# Joint Appendix — Rockwell Intern. Corp. v. United States > Briefs, arguments, decisions, and more. URL: https://www.frixlaw.com/law-library/documents/brief%3Amicro_IA40385016_0250%3A07 ## Record - **Collection:** Supreme Court brief - **Document type:** Joint Appendix - **Published:** January 1, 2007 - **Citation:** 549 U.S. 457 ## Text Supreme Cour, Us. | FILED © OCT 25 206 = SoU) TL OFAICE OF THE AERC | | Jn the Supreme Court of the Gnited States ROCKWELL INTERNATIONAL CORP. AND BOEING NORTH AMERICAN, INC., PETITIONERS, v. UNITED STATES OF AMERICA AND UNITED STATES OF AMERICA £X REL. JAMES S. STONE, RESPONDENTS. ON WRIT OF CERTIORARI TO THE UNITED STATES COURT OF APPEALS For Tet TENTH CIRCUIT JOINT APPENDIX Counsel for Petitioners Counsel for Respondeuts MAUREEN BE. MAHONEY MARIA T. VULLO Counsel of Record Counsel of Record J.ScoTr BALLENGER EVAN NORRIS MATTHEW K. ROSKOSKI PAUL, WEISS, RIF KIND. NATHAN H. SELTZER WHARTON & GARRISON, LATHAM & WATKINS LLP LLP 5535 11TH STREET, N.W. 12385 AVENUE GF THE Suireé 1000 AMERICAS WASHINGTON, DC 20004 NEw YORK, NY 10019 (202) 637-2206 (212) 373-3000 Additional Counsel Listed on Inside Cover _—_— —— ——— PETITION FOR CERTIORARI FILED APRIL 4, 2006 CERTIORARI GRANTED SEPTEMBER 26, 2006 Additional Counsel for Additional Counsel for Petitioners Respondents CHRISTOPHER J. KOENIGS HARTLEY DAVID ALLEY MICHAEL B. CARROLL LAW OFFICES OF SHERMAN & HOWARD HARTLEY D. ALLEY L.L.C. . 12499 W. COLFAX AVE. 633 17TH STREET P.O. Box 280868 SUITE 3000 7 LAKEWOOD, CO 80228 Denver, CO 80202, (303) 431-8660 (303) 297-2900 ~ PAUL D. CLEMENT Solicitor General UNITED STATES DEPARTMENT OF JUSTICE 950 PENNSYLVANIA AVE., ‘ ~NW RooM 5614 WASHINGTON, DC 20530 (202) 514-2217 i JOINT APPENDIX TABLE OF CONTENTS United States Court of Appeals for the Tenth Circuit Relevant Docket Entries: United States of America ex rel. James S. Stone and United States of America v. Rockwell International Corp. and Boeing North American, Inc., No. 99-1351 United States District Court for the District of Colorado Relevant Docket Entries: Stone et al. v. Rockwell Automation, et al., No. 1:89-ev-01154- PERE EEE EERE EEE EEE EEE EEE HEE EE EEE TEESE SEES SESE E EE EE EE EEE EEE SE TEEEEEEEE ET Complaint and Jury Demand (July 6, 1989) (excerpts) (CA! 81 to 97) Plaintiffs Exhibit 1: Plea Agreement and Statement of Factual Basis (Mar. 26, 1992) (excerpts) (CA 1861, 1864-72, 1874-91) Brief in Support of Defendant’s Motion to Dismiss Plaintiffs Complaint Under Rule 12(b)(1) for Lack of Subject Matter Jurisdiction (with motion) (Dec. 15, 1992) (CA 116 to 135) Affidavit of Christopher J. Koenigs (Dec. 15, 1992): Exhibit 1, Application and Affidavit of Mr. Lipsky (excerpts) (CA 0139 to 0145, 152 to 154, 157, Page 1“CA _” refers to the pagination used in the Tenth Circuit Appendix. ii Exhibit 8, Plaintiff James S. Stone’s Amended Responses to Interrogatory Nos. 1(d), (1), (m), (n) and (0), 5, 6, 7, 11(a), 12-16, 21(d) and 23(a), (b) and (d) of Defendant’s First Interrogatories (excerpts) (CA 0225 to 0226)...... 102 Exhibit 9, Excerpts from the Deposition of James Stone (CA 0229 to 0231) ...........ceccccssssssrsessssesseseeseses 105 Exhibit 10, 06/1989 Newspaner Articles (photos and marginalia omitted) (CA 0232 to 0252).......... 113 Affidavit of James S. Stone in Opposition to Defendant’s Motion to Dismiss for Lack of Subject Matter Jurisdiction (Feb. 27, 1993) (CA 290-310)........ 169 Exk won’t comment until it gets a chance to review the suit. The lawsuit also charges that Rockwell knew it was breaking environmental laws, but didn’t acknowledge it, es- (See ROCKWELL, Page 3A) Rockwell lawsuit goes public (from Page 1A) pecially not when its bonuses were being considered. Rockwell received $62 million in bonus awards from 1979 to 1988, including $16 million for doing better than expected in such areas as quality, production and environmental health and safety. Stone’s lawsuit charges that Rockwell defrauded taxpayers—winning bonuses by being dishonest J A-165 about its compliance with environmental laws. “Jim Stone is an individual who would not be silenced,” Alley said at a news conference in Denver Tuesday. ' In September 1989, consultants from an independent safety assessment team listened to Stone’s allegations. They concluded that managers should have investigated his contention that there may be plutonium in the air ducts. But they concluded that most of the rest of his allegations were unfounded, mostly because Stone wasn’t privy to how things were done there. Stone had quoted scuttlebutt from workers who said uncontrolled nuclear chain reactions, or criticalities, happened “all the time.” But the team concluded a criticality never occurred at Rocky Flats and said the workers had been referring to safety infractions that could lead to a criticality, not a criticality itself. “This is a bet-the-company case for Rockwell,” said Alley. “We’re in this for as long as it takes.” Rockwell, a $12-billion-a-year corporation, earned a profit of $800 million last year. “I was concerned at the unconscionable actions at Rocky Flats,” said Stone. “I was angered they did not allow me to do my job. I want to set a precedent around the country. We want to give money back to taxpayers.” Friends and ex-colleagues of Stone say he is a sincere man who sometimes sees conspiracies when all they see are small problems. Stone said he is not as frustrated today as he was a year ago when he was saying that lying and cheating by the U.S. government and its contractors was so endemic that the only recourse might be armed revolution. Stone said he wants to file similar suits to try to clean Rocky Mountain Arsenal, the Lowry Landfill, the old Colorado radium industry, the wastewater treatment plant in Brighton and the bubonic plague. Last year, a Jefferson County District judge rejected his claim that he was wrongfully fired by Rocky Flats. J A-166 “I’m a crusader. | know I’m a nut for trying to do things right, to make companies accountable for their mistakes,” he said. “I don’t mind the term ‘radical.’ Not if it has to do with preserving the environment and people’s health and safety.” ’ Stone and Alley are setting up two hotlines, hoping to get workers, ex-workers and members of the public to share stories of fraud, waste and safety violations. The local number is 424-9749, the other (213) 383-4884. Many of Rocky Flats whistleblower’s claims aren’t new By Bill Scanlon Camera Staff Writer The False Claims Act allows anyone with “original knowledge” of fraud to begin a lawsuit on behalf of the government. That means a suit cannot be filed based on information found in the media or from a government hearing, report, audit or investigation. Most of the claims in Rocky Flats whistleblower Jim Stone’s $1 billion lawsuit against Rockwell International aren’t new. They’ve been the subject of news articles, public hearings, admissions or lawsuits. They rehash the long-standing dispute over whether Rocky Flats should be covered by state environmental laws, and whether plant officials should have known that disposing waste without a permit would be deemed illegal. But Stone is given credit by many for being among the first to claim that there was plutonium in the duct work. “They said there couldn’t possibly be plutonium in the ducts, but then they found it,” Stone said Tuesday. Sixty- two pounds of plutonium is caked on several miles of J A-167 ductwork at the plant, which makes plutonium triggers for nuclear (See MANY, Page 3A) Many of whistleblower’s claims aren’t new (from Page 1A) weapons. Attorney Hartley Alley said if Rockwell had listened to Stone’s warnings in 1980 when he was a utility engineer, plutonium never would have built up in the air ducts. And, if the U.S. Department of Energy had listened, Rockwell may have been thrown out as contractor nine years earlier. EG&G Inc. replaced Rockwell as the main Rocky Flats contractor late last year, following a dispute over liability for breaking environmental laws. The False Claims Act allows citizens to sue contractors for fraud, waste and abuse, and to do it on behalf of the government—in effect inviting the Department of Justice to join in the action. The Justice Department estimates that fraud drains $12 billion to $120 billion from the annual federal budget, according to Bradford Penney, former counsel to the U.S. Senate committee on Foreign Relations. But the Justice Department joins a lawsuit only in about one in six cases, a fact that Penney thinks is caused because U.S. attorneys are stretched too thin. Since 1986 when amendments made it easier for clients to win suits, all the settlements combined have totaled about $70 million. Stone would receive 15 percent to 30 percent of the settlement, with the rest going to the federal government. Stone would like to see that money churned back into Rocky Flats’ cleanup. The government this summer recovered $17.9 million from Textron, after it made faulty engines for Coast Guard helicopters. The citizen initiating the suit, former Textron JA-168 buyer Robert Ballew, received $2.7 million, tax-free. From July through September, the government recovered $37 million from Martin-Mariettta, Ford Aerospace, General Electric and VSI Corp. JA-169 IN THE UNITED STATES DISTRICT COURT FOR THE DISTRICT OF COLORADO Case No. 89-C-1154 UNITED STATES OF AMERICA ex rel. James S. Stone, Plaintiff, vs. ROCKWELL INTERNATIONAL CORPORATION, Defendant. AFFIDAVIT OF JAMES S. STONE IN OPPOSITION TO DEFENDANT'S MOTION TO DISMISS THE COMPLAINT FOR LACK OF SUBJECT MATTER JURISDICTION STATE OF COLORADO _) ;: §S.: COUNTY OF JEFFERSON) JAMES 8. STONE, being sworn, states: 1. I am the qui tam plaintiff in this action. I am informed that defendant, Rockwell International Corporation (“Rockwell”), has filed a motion with the Court to dismiss my complaint on the ground that I allegedly am not an “original source” of the information on which my action is based. I further understand that, to be an “original source” under the False Claims Act, I must have direct and independent knowledge of information on which the allegations in this lawsuit are based. Because I have such knowledge and am an original source of the claims here, | submit this affidavit in opposition to Rockwell’s motion. JA-170 Background 2. I am a registered professional engineer in several states including Colorado and had over 30 years engineering experience when I commenced my employment with Rockwell on November 10, 1980, as a Principal Engineer in Rockwell’s Facilities, Engineering and Construction Division at the Rocky Flats Plant located in Golden, Colorado (“Rocky Flats”). In January of 1982, I was promoted to Lead Principal Engineer at Rocky Flats in the Utility Design Department, Facilities Engineering Division. I continued in that position until March 17, 1986, when my employment with Rockwell was terminated. 3. My duties during my six years at Rocky Flats included plant-wide “troubleshooting” and the review of designs and existing operations for safety and cost effectiveness. One of my main responsibilities was to identify plant engineering problems and recommend solutions to management. As a result, during my six-year tenure at Rocky Flats, I was assigned to numerous projects that required me to learn about, and recommend solutions for, various environmental, health and safety issues at the plant. Each project that I worked on was identified by a project number and involved a variety of tasks. I attach as Exhibit A a copy of the daily records that I personally kept during my employment at Rocky Flats. These records show the variety of tasks I performed at Rocky Flats. Each task is identified by the overall project number, and a short description of the specific task. As my daily time records show, and as | explain in greater detail below, many of my assigned tasks related to the claims at issue in this case, as organized and set forth in my Consolidated Answers to Discovery, dated October 27, 1992, and attached as Exhibit B, ie. claims involving surface and ground water contamination and waste treatment, storage and disposal; plutonium contamination; and beryllium health and safety JA-171 issues.'4 In the discussion that follows, I have cross- referenced, where appropriate, the pertinent responses set forth in my Consolidated Answers. Ground and Surface Water Contamination ’ and VV as a i i SLOT a! J IJISVOSa 4. During my employment at Rocky Flats, I obtained direct and independent knowledge of a number of different ground and surface water pollution problems and problems related to waste treatment, storage and disposal. The problems I discuss below in this general area can be divided into the following three general categories: (1) sewage treatment system problems related to toxic waste disposal; (2) spray irrigation; and (3) pondcrete/saltcrete. 5. One of my first projects at Rocky Flats was to _ review the design of the sewage treatment plant. The sewage treatment plant at Rocky Flats was intended to process only routine biological wastes. Nevertheless, as part of this assignment, I learned that the flows to the sewage treatment plant contained materials which indicated the presence of industrial wastes as well as biological wastes. The industrial wastes at Rocky Flats are very toxic. They are hazardous or radioactive, or a mixture of both, and may be in liquid or solid form. These wastes are generated as part of the Rocky Flats production of nuclear bomb 14 For example, among others, project numbers 308201, 315300, 315332, 325040, 325041, 329670, 338616, 345242, 345244, 365550, 379200, 420129, 420906, 430139, 430211, 430555, 430576, 430707, 440227, 440414, 460014, 460912, 460913 and 470247 include tasks involving ground water contamination, sewage treatment, solar ponds and related waste treatment, storage and disposal issues; project numbers 325063, 328957, 335614, 338601, 338611, 345252, 348342, 360456, 370373, 378029, 388611, 398017, 398138, 400204, 410109, 410300, 410301, 420205, 420219, 420305, 430527, 430601, 430642, 430900, 438139, 440219, 470214, 470304, 490006 and 550499 include tasks relating to gloveboxes, dump valves and plutonium in the air duct exhaust system; and project numbers 310072, 318109, 325056, 328955, 365634, 450003, 450010, 450125, 450917, 450918 and 460552 include tasks involving health and safety issues affecting workers at the beryllium shop. JA-172 triggers and processing of nuclear materials. I learned of the presence of toxic wastes in the sewage treatment system when I reviewed certain records which reflected a low rate of biological process at the treatment plant and the presence of certain chemicals and metals, both of which indicated the presence of toxic waste. (See Exhibit B, Attachment 1, Items 7 & 17) 6. I concluded from this that the toxic wastes that should not have been present in the flows to the sewage treatment plant were killing the bacteria needed to process the biological waste at the sewage treatment plant. I also learned that many of the process buildings at Rocky Flats had laboratory sinks and floor drains that were connected to the drainage system to the sewage treatment plant. In my view, there also may have been broken lines and cross- connections between the toxic and biological waste disposal systems, and infiltration of contaminated ground water. Based on this, I concluded that the flows to the sewage treatment plant included toxic wastes from throughout the plant. (See Exhibit B, Attachment 1, Items 7 & 17; see also id., Items 8, 9, 10 & 16) 7. The second general area of ground and surface water problems that 1 worked on at Rocky Flats had to do with the storage, treatment and disposal of both liquid industrial wastes from Rockwell’s plutonium operations and the liquid wastes from the sewage treatment plant. At Rocky Flats, these wastes were sent to “holding” and/or “evaporation” ponds for storage, treatment, and disposal. The holding ponds primarily received the outflow from the sewage treatment plant; the evaporation ponds directly received the toxic industrial wastes from plutonium operations. When the ponds could no longer hold the full amount of these liquid wastes, Rockwell disposed of the wastes by a method called “spray irrigation.” Spray irrigation involves the transfer of wastes from the ponds to the grounds of Rocky Flats. 8. The use of spray irrigation to dispose of wastes from JA-173 the evaporation ponds resulted in the disposal of highly toxic wastes directly on the ground. The use of spray irrigation to dispose of treated biological wastes, by . contrast, would not ordinarily be a problem. At Rocky Flats, however, the use of spray irrigation from the holding ponds also was problematic because the wastes being spray irrigated were not solely biological wastes, but contained toxic materials. As stated earlier, the outflows from the sewage treatment plant contained toxic as well as biological wastes. Thus, Rockwell used spray irrigation to dispose of toxic wastes as well as biological wastes. (See Exhibit B, Attachment 1, Items 15 & 16) 9. Rockwell’s improper use of spray irrigation also likely led to ground water contamination. Soil absorption and evaporation can only eliminate a certain quantity of liquid. If that quantity is exceeded, the liquid will enter and contaminate the ground water. The spray irrigated wastes also increased the ground water flow at Rocky Flats, specifically through former hazardous waste burial sites. This likely increased the rate of migration of these highly toxic wastes. (See Exhibit B, Attachment 1, Items 11, 15 & 16) 10. In addition, the method of spray irrigation employed by Rockwell at Rocky Flats caused the runoff of the wastes into the creeks that serviced the Great Western Reservoir and the towns surrounding Rocky Flats. Rockwell spray irrigated tremendous quantities of liquid on very limited areas regardless of temperature, precipitation or other climate factors. Because of this, the ground was unable to absorb all of the liquid and, thus, runoff of the wastes into the neighboring creeks likely occurred. This was evidenced by the erosion of the slopes at Rocky Flats which I personally observed. For example, spray irrigation of wastes onto eroded or frozen ground often causes the wastes to run into the surface streams which flowed into lakes that supplied drinking water to residents of the towns surrounding Rocky Flats. (See Exhibit B, Attachment 1, JA-174 Items 11 & 16) 11. | explained to Rockwell management that spray irrigation from the holding and evaporation ponds was resulting in toxic wastes being sprayed on the ground, which could contaminate the ground water and surface streams at Rocky Flats. I told management that [| thought there was a better way to dispose of the waste products that Rockwell was then spray irrigating. On December 1, 1980, I put some of my recommendations for an alternative irrigation method in writing. That document is attached as Exhibit C. 12. Rockwell management did not accept my recommendations and instead continued to spray irrigate and, in my view, contaminate the surface and ground water. I ed tae, Prd my concerns about spray irrigation. It was my opinion that, sooner or later, the toxic wastes would find themselves in the ground water and the reservoirs downstream of Rocky Flats. I continued to be concerned with the ground water problems at Rocky Flats. Several years after my initial recommendation, on March 20, 1984, in connection with my suggestion that Rockwell retain me as a full-time engineering consultant, I stated that the ground water problems at Rocky Flats were “a latent time bomb.” I attach a copy of that document as Exhibit D. My recommendations were not heeded; Rockwell continued to spray irrigate as before. 13. During the course of my work, I also learned about a third major problem which I thought affected the surface and ground water at Rocky Flats and the surrounding towns. As noted earlier, toxic industrial wastes were sent to evaporation ponds at Rocky Flats. Some of the liquid portion of these wastes either evaporated or was disposed of by spray irrigation. The remaining liquid and some solid wastes, or “sludge,” remained in the ponds. 14. This sludge and remaining liquid needed to be disposed of in a non-hazardous manner. In or about October 1982, I was assigned to a project addressing the proper JA-175 manufacturing process for “pondcrete.” Pondcrete is a mixture of cement with the sludge and liquid from the evaporation ponds to form large blocks. The blocks can be stored at Rocky Flats or shipped to other sites for disposal. In forming these blocks, it is necessary that the mixture be such that the blocks are stable and do not fall apart and contaminate the surrounding environment. As assigned, I studied aspects of the design proposed by Rockwell management for making pondcrete. After careful study, | concluded that the suggested process would result in an unstable mixture that would later deteriorate and cause unwanted release of toxic wastes to the environment. I also noted, based on my knowledge of the chemical processes at Rocky Flats, that the sludge and liquid present in the evaporation ponds contained some of the most toxic and radioactive substances at Rocky Flats, which made the unstable nature of the pondcrete particularly hazardous. (See Exhibit B, Attachment 1, Items 2 & 3) 15. | communicated my concerns about pondcrete to Rockwell management. On October 13, 1982, I told my superiors that the suggested design would not work. A copy of that communication is attached as Exhibit E. As is noted - at the bottom of that document, my superior, Bob Jensen, concurred in my opinion. Despite its knowledge that the pondcrete would not be’ stable and that dangerous toxins would be released into the environment, Rockwell went forward with the project without making the changes necessary (some of which I proposed) to eliminate the instability of the pondcrete blocks. 16. Rockwell also decided to use a waste mixing process similar to that proposed for pondcrete for forming “saltcrete.” Saltcrete is a mixture of cement, salts and salt brine from liquid industrial waste treatment processes that is formed into large blocks. I knew from my general knowledge of the process that, like the solid wastes being stored as pondcrete, the saltcrete blocks also would have problems with deterioration. The saltcrete and other JA-176 wastes were treated and stored at several sites at Rocky Flats in anticipation of being shipped off-site. (See Exhibit B, Attachment 1, Items 1 & 4; see also id., Items 5, 6, 12, 13 & 14) Plutonium ~ 17. In or about 1982, I was asked to design a new exhaust “plenum” for a building at Rocky Flats which Rockwell! intended to convert from a process building into an office building. A “plenum” is a duct or large chamber that collects air from the exhaust system before it leaves the building. A primary purpose of the plenum is to filter the air before it is released into the atmosphere. As part of my analysis of the proposed design for the exhaust system for this proposed new office building, I reviewed the designs and exhaust systems of other buildings at Rocky Flats. 18. While working on this project, I realized that some of the ductwork connected to the.plenum was contaminated with radioactive wastes. [ knew that the ductwork was over thirty years old, and deduced from that fact that numerous substances from different operations might have accumulated in the ducts. The presence of numerous toxins over the years, in my view, necessitated that the ducts be removed or cleaned. (Exhibit B, Attachment 2, Items 7, 8, 9, & 10) 19. | explained this problem to the project engineer. (Exhibit F) I also reviewed the records of the health and physics department, which confirmed my findings. (Exhibit G) I learned, however, that only the plenum, and not the ductwork, was to be cleaned. I recommended that Rockwell clean the ductwork as well. I suggested that Rockwell use new air filtration technologies, rather than replace the plenum, and use the saved money to clean the ductwork. (Exhibit H) My suggestions were not followed. The building was designated a “clean” building and occupied for office and laboratory space, even with the contaminated ductwork. 20. I also discovered that in some buildings that were JA-177 used for plutonium operations, “gloveboxes” used by employees working on plutonium and related safety features were not working properly. Plutonium is radioactive and one of the most highly toxic substances known to mankind. A “glovebox” is an enclosure into which workers place their hands to work on the processes using plutonium in the manufacture of nuclear bomb triggers. It is intended to prevent spontaneous combustion and unnecessary exposure to plutonium particles. The gloveboxes are connected through a filtered exhaust system to the ductwork which in turn is connected to the exhaust plenum. A properly functioning glovebox will, among other things, prevent over- pressurization and therefore prevent plutonium particles from entering the workplace. Gloveboxes are used at Rocky Flats because plutonium is extremely dangerous and radioactive. It is crucial to worker safety, and potentially to public safety, that the gloveboxes work properly and have adequate filters and other safety features. 21.1 learned during my tenure at Rocky Flats that many of the gloveboxes being used by the workers were leaking. When this occurs, the plutonium particles enter the air and workers are unnecessarily exposed to the dangerous material. In addition, when the particles are airborne, additional plutonium may enter the exhaust ductwork that leads to the exhaust plenum. I also learned that the gloveboxes lacked necessary filters or the filters were punctured by workers trying to protect themselves because the filters were clogged from overuse and lack of maintenance. (See Exhibit B, Attachment 2, Items 1, 3, 5, 6, 8,9 & 10) 22. In addition, the “dump” valves that were supposed to protect workers by maintaining the proper pressure in the gloveboxes were malfunctioning or not functioning at all. “Dump” valves are safety devices that protect workers from exposure to platonium particles in the event the gloveboxes malfunction. The dump valve is supposed to open when there is too much pressure in the gloveboxes. When the JA-178 dump valves do not work, plutonium particles can leak into the workplace and create unnecessary hazards for workers. The malfunctioning of the dump valves also may lead to an accumulation of plutonium in the ductwork. (See Exhibit B, Attachment 2, Items 2, 8, 9 & 10.) While at Rocky Flats, I recommended a way to prevent damage due to over- pressurization from the dump valves. (Exhibit I) 23. When I became aware of the failure of the dump valves to work properly, I reported that fact to my superior, Anthony Eden. At Mr. Eden’s suggestion, we tested the dump valves. The test results confirmed that the valves were not working properly and had not been working properly for some time. (Exhibit J) 24. Perhaps most importantly, as part of my assigned projects at Rocky Flats, I concluded that the build-up of plutonium in the exhaust ducts created a danger to occupants of the building as well as to persons outside of the building. As stated earlier, I learned from my work in the various buildings that the gloveboxes, filters and dump valves were not working properly and that the equipment being used by workers was not cleaned or changed often enough. These discoveries, in my view, proved that the malfunctioning equipment and ineffective safety devices in the buildings at Rocky Flats created serious hazards. I realized that plutonium particles had likely accumulated throughout the ductwork of other Rocky Flat process buildings. (See Exhibit B, Items 1, 8, 9 & 10; see also id., Item 4) Despite my findings, Rockwell did not, to my knowledge, undertake the necessary actions to abate these very significant hazards. Beryllium 25. Beryllium is a unique material used in the manufacture of nuclear triggers for nuclear bombs. It is an extremely toxic metal, although it is not itself radioactive. Workers who are exposed to dangerous levels of airborne beryllium can contract the deadly lung disease berylliosis. 26. During my tenure at Rocky Flats, | was assigned to JA-179 a Rockwell project team to study the health and safety conditions in the beryllium machine shop and propose solutions. I was given this assignment after an employee contracted berylliosis. As part of this assigned project, I examined the environment of the beryllium machine shop and reviewed Rockwell’s compliance there with health and safety requirements. Attached as Exhibit K is a document that I prepared outlining the criteria for the design of the air handling system of the beryllium machine shop. 27. As part of this work, I learned that the workplace environment of the machine shop was contaminated with hazardous levels of beryllium both in the air and on workplace surfaces. I also learned that the systems in the shop for distributing air and for monitoring the level of beryllium exposure were not installed or functioning properly and that, therefore, Rockwell’s records did not accurately reflect the excessive levels of beryllium particles in the shop. In addition, excessive levels of beryllium particles were accumulating in the wrong places in the dust collection system servicing the beryllium shops. I suggested to management that the monitoring system be corrected and that a different method of machining be employed at the shop to prevent-excessive beryllium particles from entering the air. Again, my suggestions were not heeded. (See Exhibit B, Attachment 3, Items 1-5) Rockwell’s Contract with the United States 28. As a Rockwell employee, | was aware that Rockwell was operating Rocky Flats under a lucrative contract with the United States. I understood then that, under its contract with the United States, Rockwell could and did earn substantial “bonuses” every six months for its operations of the plant. Indeed, periodically during my employment at Rocky Flats, I received copies of documents describing the award fee determination process under which Rockwell could earn these bonuses. I attach as Exhibit L one of the documents that I received while employed at JA-180 Rocky Flats which explains part of the process. 29. I also learned during my employment at Rocky Flats that, under its contract with the United States, Rockwell was required to operate Rocky Flats in accordance with federal, state and local environmental, health and safety laws. In addition, I learned that Rockwll’s compensation under its contract was based in part on Rockwell’s satisfactory performance in various subject matter areas, including “Environmental Protection” and “Waste Management.” In fact, page 2 of Exhibit L lists those performance areas that Rockwell had to satisfy in order to receive an award fee under the contract for the period in question. I understood, based on documents like Exhibit L, that Rockwell would not even be considered for an award fee # it did not perform at least at a satisfactory level in each of the applicable performance areas. I Voluntarily Provided Information to the Government on Matters at Issue in This Case 30. While employed at Rocky Flats, I was told by my superiors that I should not discuss the environmental, health and safety problems that I was discovering with representatives of the Department of Energy or any other agency of the government. I followed these instructions. 31. Soon after the termination of my employment with Rockwell in March 1986, I approached the Federal Bureau of Investigation (“FBI”) about some of the environmental, health and safety problems described above as well as a number of other problems at Rocky Flats. I was introduced to FBI Special Agent Jon S. Lipsky by an acquaintance of mine, named Bonnie Exnor. | first met with Mr. Lipsky at Ms. Exnor’s office in the summer or fall of 1986. At that initial meeting, I described some of the matters outlined above in addition to other matters concerning Rocky Flats that are not at issue in this case. I subsequently met on at least three other occasions with Mr. Lipsky and representatives of the Environmental Protection Agency JA-181 (“EPA”), and on one occasion with an Assistant United States Attorney. | also spoke by telephone on several other occasions with Mr. Lipsky. In addition, I provided the FBI with over 2,300 pages of documents. Further, I provided the FBI with the names of individuals with likely knowledge of Rockwell’s environmental, health and safety compliance activities as well as recommendations as to where at Rocky Flats the FBI might best locate additional relevant documents and other evidence. 32. To my knowledge, the FBI recorded some of our discussions. [ had other discussions with the FBI that, to my knowledge, were not recorded, including my initial meeting in Ms. Exnor’s office and some of my telephone conversations with Mr. Lipsky. 33. The FBI reports that I have of my discussions with representatives of the government document some, but not all, of the matters that I reported to them. I attach as Exhibit M a report by FBI Special Agent Jon S. Lipsky summarizing aspects of my June 25, 1987 meeting with Mr. Lipsky and EPA Agent William F. Smith. As that report indicates, during the June 1987 meeting I voluntarily provided information to the government concerning a number of matters on which this lawsuit is based, including matters involving ground water contamination, waste treatment and beryllium exposure. 34.1 attach as Exhibit N an FBI report of my February 17, 1988 discussion with FBI Special Agent Lipsky, EPA Agent Smith and Assistant-United States Attorney Ken Fimberg. Among other things, at that meeting I discussed my safety concerns about the Rocky Flats beryllium shop and the contaminated ducts. In addition, I attach as Exhibit O further documentation by the FBI recording certain of our telephone conversations and written communications concerning matters at issue in this lawsuit. 35. All of the information that I provided to the FBI and other government representatives was based upon my JA-182 direct and independent knowledge, gained while I was an engineer at Rocky Flats working on matters that are now at issue in this lawsuit. I did not obtain the information outlined in this affidavit from news reports or reports of outside government investigations. Rather, I obtained the information outlined above by personal observation and in connection with my assigned projects at Rocky Flats to analyze these problems and propose solutions. The information I possess on the matters described in this affidavit is direct and independent of any public documents or news reports. 36. In August 1986, after the termination of my employment at Rockwell, I filed a civil complaint against Rockwell for breach of contract in state court in Jefferson County, Colorado. In that complaint, which I attach as Exhibit P, I included, among other things, some of the allegations concerning Rockwell’s environmental violations involving wastewater, beryllium and plutonium (pp. 6, 9) that are presently at issue in this lawsuit (see Exhibit B). 37. Finally, simultaneously with the filing of this lawsuit, I submitted to the government a detailed Disclosure Statement. I attach as Exhibit Q a copy of my Confidential Disclosure Statement of Material Evidence and Information. As I state in that document (pp. 9-17, 19-20, 23-30), I voluntarily provided the government with information about which I had direct and independent knowledge on the - surface and ground water, plutonium and beryllium allegations in this case. As the Disclosure Statement also states (pp. 24-30), I simultaneously provided the United States with four boxes of documents about matters at issue in this case about which I have direct and independent knowledge. I continued to supplement my Disclosure Statement by providing additional documentation to the government subsequent to its filing, and prior to the unsealing of this lawsuit. 38. In my Consolidated Answers to Discovery (Exhibit B), I summarized the factual bases of my claims in JA-183 this action. Based on my work history at Rockwell, as described in part above, I have direct, independent and personal knowledge of the facts underlying each of the environmental, health and safety problems set forth in my Consolidated Answers. The material outlined in this affidavit, however, is not all-inclusive of the matters about which I have direct, independent and personal knowledge from my employment at Rocky Flats. Conclusion 39. For the foregoing reasons, I respectfully request that Rockwell’s motion to dismiss my complaint be denied. /s/ James S. Stone James S. Stone Sworn to before me this 27th day of February, 1993 /s/ Cynthia M. Annett Notary Public My commission expires February 24, 1996 [SEAL] JA-184 IN THE UNITED STATES DISTRICT COURT FOR THE DISTRICT OF COLORADO RECEIVED OCT 29 1992 Case No. 89 C 1154 UNITED STATES OF AMERICA ez rel. and James S. Stone, Plaintiffs, Vv. ROCKWELL INTERNATIONAL CORPORATION, a corporation Defendant. PLAINTIFFS’ CONSOLIDATED ANSWERS AND RESPONSES TO DISCOVERY } The Plaintiff, James S. Stone, by and through their attorneys, HARTLEY DAVID ALLEY; BUCHANAN, GRAY, PURVIS AND SCHUETZE; McDERMOTT, HANSEN AND REILLY; and BREIT, BEST, RICHMAN AND BOSCH, P.C., pursuant to the direction of Bruce D. Pringle, United States Magistrate Judge, respectfully submits the Plaintiffs’ Consolidated Answers and Responses to the Defendant’s First Interrogatories and Request for Production. The Plaintiffs’ Answers and Responses are attached hereto as Attachments 1, 2, 3 and 4. This submission while not exhaustive as to the subject matter represents counsel’s best effort to comply with the Magistrate’s Order and is the product of substantial time and effort devoted to compiling this submission. Numerous documents are identified by category as opposed to identification with minute specificity. Upon the Defendant’s JA-185 production of additional requested documents and Plaintiffs’ counsel’s opportunity to review requested documents, Plaintiffs will supplement these consolidated answers by providing greater precision in regard to documents endorsed generally here. Further, while Plaintiff has listed individuals who may be knowledgeable in compliance with the Magistrate’s Order, it is likewise believed this list is not exhaustive and that additional knowledgeable individuals may be identified either in documents provided in ongoing discovery or in depositions. 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jo soumjoa 19jeoi3 Ajperyueysqns Supeyd ‘qay ye eanuay 8,9U0}§ qnoysnoiyy Ajsnonuruos Ayyenqata poyesodo Burkeids styy ‘punoid ay} 07U0 pue Pay keads sam ay} 0) poduind sem ¢-G pue 10Z puod ‘| wow oysem pinby pue ‘pepefas sem ued 8,2u04g “ysIxo9 0} UMOUY B10M says [eLing a3sem sno -psezey PAISUd}X9 JTOYyM ‘quejd ay} y3nosy, ssed pmnom moyg saeyempunois peouryus ay} se weqoid Jayempunoid sjueld 33 ajyeqisoexe ~pinom Moy Jeyem punois 0} Juinoe JA-223 ‘sayem punoid Suryeurwezuoo puv ayezdn qued 410 ©uondiosqe flos Aq jo pasodsip 0 payesodead aq plnoo ey} J A-224 ENGINEERING CALCULATION SHEET PROJECT Nitrate Waste Irrigation PROJECT NO 315332 BY Jim Stone To: Al. Kriznak w/copy to Bob DATE 12-1-80 Jensen CALCULATION: SHEET 1 of 3 {Hardwritten Text]: COMMENTS ON DESIGN CRITERIA: THE IRRIGATION SYSTEM SHOULD BE LOCATED IN THE AREA NORTH OF THE 207 PONDS & THE PSZ FOR THE FOLLOWING REASONS: 1. a) LESS ENERGY & COST DUE TO SHORTER DISTANCE BETWEEN SOURCE OF WASTEWATER & DISPOSAL AREA. b) THE AREA SHOULD BE CULTIVATED IN e) ORDER TO UTILIZE THE’ EXISTING NITROGEN TRAPED IN THE SUBSOIL & TO STABILIZE THE SLOPES AGAINST EROSION. THE AREA IS DOWN-GRADE FROM THE PONDS & CAN BE SERVED BY GRAVITY WITH A SIPHON SYSTEM. THE AREA IS DOWN-WIND FROM THE ROCKY FLATS FACILITY. THE AREA IS NOT SUITABLE FOR OTHER PURPOSES, SUCH AS FUTURE EXPANSION OF THE ROCKY FLATS FACILITY. THE IRRIGATION SYSTEM SHOULD BE A GRAVITY FED DISPERSAL TRENCH SYSTEM FOR THE FOLLOWING REASONS: a) THE GEOLOGICAL FORMATION & THE SOIL TEXTURE IS SUITABLE FOR A SHALLOW TRENCH SYSTEM TO DISPERSE THE WASTEWATER INTO THE ROOT~ ZONE b) c) d) e) JA-225 UNIFORMLY. THE SYSTEM CAN BE OPERATED YEAR- AROUND & IS MORE DEPENDABLE THAN A MECHANICAL SPRINKLER SYSTEM. THE SYSTEM HAS LESS OWNING & OPERATING COSTS. THE SYSTEM IS MORE ADAPTABLE TO THE UNIQUE WIND CONDITIONS AT ROCKY FLATS. THE SYSTEM MEETS THE CRITERIA ESTABLISHED BY THE ENVIRONMENTAL & SAFEGUARDS/SECURITY DIVISIONS. REFERENCES: a) b) g) DRAWING - “NITRATE WASTE IRRIGATION #SK-315332-DC-1” “A SUPPLEMENTARY REPORT TO AN ENGINEERING STUDY FOR WATER CONTROL & RECYCLE CONCERNING THE RECOVERY OF NITRATE LADEN GROUNDWATER” BY ENGINEERING- SCIENCE, INC. “SOIL INVESTIGATION (PSZ)” BY CTL/THOMPSON, INC. “20’ WIND ROSE - ROCKY FLATS” BY AEC “FREEZE INDEX - USE OF CLIMATIC DATA IN DESIGN OF SOILS TREATMENT SYSTEMS, BOULDER, CO.” BY NO & AA “DESIGN MANUAL - LAND TREATMENT” BY EPA 625/1-77-008 “CALCULATIONS - AREA REQ’D” BY J. STONE (SHTS 2 & 3) 4. JA-226 March 20, 1984 Sam Cerise, Manager F.E. & C. Design Div. Rockwell International Dear Sam: As a follow-up to our meeting on Monday morning and pursuant to a suggestion by my supervisor, Bob Jensen, I propose that you create a position for an in-house engineering consultant, under your direct supervision, and let me fill it. The work would include special studies, the review of A/E design work and technical assistance to design and project engineers. An indication of the current need is as follows: 1. Emergency Engineering - these are not on the DPL: a) Maintenance space needed in the L.A. shop by May 15, 1984. b) B881 computer room cooling for this summer - S & W will not complete planned work until September 1984. c) B123 contingency plan to keep the labs in operation. ARIX will not have the plans, much less the work, completed by this summer. d) ECON projects to meet need for current fiscal expenditure: B371 - Cooling of 11 control rooms B443 B84 - Piping modification to test, gas valves. JA-227 e) Equipment purchases in less than the regular 120 days delivery. 2. “State of the Art” Engineering Concepts: a) B07 Facility redundancy - we must be first in this competition. b) Ground water control and utilization - this is a latent time bomb. c) Product improvement by an alternate inert environment. 3. Review A/E Design Work - recent failures: a) B123 HVAC work which omitted lab make-up air and heating. b) B850 Fire Protection piping with design water velocity at 32 ft/sec. 4. Engineering man-hours and scope of work estimates for A/E negotiations in mechanical, chemical, civil and environmental engineering. , 5. Interface between working engineers and computer technology in design and project scheduling 1 in order to facilitate Jeff Haberl!’s work. The above situations are only those which have occurred recently. They represent a great challenge and opportunity. I try to accommodate these needs between my regular duties, but we are losing ground. | should be on this full time. Thanks for your consideration. /s/ James Stone WO Worn Fee? SS ENGINEERING ORDER eeninc REVIEW tN ee “al C ' A manus =) oO * |L1 OGerG cer wast 6 AIEGAR 3 2/22. -4 concer. cen neroat O So | Er OF Go Sn Tea th . DESIGN CATTERIA MAINT O or # 4 REQUEST POR DIRECTIVE ss) FIXEO PRICE CONTACT 0 Ait KALMIR = ATE - eee eeca ey AL y Tt rT) ned Y , . vy, BATE ons et) Gabo, i a ee ee — 5 : ] SOUACE ves no Ol (7 | ¥ , 9/r9/ RECEIVING my Sg hg fs roto soestrucrin Ys 90 OIE: SSEREATOR 5 REFER TO £0 NO. I 4 a. eh . [WO RELEASE DATE 7 D- G- x7 3S Pr taed aan ee OISTRIBUTION mae] to jpeciooe| = we : Tits : ee sboi}| _jPéup ™. wae Ga xte - | i : e “Doz Pp : ra! . ~ 73:43 ams oS wee wt Bt . . —_ = : val cod sfeyes. > a poatarar— - a -/3-82 worn, wor 7. L cm euenan — = " =~ oe ae 7 Aa pe © coowentos 0 DisTA PMA PER PMA DISTRIBUTION LIST “Wa oon Tieliels (C) REQUEST FOR ESTIMATE TO COST ENGAG. ONLY - imP : bANE 428 SuF Fix 1 ae a ee aX ntviewer’s wonarune 0 a P/O I Ea DP: FAC. or. OJ Ou. "NO ~6 PAGE TLE é °. ¥Z0906 | _ [SOLAR EVAR, POND SLUDGE REMOVAL I oF AF 28486 (1141) OLETROY PREVIOUS IeBVES 0439 need JA-228 BEST AVAILABLE COPY JA-229 FROM TONY EDEN © Stone_ NAME ANY HIGHLIGHTS SINCE LAST TUESDAY 1. PROBLEMS/SOLUTION 2. ACCOMPLISHMENTS 3. INFORMATION 4. TOP FIVE JOBS STATUS PLEASE TURN THEM IN BY 3:30 PM TUESDAY __ Oct. ee 85 MONTH DATE {Handwritten Text): l. In my opinion, you are wrong in your assessment of the need for the mini-pleat filter in the new B881 Exhaust Plenum. Your I.L. at Sept. 23, 1985 only expressed the negative aspects. I think that positive aspects should also have been presented. Please note that Rockwell lost the litigation today-on low-level radiation contamination. Therefote the contaminated ducts in B881 represent an increased liability. The savings of several million dollars, by the use of the mini-pleat, would provide the funds to clean or replace these ducts. 2. I asked maintenance for a front partition to my reassigned office space. It is extremely difficult to concentrate while being exposed to an active main hallway. 3. This is a request to purchase a book—Static Electrifications. The RFP library will not extend my current loan, but give no reason. J A-230 4. I am currently working on Be proj. # 950012—Ingot Break-out Hoods. 5. This is to record my strong protest at the three-day suspension that I received last week. It is a strange system of justice that allows one of two participants in a rule infraction to be judge, jury & executioner. You may recall that you instigated the problem by stopping me in a public hallway with your remarks. You should have called me into your office. I responded in close proximity to you & in a low voice because I get muscle strictures to the point that I cannot even speak, when I am very angry. The “finger” gesture that I gave was in lieu of my shouting a reply to your continued remarks as I reached the end of the hallway. This situation was witnessed by at least four other people. 837 ce — G. Goles JA-231 {Handwritten Text]: 1. S&W may perform the decon work. 2. Radiation Monitoring has made a survey of the plenum. See attached survey sheet. 3. Levels of contamination acceptable after decontamination: Removable Total a - A. Eden - Industrial Safety - Facilities - T452D Engineering - LA002 - 2742 SUBJECT - MODULATING/DUMP VALVES PROBLEM On June 25, 1985, Bill McAndrew and Ken Sed!mayr tested in accordance with SMU-301 modulating and dump valves at Anderson Greenwood Co. facilities in Houston, Texas. During the course of these tests, they found the valves to maintain set pressures only at very low flow rates (less than 20% valve capacity), and at very high flow rates (near valve capacity). At the mid-range of valve capacity, which is normal operating range, the valves operated unacceptably. Therefore, glovebox pressure could swing from -4” to positive pressures. Consequently, the valves have failed the tests and should not be used to control glovebox pressures until a new valve is developed. Purchasing is using SMU-301 to attempt to solicit new manufacturers, but past efforts to do this have not been successful. In the interim, I recommend we revert to the manual valving system. _/s/ Anthony Eden A. Eden, Manager Plant Utilities Engineering ce: JA-244 SPOR OPPS OSM MED SP PpruArrrongs® ‘s ; Z S 5 ae | ® a voll oc > J A-245 Internal Letter Rockwell Internationa! Date: January 15, 1986 No. To (Name, FROM (Name, Organization, Organization, Internal Address) Internal Address, Phones) _- E. O'Neil - J.S. Stone - Facilities Project - Facilities Management Engineering - Building 130 - LA002 - 2748 SUBJECT- PROJECT NO. 450918 - BE SHOP VENTILATION COMMENTS RE MEETINGS OF 12/20/85, & 1/6/86, AND REPLIES TO COMMENTS FROM REVIEW OF EDC ISSUED 12/10/85 The following review of FE-HVAC Policies may resolve some of the concerns expressed in the above reviews and establish the design parameters for the Be Exposure Control Projects. 1. All Class A (Pu) and Class B (Ur/Be) facilities will have the ventilation supply system designed for air flow control and the exhaust system designed for differential air pressure control. All Class A and B facilities will have HVAC controls designed to be integrated with a future centralized Data Requisition and Control System. All Class A and B facilities should have the air supply ionized to neutralize the static electricity J.S. Stone JA-246 of airborne particles. This reduces the tendency of airborne particles to “plate-out” on room and duct surfaces and keeps them in suspension until they can be captured in the HEPA filter plenum. All Class A and B facilities should have the ventilation air system designed for operating at seven air changes per hour (a.c/hr.) normally to conserve energy. The system should also have the capacity to operate at 15 a.c/hr. during an emergency to limit the spread of contamination and with item No. 3, to quickly remove and contain the contaminate. All Ciass A and B facilities should control contamination first by “preventive measures” and secondly, by control as close to the source as possible. The main building filtration systems should be considered as backup insurance against any release of contaminants into the outside environment. The “close to the source” containment prevents spread and accumulation of contaminants within the building. This will necessitate the design of serviceable “dropout” boxes with pre-filters. All glove boxes, machine hoods, lab hoods, etc. should have the ventilation system designed to control the optimum aerodynamic air flow within the enclosure and be provided with indicators to confirm the proper operation to the operator. This will necessitate the design of specific orifice plates for each different machine hood. Plant Utilities Engineering JA-247 Preliminary 3-month CPAF Rating page 2 What's the purpose of the 3-month report? According to Ron Smith, director, Management Systems _ & Audit, “We use the 3-month report as a corrective tool so that we tan take appropriate corrective action before the official 6-month CPAF evaluation.” Ss well hav i - ing? Rockwell reviews the draft preliminary report with DOE/RFAO before it is finalized. “We have the opportunity to discuss grades we don’t think reflect the actual performance of the plant,” Smith said. For example, we may believe that a ‘significant achievement’ which DOE left out should be added. We also have not only the opportunity, but also an obligation, to clarify any situation which could be assessed as deficient, for two reasons: if the assessment is not accurate, to present the facts for proper recognition, or if the assessment is correct, to learn from it and fix it.” ow he 3- ffici There is some influence, but DOE does not use the 3- month report as an absolute baseline. We like to think we have the opportunity to work off any deficiencies RFAO ‘perceives in the preliminary 3-month report before the official 6-month CPAF evaluation is performed,” Smith said. “Some deficiencies may carry over, but we trust we’ve corrected all the ones that we can.” CPAF grades do not affect the amount of funding we receive from DOE to operate the plant. However, within our operating budget, DOE gives us the opportunity to earn an award tee. The award fee is based on superior performance in the group of key Functional Performance J A-248 Areas (FPAs) that DOE identifies for each 6-month CPAF evaluation period. A higher CPAF grade average can increase the award fee for Rockwell. I if ) bically given? No. DOE will not even consider an award fee if we do not perform at least at a satisfactory level in all 37 FPAs (see attached list). If we do perform at least satisfactory overall, ihen the CPAF award fee is based on an evaluation of the key FPAs. : How is the CPAF award fee allocated? Award fee dollars go to Rockwell Corporate just like operating profits from other company divisions. Award fee dollars are not allocated in any manner back to the Rocky Flats Plant, except as indirect benefits from Rockwell Corporate. Naturally, superior performance on our part also enhances our working relationship with our customer, DOE. JA-249 FUNCTIONAL PERFORMANCE AREAS ROCKY FLATS PLANT 8/26/85 GENERAL Industrial Safety MAN AGEMENT* Fire Protection Health Protection Environmental Protection TECHNICAL/PROGRAM Emergency Preparedness OPERATIONS Nuclear Criticality Facilities Safety Delivery Performance* Production Support* ADMINISTRATIVE Chemical Operations* SUPPORT Technical Support Quality Control * Operating and Capital Development Work Resources Management Nuclear Materials Financial Management Management Legal Waste Management* Interna! Auditing Nonweapons programs Automatic Data Processing* Telecommunications & Data OPERATIONAL Communications SUPPORT Records Management~ Property Management Transportation Safeguards Procurement Management Security* Industrial Relations Nuclear Safeguards* Equal Employment Facilities Engineering & Opportunity Construction Management Administrative Services Facilities Maintenance, Public Affairs Utilities and Energy Classification Conservation Technical Information Management* * One of the group of FPAs on which CPAF award fees will be based for the 6-month period ending September 30, 1985 J A-250 FD-302 (REV. 3-10-82) FEDERAL BUREAU OF INVESTIGATION Date of Transaction _ 7/28/87 _ — pn JAMES S. STONE of 6735 West 84th Circle, #69, Arvada, Colorado 80003, phone 420-3332, was contacted. STONE is employed as a Consulting Professional Engineer. STONE met with SA WILLIAM F. SMITH of the ENVIRONMENTAL PROTECTION AGENCY (EPA)/ NATIONAL ENFORCEMENT INVESTIGATIONS CENTER (NEIC) and this Agent. STONE advised that he has some information about the ROCKY FLATS FACILITY, and provided the following: STONE provided copies of the following to the FBI, which are attached as a portion of this report: 1. Resume of Background 2. Civil Action Number 86CV3817 _ STONE has worked at the ROCKY FLATS facility as a Consultant and ROCKWELL INTERNATIONAL CORPORATION (RIC) employee for several years, until he was terminated in March, 1986. While with RIC, he was the lead principal engineer, and had unlimited access at ROCKY FLATS. He said that he was terminated from RIC for discussing some _ discrepancies with a_ resident DEPARTMENT OF ENERGY (DOE) employee. After leaving RIC, he researched the fact that DOF can only limit a corporate operator contract to two, five year contracts. RIC has been at ROCKY FLATS for twelve years now. JA-251 Contrary to public knowledge, ROCKY FLATS MISSION (Main) is to accept wastes (hazardous and nuclear) from other DOE facilities. STONE is aware that some private facilities, possibly educational type, send their wastes to ROCKY FLATS. The wastes are brought in by truck and railcar, almost on a daily basis. STONE advised that DOE employs several agency representatives at ROCKY FLATS, possibly four or five. He said that there was no way that DOE maintains one representative for every 30 RIC employees. RIC employees are forbidden from discussing any controversies in front of a DOE employee. Usually, the DOE representatives mind their own business and remain Investigation on 6/25/87 at Denver, Colorado File # DN 249- 43-64 : by SA Jon S. Lipsky/mvk Date dictated 6/28/87 This document contains neither recommendations nor conclusions of the FBI. It is the property of the FBI and is loaned to your agency. It and its contents are not to be distributed outside your agency. DN 249-43 Continuation of FD-302 of JAMES S. STONE. On 6/26/87 | Page 2 secluded from the RIC employees. STONE. advised that the description of the incinerators at ROCKY FLATS are generally correct as cited in the Comprehensive Environmental! Assessment and Response Program (CEARP) of April, 1986. STONE noted that RIC incinerates more than old gloves, paper and wood. = J A-252 RIC has been using an incinerator in buildings 771 and 371, that burn volitized material. In 1980, two “fluid bed” incinerators were designed and placed in Building 776. The fluid bed incinerators are the devices to be used for the proposed test burns of hazardous and nuclear wastes. The incinerator is designed to mix chemicals on a bed of sand, with heat as a catalyst, create a chemical reaction to render hazardous chemicals to salt, water and carbon dioxide. The process of heating is not designed to reduce the volume of the waste. STONE said that he helped to design the fluid bed incinerators. In 1981, the fluid bed incinerators were laboratory tested, and failed. The pilot incinerator has remained on line, and used to incinerate waStes on a daily basis, since 1981. STONE personally knows that plutonium wastes have been incinerated, capsulized in glass, and sent out for burial. DOE possibly has used some old salt mines in Idaho, for the burial of the nuclear waste. STONE noted that RIC does not segregate the domestic waste from hazardous/nuclear wastes, and has continually burned all the wastes on a daily basis. DAVE GUFFY, who works the incinerator in building 771, who is possibly willing to confirm this. Also, the Chief of Construction, RON (Last Name Unknown) (LNU), may also have further information. RIC currently distills and fractionates various oils and solvents, but the wastes are geared for incineration. Building 771 was dedicated to burning gloves. Building 374, where the fractionating is done, is routed by above-ground pipes to tanks on the northside of Building 774. STONE said that he believes that the ground water is contaminated from previous years of waste burial, and JA-253 land application. He designed a tertiary sewer treatment system at Continuation of FD-302 of #AMES S. STONE, On 6/25/87. Page 3 the facility; however, the hazardous wastes are not treated with the same care. The hazardous waste lagoons tend to overflow during and after a good rain, and the wastes are discharged without being treated. STONE advised that RIC has numerous PCB contaminated transformers. Before 1980, it was common practice to spray the facility roads with PCBs. - In the machine shops, STONE discovered that Berilium particulates have become air-borne, and is a potential hazard to RIC employees. STONE advised that various portions of ROCKY FLATS are considered “hot.” Due to the recent burial of hazardous/nuclear wastes, RIC will not allow any construction in and around the “hot” areas. He said that RIC will sometimes pour asphalt over the “hot areas,” made to appear like a parking lot, but no one uses. South of Building 774 (tank room), STONE had intended to construct a new building, but was told that the area was “hot.” STONE said that Plutonium is used in Buildings 776 and 707, and research is conducted in Building 559 RIC,-as part of the DOE contract, receives a monetary bonus for continuous safety hours. STONE advised that HENRY URANO, a RIC employee, once fell from a building and refused to report a severe injury. STONE believes that the employee are under pressure to not report injuries because RIC would lose the DOE bonus. STONE advised that he has maintained copies of various interna] RIC documents and is willing to share them with the FBI. : J A-254 FEDERAL BUREAU OF INVESTIGATION Date of Transaction 2/17/88 = JAMES S. STONE of 6735 West 84th Circle, number 69, Arvada, Colorado, 80003, telephone 420-3332 was contacted at 1200 Byron G. Rogers Federal Building. STONE agreed to an interview and was present with his attorney, HARTLEY DAVID ALLEN. Also present during the interview was Assistant United States Attorney (AUSA) KENNETH R. FIMBERG and Special Agent WILLIAM F. SMITH, of the ENVIRONMENTAL PROTECTION AGENCY (EPA)/NATIONAL ENFORCEMENT INVESTIGATIONS CENTER (NEIC). After a brief introduction and stated purpose of the interview, STONE provided the following information: The interview began at approximately 10:15 AM, a lunch break was exercised between 12:30 PM through 1:50 PM. and concluded at about 3:25 PM. STONE provided a copy of the April 6, 1987 letter from S. R. FOLEY to Senator WILLIAM L. ARMSTRCNG to the FEDERAL BUREAU OF INVESTIGATION (FBI), and the ietter has been incorporated as a portion of this report. STONE was employed by the ROCKWELL INTERNATIONAL CORPORATION (RIC) as the Chief Mechanical Engineer for the ROCKY FLATS NUCLEAR PLANT (RF NP) until about March, 1986. He had overall access to the RF NP along with the Structural and Electrical Engineers for RIC. His duties included the resolution of engineering problems. During his tenure at the RFNP, STONE was supervised by TONY EDEN, Manager of Utility Design; SAM CERISE, Manager of Design, and GARY COLES; BILL NICKEL, Manager of Engineering; J A-255 DOUG CROSSLAND, Director of Facility Services; and J. DORE, General Manager. STONE supervised twelve to fifteen employees, with principal engineer and draftsmen duties. The General Manager supervised four Division Directors, categorized as Production, Security, Operations and Services. STONE believes he was_ ultimately supervised under the Services Director, as was the RFNP environmental officer. The Health Safety Environmental (HSE) Manager is ~ Investigation on 2/17/88 at Denver, Colorado File # DN 249- 43 by SA _ JON S. LIPSKY/pjr Date dictated 2/18/88 This document contains neither recommendations nor conclusions of the FBI. It is the property of the FBI and is loaned to your agency. It and its contents are not to be distributed outside your agency. DN 249-43 Continuation of FD-302 of JAMESS.STONE. On2/17/88 Page 2 and was GARY POTTER. POTTER also holds a position with the JEFFERSON COUNTY HEALTH DEPARTMENT. STONE recalled working with A Blue Ribbon Committee, KEN SHRUNK and DENNIS MURPHY ona particulate problem in building 444. As a result of a death, J A-256 STONE was asked to engineer a solution to the Berylium machining operation. STONE said Beryluim is extremely toxic and investigated the machining operation to control the dust problem. STONE determined through his investigation of December, 1984 through March, 1985 that the machinists were forming Berylium without a cutting oil. The larger metal pieces were being swept up, but the particulates were collecting on the walls and in the ceiling. RIC employed an electronic monitoring system to detect the presence of Berylium dust, but the monitors did not indicate the presence of the metal dust. STONE perceived a problem, as the dust was accumulating on the walls and in the ceiling like snow drifts. DENNIS MURPHY exposed several photos of the dust in the ceiling. STONE said he believes that the monitors failed to indicate the presence of the dust because of inherent problems with the monitors. The monitors used a plastic disk to receive the dust, but the air flow from the suction may have caused an electro-static field. As a result, the dust would be repelled from the monitor and sought a more conducive resting place. STONE said be recommended to his supervisor, that the Berylium machine shop should cut the metal in submerged oil, which would control the particulate problem. One of the machinists has been diagnosed as having Alzheimer’s disease, but STONE said the employee is not suffering any memory loss and probably has Beryliosis. STONE was admonished by his supervisor to not discuss his finding with any Department of Energy (DOE) officials. STONE identified the locations for each RIC incinerator; building 771, where the-old incinerator has been since 1970’s, building 779, where the pilot and full scale fluid bed incinerators have been since about 1981, and building 371, where a new incinerator is located. J A-257 Continuation of FD-302 of JAMESS.STONE. On 2/17/88. Page 3 DAVE GUFFY, a retired RIC employee, who was the chief operator for 771, may have further information about the incinerator operating times and the type of material that was burned. STONE said he was under the impression that the 771 incinerator was used to salvage various materials; reduce the volume of waste; and incinerate trash. mah Building 779 is a research lab where RIC has constructed two fluid bed incinerators to treat mixed nuclear and hazardous wastes. The pilot incinerator has an approximate feed rate of 50 pounds per hour and the full scale model is three times larger. STONE believes that the 779 incinerator was continuously operated from 1981 until about 1986, up until the time he was employed at the RF NP. STONE reviewed his statement of June 25, 1987 and noted two corrections: on page 2, paragraph 1, last line 776 should be 779; and on page two, paragraph 2, line 7, STONE said he did not help to design the fluid bed incinerator, but should have been asked to review the design. STONE said he was aware that the fluid bed incinerators were tested in 1981, but he was unable to find the 99.9999 test results; the results of the test indicated less than 99.9999 efficiency and resulted in failure. STONE said each building has a posted Quality Assurance manual for details about the operations. The records are also maintained atthe plant library, Engineering Department library. Building 991 is where the nuclear waste is stored prior to incineration. STONE reviewed three RIC photographs of an incinerator, copies of which have been attached as a portion © SEE —— J A-258 of this report, and believes they depict the 779 incinerator. STONE recapped the building numbers or locations of pertinent RFNP buildings: 779 Fluid bed incinerators 771 Incinerator m 371 New incinerator 991 Nuclear storage 708 Plant library 124 Manager's offices (Administrative Bui.ding) 130 HSE 881 Contaminated ducts 444 Machine shops for Berylium 447 Restructured Berylium machining _ Continuation of FD-302 of JAMESS.STONE. On 2/17/88. Page 4 Building closest to the west side gate, Engineering Department library. STONE said that the older plutonuim trigger housings are re-fashioned in building 447, and the process produces a slag. - STONE stated, in about 1981, be learned to not discuss RIC problems with DOE personnel. After hearing about some recommendations on the RF'NP cooling towers, for replacement, BILL NICKEL told him not to discuss the situation/problems with DOE. STONE said he developed a friendship with RON FOSTER, DOE Chief of Construction, who may be cooperative. STONE recalled that the RFNP accepted wastes for treatment, from private entities. Payment for receiving the wastes would be detailed under the RIC, Cash Accounts. STONE also said RFNP has numerous waste sites, from previous burial practices. J A-259 DN 249-43 JSL/tmp -l- The following investigation was conducted by Special Agent JON S. LIPSKY at Denver, Colorado, on February 29, 1988. JAMES S. STONE of 6735 West 84th Circle, #69, Arvada, Colorado 80003, telephone 420-3332, sent the attached letter of February 26, 1988, to the FEDERAL BUREAU OF INVESTIGATION. J A-260 JAMES 8S. STONE Consulting Engineer 6735 W. 84" Circle #69 Arvada, CO 80003 (303) 420-3332 February 26, 1988 Jon Lipsky, F'.B.I. P.O. Box 1229 Denver, CO 80201 Re: Projects on incineration of radioactive wastes at Flats: Daily record of time: Auth. No. Date Project Title 300607 FY80 Pyrochem. Inline instrumentation, B779 310378 3/81 Hydraulic Process control, B779A 900406 8-10/81 Pyrochem. Development ~ Facility (Ken Mohr) 900421 10-12/81 High Temperature filter specifications 900415 Nu-wastes immobilization 349190 11-12/81 plant 398023 3-83 Vacuum heat treat furnace 318107 10-11/84 Contaminated furnance, Rev. B JA-261 Auth. No. Code: XXX Sequential nos. 000-999 X Type of funding: 0 for capital equipment & expense, 5 for GPP (general plant project) X Fiscal year issued (last digit of year) X Type of project: 3 for capital funded 4 for expense funded 5 for maintenance work order 9 for design criteria only Construction Management Review, 2-21-86: FY 87 Line Item Projects: 379685 (389685); Pu Rec. Mod. Projects; Kriznar, Proj. Adm. (PA); Jenkins, Proj. Engr. (PE); $2.15 Mil. Total Est. Cost (TEC) FY 90 Line Item Projects: 309020; Pyrochem Dev. Fac.; Bange, P.A.; Walsh, PE; Sch. 44 LR 12/12/84 by JJ.; not supported by DOE FY 91 Line Item Projects: 319101; Pu Recovery Support Fac.; Wiggins, P.A., Wiggins, PE; Sch. 44 LR 12/12/84; design status — hold; $3.0 Mil. TEC FY 87 General Plant Projects: 375620; Install Plenum in Pu Rec. Fac., 771; $0.3 Mil. TEC; Des. By LATA FY 84 Capital Equip. Projects: 340328; Real Time Analysis of Pyrochemical Process; 779A; User - RD; Current status (9-30-85) FPCO 3-18-85 J A-262 FY 85 Capital Equip. Projects: 350567; Calcining & Burning GB; 779A.; User - RD; Current status (9-30-85) Part IV FY 85, Expense Projects - Pu Operations: 440812; Precip/Calcin. Process; 371, Status 9-30-85 — Installation 440848; Incinerator Stripout; Status, 9-30-85, Construction FY 85 Expense Projects - Research & Development: 410103; Install Glove Box for Pyrochemistry, 779; Status, 9-30085, Hold. 450103; Heat Detection, Glove Box 985, B779; Status, 9-30-85, As-builts. FY 85 Line Items: 358204; Incinerator Plenum; $1.1 Mil. TEC; Sch.: TI 6/86, TIT 12/86, Constr. Str. 4/87, Constr. cpl. 12/87; 0% Cpl. 2/86 FY 82 Line Items: 338615; Precipitation/Calcination, 771; $6.29 Mil. TEC; 44% epl. 2/86 JA-263 FEDERAL BUREAU OF INVESTIGATION —_ \ Date of transcription 3/4/88 JAMES S. STONE of 6735 West 84th Circle, Number 69, Arvada, Colorado, telephone (303) 420- 3332, telephonically contacted this Agent and advised the following STONE said TERRY FOPPE, ROCKWELL INTERNATIONAL CORPORATION (RIC), telephone 966-7436, is the person who administers the Quality Assurance Manuals. He also corrected his previous statements that the fluid fed incinerators were in building 779; in fact, they are in building 776. Investigation on 3/1/88 at Denver, Colorado File # DN 249-43-128 by SA JON S. LIPSKY/mms Date dictated 3/1/88 This document contains neither recommendations nor conclusions of the FBI. It is the property of the FBI and is loaned to your agency. It and its contents are not to be distributed outside your agency. ; ——— —-_ J A-264 DN 249-43 JSL/pjr -l- The following investigation was conducted by Special Agent (SA) JON S. LIPSKY at Denver, Colorado, on March 9, 1988. JAMES S. STONE of 6735 West 84th Circle, Number 69, Arvada, Colorado, telephone number 420-3332, mailed the attached copy of the June, 1985, telephone directory for KOCKY FLATS PLANT (RFNP). STONE also advised that RANDY MAC DONALD of DOMINION SERVICES, INCORPORATED, Denver, Colorado, a RFNP utilities employee may have further information about Buildings 771 and 776. 249-43-136 J A-265 DN 249-43 JSLAlt -l- The following investigation was conducted by Special Agent (SA) JON S. LIPSKY at Denver, Colorado, on March 9, 1988. JAMESS.STONE OF 6735 West 84° Circle, Number 69, Arvada, Colorado, telephone number 420-3332, mailed the attached copy of the June, 1985, telephone directory for ROCKY FLATS PLANT. STONE also noted the following: “The fluid bed incinerators are located in Building 776 instead of Building 779 as I said earlier. If you requested the process operation route sheets (PORS) on these incinerators from 1980 to date, you may have the data that you need. PORS’s outline the parameters of specific operations to designate the tooling required and to identify the specifications and reference documents that apply to these operations. They would also include the manifests of material to be incinerated and safety precautions required. Also enclosed is a better map for your file. Please return directory only Jim” A copy of the map was made; the directory and map was returned. 249-43-135 J A-266 DN 249-43 JSL/kt -]- The following investigation was conducted by SA JON S. LIPSKY at Denver, Colorado, on March 25, 1988. JAMES STONE, telephone 420-3332, voluntarily provided over 1100 copies of documents he has retained while employed by ROCKWELL INTERNATIONAL at the ROCKY FLATS plant to the FBI. The documents consisted of Utilities Department transactions and personal litigation papers. The documents were copied on the March 26, 1988 weekend, and returned to STONE on March 28, 1988. 249-43-141 J A-267 DN 249-43 JSLAra -l- The following investigation was conducted by SA JON S. LIPSRY on January 11, 1989 at Denver, Colorado: JAMES S. STONE of 6735 West &4th Circle, Number 69, Arvada, Colorado, 80003, mailed the attached three page memo. The memo, dated January 28, 1988 regarding the ROCKY FLATS Albuquerque Operation Maintenance/Construction meeting of January 14, 1988, was made available to STONE through a pre-civil trial discovery request. 249-43-233 J A-268 THE DISTRICT COURT COUNTY OF JEFFERSON STATE OF COLORADO Civil Action No. 86643817 R-5 JAMES S.STONE, ) ) PLAINTIFF, ) ) VS. ) ) ROCKWELL ) COMPLAINT-¥FOR INTERNATIONAL ) CORPORATION, ) LIBEL AND ) GARY W. COLES ) BREACH OF ) ANTHONY EDEN, ) CONTRACT ) DOE I, ) ) DOE II, ) ) DOE III, ) ) DEFENDANTS ) COMES NOW the plaintiff, above named, for a complaint against the defendants and states, alleges and avers as follows: J A-269 FIRST CLAIM FOR RELIEF 1. The true names or capacities, whether individual, corporate, associate, or otherwise, and defendantship of defendants DOES I through III, inclusive, are unknown at the time of the filing of this complaint to plaintiff, who therefore sues said defendants by such fictitious names and will ask leave of court to amend this complaint to show their true names or capacities and defendantship when the same have been ascertained. * * * 21. Defendant denied the plaintiff equal application of the law by imposing singular restrictions on the plaintiff that were not generally imposed on others. 22. Plaintiff is entitled to judicial relief from the actions of the defendant for libel, sleepless nights and mental anguish because said actions were deflamatory and unjust. WHEREFORE, plaintiff prays for judgement against defendant, and each of them, as follows: 1. Defamation of character and mental anguish in the sum of Five Million Dollars. 2. For sums incurred and to be incurred for medical treatment in conformity to proof. 3. Loss of income incurred and to be _ incurred inconformity to proof. 4. Cost of suits. 5. For such other and further relief as to the court seems just and proper in the premises. SECOND CLAIM FOR RELIEF 1. Plaintiff incorporates herein all of the allegations of the First Claim for Relief as if fully set forth herein. 2. On November 10, 1980, plaintiff signed the Employment Certification, Invention and Secrecy Agreement for defendant. 3. Plaintiff was told by defendant that a billion dollar modernization and expansion program was underway at the Rocky Flats Plant (RPP), and that an engineering JA-270 department would be developed to do most of the work in- house. The plaintiff had a right to rely on the personal and ~ professional integrity of his former manager and defendant and did rely on them. 4. Plaintiff soon learned that good engineering was incidental to spending the budget and maintaining the schedule, but most important was the shift of design responsibility from defendant to Architect/Engineer (A/E) sub-contractors, even though RI maintained a staff of several hundred engineers. This was contrary to our agreement. 5. Plaintiff also soon learned that the defendant’s policy was never to allow the U.S. Department of Energy (DOE) engineers to learn of a mistake by the defendant, so as not to jeopardize the performance rating for the cost plus incentive allowance fee. This repeatedly compromised the ethics of the plaintiff and involved him in a fraudulent practice, including but not limited to the following: a) On November 12, 1980, plaintiff recorded an objection to removing a forty-ton air conditioning unit for use on a four-ton load in another building. It soon became obvious that the existing engineers were not competent in mechanical engineering. The defendant’s project engineers were in charge, since the design department was not fully developed, and the plaintiffs engineering report was ignored. b) On December 1, 1980, plaintiff recorded an objection to pumping nitrate enriched wastewater from the east side of the RFP to the west side, for disposal by irrigation, in lieu of simply siphoning the wastewater to lower terraces on the east side. Plaintiff's concern was to reduce the migration of groundwater through contaminated soil on plant-site toward domestic water reservoirs, and to reduce cost. Defendant ignored the plaintiff's engineering report. c) On December 15, 1980, plaintiff recorded serious deficiencies in design criteria of the Title I submittal JA-271 for a multi-million dollar Cooling Tower Modification Project, which was ignored by the defendant. On July 16, 1981, plaintiff recorded another report, challenging the validity of the design criteria on the above project, which was also ignored by the defendant. On August 27, 1981, plaintiff made a presentation to the defendant, which was attended by a DOE engineer, wherein the design deficiencies were exposed and a proposal to reduce equipment costs by 90% was presented. Upon defendant’s refusal to consider, the plaintiff asked the DOE representative to investigate. In September, 1981, plaintiff was severely admonished by defendant and directed never to address a DOE representative again. Defendant also ordered a letter of reprimand be given to plaintiff. The cooling towers were installed as originally specified at great cost; however, the alleged deficiency in cooling water capacity still exists, because the deficiency was in the distribution system which was not corrected and not in the source of supply. d) On March 20, 1981, plaintiff recorded an objection to the design of the air-conditioning system in the Wind Site building. It was alleged to have “the countries most efficient space heating systems”, and relied 100% on solar energy. The defendant ignored the plaintiffs report. The system was a dismal failure and required much money to correct. The heating system was corrected by installing a huge electrical resistance heater, that was justified as a need to test the power output of wind generators, but its real purpose was to heat the building at great operating costs. The A/E firm was still retained by the defendant for other projects. e) On March 3, 1982, plaintiff recorded an objection to paying an A/E firm a 45% fee and then paying an additional charge to correct their own mistakes. 6. Plaintiff has presented many _ constructive engineering reports to the defendant, which have all been ignored, including but not limited to the following: - J A-272 a) On April 7, 1983, elimination of refrigeration for drying compressed air. b) On May 5, 1983, develop method of estimating project design man-hours for preliminary project scheduling and resource planning; method of development and evaluation of conceptual designs for alternatives; method for review of technical contract documents for A/E firms. c) On May 183, 1983, development of an assignment-scheduling chart for improved project management. 8. On Juen 19, 1983, plaintiff recorded an objection to farming out $230,000 worth of pre-Title I engineering work with 38% for indoctrination and education of the A/E firm employees to be furnished by RFP employees. The engineering fees were getting enormous and the US. Department of Energy (DOE) was not getting much for the taxpayers’ money. The defendant ignored the plaintiffs concern. 9. On March 20, 1984, plaintiff reported to defendant on the chaos, waste and apathy that existed in facility engineering, including but not limited to the following: a) The “design project list” for scheduling was grossly inadequate. About 50% of the items that should be controlled were not listed. Those that were listed had incorrect data. Defendant had been working for years supposedly to develop this system; however, the format changed weekly and it was worthless. b) Facility Engineering was not complying with the DOE design manual for “state of the art” technology and hundreds of millions of dollars were being wasted. c) A laboratory building air-conditioning system was installed without heat or make-up andthe change cost extra. d) Air conditioning systems were being scheduled for completion in winter, while main-frame computers were being shut down due to overheat in the JA-273 summer. 10. On April 27, 1984, plaiantiff’s original manager was replaced with a defendant. The new manager was a young, inexperienced civil engineer, who was to supervise the utility design department for mechanical engineering. Plaintiff asked the manager of facility engineering about the apparent enigma and he replied “I didn’t have any experience either when I first started”. This was a personal and unwarranted insult to the plaintiff and a violation of professional ethics by the defendant. 11. Plaintiff reported on many plant safety situations which were ignored by the defendant, including but not limited to the following: a) On January 2, 1985, plaintiff reported on the lack of approval of the “asbestos removal” standards which the plaintiff had developed, but which had been waiting months for approval while serious hazards existed at RFP in the remodeling work. b) On January 8, 1985, plaintiff reported on an explanation of why Beryllium dust had not been captured and monitored by the Health Safety Department (HS). HS had been monitoring for many years with no positive tests indicated; however there was Berylliosis reported and a major campaign had to be started to correct the situation. ce) On April 16, 1988; plaintiff reported on the - existence of contaminated ductwork in a building that had recently been designated as “clean” and suitable for offices. The reason given for not cleaning the ducts was that it was too expensive. Plaintiff then proposed a plan to finance the clean-up by utilizing new technology filters on the same project that would save about $5 million in capital cost on this project and about $2 million/year in energy cost throughout the RFP if generally adopted. This plan was presented prior to Title I review, but disregarded by defendant. 12. On February 13, 1985, defendant issued Promotion Guidelines for “Posted Job Vacancies” which indicated that JA-274 the plaintiff must have received an “excellent” rating for thirty consecutive months to be eligible for promotion or to sign a posting for transfer to another department. Plaintiff had signed over thirty “posting” notices trying to get out of facility engineering, without success. Plaintiff had achieved an “excellent” rating for two consecutive years prior to the 1985 annual review and the sudden reduced rating to “satisfactory” for dubious and unjust reasons. This secret policy had been in effect for several years prior to this disclosure. The failure to disclose the terms for promotion of the plaintiff by the defendants is a breach of contract and fraudulent. 13. Plaintiff does not possess sufficient information to allege ultimate facts, as the only source of information is in the sole custody and control of the defendant for presumably security reasons, but plaintiff believes that many unique design concepts for improving product quality and production have been removed from consideration and potential implementation at RFP by the defendant, including but not limited to the following: a) An alternate inert gas to reduce part deterioration. b) Wet machining of beryllium parts. c) Unique energy conservation concepts. 14. Defendant has subverted and breached the contract with the plaintiff for honest, competent, professional engineering work. 15. Defendant has caused the plaintiff sleepless nights and mental anguish for being exposed to unethical and fraudulent practices by the defendant. 16. Plaintiff is entitled to judicial relief from the actions of the defendants for breach of contract, defamation of character and substantial damage to the plaintiffs reputation as a consulting engineer. WHEREFORE, plaintiff prays for judgement against defendant, and each of them, as follows: J A-275 1. Defamation of character and mental anguish in the sum of Five Million Dollars. 2. For sums incurred and to be incurred for medical treatment in conformity to proof. 3. Loss of income incurred and to be incurred in conformity to proof. 4. Cost of suits. 5. For such other and further relief as to the court seems just and proper in the premises. * * * JA-276 IN THE UNITED STATES DISTRICT COURT FOR THE DISTRICT OF COLORADO Case No. 89-C-1154 UNITED STATES OF AMERICA, ex rel., and JAMES S. STONE, Plaintiffs, Vv. ROCKWELL INTERNATIONAL CORPORATION, a corporation, Defendant. PLAINTIFF’S CONFIDENTIAL DISCLOSURE STATEMENT OF MATERIAL EVIDENCE AND INFORMATION — ** * Plaintiff James S. Stone herein submits to the United States Government, pursuant 31 U.S.C. §3730(2), his written disclosure of material evidence and information. Served concurrently herewith is a copy of Mr. Stone’s Complaint Under False Claims Act, which document is being filed in camera and under seal with the United States District Court for the District of Colorado. This disclosure statement is confidential. I. INTRODUCTION Mr. Stone is a Professional Engineer, registered in a number of states. His experience and qualifications span more than 40 years. Mr. Stone is an established expert in the area of waste disposal. He currently holds patents in the United States and 14 foreign countries for sewage JA-277 treatment equipment and processing. Attached hereto as Exhibit “A” is a copy of Mr. Stene’s resume, with attached statements of qualifications, engineering achievements and commendations. His work on military and defense-related projects is especially impressive. During World War II, he worked on .the B-19 Bomber and the Pan-Tex Ordinance Plat at Amarillo, Texas. During the 1950’s his military and cciense related work included design of a boiler plant for the Rocky Flats Nuclear Weapons Plant, then operated by the Atomic Energy Commission, and the design and construction of U.S. air Force Bases at Thule, Greenland, and Lowry Field, Colorado, and rocket fuel related design for Martin Marietta Corporation. In 1961 he performed crucial engineering analysis and testing of the missile pad ground support systems for the Atlas Missile Programs. He also performed engineering services for the Titan I ans II Missile Projects and for air conditioning systems installed at the Denver Federal! Center and Critical Mass Laboratory for NASA, Huntsville, Alabama, and for the Department of Energy (“DOE”) at Rocky Flats, Colorado. From November 1980 until March 1986, Mr. Stone was employed by Rockwell International Corporation in connection with its operation of the Rocky Flats Plant, Golden, Colorado. He was employed as the Lead Principle Engineer in the Utility Design Department, Facility Engineering Division. -The knowledge and information obtained by Mr. Stone during this employment, and at times thereafter, has resulted in Mr. Stone being an original source of information and allegations which have given rise to a number of investigations concerning the Rocky Flats Plant by involving the Federal Bureau of Investigation (“FBI”), the Environmental Protection Agency (“EPA”), the Nuclear Regulatory Commission (“NRC”), members of Congress, and a U.S. Grand Jury. Mr. Stone’s information is also an original source of issues and disclosures recently JA-278 published by the news media. The gist of Mr. Stone’s False Claims Act lawsuit, brought for the United States Government and himself, is that all of the payments received by Rockwell International Corporation in connection with its operation of the Rocky Flats Plant from at least as early as November 1980 and continuing up through the present time are based on false “claims” within the meaning of that term as used in the False Claims Act, 31 U.S.C. §3729, et seq., as amended. The knowledge and information obtained by Mr. Stone has demonstrated, and will demonstrate, that during the times in question, and continuing, Rockwell International has knowingly committed a multitude of crimes and other violations which include environmental crimes, the needless exposure of the Rocky Flats work force to toxic substances, the creation of conditions leading to substantial hazards of “criticality incidents” that could involve releases of radiation into the environment of the Denver metropolitan area, the sue of wasteful engineering practices and purchasing policies, the suppression of reporting of accidents and injuries, the refusal to implement proved measures for removal of groundwater and airborne contamination, the improper treatment of hazardous wastes including the illegal mixing and incineration of mixed wastes, the lack of maintenance on safety devices and contamination alarm systems, and other acts including the withholding of inventions or technology from the governments. Overlaying this web of Rockwell’s wasteful and hazardous practices is Rockwell's elaborately constructed schemes of concealment and cover-ups intended to deceive not only the United States Government, but also the State Government of Colorado and its citizens into believing that Rockwell was doing a wonderful job managing the plant, safeguarding its workers, and protecting the surrounding population. Had the United States Government known the true nature and extent of Rockwell International’s violations and JA-279 conspiratorial cover-up, which cover-up in some instances involved representatives of the Department of Energy (“DOE”), the contract of Rockwell to operate the Rocky Flats Plant would have been abruptly terminated. Accordingly, no payments including costs of operating the facility, annual fees, and/or bonuses, would have been made to Rockwell International. Under the totality of the facts and circumstances as will be fully developed in this litigation, all of Rockwell’s requests for such payments should be held to be false claims for which the United States Government is entitled to treble damages plus civil penalties of not less than $5000 and not more than $10,000 for each act constituting the false claims. The total amount received by Rockwell for such claims is estimated to be in the billions of dollars. | Il. DESCRIPTION OF EMPLOYMENT WITH DEFENDANT AND INFORMATION OBTAINED Shortly after Mr. Stone was hired in 1980, he began observing things at Rocky Flats which were, to the eye of an experienced engineer with Mr. Stone’s qualifications, simply wrong. For example, Mr. Stone noticed that replacement cooling towers that were being ordered for the plant without technical specifications or relationship to resolving a problem. His job was to review the design criteria, drawings and specifications, for the $300 million per year Utilities Restoration Project that started in about 1981. He determined that no rational criteria had been used - and that there was no justification for ordering equipment without proper engineering or relationship to resolving a problem. When his repeated efforts failed to produce a rational solution to the unilateral replacement of almost all of the cooling towers, Mr. Stone sought assistance from the appropriate DOE engineer, a Mr. Ron Foster. This occurred in August 1981. Shortly thereafter, Mr. Stone was J A-280 “called on the carpet” about his communication with Mr. Foster. In about September 1981, three managers, William Nichol, Sam Cerise and Robert Jensen, met with Mr. Stone regarding the communication with DOE. In that meeting, Mr. Nichol expressly told Mr. Stone that he did not want any government agency learning anything about problems or conditions that Mr. Stone may become aware of in connection with his employment at Rocky Flats. Mr. Nichol ordered Mr. Stone, in particular, not to communicate with the DOE regarding such matters, or with any government agency at all. Further Mr. Stone was told that if he violated this gag order, he would be fired. Mr. Stone’s request that this order be put in writing was refused. Throughout his employment by Rockwell, Mr. Stone encountered firsthand numerous instances of unsafe conditions, hazardous practices, engineering and construction practices creating excessive costs, and instances of Rockwell’s knowing refusal to correct existing problems. He was unique in that he had “trouble shooting” duties which required him to visit many secured areas of the Rocky Flats Plant. Mr. Stone’s duties included the assessment of problems and the design or proposal of appropriate solutions. These problems and solutions were documented by Mr. Stone in various forms including his weekly reports to his immediate supervisor, and proposals or formal reports setting forth the relevant information. Mr. Stone has maintained these records and they are herewith transmitted as identified in a following section of this document. A number of the instances of Rockwell’s violations are rather straight forward, such as the refusal to properly size cooling towers and thereby reduce the Government’s cost. However, some of the matters raised are technical and it is impossible to transmit herewith all of the texts, treatises, and documents containing technical information upon which said matters are base’. Where possible, such material is J A-281 incorporated by reference. However, an ongoing process of communication between plaintiff and the Government is required so that the Government’s understanding the plaintiff's full disclosure can be completed. A number of the matters involve information which is in some manner protected. The protections include the following: (1) a stipulation between Mr. Stone and Rockwell as to the confidentiality of certain information obtained in the pending State Court litigation entitled Stone _v. Rockwell International, et al., Case No. 86-CV-3817, Division 5, District Court, County of Jefferson, State of Colorado (the “Stone State Court Action”); (2) designations of certain documents and information produced in the Stone State Court Action as being Unclassified Nuclear Information (“U.C.N.I.”) within Section 148 of the Atomic Energy Act of 1954 (42 U.S.C. §2168); (3) a protective order, entered February 3, 1989, in the Stone State Court Action restricting dissemination of information obtained by Mr. Stone through orders compelling discovery; (4) the fact that certain information is classified and relates to national security; and (5) a confidentiality agreement in another federal case involving Rockwell International. _ In accordance with these protections a number of documents submitted herewith are submitted under seal because the documents are subject to the aforementioned stipulation, U.C.N.L. classification, or state court protective order. Presently there is pending in the Stone State Court Action a petition by McGraw-Hill, Inc., dba KMGH-TV, Channel 7, which seeks to have the protective order rescinded. In the interim, the handling of the sealed records transmitted herewith is to be determined by the representatives of the United States Government into whose possession said sealed records are transmitted pursuant to the requirements of the False Claims Act. Information which Mr. Stone understands to be classified is not transmitted as a part of this statement. However Mr. Stone is willing to meet with the appropriate J A-282 Government representatives to discuss such matters as may be necessary for the Government’s purposes in responding to this action. Subject to limitations discussed above, the following is a list of hazardous conditions, unsafe practices, and improper engineering or construction techniques about which Mr. Stone has acquired personal knowledge and information. 1: Beryllium contamination and__the refusal to implement solutions. In 1984, DOE issued a report documenting beryllium contamination of a Rocky Flats worker due to excessive exposure to airborne beryllium. (See Exhibit “H” in Box 1). Rockwell responded by appointing a blue-ribbon committee, including Mr. Stone as the lead engineer, with a priority assignment to identify and resolve any beryllium contamination problems associated with beryllium operations, in particular in the beryllium shops of Building 444. Mr. Stone, through his own research and investigation efforts, discovered startling facts including: (a) in 1975, Rockwell failed to implement a known set of testing procedures for determining personal contamination in beryllium workers; (b) that the air filter monitoring devices installed at Rocky Flats to detect airborne beryllium had, for many years, given significant-ly and consistently low readings of airborne beryllium due to an electrostatic repulsion effect; (c) that the exhaust ventilation system used in Building 444 to control beryllium dust was defec- tive and incapable of reducing !evels below — legally required minimum; (d) that other industries in which beryllium was machined had adopted the “wet” method of machining beryllium in order to effectively control the airborne beryllium hazard; (e) and that substantial deposits of dust and particulate matter, most probably containing a significant amount of beryllium, had accumulated in the ventilation duct work of Building 444. Mr. Stone proposed to the committee a modified form of “wet” machining be used at Rocky Flats coupled with a beryllium chip recovery process which Mr. Stone designed. J A-283 Such system, as designed, would not only control the dust hazard at the source, but also increase the recovery of government property in the form of recyclable beryllium wastes, and allow for better machining of the part. The committee favored the idea and a research and development team was appointed, including Mr. Stone, to conduct testing to determine the feasibility of using the “wet” machining for the beryllium components which are ultimately included in the nuclear warhead triggers manufactured at Rocky Flats. A “wet” machining apparatus was built and sophisticated testing determined that the parts were as good or better as the parts normally machined without the “wet” process. Despite the advantages of “wet” machining, Rockwell rejected the proposal, along with Mr. Stone’s proposed solutions, in favor of a revamping of the exhaust ventilation system in place. According to testimony obtained in the Stone State Court Action, the decision to go with the revamped system was based on verbal reports of the claimed success, as supported by inadequated documentation and measurements, of a similar system at the British counterpart to Rocky Flats in England. (Rockwell has refused to produce the British documentation on the basis that it is the property of the British Government and. the British Government does not consent to its production. But Mr. Stone has reviewed the documentation.) Also, in the Stone State Court Action, significant documentation, including photographs, has been obtained as to the above matters. However, with some exceptions, this information is presently under the above referenced protective order. Detailed information has been obtained as to the extent of beryllium related diseases among certain Rocky Flats workers, which information and records are under a confidentiality stipulation. These records, as other protected records, are transmitted herewith under seal for the Government’s handling in accordance with the applicable law governing said protections. Unfortunately J A-284 copies of some of the records, in particular some drawings and photographs, have not yet been produced by Rockwell in the Stone State Court Action, despite a court order to do so. ir Duct taminati ildin . In connection with Mr. Stone’s work on remodeling of a portion of the air handling systems for Building 881, he proposed methods for the decontamination and/or removal of exhaust duct work which, after having been in place for many years in Building 881, had become highly contaminated with many [Text truncated at 120,000 characters. The full text is on the page linked above.] --- Source: Frix Law Library, https://www.frixlaw.com/law-library/documents/brief%3Amicro_IA40385016_0250%3A07. Public record. Not legal advice.