-~ UNITED STATES · 2012-07-20 · t~ c,'- -~0 '9 4, c.' c, united states nuclear regulatory...

20
t~ C,'- -~ 0 '9 4, C.' C, UNITED STATES NUCLEAR REGULATORY COMMISSION OFFICE OF INVESTIGATIONS FIELD OFFICE. REGIO N IV 612 EAST LAMAR BLVD. SUITE 400 ARLINGTON, TEXAS 76011.4125 July 15, 2011 MEMORANDUM TO: FROM: Elmo E. Collins, Regional Administrator Region IV Crystal D. Holland, Director 01" Office of Investigations Field Office, Region IV HJMB[ DTLBAY -DICRIMINATION AGAINST Al(b)(7)(C) F(b)(7)(c) FOR RAISING SAFETY CONCERNS (CASE NO. 4-2011-020/RIV-2010-A-0013) SUBJECT: -7c, Enclosed, for whatever action you deem appropriate, is the Office of Investigations (01) Report of Investigation concerning the above matter. Please note that documents may have been gathered during the course of the investigation that are not included in either the report or the exhibits. This additional documentation will be maintained in the 01 case file and available for the staff's review upon request. Neither this memorandum nor the report may be released outside the NRC without the permission of the Director. 01. Please ensure that any internal office distribution of this report is controlled and limited only to those with a need to know and that they are aware of the sensitivity of its contents. Treat as "Official Use Only - 01 Investigation Information." Enclosure: .cc w/enclosure: R. Zimmerman, OE cc w/o enclosure, C. Scott, OGC C. Miller, FSME C. Haney, NMSS Information in this record was deleted in accordance with the/reppd oinformation Act, exerrtions ,_ I formation

Transcript of -~ UNITED STATES · 2012-07-20 · t~ c,'- -~0 '9 4, c.' c, united states nuclear regulatory...

Page 1: -~ UNITED STATES · 2012-07-20 · t~ c,'- -~0 '9 4, c.' c, united states nuclear regulatory commission office of investigations field office. regio n iv 612 east lamar blvd. suite

t~C,'- -~0'9

4, C.'C,

UNITED STATES

NUCLEAR REGULATORY COMMISSIONOFFICE OF INVESTIGATIONS FIELD OFFICE. REGIO N IV

612 EAST LAMAR BLVD. SUITE 400ARLINGTON, TEXAS 76011.4125

July 15, 2011

MEMORANDUM TO:

FROM:

Elmo E. Collins, Regional AdministratorRegion IV

Crystal D. Holland, Director 01"

Office of Investigations Field Office, Region IV

HJMB[ DTLBAY -DICRIMINATION AGAINST Al(b)(7)(C)

F(b)(7)(c) FOR RAISING SAFETY CONCERNS(CASE NO. 4-2011-020/RIV-2010-A-0013)

SUBJECT:

-7c,

Enclosed, for whatever action you deem appropriate, is the Office of Investigations (01) Reportof Investigation concerning the above matter.

Please note that documents may have been gathered during the course of the investigation thatare not included in either the report or the exhibits. This additional documentation will bemaintained in the 01 case file and available for the staff's review upon request.

Neither this memorandum nor the report may be released outside the NRC without thepermission of the Director. 01. Please ensure that any internal office distribution of this report iscontrolled and limited only to those with a need to know and that they are aware of the sensitivityof its contents. Treat as "Official Use Only - 01 Investigation Information."

Enclosure:

.cc w/enclosure:R. Zimmerman, OE

cc w/o enclosure,C. Scott, OGCC. Miller, FSMEC. Haney, NMSS

Information in this record was deletedin accordance with the/reppd oinformationAct, exerrtions ,_ I formation

Page 2: -~ UNITED STATES · 2012-07-20 · t~ c,'- -~0 '9 4, c.' c, united states nuclear regulatory commission office of investigations field office. regio n iv 612 east lamar blvd. suite

July 15, 2011

MEMORANDUM TO: Elmo E. Collins, Regional AdministratorRegion IV

FROM: Crystal D. Holland, DirectorOffice of Investigations Field Office, Region IV

SUBJECT: HUMBOLDT AY - DISCRIMINATION AGAINST Aj(")7(c) 1(b)(7)(C) FOR RAISING SAFETY CONCERNS(CASE N. 4-2 /RIV-2010-A-0013)

Enclosed, for whatever action you deem appropriate, is the Office of Investigations (01) Reportof Investigation concerning the above matter.

Please note that documents may have been gathered during the course of the investigation thatare not included in either the report or the exhibits. This additional documentation would bemaintained in the 01 case file and available for the staff's review upon request.

Neither this memorandum nor the report may be released outside the NRC without thepermission of the Director, 01. Please ensure that any internal office distribution of this report iscontrolled and limited only to those with a need to know and that they are aware of the sensitivityof its contents. Treat as "Official Use Only - 01 Investigation Information."

Enclosure:

cc w/enclosure:R. Zimmerman, OE

cc w/o enclosure:C. Scott, OGCC. Miller, FSMEC. Haney, NMSS

Distribution:s/f (4-2011-020)Clf

(b)(7)(C) OI:HQ

DOCUMENT: S:\OI\FY201 1 CASES\Closed CasesOFFICE 1Q0l:RIV . OI:RIV:FOD •

NAME (b)(7)(C) jC Holland 0-47 IDATE . / '/,1-

'OFFICIAL RECORD COPY

-c.

Page 3: -~ UNITED STATES · 2012-07-20 · t~ c,'- -~0 '9 4, c.' c, united states nuclear regulatory commission office of investigations field office. regio n iv 612 east lamar blvd. suite

6FIF1AL USE O0 ..L 01l INVESTI QrIONINF\QR 'fIONt

Title: HUMBOLDT BAY

DISCRIMINATION AGAINST AVSAFETY CONCERNS

(b)(7)(C)IFOR RAISING

Licensee: Case No.: 4-2011-020

Pacific Gas & ElectricOne Market, Spear TowerSan Francisco, CA 94105

Docket No.: 05000133

Report Date: July 15, 2011

Control Office: OI:RIV

Status: CLOSED

Allegation No.: RIV-2010-A-0013

(b)(7)(C)

Reviewed and Approved by:

/

Crystal b. Holland, DirectorOffice of InvestigationsField Office, Region IV

76 .-. I

2 . . jSpecial Agent'Office of Investigations

Field Office, Region III

/

DO N(qt.DISSE',INA7T,, PLACE IN THE PI LIC CU ENT RCOM OR/DI USS TIE /1CONTENTES OF I9¶ RJORT OF/1-I1VES/I ~ATI6N'O~ IDE WIOF THE AýPOVI?4G OFFICIAL PFTHJS REPORT. UNAMTH RI DIRCLOSURE IAY

RESyLT IN ADVERSE ADI/,RATIVE ACTION AND/ORF RIMINAL PROSECUTION.

OFFICIAL USEONL -'O9I'NVESTIGA'4F1ON iiFO#ATON1

Page 4: -~ UNITED STATES · 2012-07-20 · t~ c,'- -~0 '9 4, c.' c, united states nuclear regulatory commission office of investigations field office. regio n iv 612 east lamar blvd. suite

AOFFICIAL USE, ONL N.• S A INFORMATION 5N

S . -" 1e k-1vz t x i "..... I M "T 1 N

SYNOPSIS

This investigation was initiated on January 14, 2011, by the U.S. Nuclear RegulatoryCommission, Office of Investigations, Region IV, to determine whether a (b)(7)(c)

at Pacific Gas & Electric Company's Humboldt Bay Power Plant (HBPP) was subjected todiscrimination for reporting safety concerns.

Based on the evidence developed, the allegation that aZ1(b)(7)(ct HBPP was7h subjected to discrimination for reporting safety concerns is not substantiated.

NOT FOR PUBLIC DISCLOSURE WITHOUT .A'PROVýLqF\-FIELD•6FFICE DIRECTOR, OFFICE OF" INVESTIGtTIONS, REGIONI IV

Case No. 4-2011-020.. '..1OFFICIAL USE ONCi'- 011 -EST'GATIO...INFopmATI6N

Page 5: -~ UNITED STATES · 2012-07-20 · t~ c,'- -~0 '9 4, c.' c, united states nuclear regulatory commission office of investigations field office. regio n iv 612 east lamar blvd. suite

OFF16IAL.USE ONLY -,Jl•E.TtA.ION INFORI&TIc.${.

THIS PAGE LEFT BLANK INTENTIONALLY

NOT FOR PUBý C-SCLO PUR ITHpUApPROVpi OP,,,FIELD OFFICE DIRZEOCTOR,.OFFICEOF WIVESTIGATIONSJRkGION IV

Case No. 4-2011-020 2OF FICIAL USE 9NLY 01. OINVESTK•ATION\INFdRMAtIOi4 -,

Page 6: -~ UNITED STATES · 2012-07-20 · t~ c,'- -~0 '9 4, c.' c, united states nuclear regulatory commission office of investigations field office. regio n iv 612 east lamar blvd. suite

oýF,rA!A1,LJUSE 0NLY'JQIjJNVýSTIGAV01'41 .F RýAIrJA

TABLE OF CONTENTS

Page

S Y N O P S IS ...................................... ............ ..................................................................... 1

TESTIMONIAL EVIDENCE ..................................................................................................... 5

DOCUMENTARY EVIDENCE ................................................................................................. 7

DETAILS OF INVESTIGATION ............................................................................................... 9

A pplicable R egulations ............................................................................................... 9Purpose of Investigation ............................................................................................ 9B a c k g ro u n d ...................................................................................................................... 9A g e n t's A n a lys is ............................................................................................................. 10C o n c lu s io n s .................................................................................................................... 14

SUPPLEMENTAL INFORMATION ...................................................................................... 15

L IS T O F E X H IB IT S ................................................................................................................... 17

NFE T FOR PUBLIC DISCLOSURE VRTEHOUC ARPR, 'VAL.O .FIELD PAOFFICE D tRECTOR; OFFICE OF INVESTIGATIONS; -REON I

Case No. 4-2011-020 1F3OFFICIAL USE ONLY 1IVESTIGATION ,NFoRM

Page 7: -~ UNITED STATES · 2012-07-20 · t~ c,'- -~0 '9 4, c.' c, united states nuclear regulatory commission office of investigations field office. regio n iv 612 east lamar blvd. suite

OFFICIAL USE )NLY -0 ,ý.ESGTOI O O

THIS PAGE LEFT BLANK INTENTIONALLY

' 1 . 1 .77 NOT FOR PU BLIP DISQLOSUR WITI(O"T APPROVAL.F,4,

FIELD'OFFICE DIRECtOR, OFFIE-OF'ItNVESTIGATI9NS, .IONiV

Case No. 4-2011-020 4OFFICIAL"USE OfýLY - orIIVESTIGkTIOWINFORMAT1ON.--

Page 8: -~ UNITED STATES · 2012-07-20 · t~ c,'- -~0 '9 4, c.' c, united states nuclear regulatory commission office of investigations field office. regio n iv 612 east lamar blvd. suite

(b)(7)(C)

OFFI•AL.U EO Y,. 6 N yES,?IEG • N I rJk QR MAITf N 'A -

TESTIMONIAL EVIDENCE

Exhibit

Humboldt Bay Power Plant (HBPP) ................ 13

H B P P ............................................................... 7

H BPP ............................................... 12

I H B P P ............................................................................ . . . . 11

H HBPP ..................................... 9

H B P P ............................................................ . . . 10

I H BPP ........................................... 3

............................ • ................................................... I ..... - 8

/)NOT OR E '\Hy•, .OVA_/'p•FIELIJ\Fi I E 14XCTOR, 0 FF'CEF IN SIGATIOVREtIOlV

Case No. 4-2011-020 5OFFI•CIAL USE OikY.X-IhL "I eN" 4-ROA-TON

Page 9: -~ UNITED STATES · 2012-07-20 · t~ c,'- -~0 '9 4, c.' c, united states nuclear regulatory commission office of investigations field office. regio n iv 612 east lamar blvd. suite

THIS PAGE LEFT BLANK INTENTIONALLY

N6. FOR•PIUBL, D D LOSUR WýHO T APPROUVAL OAFIELD'OFJ!,Cý DftRE'cTil O•, 0 C FINV 1ATIONS, R-ERIl

Case No. 4-2011-020 6OFICIAL USb'ONLt . OllNVýSTSGATION INF•MATIDN

Page 10: -~ UNITED STATES · 2012-07-20 · t~ c,'- -~0 '9 4, c.' c, united states nuclear regulatory commission office of investigations field office. regio n iv 612 east lamar blvd. suite

DOCUMENTARY EVIDENCE

EXHIBIT(b)(7)(C)

Email and attachment, dated s(b)(7)(C) sent from (

(b)(7)(C) I Humboldt Bay Power Plant (HBPP), to (b)(7)(C)lb) cI II)c) J H B P P ............................................................................................................ 4

Pacific Gas & Electric Company (PG&E) Memorandum, (b)(7)(C)( )( c R E : ...................................... 5

I(b)(7)(C)PG&E Memorandum,

fg-)(7)(c) I' RE: (b ) JHBPP ........................ 6

NO\T FOkPU'5LI' DISCLOSURWJ•HOUTkPPRVAL1Q•FIELDiOFFICE DIRECTOR, O FFICE 0 IN \ES TION ,EGIO)?"IV

Case No. 4-2011-020 7OF FIC.IA"U ,./*N I VO/T116; TIONtNOFtRM ATlIy,/

Page 11: -~ UNITED STATES · 2012-07-20 · t~ c,'- -~0 '9 4, c.' c, united states nuclear regulatory commission office of investigations field office. regio n iv 612 east lamar blvd. suite

- ~ ~ Z----yZ2~VzX 2rL.S~-~-Zr~VZ>. ~

OFFICIAL USE ONLY ;.01 INVESTIGATION, INFORMATION/\

THIS PAGE LEFT BLANK INTENTIONALLY

A i Hu 'NOT FOR\pUýIC bl\QSUR WITH&JT APPFOVALVPFA,-FIELD.OF=FICE DLRECTOR,•OF ICE OF •. ViESlTGATIONS§. REp|ONI

Case No. 4-2011-020 8OFFIC.IAL O$E:-ONLV 01 iNVESTIGAT¶ININ~F&MRMAIV

Page 12: -~ UNITED STATES · 2012-07-20 · t~ c,'- -~0 '9 4, c.' c, united states nuclear regulatory commission office of investigations field office. regio n iv 612 east lamar blvd. suite

DETAILS OF INVESTIGATION

Applicable Regulations

10 CFR 72.10: Employee Protection (2010 Edition)

10 CFR 72.12: Deliberate Misconduct (2010 Edition)

Purpose of Investigation

This investigation was initiated on January 14, 2011, by the U.S. Nuclear RegulatoryCommission (NRC), Office of Investigations (01), Region IV (RIV), to determine whether

-7c, 1(b)(7)(C) ]at Pacific Gas & Electric's Humboldt Bay Power

Plant (HBPP), was subject to discrimination by management for raising safety concerns[Allegation No. RIV-201 0-A-00 13] (Exhibit 1).

Background

On January 28, 2010, (b)(7)(c) Fuel Cycle andDecommissioning Branch, Division of Nuclear Materials Safety, NRC, RIV, and I(b)(7)(c)

-7 c 1(b)(7)(C) Division of Reactor Safety, NRC, RIV,received an allegation froml(b)(7)(C) that he was subject to discrimination by HBPPmanagement for raising safety concerns.

According to[b j from 2008 until hi (b)(7)(C) he'persistently" raised concerns to HBPP management regardin the(b)(7)(c) or theindependent spent fuel rage installation (ISFSI) at HBPP. r(b)(7)(c) alleged that herep •Pv',d tol(b)(7)(C) •then/the,•E)7)()f HBPP, and others in HBPP management that the

(b()()1(b)(7)(C)

reported that as a result of raising these issues,' his employment (b)(7)(c)|

()'(b)(7)(C) IThe technical issues raised by (b)(7)(C) ere investigated un er 0bCase No. 4-20"10-029.

On February 22, 2010, the RIV Allegation Review Board (ARB) convened to discussF~)(c) 1

- allegation and determined he should be offered an opportunity to participate in the NRC'sAlternative Dispute Resolution (ADR) process in an attempt to resolve his dispute with thelicensee,

On August 18, 2010, the Allegation Coordination and Enforcement Staff (ACES), RIV, notifiedOI:RIV that the licensee had declined to participate in the ADR process. ACES requested that

-t. OI:RIV initiate an investigation under 01 Case No. 4-2010-073 to determine whetherT()7)(c)

was subjected to discrimination for reporting safety concerns. A Prima Facie Checklist wasprovided by ACES.

'NOT FOý C UBýC'QLL.URE ,TH " ROVFI111D O~FI DijýTOR, OFF E OIF IFN ETIGA7 I

Case No. 4-2011-020 9,OIRI1IAIUE ONLY- 01 INVS - INFb-AION/

Page 13: -~ UNITED STATES · 2012-07-20 · t~ c,'- -~0 '9 4, c.' c, united states nuclear regulatory commission office of investigations field office. regio n iv 612 east lamar blvd. suite

~YfdA~t~SE'6 ;Tlf [GNQ TI6 ,01i~41,070ýATk&.

On September 15, 2010, was interviewed by 01 and, based on a review of thetra nscrifn of the interview by Reaiona! Counsel, it was determined thatffb)(7)(c)5/'7• b)(7)(c)

(b)(7)(C) Flhe case was then closed on December 1, 2010.

On January 12, 2011, the ARB reconvened and determined that based on discussions with theOffice of Enforcement,I)(c) provided sufficient information during his interview to continue

-7c, to investigate his allegation that he was subjected to discrimination. Consequently, 01 reopenedthis investigation on January 14, 2011 under 01 Case No. 4-2011-020 (Exhibit 2).

Agent's Analysis

Protected Activity

(b)(7)(C) elated that he had consistently raised concerns regardin the: lat

enior manaqement, including (b)(7)(c)then theb)(7)c)1(b)(7)(c) land (b)(7)(C) at the time the (b)(7)(C)

According to Lb)(7)(c) when he was promo e To (b)(7)(C) e identifie (b)(7)(C)"c- ? 7)(C) 1problems which involved (b)(7)(C) Jna

added hat some of these problems were in vio ation ot NhU requirements. t-urthermore,(b)(7)(C) ] complained that he did not receive proper support from management in resolvijgtnese Tssues. He continued to raise these concerns until (b)(7)(c)(Exhibit 1: Exhibit 2, pp. 2, 4, 8; Exhibit 3, pp. 10-12, 16-33, 53-55).

Knowledge of Protected Activity(b)(7)(C) irelated he arrived at HBPP id (b)(7)(c) lns ther 7)(C)(c sae

7 he w-as aware o concerns at(b)(7)(C) Iraised regardin gl(b)(7)(C) I

J~b)(7)(C) J All of these, according tol~)7C

were ocumented in the corrective action program (Exhibit 10, pp. 7-8, 14).

,E3?,cl Jrelated that he was involved in many discussions witk7)(c) ncerning the'IMM..\l lat HBPP and was unaware of any concerns or clticism of the operation by

S(b)(7)(C) I(Exhibit 8, pp. 9-10, 16-17).

(b)(7)(c) Istated he was unaware of )(b7)C) /personally raising concerns about the site's(b)(7)(C) and he dii not recal 1(b)(7)(C) Ibeing outspoken in hiscriticism of thelthW7)(M lat HBPP (Exhibit 9, pp. 10, 13-14).

Unfavorable Action Taken Against=()(7)(c)

•o I that he was] (b)(7)(C) Exhibit 3, p. 4).

Nexus: Did the Unfavorable Action Result fromJb7)(c) Engaging in a Protected Activity?

"7c, (b)(7)(C) ometime in

AN-OT'f OR C6 ~tDI OS )ITOFIELD OFRC_ E I/RECtO, I OF II• IGA'ONS,'•GIbNIV

Case No. 4-2011-020 _O FF,I.CIAL SE •VI NFRAIN

Page 14: -~ UNITED STATES · 2012-07-20 · t~ c,'- -~0 '9 4, c.' c, united states nuclear regulatory commission office of investigations field office. regio n iv 612 east lamar blvd. suite

Pf FICJAL ULSE' ONLY 01'OýI\v..GTib9lN .f9RNUATtOY~j,,

(bHB7) with I((According tot (ae and me ere

s ggg with these outies since Inere were few oher peope able to assist

them in their efforts. (b)(7)(c) ladded that in 2007, when the plant's fossil operations weredivided between i and s ent fuel transfer, the was altered toaccommodate the chang ,b),7)c) xplained that senior managepinnt na~ely (b)(7)(C)

seemed to favor him ove (b"'") C) 'ndit apeared tolT7F x - hatj Iwas beinq,,1.

"7c phased out of managements inner circle.

reaedh...f~)7)C fterbeig(7)(C))()( ha

(b)(7)(C)

During this entire time,according tcord ihe remained engaged ine( ) 7/C)

(b)(7)(C) and focused on improving the condition of thel(b)(7)(C) n To isted t ting coc tin .a (b)(7) wontended that despite e r(b)(7)( reatin

issues that sed raised,4to ey were fnderappreciated by managemenc s eaff;particularly rb)(77) (c)- I(Exhibit 3, pp. 4-55).

tetosadavsn(b)(7)(C) to " tho taa. ermmee (b)(7)(C) rsemarking thatth

tools b related he wfter being advised y thatols apead the company's condu getolicye xplained that hisi (b3(7)(C)

u(b)(7)(C) lAccording to (bsge ec) rabouo one month after hebecame the (b)(7)(c) jinj(b)(7)(C) n he and (b)(7),(C) ineeded to, storeapproximately $100,000 worth of equipmeni require5OTOr the new a arm system. I'""'""' ")

stated that he, (b)(7)(C) wnd b(b)(7)(C) were creatingroom in the security storage containers for the equipment. owe o t trecalled observingthe tools and advisinbeen to d throw it away." He s membereatd thathremarking that thetools belonged to h(b)(7)(C) tstated that the

-[0 h tools appeared to be "unclaimed" and suggested to0(b)(7)0 I.that tie "get rid oft itn" (b)(7)(c)upon leaving the storage container, remembered seeing Ine tools in the back ofl)((c r'•

and -figured that the tools would be disposed of by 1(b)(7)(c) Irecalled that a couple ofdays later, he was approached by the (unidentified onrothtosad(b)(7)(c) ldie

him that the tools had been discarded. F)7)(cT Istated that he askedl[b)(7)(C) labout the tools

and was told that the tools were "tossed." According tolb7)c , he replaced the tools with

his own money which cost him approximately $350.00.1(b(7)(c) related that in

November 2009. he was interviewed by the licensee's corporate security and subsequently1(b)(7)(C) I(b)(7)(C) Irelated that he was informed that he (7)(C) because "someequipment came up missing, an employee was harassed over it ... (1) knew about it, and thatviolated our policy on conduct" (Exhibit 3, pp. 4, 55-65).

In his 01 interview, b7)(c) was asked to identify the best evidence in his view that indicateshe was retaliated against by HBPP management for his safety concerns. (b)(7)(C) could notreference any particular connection and instead argued that with his backgroufd o integri andhis overall performance at the~site, the circumstances should have warranted, (b)(7)(C) 1

(b)(7)(C) " I He inferred that such a harsh action could only be explained byfactors outside of legitimate business practices (Exhibit 3, pp. 65-68).

The events and circumstances culminating inI(b)(7)(ci1(b)(7)(C) ýhe evidence is clear that senior management, namelyL(b)(7)(c) and

" 1b)(c trusted I(b)(7)(c) land assisted him in career advancement even while he was raising

concems about the (b)(7)(C)I According to (bX7XC) Iwas a hard worker,

..NCFOR• PUBt C~ ,C URE jTIUT'4PPROVAL O.\FIELD OFFICE 'DIiEC!1OR, COFFI IES X0ONS E

Case No. 4-2011-020 11OFFICIAI bSE161LX\O NETIGATIOI•F0"IMA"1I1"U

Page 15: -~ UNITED STATES · 2012-07-20 · t~ c,'- -~0 '9 4, c.' c, united states nuclear regulatory commission office of investigations field office. regio n iv 612 east lamar blvd. suite

OFFI'CIAL USE.ONLY,- 01J NVS"IqATIOt•RTJ*kF•MA"'ONf"T.

having good standards and high integrity. He was not involved i gr77 to the

ri(b)(7)(C) Jpositionin a(b)(7)(C) I but he was dasked bm (b)(7)(C) for input and "didn'tdisagreeswith the move (b)(7)(C) -stated he preferred (b)(7)(c) over (b)(7)(c) for the positionand assistedl(b)(7)(C) n his new role (Exhibit 10, pp. 10-141-). 9b)(7)(C) re t (b)(,)(c)

exhibited strong leaherscip skills, a good work ethic and the capo t handle moreresponsibility. Headded that it was his decalled ain i(bX7)(C) ia

of ~ ~ ~ ~ ~ ~ ~ ~ ;ý th dfceceweeteaiiyotheqpmen to meet ! r

ir)(7)(c) e Exhibit 8, pp. 9-12) . Both c eans uecalled shab ecificchallenges with tnel(at la7d(Cd • he i from(Exhibit 8, pp. 12-15; Exhibit 10, PP. 14-19),['='' related that~tlOWA•J Jwas nercnca of

tt t s w at HBPP, and he was unaware ofg and itfiie ha any area. According toissA7ru)A there were recognized vulnerabilities that were addressed relating to(b)(7)(C) or

'exampie. Jkb)(7)(C) jadded thatl hId7l-c-was on a critical path and support from c-ontractors had

7C hbeen requested. mporismissed any criticism that management was not responsive toa(b)(7)(C) pneeds ane recased offering more assistance to management with contractors relating

to P oure revisions but was told by t was not needed (Exhibit 8, pp. 14-19).L('b)(7)(C). .stated that any concerns [a were documented in the corrective action.

conc He was awarer of some of the issuel and specifically recalled asking (6)(7)(C) if anyof the deficiencies were compromisingq the ability of the equipment to meet regulatory

requirements. He was advised b I y(b)(7)(c) that al ooe surveillances haed beencompensated with additional staff. Accordingt he nd oerceved from e o ithat the site was not moving fast t nough, and it tappeared thao coerc h i as satisfied that hisissues were documented. (b)(7)(c) mentioned that (b)(7)(C) appoinu en as the(7)(c)

withijo.(b)(7)(C) ea ee (b)(7)(C) htcueo nert suh a evn i

positin the sie. ac temporary movee however, when ne tater hecame would fe madeg ithe move a permanent one based onfor inves troductivty (Exhibit rl, ppl b-ein avs-30).

(by t ostated that he had a meeting with (b)(7)(c) h i HRPP

aleain mad (byI)7)(C)j~ true. (b)(7)ha(ate (b)(7)(C) h d be

iopnte crie edi ascond. tim bycopoatne seroi etat (7efu vsied and()(cwan toldathim

withat his an incidinto(b)(7)bc Alchat cAordoring t ssuc hw admte dostonthta e to and aded pthat ofhe en t h olesw up un the yteoo

in the ac oe (b)(7)(C) tru hmck ()7C hdsoetetoodls,7X uhasel to )7() ws to areplaceithe

ne hesrtoren it eo oporinated s it wor invesoiaay. (b)(7)(C) trecalleplater wrtie anvisedtd card.(b)()((bea n7)

datedtahuias 6. 20 inwe (b)(7)(C) h aolso gieo•d thos in tegrityi ach Gas e endpoitinthereda sie. b()cn tim e corpomise d sutne(b)(7)(c) tvat ite wudJb7)c afdolld upo heleaionthat~~~~~~ ~~ he~)7()Y'codn o(b)(7)(c) "" amte

Electric. (b)(7)(c mentioned that there was a trustworthy an reciaiity issue and decided(by•)(7)() j(•)(7(c) ' ]t that point. The final cos orate investigation report had not been finatize

and, l~en t wassubseuentl issed it)i() lane ta t e h inidn wF 'or geg

tan previousl believed. t(b)()(c) stated that

,inevexdascntimeb coprt se )7,cur that )(7)(c) .y faieledtom entio tolhithat~ ~ ~ ~ Th latter(C Accotorn wasb(C admtte

.'NO)r, F6RpUJB.,•.L~IC DJSCLOSURIE•WITHOYT. . .. AI PROVIAL•9FFIELD OFFICE DIRECTOR, OFFICE OFiN VEST4'•GAflONS, RE'IO'N ,

Case No. 4-2011-020 ... .. ... 12 . .. ./" "oF FICIALo0USE ,ONL•Y " LJH~qf•I•~TON IFORMATI N. 0

/

Page 16: -~ UNITED STATES · 2012-07-20 · t~ c,'- -~0 '9 4, c.' c, united states nuclear regulatory commission office of investigations field office. regio n iv 612 east lamar blvd. suite

OFFICIAL U'... .O N •• IA NF......

I b()C related he decided] (b)(7)(C) ased on his own conversation-70 c, wit b)(7)(c) andthe corporate investigation tindings (Lxrxnits 4, 5, 6; Exhibit 10, pp. 30-48).

Many of the events and circumstlances involvinoFUb)7)(c) actions were corroborated by otherwitnesses in this investigation. |

iee ,eTT.was a tamle saw and anoiner comornation type tool which cost approximately$400.00. According to (b)(7)(c) a secure place was needed .)(7)(C) the tools, and these toolswere subsequentl st oe in a ocked security trailer on site. i(b)'7)'C 1recalled trying to retrievethe items later inP(b)(7)(c) When she discovered the items miss;ina, seinitially askedf F)(7J)(c)

and he referred her to (b)(7)(C) related that j(b)(7)(c) questioned the existence ofthe missing tools and demanded the sales slip to ascertain her truthfulness. =7)(C) was ableto produce the sales slip later. She asserted that a couple of weeks later,rb7FC met withher and informed her that he located the tools somewhere on site.I(b-)(Fc) imentioned that thetools appeared to be different and figured they were "repurchased" (Exhibit 13, pp. 6-17).

AGENT'S NOTE: The original purchase receipt was obtained by licenseecounsel which indicated that the tools were purchasedfrom Sears on December 30, 2005 for $442.65.

I[bj(7)(C) o corroborated (b)(c) Jtestimony and added he pushed the matter after the toolswere discovered missing by sending an email to everyone requesting a return of the items(Exhibit 12, pp. 9-23). J(b)(7)(c) IHBPP, recalled some of thesecurity operations were being upgraded at the site, and management was willing toaccommodate those changes. As far as the events relating to the missing tools, )(C)recalled an event in either October or November - he was not sure what year - when he wascleaning out the security "C-van." He related tha4l 7 )(c and (b)(7)(c) awere present also atone point and one of them kicked one of the toolboxes and commented that they ought to takethe tools "as rent." 1(b)(7)(C) F tated that he told them "don't even think about it," and added that

o elonced to one of the site's committees.I(b(7)(c) Ideparted soon afterward and leftL(b7)(C) andbI)(c) lone. Accordin to(b)(7)(c) " he learned fromPT75(c1l few days laterabout the missing tools, and how (b)(7)(c)tried to maKe )()(7)(c) urchase tne tOis. 1b)(c.]related that he spoke with (b)(7)(C) over the telephone about the missing tools and'was toldby(-b7)(C) hat he would "destroy"(b)(7 )(c) if he ever said anything about his involvement.

(b)(7)(c) -t-aTe that after being threatene , e decided that he would seek other employment(Exhibit 7, pp. 7-26).The evidence in this investigation is clear thatJrb7T)(c)

' Iwas both a legitimate and practical business decision and was totally

-c- unrelated to whatever concerns he had about the ]at the site. WhileJ(b)(7)(C) ý' (b)(7)(C)fwrote corrective actions concerning I these concerns were shared

by management, and none of these were used as a cause tor retaliation in any form. Moreover,the corrective actions produced byf(b)(7)(C) -were an expected action for someone ho hadassigned duties asi(b)(7)(C) F (b)(7)(C) lhad been seen by (b)(7)(c) nd((7)(c) 1as an effective management team memrer and, perhaps more importantly, was promotduin

;NpTOPR P L 6)I L.J ýHIWUTAP\PROV LF.

FIELD bOFFI CE;bIRECTOR, OFICE OF INVE STIGATILNS.GE1ibV)O

Case No. 4-2011-020 130FFibtAL ",S NiQTI N_ .F

Page 17: -~ UNITED STATES · 2012-07-20 · t~ c,'- -~0 '9 4, c.' c, united states nuclear regulatory commission office of investigations field office. regio n iv 612 east lamar blvd. suite

\OFFIdIAL USE ONLY- CNVESTIGATI I

the time he was resolving issues in the (b)(7)(C) "iI..the final analysis](b)(7)(c)

series of bad decision-making concerning the tool event and :(b)(7)(C)

7c r)7 )(C F ghtly raised questions about his trustworthiness and reliability and l et

manag wih little alternative other than (b)(7)(c)

Conclusion

Based on the evidence developed, the allegation that a (b)(7)(c) _at HBPP was-7c, subjected to discrimination for reporting safety concerns is not substantiated.

,/NOT F -PUB C'Ir4OS\SURE WiT]HOtJT APPR9VA FFIELD 01Ž CE bRF CTO)r OFFICE OF INVESTIGATION"yEGi10WIV-

Case No. 4-2011-020 -VO TOFFICIAL-A U , ,.. f!4,,

Page 18: -~ UNITED STATES · 2012-07-20 · t~ c,'- -~0 '9 4, c.' c, united states nuclear regulatory commission office of investigations field office. regio n iv 612 east lamar blvd. suite

OF L =--Y-"-II Et4 LNk 6,-\

OFFICIAL USE ONLV R

SUPPLEMENTAL INFORMATION

The matter involvingv- 1allegations of discrimination is also being investigated by theDepartment of Labor's Occupational Safety and Health Administration. The allegation involves aviolation of Seclon 211 of the Energy Reorganization Act of 1978. The case is beinginvestigated byl(b)(7)(C) nder Case No.[(b)(7)(C) I

On March 8, 2011. (b)(7)(C) IHBPP, was interviewed regarding the events in"7A. this investigation. ( Idid not provide any testimony of any evidentiary value (Exhibit 11).

NOT FOR PUBLIC DISCLOS RE1WITHO•"• PRCVL OF..FIILD'OFFICE DIRECTO, I, 6fCE OF "IN.STIVA1"ONS, REGION, iti

C NSI 1 S, /1 V

Case No 4-2011-020\9FF'IILSEti ,0 V 'G 6N4 R Tdq

Page 19: -~ UNITED STATES · 2012-07-20 · t~ c,'- -~0 '9 4, c.' c, united states nuclear regulatory commission office of investigations field office. regio n iv 612 east lamar blvd. suite

OFFICIAL USE ONLY...0O IN-VESTIGATI0ON INFORMATIO

THIS PAGE LEFT BLANK INTENTIONALLY

NOT FOR PUBLIC DISCLOSURE WITHOUT APPROVAL OF .

FIELD OFFICE DIRECTOR, OFFICIE OF INVESTIGATliONS, REGI~f4 k /

Case No. 4-2011-020OFFICIAL USE. ONLY - Of INVES-TIGATION JNV'ORMAfIOl.A,../\

Page 20: -~ UNITED STATES · 2012-07-20 · t~ c,'- -~0 '9 4, c.' c, united states nuclear regulatory commission office of investigations field office. regio n iv 612 east lamar blvd. suite

ý -1 __ 7::7 =_ý

OFFICIAL"USE ONLY"-1E INVoE'IGATION "NFORMAT(ON'* *.," " '.. •* \.

.LIST OF EXHIBITS

ExhibitNo. Description

I Investigative Status Record, 01 Case No. 4-2011-020, dated January 14, 2011(1 page).

2 Allegation Review Board Summary and related follow-up, dated January 12, 2011(9 pages).

l(b)(7(C)3 Transcript of Interview with[ Jdated September 15, 2010 (73 pages).

4 Email and attachment, datedý 7(b)(7)(C) _(2 pages).

5 PG&E Corporate Security Memorandum re: (b)(7)(C) Idated 1(b)(7)(C)(2 pages).

6 PG&E Corporate Security Memorandum re: (b)(7)(C) datedl(b)(7)(C)(3 pages).

7 Transcript of Interview with7 dated March 8, 2011 (35 pages).

8 Transcript of Interview withf(b)(7)(C dated March 8, 2011 (28 pages).

9 Transcript of Interview with67)(c) 7dated March 8, 2011 (20 pages).

10 Transcript of Interview with (b)(7)(c) dated March 8, 2011 (52 pages).

11 Transcript of Interview with (b)(7) dated March 8, 2011 (25 pages).12 Transcript of Interview withlc dated March 8,2011 (29 pages).

13 Transcript of Interview with (b)(7)(C) dated March 8, 2011(19 pages).

13" Trncrp of Ineve ih dMrh8,21 1 age)

' NOT FOIk PUBLIC DISCLOS\URE WITHOUT APpR" AL O AZ- /A\

FIELD OFFICE DIRECTO3,'OFFICE.OYINVESTiGA'tIONS,2REGION\ V/

Case No. 4-201 1-020.-.., 'OFFICIAL USE ON 'IY, - 6NUATI IKOk