COPFLAINTS EA NUPEERS: NA DE ACTIONS: NO ACTION r 4- % 062 DISCRIMINATION AGAINST'E ALTH L WASHINGTON NUCLEAR 2 08/14/97 / U .NR PHYSICIST SUPERVISOR BY MANAGEENT FOR REPORTING i

, SAFETY CONCERNS t

~

i EA NUPEERS: NA DE ACTIONS: NO ACTION 4- % -063 DISCRIMINATION AGAINST A COMANCHE PEAK 1 03/04/97 / U let ELECTRICIAN BY MANAGEENT FOR I DOCUENTING A PROCEDURE  !

VIOLATION .i EA NWBERS: NA DE ACTIONS: NO ACTION 4- % -064 DISCRIMINATION AGAINST SYSTEM A SOUTH TEXAS 1 05/09/97 / U NR.  !

ENGINEER BY SITE MANAGEE NT EA NWBERS: NA DE ACTIONS: H0 ACTION 4- % -066 DISCRIMINATION / RETALIATION A -SAN ONOFRE 2 09/24/97-/ U. 'let i AGAINST BOILER & CONDENSER l j EMPLOYEES BY SUPERVISION FOR  : j PAST REPORTING OF SAFETY CONCERNS  !

EA NWEERS: NA DE ACTIONS: NO ACTION f I

LINITED DISTRIBUTION .

i INVESTIGATIVE INFORMATION: MAY NOT BE REPRODUCED OR DISTRIBUTED OUTSIDE 15tC WITHOUT CONSULTING TE DIRECTOR, 01. [

i

NRC-125131A-A 0FFICE OF INVESTIGATIONS PAGE: 33 ANNUAL REPOP.T OF CLOSED CASES DATE: 12/09/97 FOR THE PERIOD 10/01/96 - 09/30/97 CLOSED CASE NUMBER ALLEGATION SOURCE FACILITY NAME DATE/ RESULT D0J ACTION 4 97-001 LIAISON WITH ATTORNEY GENERAL. 0 ENVIROCARE OF UTAH. INC. 07/31/97 / 0 NR STATE OF UTAH, AND DEPARTMENT OF J'JSTICE EA NUMBERS: NA DE ACTIONS: NO ACTION 4-97-002 DISCRIMINATION AGAINST I&C A COMANGF.'rEAK 1 06/26/97 / U NR TECHNICIAN BY MANAGEMENT FOR l REPORTING SAFETY CONCERNS EA NUMBERS: NA DE ACTIONS: NO ACTION 4-97-Da* FAILURE TO CONDUCT FIRE WATCH L RIVER BEND 1 04/11/97 / 5 DECLINATION

't0VNDS AND FALSIFICATION OF

/ IRE WATCH LOGS EA NUMBERS: 97-154 OE ACTIONS: NOV 06/26/97 4-97-004 DISCRIMINATION AGAINST TWO A SAN ONOFRE 2 07/16/97 / U NR CONTRACT MILLWRIGHTS BY CONTRACT MANAGEMENT FOR RAISING SAFETY CONCERNS EA NUMBERS: NA DE ACTIONS: NO ACTION l

4-97-006 DISTRIBUTION OF RADI0 ACTIVE A FIRST DEFENSE 08/22/97 / P NR MATERIALS WITHOUT AN NRC LICENSE EA NUMBERS. NA OE ACTIONS: NO ACTION 4-97-007 DISCRIMINATION AGAINST A WASHINGTON NUCLEAR 2 03/13/97 / U NR TECHNICAL ASSISTANT BY WNP 2 MANAGEMENT FOR IDENTIFYING SAFETY CONCERNS EA NUMBERS: NA OE ACTIONS: NO ACTION I

LIMITED DISTRIBUTION l

INVESTIGATIVE INFORMATION: MAY NOT BE REPRODUCED OR DISTRIBUTED OUTSIDE NRC WITHOUT CONSULTING THE DIRECTOR. 01.

.. s NRC 12513IA-A 0FFICE OF INVESTIGATIONS PAGE: 34 ANNUAL REPORT OF CLOSED CASES DATE: 12/09/97 FOR THE PERIOD 10/01/ % - 09/30/97 CLOSED CASE NUMBER ALLEGATION SOURCE FACILITY NAME DATE/ RESULT D0J ACTION 4 97-008 DELIBERATE VIOLATION OF I FORT CALHOUN 1 04/16/97 / 5 DECLINATION MAINTENANCE PROCEDURES REGARDING CCW PUMP EA NUMBERS: 97-1 % OE ACTIONS: NOV 06/20/97 97-220 INDIVIDUAL LETTER 07/22/97 97-221 INDIVIDUAL - LETTER 07/22/97 4-97 009 ASSIST TO UNDOCUENTED WELD I- SIERRA NUCLEAR CORP 05/09/97 / F NR REPAIR TO MULTI-ASSEN LY SEALED BASKET SHELL l EA NUN ERS: NA DE ACTIONS: NO ACTION 4-97-010 DELIBERATE VIOLATIONS OF A TERRACON COMPANIES. INC. 08/26/97 / 5 DECLINATION LICENSE CONDITIONS REGARDING STORAGE. TRANSPORTATION, AND 00SIMETRY EA NUMBERS: 97 425 OE ACTIONS: CIVIL PENALTY $5,000 11/17/97 97-449 INDIVIDUAL NOV 11/17/97 97-450 INDIVIDUAL 4 97-011 BLACKLISTING / DISCRIMINATION T SAN ONOFRE 2 04/30/97 / U NR AGAINST FORMER QC INSPECTOR BY SCE FOR REPORTING SAFETY CONCERNS EA NUMBERS: NA DE ACTIONS: NO ACTION 4-97-012 DISCRIMINATION AGAINST QA A ' WASHINGTON NUCLEAR 2 09/04/97 / U NR ENGINEER BY SUPERVISOR FOR l REPORTING SAFETY CONCERNS EA NUMBERS: NA DE ACTIONS: NO ACTION 4 97-013 DISCRIMINATION AGAINST A WATERFORD 3 05/29/97 / U NR SECURITY OFFICER BY MANAGE E NT FOR REPORTING SAFETY CONCERNS EA N'JMBERS: NA DE ACTIONS: NO ACTION LIMITED DISTRIBUTION INVESTIGATIVE INFORMATION: MAY NOT BE REPRODUCED OR DISTRIBUTED OUTSIDE NRC WITHOUT CONSULTING THE DIRECTOR. OI.

. .o

.NRC-125131A-A 0FFICE OF INVESTIGATIONS PAGE: 35 ANNUAL REPORT OF CLOSED CASES DATE: 12/09/97 FOR THE PERED 10/01/ % - 09/30/97 i

. CLOSED CASE NUMER ALLEGATION -SOURCE FACILITY NAME DATE/ RESULT 00J ACTION' I

i 4-97-014 CON 00CT OF RADIOGRAPHY IN NRC T JONES INSPECTION SERVICE 05/28/97 / R NR l JURISDICTION IN VIOLATION OF .

NRC ORDER  !

EA NUMBERS: NA OE ACTIONS: NO ACTION 4-97 015 FALSIFICATION OF ACCESS L SAN ONOFRE 2 04/08/97 / S DECLINATION AUTHORIZATION RECORDS EA NUN ERS: 97-186 OE ACTIONS: INDIVIDUAL - NOV 07/30/97 l 4 97-016 DISCRIMINATION AGAINST LABORER A WASHINGTON NUCLEAR 2 06/25/97 / U NR

• BY SUPERVISOR FOR REPORTING CONCERNS EA NtfBERS: NA DE ACTIONS: NO ACTION 4-97-017 CONTRACT PERSONNEL DISCOURAGED L COOPER 08/22/97 / 5 NR FROM RAISING SAFETY CONCERNS TO LICENSEE (FLUOR DANIEL) .

EA NUMERS: NA OE ACTIONS: NO ACTION I 4 97-018 FAILURE TO PROVIDE COMPLETE I WASHINGTON NUCLEAR 2 09/04/97 / U NR AND ACCURATE INFORMATION i

REGARDING ELIMINATION OF t RESPONSE TIE TESTING j EA NUMBERS: NA DE ACTIONS: NO ACTION f 4-97-019 DISCRIMINATION AGAINST RSO BY A V. A. EDICAL CTR. 07/30/97 / U NR  !

PHYSICIAN TO ELIMINATE '

COMPLAINT BY SUBORDINATES t

EA NUMBERS: NA DE ACTIONS: NO ACTION  !

4-97-020 FALSIFICATION OF ACCESS I COMANCHE PEAK 1 06/06/97 / S DECLINATION AUTHORIZATION RECORDS r EA NUMBERS: 97-301 OE ACTIONS: INDIVIDUAL - NOV 09/12/97 97-428 INDIVIDUAL - NOV 09/12/97 LIMITED DISTRIBUTION INVCSTIGATIVE INFORMATION: MAY NOT BE REPRODUCED OR DISTRIBUTED OUTSIDE NRC WITHOUT CONSULTING THE DIRECTOR, 01.

i

. a NRC-125131A-A 0FFICE OF INVESTIGATIONS PAGF: 36 ANNUAL REPORT OF CLOSED CASES DATE: 12/09/97 FOR THE PERIOD 10/01/96 - 09/30/97 CLOSED CASE NUPEER ALLEGATION SOURCE FACILITY NAME DATE/ RESULT D0J ACTION ,

4-97-021 DISCRIMINATION AGAINST SYSTEM A PALO VERDE 1 06/10/97 / 11 NR ENGINEER BY SITE MANAGEMENT FOR IDENTIFYING TAGGING RELATED CONCERNS EA NUMBERS: NA DE ACTIONS: NO ACTION 4 97-022 FALSIFICATION OF TECHNICAL . A PALO VERDE 1 04/30/97 / U NR SPECIFICATION TEST REGARDING EMERGENCY DIESEL GENERATOR EA NUMBERS: NA DE ACTIONS: NO ACTION

+

4-97-025 FALSIFICATION OF MAINTENANCE L WASHINGTON NUCLEAR 2 08/21/97 / U R TEST FOR CONTROL ROOM MACHINE EA NUMBERS: NA DE ACTIONS: NO ACTION ,

4 97 026 DISCRIMINATION AGAINST SENIOR A RIVER BEND 1 08/25/97 / U R REACTOR ENGINEER BY MANAGEMENT FOR INITIATING CONDITION REPORT EA NLtEERS: NA OE ACTIONS: NO ACTION 4-97-027 FALSIFICATION OF THERMO-LAG L COMANCHE PEAK 1 09/18/97 / U NR  !

MATERIAL INSPECTION RECORDS EA NUMBERS: NA DE ACTIONS: NO ACTION 4-97 028 DELIBERATE VIOLATION OF L SIEMENS POWER ENRICHMENT 07/31/97 / S DECLINATION PROCEDURES REGARDING HANDLING OF 002 POWDER EA NUMBERS: 97-389 I OE ACTIONS: EDL 11/05/97 97-400 INDIVIDUAL - NOV 09/12/97 LIMITED DISTRIBUTION INVESTIGATIVE INFORMATION: MAY NOT BE REPRODUCED OR DISTRIBUTED OUTSIDE NRC WITHOUT CONSULTING TE DIRECTOR, OI.

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- NRC-125131A-A 0FFICE OF INVESTIGATIONS PAGE: 37 ANNUAL REPORT OF CLOSED CASES DATE: 12/09/97.

FOR THE PERIOD 10/01/ % - 09/30/97- -

t i

CLOSED CASE NUMBER ALLEGATION SOURCE FACILITY NAE DATE/ RESULT 00J ACTION i

t 4-97-030 ASSIST TO STAFF IN REVIEWING A DIABLO CANYON l' 09/30/97 / F NR-EMPLOYEE CONCERN PROGRAM  !

INVESTIGATION 95-015 .l i*

EA NtMBERS: NA DE ACTIONS: NO ACTION 4-97 031 DELIBERATE TAMPERING WITH L FORT CALHOUN 1 08/04/97 / U NR ['

MAINTENANCE SHOP AIR HANDLING

• UNIT EA NUMBERSi NA DE ACTIONS: NO ACTION

, 4-97-032. DELIBERATE FAILdRE TO PROPERLY L TROJAN 08/14/97 / U NR PERFORM FREE RELEASE SURVEYS

[t EA NUMBERS: NA DE ACTIONS: NO ACTION i 4-97-034 DELIBERATE VIOLATION OF SITE L WASHINGTON NUCLEAR 2 08/21/97 / U NR I RADIATION PROTECTION  ;

PROCEDURES EA NUPEERS: NA DE ACTIONS: NO ACTION i 4-97-035 ASSIST TO STAFF - DELIBERATE t WASHINGTON NUCLEAR 2 07/15/97 / F NR TAPFERING WITH POWER CORD &

• REMOVAL OF LOCK WIRE ON l CONDENSATE SYSTEM RELIEF VALVE t T

EA NUPEERS: NA OE ACTIONS: NO ACTION

[

i, 4-97-037 DELIBERATE FAILURE TO AE ND I DEPT OF INTERIOR 08/25/97 / U NR NRC LICENSE TO REPORT NEW RSO .

e EA NUMBERS: NA DE ACTIONS: NO ACTION 4-97-040 FALSIFICATION OF ACCESS I RIVER BEND 1 08/04/97 / 5 DECLINATION AUTHORIZATION RECORDS i EA NtMBERS: 97-381 OE ACTIONS:

['97-436 INDIVIDUAL - NOV 09/16/97 97-437 INDIVIDUAL - NOV 09/16/97 E

i

, LIMITED DISTRIBUTION I INVESTIGATIVE INFORMATION: MAY NOT BE REPRODUCED OR DISTRIBUTED OUTSIDE NRC WITHOUT CONSULTING THE DIRECTOR 01. I

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.- . . r NRC-125131A-A 0FFICE OF INVESTIGATIONS' PAGE: 38 ANNUAL REf 0RT OF CLOSED CASES DATE: 12/09/97 FOR TE PERIOD 10/01/ % - 09/30/97 CLOSED CASE NUNBER ALLEGATION SOURCE FACILITY NAE DATE/ RESULT- 00J ACTION 4-97-041 FAILURE TO POST D'JRING I GULF C0AST INSPECTION 08/22/97 / U NR t RADIOGRAPHY OPERATIONS -

EA NUPBERS: NA DE ACTIONS: NO ACTION 4-97-043 DELIBERATE FAILURE TO FILE NRC A DESERT INDUSTRIAL X-RAY 08/26/97 / U NR FORM 241 EA NUPBERS: NA DE ACTIONS: NO ACTION I

l i

i LIMITED DISTRIBUTION INVESTIGATIVE INFORNATION: MAY NOT BE REPRODUCED OR DISTRIBUTED OUTSIDE NRC WITHOUT CONSULTING TE DIRECTCR. 01.

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