ML20116H314
| ML20116H314 | |
| Person / Time | |
|---|---|
| Issue date: | 09/30/1992 |
| From: | NRC OFFICE OF THE INSPECTOR GENERAL (OIG) |
| To: | |
| References | |
| NUREG-BR-0146, NUREG-BR-146, NUDOCS 9211130054 | |
| Download: ML20116H314 (37) | |
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_ GENERAL September 1992 1
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The IG at the NRC s
?FOREWORDt P
This pamphlet provides an overview of the Office of the Inspector General (OIG). it describes.what investigations and audits are and how they may affect you as an employee of the 'U.S. Nuclear Regulatory Commission (NRC).
The Inspector General Act Amendments of 1988-established tha NRC OIG. The mission of the OIG is to-conduct audits and investigations of NRC programs and operatio:is:
recommend policies to (1) promote economy and effic%ncy and (2) prevent and detect fraud and abuse in the agency's activities; and keep the Commission and the Congress fully informed of operational and program deficiencies and problems.
To carry out these responsibilities, the OIG is authorized access to records, reports, audits, reviews, documents, papers, recommeadations, and other material available to the agency; to request aesistance from Federal, State or local agencies; and to subpoena documentary evidence.
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The Kiat the NRC CONTENTS -
IIowever, the success of the OIG mission relies to a great extent on the willingness of the individual NRC employee to cornbat fraud, waste, and abuse by identifymg and 1
OIG MISSION AND ORGANIZATION reporting wrongdoing.
1.1 Mission..
I This pamphlet is intended to assist you, the NRC 1.2 Organization....
2 employee,in supporting our efforts to ensure the NRC's continued ability to effectively safeguard our nation's
~2 OIG INVESTIGATIONS..
5 health and safety-2.1 What Does the OIG Investigate?..
5 2.2 How Should You Report Q&g Suspected Wrongdoing?.......
6 David C. Hilliams 2.3 How Does the OIG Conduct an Inspector General Investigation?............
7 2.4 What Is in an Investigative Report?........
8 2.5 What Are Individual Rights and Responsibilities in OIG Investigations?
9 2.6 What Is a Clearance Letter?..
11 3
OIG AUDITS..
13 3.1 What Does the OIG Audit?..
13 3.2 Ilow Does the OIG Conduct an Audit?
13 3.3 Who Receives a Copy of a Report of an Audit -
15
?
APPENDIX 17 i
iv
The IG at the NRC f
!iTOIG51ISSIONfN'D ORGANIZATION?
1.1 Mission Statutory Basis The U.S. Nuclear Regulatory Commission (NRC) is
. one of 26 Federal establishments that has an independent Of' ice of the Inspector General (OlG)..
The OIG operates as a separate entity as authorized by the Inspector Genera.1 Act of 1978, as amended (see -
Appendix).
Responsibilities The OIG establishes policy for the audits and investi-gations relating to all NRC programs and operations.
The OlG staff conducts, supervises, and coordinates these audits and investigations. The staff reviews existing and proposed regulations to evaluate their impact on economy and efficiency in the agency and on the prevention of fraud and abuse, recommending, as appropriate, changes to these regulations. The -
Inspector General (IG) informs the Chairman and the Congress of fraud or any serious problems with the administration of NRC programs and operations discovered during these audits, investigations, and reviews. The OIG recommends corrective action and reports on progress made in the implementation of these efforts.The OIG refers criminal matters to the-Department of Justice (DOJ) for prosecution and coordinates management referrals for administrative action by the agency, Hothne Nunben 1-S&%233-3497 1
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The IG at the NRC 1hc IG at the NRC i
advises and assists the IG on all investigations and I
1.2 Organization inspections conducted by the OIG.
~
The Inspactor General
~
The Assistant Inspector General for Audits-The IG is appointed by the President with the advice and consent of the Senate. Appointees are selected on
.. supervises the performance of:.uditing activities the basis of their backgrounds in investigations or relating to NRC programs and operations; and auditing, or from related backgrounds, such as law or advises and assists the IG on all audits conducted pubhc admimstration. To ensure the mdependence of by the OlG' the office, the IG may be removed only by the j
President, who must communicate the reasons for a l
The Director for Resource Management and removal to the Congress. The IG is selected without l
Operational Support Staff-regard for political affiliation. By statute, the IG
.i oversees and is responsible for-prepares the OlG Semiannual Report for Congress; and audits, inspections, and investigations; provides all administrative and operational support revieve of exisung and proposed legislation and for OlG programs, including responsibility for regulations for their potential to prevent and detect preparing and administering the budget and fraud, waste, and abuse; managing and coordinating resources, space, data establishing and implementing policies to conduct, supervise, and coordinate activit:es that promote The Legal Counsel-economy and efficiency and that prevent or detect fraud, waste, and abuse; and advises and assists the IG on all legal issues; and 1
i designating an Assistant Inspector General for
[
serves as legal advisor to the OIG staff.
investigations and an Assistant Inspector General for Audits.
I The Assistant Inspector General for Investigations-supervises the performance of investigative and inspection activities relating to NRC programs and operations; and 2
florime Number: 1-S00-233-3497 flotline Numbec l-800-233-3497 3
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,. - -e 3 LOIG? AUDITS T k
- 3.1 What Does the OIG Audit?
Auditorr are involved in extensive, long-range planning, and they systematically conduct audits throughout the organization. They focus on agency priorities and problem areas and examine certain activities with greater frequency than others. OlG auditors typically examine-program vulnerabilities to fraud, waste, and abuse; the management planning process; cost effectiveness;
. the ability of the agency to protect and safeguard its resources;-
system flaws and inefficiencies; program results and effectiveness; and financial statements and financially related activities, including contracting.
3.2 Ilow Does the OIG Conduct an Audit?
An Ludit involves several steps, ranging from notification of the office to be audited to audit followup. The underlying goal of the audit process is to maintain an open channel of communication between the auditors and the managers to ensure that audit flotline Number 1-800-233-3497 13 I
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The IG at the NRC i
4 y APPENDIX-
=
Exccrpts frora the -
INSPECI'OR GENERAL ACT OF 1978 (Public Law 95-452, October 12,1978)
As amended bj the INSPECTOR GENERAL ACT AMENDMENTS OF 1988 (Public Law 100-504, Octobcr 18, 1988) i
{ 2. Purpose and establishment of Offices of Inspector General; departments and agencies involved In order to create independent and objective units-(1) to conduct and supervise a 4its and investigations relating to the programs and operations of the establishments listed in section 11(2);
(2) to provide Icadership and coordination and recommend policies for activities designed (A) to promote economy, efficiency, and effectiveness in the administration of, and (B) to prevent and detect fraud and abuse in, such programs and operations; and
.(3) to provide a means for keeping the head of the -
cstablishment and the Congress fu!!y and currently informed about problems and deficiencies relating to the administration of such programs and operations and the necessity for and progress of corrective action; there is hereby established in cach of such establishments an office of Inspector General.
} 3. Appointment of Inspector General; supenision; remosal; political activities; appointment of Assistant Inspector General for Auditing and Assistant Inspector General for Investigations (a) lhere shall be at the head of each Office an Inspector General who shall be appointed by the President, by and with the Iforline Number.- 1-800-233-3497 17
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The IG at the NRC -
i lhe 13 at the NRC
.}
t i.
(1) to provide policy direction for and to conduct, advice ano consent of the Senate, without regard to political
.l affdiation and solely on the basis of integrity and demonstrated supervise, and coordinate audits and investigations relating to ability in accounting, auditing, financial analysis, law, management.
the programs and operations'of such estabhshment; ana!ysis, public administration, or investigations Each Inspector General shall report to and be under the general supervision of (2). : to review existing and proposed !cgislation and the head of the establishment involved or, to the extent such regulations relating to programs and operations of such '
establishment and to rnake recommendations in the
- authority is delegated, tre officer next in rank below such head, -
but shall not report to, or be subject to supervision by, any other semiannual reports required by section.5(a) concerning the officer of such estab.ahrxnt. Neither the head of tbc
. impact of such legislation or regulations on the economy and establishment nor the officer next in rank 1 eiow such'hcad shall efficiency in the administration of programs and operations prevent or prolabit the Inspector Geaeral from initiating, carrying administered or financed by such establishment or the
}
out, or completing any audit or investigation or from issuing any j
prevention and detection of fraud and abuse in such subpoena during the course of any audit or investigation.
l programs and operations;;
(b). An Inspector General may be removed from office by (3). 'to recommend policies for, and to conduct, the President,'Ihc President shall comm.unicate the reasons for supervise, or coordinate other activitics carried out or -
any such removal to both Ilouses of Congress.
' financed by such establishment for the purpose of promoting.
cconomy and efficiency in the administration of, or -
preventing and detecting fraud and abuse, in its programs and (c) For the purposes of section 7324 of Titic 5, United. ~
operations;'
States Code, no Inspector General shall be considered to be an emph,yee who determines policies to be pursued by the United States in the nationwide administration of Federal laws.
.(4) to recommend policies for, and to conduct,-
supervise, or coordinate relationships between such
.(d) Each Inspector General shall, in accordance with establishment and other Federal agencies, State and local applicable laws and regulations governing the civil sersice-governmental agencies, and nemgovernmental entitics with -
respect to (A) all matters relating to the proruction of.
. (!) appoint an Assistant Inspector Gencial for economy and efficiency in the administration of, or the
- Auditing who sha!! have the responsibility for supervising the prevention and detection of fraud and abuse ia, programs and performance of auditing activitics relating to programs and operations administered or financed by such establishment, or
(
operations of the establishment, and (II) the identification and prose :ution of participants in such fraud or abuse; and (2) appoint an Assistant inspector General for Investigations who shall have the responsibility for.
. (5). to keep the head of such establishment and the' supervising the performance of investigative activities reta:Ing Congress fully and currently informed, by means of the to such programs and operations.
rp required by section 5 and otherwise, concerning fraud and other serious problems, abuses, and deficiencies relating
.} 4. Duties and Itcsponsibilities; report of criminal siolations to to the administration of programs and operations Attorney General administered or financed by such establishment, to.
-(a) It shall be the duty and responsibdity of each Inspector recommend corrective action concerning such probicms, 1
. Gen al, with respect to the establishment within which his Office abuses, and deficiencies, and to report on the progress nade in tmpicmenting such corrective action.
is estaldished-7 Ilctline Number: 1-800-233-3497-19 IS flotime Number: 1-800-233-3497 4 -
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such head to the appropriate committees or subcommittees of the reports and the do!!ar value of recommendations that funds Congress within thiny days after receipt.of the report, together be put to better use by management, for audit reports-with a report by the head of the establishment containing-(A) for which no management decision had (1) any nments such head determines appropriate; been made by the cornmencement of the reporting (2) statistical tables showing the total number of audit period; reports and the dollar value of disa!! owed costs, for audit (11) which were issued during the reportbg reports-period; (A) for which final action had not been (C) for which a management decision had taken by the commencement of the reporting was rnade during the reporting period, including-
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' its management decision, are necessary with respect shall be enforceable by order of any appropriate United t
to the findings and recommenitations included ia an 1-States district court: Provided,That procedures other than -
j audit report; and subpoenas shall be used by the Inspector General to obtain documents and information from Federal agencies; (II) in the event that the management of an
~
establishment concludes no action is necessary,.
I (5) to administer to or takc from any person an oath, l
final action occurs when a management decision I
affirmation, or affidavit,.whencver necessary in the 4
has been made.
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performance of the functions assigned by this Act, which j
cath, affirmation, or affidauit when administered or taken by f
(As amended PubL 97-252, Title XI, s 1117(c), Sept. 8,1982,96 or before an employee of an Office of Inspector General Stat. 752; Pub.L 100-504, Title I, &} 102(g),.106, Oct.18,1968,
]
102 Stat. 2521,- 2525.).
-. designated by the Inspector General shall have the sarpe force and effect as if administered or taken by or before an -
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officer having a scal;
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& 6. Authority ofInspector General;information and assistance '
(-
. from Federal agencies; unreasonable refusal; office space und
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-(6)' to have direct and prompt access to the head of equipment: Senior Executive Service positions f
the establishment involved when necessary for any purpose j
pertaining to the performance of functions and
. (a) In addition to the authority otherwise proved by this Act, responsibilitics under this Act; i
- each Inspector General,in carrying out the provisions of this Act,-
}
. is authorized--
(7) to select, appoint, and employ such officers and empk)yces as may be necessary for carrying out the functions.
(1)- to have a cess to all records, reports, audits, powers, and dutics of the Office subject to the provisions of 4
re7iews, documents, papers, recommen-datio.s, or otSer Title 5. United States Code, governing appointments in the
. material availab!c to the applicable establishment which
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competitive service, and the provisions of chapter 51 and relate to programs and operations with respect to which that l
subchapter !!! of chapter 53 of such titic relating to Inspector General has responsibilities under this Act; classification and General Schedule pay rates;.
. (2) to make such investigations and reports relating to (8) to obtain services as authorized by section 3109 of 4
-the administration of the prograrm and operations of the Titic 5, United States Code, at daily rates not to exceed the
" applicable estab!ishment as are, in the judgment of the
- equivalent rate prescribed for grade GS-18 of the General -
Inspector General, necessacy or desirable;
. Schedule by section 5332 of Title 5, United States Code; and I
(3) to request such information or assistance as may (9) to th'c extent and in such amounts as may be lie necessary for carrying out the duties ard responsibditics provided in advance by appropriations Acts, to enter into I
provided by this Act from any Federal, State, or local c4mtracts and ather arrangements for audits, studics, analyscs, governmental agency or unit thereof; and other services with public agencies and with private 1
i persons, and to make such payments as may be necessary to
. (4). to require by subpoena the production of all l
carry out the provisions of this Act.
. information, documents, reports, answers, records, accounts, 1
papers, and other data and documentary evidence necessary j
(b)(1) Upon request of an Inspector General for information v.
i in the perf9rmance of the functions assigned by this Act, j
or assistance under subsection (a)(3). the head of any Federal :
i-which subpoena, in the case of contumacy or refusal to obey,
}
. agency involved shall, insofar as'is practicabic and not in 3'
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3 contravention of any existing statutory restriction or regulation of
. of the employee without the consent of the employce, unless the
. the Federal agency from which the informatio'n is requested, -
Inspector General.determincs such disclosure is unavoidable i
furnish to such Inspector General, or to an authorized designce, -
during the course of the investigation.
j such information or assistance.
t (c) Any employee who has authority to take, direct others to
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i (2) Whenever information orassistance requested under take, recommend, or approve any personnel action, shall not, with j
subsection (a)(1) or (a)(3) is, in the judgment of an Inspector respect to such authority, take or threaten to take any action General, unreasonably refused or not provided, the Inspector against any employee as a reprisal for making a complaint or
. General shall repert the circumstances to the head of the disclosing information to an Inspector General, unless the establishment invohed without delay.
complaint was made or the information disclosed with the j
.. knowledge that it was false or with willful disregard for its truth or
}
.(c) Each head of an establishment shall provide the Office j
falsity.
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~ within such estabiishment with appropriate and adequate office
- {
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spara at central and fic!d office locations of such establishment,.
together with such equipment, office supplies, and s SII.Special provisions concerning the Nuclear-communications facilities and services as may be necessary for the Regulatory Conunission operation of such offices, and shall provide necessary maintenance senices for such offices and the equipment and facilitics located (a). The' Chairman of the Commission may delegate the l
authority specified in the second sentence of section 3(a) to therein.
another member of the Nuc! car Regulatorr Commission, but shall (d) For purposes of the provisions of ritte 5, United States l
not delegate such authority to any other officer or emph>yce of the Code, governing the Senior Executive Senice, any reference in Commission.
such provisions to the " appointing authority" for a member of the Senior Executive Service or for a Senior Executive Senice position g
(b) Notwithstandmg sections 6(a)(7) and (8), the Inspector shall,if such r ember of position is or would be within the Office General of the Nuclear Regulatory Commission is authorized to of an Insr.cor General, be deemed to be a reference to such select, appoint, and employ such officers and employees as may be Insper General, necessary for carrying out the functions, powers and duties of the
' (As amended Pu'.L 100-504, Title 1. {$ 107,110(a) Oct.18, Office of Inspector General and to obtain the temporary or intermittent services of experts or consultants or an organization -
o 1988,102 Sta'. 2528,2529.)
thereof, subject to the applicabic laws and regulations that govern -
[
such selections, appointments and employment, and the obtaining
.} 7. Complaints by employees; disclosure ofidentity; reprisals of such services, within the Nucicar Regulatory Commission.
(a) The Inspector General may receive and investigate (Added Pub.1 100-504, Title I, @ 102(f), Oct.18.1988,102 Stat.
4
' complaints or information from an employee of the establishmeat 2517.)
concerning the possible existence of an activity constituting a violation of law, rules, or regulations or mismanagement, gross
. waste of funds, abuse of authority or a substantial and specific
' danger to the public health and safety.
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(b) the laspector General shall not, after receipt of a g
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i 30 flotime Number: 1-S00-233-3497 Ilatline Number: 1-800-233-3497
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