ML20055C906
| ML20055C906 | |
| Person / Time | |
|---|---|
| Issue date: | 06/21/1990 |
| From: | Taylor J NRC OFFICE OF THE EXECUTIVE DIRECTOR FOR OPERATIONS (EDO) |
| To: | |
| References | |
| TASK-PII, TASK-SE SECY-90-221, NUDOCS 9006280157 | |
| Download: ML20055C906 (9) | |
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POLICY ISSUE June 21, 1990 SECY-90-221 For:
The Commissioners nnn94
~From:
James N. Taylor Executive Director for Operations
Subject:
PROPOSED NRC/TVA OIG MEMORANDUM 0F UNDERSTANDING ON
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HANDLING 0F ALLEGATIONS CONCERNING WRONGD0ING To inform the Commission of the staff's continued Pur -'
negotiations with the Tennessee Valley Authority (TVA)
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Office of Inspector General (OlG) to establish a Memorandum of Understanding (MOU) on the handling of allegations concerning wrongdoing involving the activities of TVA or its contractors.
Discussion:
Under the Inspector General Act of 1978, as amended, the OlG was established as an independent office which reports to the TVA Board of Directors. The OlG is not subject in any way to the authority of TVA's Office of Nuclear Power and cannot be prevented "froru initiating, carrying out, or completing any audit or investigation". The OIG is required under the Inspector Generel Act to " conduct, supervise, and coordinate audits and investigations related to the programs and operations of" TVA. As part of its responsibility, the OIG has jurisdiction to investigate allegations of fraud, waste, and abuse, including allegations of wrongdoing in TVA's nuclear prograr.,
In order to issue an authorization or license, NRC must be provideo with information which will permit it to find with reasoncble assurance that the objectives and criteria of the Commission's regulations will be met and that the operation of the licensed facilities will not pose an unreasonable risk to the public health and safety.
In its normal litersing activities, NRC relies on information provided by a licensee or applicant. NRC also conducts such inspections and investigations it deerrs NOTE:
TO BE MJtDE PUBLICLY AVAILABLE IN 10 WORKING DAYS FROM THE CONTACT: Dan D. kurphy, OI DATE OF THIS PAPER
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necessary to assist it in ' determining whether licensing, enforcement, or other regulatory _ action should be taken.u When NRC receives allegations of some impropriety or 5
inadequacy associated with an NRC-regulated activity. it evaluates all such allegations,: including the use of
_ inspections and investigations. if necessary, to ensure L W
that any concerns which may affect the public health and -
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safety are resolved.
I We believe that the protection of the public health and=
safety would be enhanced by coordination and cooperation-4 in matters involving investigation of possible wrongdoing which may be raised in allegations received by NRC or TVA-i OIG with regard to NRC regulatory requirements in TVA's
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nuclear program.
Thus, we believe it is in the interest of both agencies to establish, through a Nemorandurr of Understanding (M00), a i
mechanism to ensure that any allegations of possible wrongdoing are investigated, -esolved, and documented so that the Commission will~ be able to make timely enforcement actions if appropriate.
The M00 establishes that al.th6 ugh each agency will independently carry out its statutory responsibilities, the agencies must agree that administrative efficiency will be maximized by cooperation and, as appropriate, the timely exchange of information in areas of mutual interest. However, both agencies must also recognize there are areas where it-would be inappropriate for the NRC, as a regulator,-to. share'information with TVA, the-
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licensee,.even considering the OIG's independence and statutory authority.
t The proposed _MOV provides for the processing of allegations of wrongdoing by each agency while avoiding duplication and conducting unnecessary parallel investigations. To accomplish this objective, upon request and when appropriate, NRC 01 will advise TVA OIG if it is actively pursuing a case and the status of a i
particular case. However, it is recognized that 01 will-not provide the 01G with substantive information regarding an ongoing NRC investigation because TVA is an NRC a
licensee.
4 The TVA OIG has a copy of this proposed M00 for preliminary review. The TVA OIG and TVA Office of General Counsel are currently reviewing the proposal. No response has yet been received from TVA.
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- Comi sion OGC' has reviewed this paper and has no lega1' objection to its contents.
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Enclosure:
~ Memo of Understanding e
l DISTRIBUTION:
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iF I DIOR/NDUM OF UNDERSTANDING 1.
Purpose e
The U.S. Nuclear Regulatory Commission (NRC) and the Tennessee Valley Authority (TVA) enter.intothisagreementtofacilitatecoordination between the NRC's Office of 'nvestigations (01) and TVA's Office of the InspectorGeneral(0!G).
2.
pa,c,kgpund Under the Inspector General Act of 1978, as amended (5 USC Appendix 3)
(InspectorGeneralAct),theOlGisestablishedasanindependentoffice which reports to the TVA Board of Directors. The OIG is not subject in any way to the authority of TVA's Nuclear Power organization and cannot be prevented "fror initiating, carrying out, or completing any audit or investigation"(5USC 3[a)). The OlG is required un& r the Inspector General Act to "cor.c'oct, supervise, and coordinate audits and investigations reletir1; to the programs and operations of" TVA. As part of its responsibility, the OIG has jurisdiction to investigate allegations of fraud, waste, and abuse, including allegations of wrongdoing in TVA's nuclebr program.
At the same time, the NRC, under the Atomic Energy Act of 1954, as amended (42 USC 2011 et seg.), has the authority to conduct such investightions as it deems necessary or proper.
Pursvent to that
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authority, 01 has the responsibility to investigate allegations of wror.gdoing by nuclear licensees, which would include TVA. Therefore, the t
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investigative jurisdictions of O! and the OlG can overlap in some areas.
Although each agency will independently carry out its statutory
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responsibilities, the agencies agree that administrative efficiency will be maximized by cooperation and, as appropriate, the timely exchange of information in areas of mutual interest.
However, both agencies also recognize there are areas where it would be inappropriate for the NRC as a regulator to shere information with TVA, the licensee, notwithstanding i
the OlG's independence and statutory authority.
3.
preas_pf, Cop [digatign a.
The OlG and 01 have the authority to conduct simultaneous, parallel i
investigations. However, as a matter of policy, the OlG generally i
will defer to 01 and hold its investigation in atc h nce-when 01 is actively pursuing a cc.se. -In order to avoid duplicative efforts and unrecessary parallel investigations, on request 01 will advise the OlG (1) if it is actively pursuing a particular case and (2) the status of specific cases.
Normally, however, 01 will not provide 1
the 0!G with substantive information regarding an ongoing NRC investigation.
b.
On request, the OlG will provide OI with information regarding its l
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investipations, including status reports and substantive inf ormatior,. Pithin TVA, the Nuclear Power organization is
responsible for making requirea notifications to the NRC.
If the OlG believes it has information which may be reportable, or which has potential nuclear safety significance, it will inform Nuclear Power so that Nuclear Power can take appropriate action and determine whether to notify the NRC regarding 10 CFR requirements.
If the OlG cannot advise Nuclear Power of the information because to do 50 might prejudice an investigation, the O!G will so advise the TVA Board of Directors, c.
The NRC recet es the following categories of allegations which 01 will not investigate and which fall within the OlG's jurisdiction:
(1) Allegations within Ol's jurisdiction which O! is not going to pursue because of resource constraints or other reasons.
~(2) Allegations involving f raud, waste, or abuse by TVA employees, contractors, or subcontractors which do not fall within Ol's jurisdiction.
When the NRC receives er allegation which falls within the OlG's jurisdiction and which 01 does not plan to investigate, 01 agrees to take reasonable steps to obtain the alleger's authorization to reveal his/hcr identity to TVA's OlG.
If the alleger consents, O!
will refer the allegation (including the alleger's identity and any informetion developed by the NPC) to the OlG for appropriate action.
This does not preclude 01 from taking whatever other action, including referral to the NPC staff, it may deem appropriate.
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Both the OIG and O! have the authority to grant confidentiality. O!
nornelly will not reveal a confidential source's identity to the OIG unless the confidential source agrees.
If the confidential source agrees to disclosure of his/her identity to the OIG, the 0!G will, on request, provide confidentiality to the individual in accordance
.i with the OIG's policy on confidentiality.
1 On request, the OIG will provide O! with the identity of confidential sources. Unless a confidential source consents to waive confidentiality 01 agrees to treat the identity of such sources as confidential in accordance with 01's policy on confidentiality.
l e.
01, the 0!G, and the Department of Labor (DOL) have jurisdiction to investigate circumstances surrounding alleged violations of Section 210 of the Energy r,corganization Act of 1974, as amended 3
(42USC5851). Under the DOL /NRC flemorandum of Understanding and the 0]G's general working arrangement with DOL, 01 and the OIG cooperate with DOL and share information with 00L. Similarly, to avoid curlicative efforts, 01 and the OIG agree to share information regarding Section 210 cases, as appropriate, and as outlined above for investigetions in general.
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Both 01 and the OIG have independent responsibility to refer potential crirrinal cases to the Department of Justice.
The actions of either in making a reftrral are not binding on the other agency, end neither is required to notify the other of a referral.
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4 Imgmentationand_LiaisonBetweenAgencies The NRC official responsible for implementation of this agreement is the 01 Director. The TVA official responsible for implementation of this agreement is the Inspector General. The working level points of contact are the TVA Assistant Inspector General, Investigative Operations, and 01's Atlanta Field Office Director.
The TVA Assistant inspector General of Investigation Operations and Ol's Atlanta Field Of fice Director, or their desigi tes, shall make good faith efforts to meet at least on a quarterly basis to share information of mutuel interest.
5.
This agreement rey be amended or modified upon written agreement by both' parties to the Agreement. The Agreement may be termir.ated upon ninety
.(90) days' written notice by either party.
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Effective Date This agreement is effective when signed by both parties.
Dated:, _ _ _
Signed:Biii'B'.'filyii' Director' Office of Investigations U.S. Nuclear Regulatory Commission Dated:
Signed:
Norman A. Zigrossi Inspector General Tennessee Valley Authority I