ML20134B829
| ML20134B829 | |
| Person / Time | |
|---|---|
| Issue date: | 03/12/1984 |
| From: | Schofield P NRC OFFICE OF INVESTIGATIONS (OI) |
| To: | Dan Collins NRC OFFICE OF ADMINISTRATION (ADM) |
| Shared Package | |
| ML20134B673 | List: |
| References | |
| FOIA-85-334 NUDOCS 8508160091 | |
| Download: ML20134B829 (1) | |
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"E::-OUM FOR: Dale R. Collins, Cnief Staffing & Positicn Evaluation Branch
. Division of Organization & Personnel Office of Administration
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FRO'1: Polly Schofield, Progran Assistant ^ d'/ Office of Investigations / SUEJE:T: 1954 SUVJiER EliPLOYMEriT PROGRAM Reference our memorandum of February 28, 1984, in which we expressed interest in a 'su:mer clerical, please revise our request. OI is also ir.:erested in obtaining a summer management intern. This. intern would. ness to be enrolled in a field of study pertaining to law enforcement or criminal justice. Dis rfbution: N OI s/- F0v 5 OI c/f' PS r/f 0..'/PC.LY/04_ Smr Emp Prog
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- , o NUCLEAR RE2ULATORY COMMISSION
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***** Ma rch 14,1984 } t cwAmuAw .
The Honorable Tom Bevill, Chairman Subcommittee on Energy and Water Development Comnittee on Appropriations United States Ho^use of Representatives Washington, D. C. 20515
Dear Mr. Chairman:
The House Committee on Appropriations, in its report on the Energy and Water Development Appropriations Bill, 1984, directed that NRC report to the Committee regarding the interrelationship of the Office of Investigations and the Office of Inspection and Enforcement. The NRC was also to report on what legal problems exist that might prevent the publishing of the policies and procedures of the Office of Investigations (H.R. 98-217, at p. 138). The requested report is enclosed. Sincerely, , t kYW Nunzio J. Palladino
Enclosure:
As stated
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cc: Rep. John,T. Nyers
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, , 4 REPORT ON THE INTERRELATIONSHIP BETWEEN NRC'S OFFICE OF INVESTIGATIONS.AND OFFICE OF INSPECTION AND ENFORCEMENT THE HOUSE COMMITTEE ON APPROPRIATIONS, IN ITS REPORT ON THE ENERGY AND WATER DEVELOPMENT APPROPRIATION BILL, FY 1984, DIRECTED-T' HAT-NRC REPORT TO THE COMMITTEE REGARDING THE INTERRELATIONSHIP.0F THE OFFICE OF INVESTIGATIONS (01) AND THE OFFICE OF INSPECTION AND ENFORCEMENT (IE). THE NRC WAS
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ALSO TO REPORT ON WHAT LEGAL PROBLEMS EXIST THAT MIGHT PREVENT THE PUBLISHING OF THE POLICIES AND PROCEDURES OF THE OFFICE OF INVESTIGATIONS (H.R. 98-217, AT P. 138).
- l. INTERRELATIONSHIP BETWEEN 01 AND IE A. OFFICE OF INSPECTION AND ENFORCEMENT THE OFFICE OF INSPECTION AND ENFORCEMENT DEVELOPS
_ AGENCY POLICJES ND PROCEDURES FOR INSPECTION AND ENFORCEMENT, QUALITY ASSURANCE, EMERGENCY PREPAREDNESS AND INCID.ENT RESPONSE. MOST OF THE ACTUAL INSPECTIONS ARE CONDUCTED UNDER THE SUPERVISION OF THE REGIONAL ADMINISTRATORS WHO REPORT DIRECTLY TO THE EXECUTIVE DIRECTOR FOR OPERATIONS (EDO). THE DIRECTOR OF IE, - WHO ALSO REPO'RTS TO THE EDO, PROVIDES GUIDANCE TO THE REGIONAL 0FFICES ON INSPECTION AND ENFORCEMENT PROGRAM
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MATTERS AND APPRAISES PROGRAM PERFORMANCE IN TERMS OF EFFECTIVENESS AND! UNIFORMITY. 8 99
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2 THE INSPECTION PROGRAM HAS TWO PARTS, A PRESCRIBED PROGRAM OF PERIODIC REVIEW OF SPECIFIC TECHNICAL AREAS AND A REACTIVE PROGRAM IN RESPONSE TO EVENTS AND PROBL' EMS. INSPECTIONS CONSIST OF DIRECT OBSERVATIONS OF LICENSED, ACTIVITIES, REVIEW OF REPORTS AND DOCUMENTATION, AND DISCUSSIONS WITH PLANT PERSONNEL. AN INSPECTION REPORT IS WRITTEN TO SUMMARIZE THE SCOPE OF AN INSPECTION AND TO DOCUMENT ITEMS OF NONCOMPL1-ANCE WITH NRC REQUIREMENTS. INSPECTION REPORTS ARE - USED BY NRC IN MAKING LICENSING AND ENFORCEMENT DETERMINATIONS. AN IMPORTANT ASPECT OF THESE DETERMINATIONS IS THE IDENTIFICATION AND SOLUTION OF GENERIC PROBLEMS. , ENFORCEMENT ACTIONS TAKEN IN RESPONSE TO NONCOMPLIANCE T. WITH NRC REQUIREMENTS RANGE FROM NOTICES OF VIOLATION TO MONETARY CIVIL PENALTIES AND ORDERS REVISING 5 LICENSES., B. OFFICE OF INVESTIGATIONS THE OFFICE OF INVESTIGATIONS, WHICH BECAME OPERATIONAL IN JULY 1982, HAS BASICALLY ONE PROGRAMMATIC
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FUNCTION -- TO PERFORM INVESTIGATIONS. AN INVESTIGATION IS THE COLLECTION OF FORMAL TESTIMONY
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, AND DOCUM'ENTARY EVIDENCE. INVESTIGATIONS ARE CONDUCTED IN RESPONSE TO ALLEGATIONS FROM INDIVIDUALS, INSPECTION FINDINGS, AND REPORTS FROM LICENSEES OR
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VEND 0RS. THE PRINCIPAL FOCUS OF AN 01 INVESTI-GATION, IN CONTRAST TO AN INSPECTION, IS TO DETERMINE WHETHER VIOLATIONS OF NRC REQUIREMENTS WERE PURPOSEFUL 70R WILLFUL RATHER THAN. ACCIDENTAL OR NEGLIGENT. INVESTILATIVE INFORMATION IS COMPILED IN A DETAILED REPORT 3F INVESTIGATION. SIMILAR TO INSPECTION REPORTS, REPORTS OF INVESTIGATION ARE USED BY NRC IN MAKING LICENSING AND ENFORCEMENT DETERMINATIONS.
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i THE DIRECTOR OF 01, WHO REPORTS TO THE COMMISSION, DIRECTS THE-ACTIVITIES OF INVESTIGATORS WHO ARE LOCATED BOTH'IN HEADQUARTERS AND IN THE REGIONAL
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I " _ 0FFICES. _ l C.' INTE,RFAhES THE DECISION TO CONDUCT AN INVESTIGATION RATHER THAN AN INSPECTION IS BASED ON A DETERMINATION OF APPARENT-WRONGDOING. THE MECHANISM FOR THIS DETERMINATION IS A JOINT EVALUATION BY INVESTIGATION AND INSPECTION
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PERSONNEL AT THE OUTSET. FURTHER, IN THE COURSE 0F AN 9 0h _m _._______ _ _ ___._-____m _________ _ _ _ . _ _ _ _ _ _ _ _ _ _ _ _ . _ _ _ _ . - _ _ _ _ _ _ _ _ - _ . _ _ _ _ _ _ _ _ _ _ _ _ - _ _ -. _ _ _ . . _ _ - ._ - . - _ - _ _ . _.
4 INS PECTI O'N , IF WRONGDOING IS SUSPECTED, AN INVESTIGA- ! i T10N'IS INITIATED. i . IN CERTAIN. CIRCUMSTANCES THAT REQUIRE AN UNDERSTANDING OF COMPLEX TE,CHNICAL ISSUES, INSPECTION PCRSONNEL ASSIST IN THE INVESTIGATION. THROUGHOUT THE CONDUCT DF AN INVESTIGATION, 01 ROUTINELY BRIEFS INSPECTION PERSONNEL AND OTHER INVOLVED NRC OFFICES, UPONCOMPLETIONOFANINVESTIGATIONTHEhEPORTOF INVESTIGATION IS TRANSMITTED THROUGH THE EDO TO IE, THE COGNIZANT REGIONAL ADMINISTRATOR, AND THE <- LICENSING OFFICE. THESE REPORTS OF INVESTIGATION A,RE USED IN LICE 11 SING AND ENFORCEMENT DETERMIN'A- , TIONS AND ADDITION LLY MAY BE REFERRED TO THE
; DEPARTMENT Of JUSTICE.
D. NEED FOR TWO IOFFICES l l THE PURPOSES AND FUNCTIOMS OF THE TWO OFFICES DIFFER. ) l&E INSPECTS PRIMARILY TO ENSURE COMPLIANCE WITH l TECHNICAL REQUIREMENTS WHILE 01'S INVESTIGATIONS ARE SIMILAR TO A LAW ENFORCEMENT FUNCTION. THE COMMISSION
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l BEllEVED THAT IT WAS NECESSARY TO SEPARATE THE INVESTIGATION AND INSPECTION FUNCTIONS FOR A NUMBER OF
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5 REASONS.~A SEPARATE AND INDEPENDENT 01 ALLOWS BOTH INSPECTORS AND INVESTIGATORS TO FOCUS ON WHAT THEY DO BEST. IT ALSO ALLOWS THE COMMISSION.T0 ESTABLISH A
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STRONG AND PROFESSIONAL INVESTIGATIONS OFFICE. FURTHER, BY, ESTABLISHING A COMMISSION LEVEL 01, THE COMMISSION EMPHASIZED THE IMPORTANCE OF DETERMINING kHdNVIOLATIONSAREPURPOSEFULORWILLFULRATHERTHAN UNINTENTIONAL. THE COMMISSION'S INSPECTION FUNCTIONS ARE NECESSARILY AUDITING FUNCTIONS, AND LICENSEES MUST BE RELIED UPON TO FOLLOW NRC REQUIREMENTS. THE COMMISSION MUST, THEREFORE, HAVE THE CAPABILITY TO DETERMlHE WHEN A LICENSEE IS WILLFULLY VIOLATING NRC
.m REQUIREMENTS AND TAKE STRONG ACTION TO REMEDY THE SITUATION. -
; 11. RELEASE OF 01 POL'ICIES AND PRACTICES THERE~ARE,NO LEGAL PROHIBITIONS AGAINST THE RELEASE OF 01 POLICIES AND PRACTICES. 01 POLICIES HAVE BEEN PUBLICLY AVAILABLE FOR SOME TIME (ENCLOSURE 1).
HOWEVER, SOME INVESTIGATIVE PRACTICES AND TECHHiQUES SET FORTH IN' MANUALS, POLICIES OR OTHER DOCUMENTS MAY LEGALLY BE WITHHELD FROM PUBLIC DISCLOSURE. - ' O O 4 9
6 THERE ARE' STRONG PUBLIC POLICY REASONS FOR WITHHOLDING CERTAIN DETAILS OF INVESTIGATIVE PRACTICES AND TECHNIQUES. FOR INSTANCE, WRITTEN INVESTIGATIVE PROCEDURES MAY DETAll THE TYPE OF INFORMATION INVESTIGATO,RS LOOK FOR TO ESTABLISH REGULATORY VIOLATIONS. SIMILARLY, THEY MAY DESCRIBE THE METHODS TO BE USED IN CONDUCTING INVESTIGATIONS AND DETERMINING WHOM TO INTERVIEW, AND IN WHAT ORDER. PUBLIC DISCLOSURE OF INFORMATION SUCH AS THIS COULD ALLOW POSSIBLE VlulATORS TO HAMPER THE INVESTIGATOR'S EFFORTS, FOR' EXAMPLE, BY MAKING CERTAIN WITNESSES OR RECORDS UNAVAILABLE FOR SOME PERIOD OF TIME.
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01 HAS REVIE-WED ITS CURRENT INVESTIGATIVE PROCEDURES MEMORANDA (IPM) AND DETERMINED THAT ALL-BUT ONE IPM
^; MAY BE RELEASED TO THE PUBLIC WITHOUT CAUSING ANY HARM TO FUTURE INVESTIGATIONS. THE ONE THAT SHOULD BE WITHHELD DEALS WITH THE INFORMATION'NECESSARY TO ESTABLISH WILLFUL REGULATORY VIOLATIONS. ENCLOSURE 2 CONTAINS THE 14 IPMS 01 Bell, EVES CAN BE RELEASED.
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O POLICY STATEMENTS 01
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Enclosure 1 POLICY 1 01 will perform thorough, timely and objective investigations. This will include investigations of allegations of wrongdoing by individuals or organizations, other than NRC employees or NRC contractors, which are within the scope of NRC authority. POLICY 2 OI investigations will be conducted in accordance with general procedures and practices of other investigatory agencies. POLICY 3 OI investigitors may be delegated authority to administer oaths or affir-mations during the course of 01 investigative efforts. POLICY 4 OI investigations may be initiated at the request of the Commission, the EDO, or a Regional Administrator, or on the initiative of the Director, 01. The Director, 01, will promptly inform the Chairman of all investigations corranced by_01. POLICY 5 .--
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The criteria established for initiating an inspection or an investigation do not preclude concurrent conduct of both types of activity. _ POLICY 7 01 investigators may grant requests for confidentiality during the course of an investigation. NRC will respect an 01 investigator's promise of confidentiality unless and until the interviewee's tes'timony is required for an administrative or judicial proceeding or the interviewee discloses the testimony. The identity of perscns not subject to the . reporting re-quirements of 10 CFR Part 21.who report to the Commission information addressed by that regulation will also be accorded confidentiality as re-quired by 10 CFR 21.2. POLICY 8 ; Investigators and others assigned to OI investigations shall identify, collect, and preserve evidence relevant to investigations which would have potential value in an enforcement or other proceeding. When
- necessary, 01 may request orders.or subpoenas to preserve or obtain such evidence. .
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POLICY 9 Investigators and others assigned to 01 investigations shall attempt, when warranted by the importance to the investigations, to witness and/or photographically record the violation er condition that is the focus of the investigation. POLICY 10 Investigators and othe'rs assigned to 01 investigations will'be alert for , indications of deTiberate violations of NRC regulations or Federal statutes and will pursue relevant leads. They will also make reasonable efforts to detemine the extent of involvement or awareness by management of licensees, applicants, vendors or oth~er entities in any instances of deliberate viola-tion of NRC regula'tions or Federal statutes. '
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POLICY 11 Other NRC components will provide OI with timely legal and technical assis.tance consistent with its-impact on the overall NRC mission. POLICY 12 01 may use the investigative support of Federal, State or local agencies or other organizations during the course of 01 investigations.
' *=- ' c' - POLICY 13 .
The Office of Inspector and Auditor (OIA) shall be the primary office-responsible for referral, and related discussions of investigative matters with the Department of Justice (including the U.S. Attorneys and th'e Fed ~ eral Bureau of Investigation). Emergency situations requiring prompt field referral to the DOJ ,and/.or FBI should be made without delay or con-sultation with DIA. Referrals for prosecution or investigation, inquiries or the transmittal of investigative information to these agencies shall be promptly documented i.n writing with copies provided to offices concerned.
- - POLICY I4 Investigative activity of 01 may occasionally develop information within
'the jurisdi.ction of another agency. This information will be routinely provided to that agency under appropriate controls.
. r POLICY 15 01 shall keep NRC components which request.0I investigations informed of significant developments in ongoing investigations.
POLICY 16 The requestor of a'n 01 investigation and any NRC component aware of such , ongoing investigation shall advise 01 of any additional information it receives / develops during the pendency of the investigation.
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. . ' p0LICY 17 i
OI shall a'dvise cognizant NRC components of safety issues discovered as the result of an ongoing 01 investigation. POLICY 18 1 K'ith the exception of significant safety issues, information regarding an ongoing 01 investigation will not be disc 1csed by any NRC employee outside NRC without the' specific approval of the Director. 01, or his designee. POLICY 19 Investigators and others assigned to an 01 investigation or inquiry will normally not discuss the substance of ongoing 01 inquiries and investiga-tions with . licensees or'other non-NRC personnel in entrance or exit inter-views, except safety items requiring.immediate corrective action. POLICY 20 Investigators will thoroughly and accurately document their investigative efforts and substantive information developed during investigation. POLICY 21 OI investigative reports shall be in sufficient detail to permit an informed managerial r_eview of the issues under investigation, and to permit an NRC determination as to the need for enforcement or other corrective actions.
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POLICY 22 , Reports of Investigation.(ROI) prepared by 01 investigators should contain an objective recitation of all relevant facts developed in the course of the investigation. They should not contain either the opinions or conclu-sions of the investigators. Opinions or conclusions of persons interviewed ( are pemissible, however.' 'In a memorandum transmitting the Report of Inves-tigation to the NRC action office 01 management will normally include over-all conclusions regarding what 01 believes occurred in-the matter investigated or its opinion as to the weight of the evidence. OI will not make a determin-ation as to whether the occurrence constitutes a violation -or furnish recom-
. mendations for enforcement / corrective action.
p0LICY 23 OI reports of investigation, while in preparation or review, wil1 not be - circulated outside NRC without specific approval of the Chairman. POLICY 24 01 reports of investigation, while in preparation or review, will normally not be circulated to other NRC offices. In those cases where 01 perceives 3 l the existence.of safety questions requiring prompt attention or determines that it would be of substantia 1' benefit to the accuracy of the final report, . 01 may have other NRC officials review, and comment on pertinent portions of j the report.. Final 01 investigative-reports will be provided to the appro-priate NRC officials. . 2-
POLICY 25 . The Office of Inspector and Nuditor retains responsibility for investigations regarding NRC employee and contractor misconduct and interal waste, fraud and abuse. .
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~ 01 shall be informed promptly by HRC employees of all allegations which involve wrongdoing, other than allegations of wrongdoing on the part of NRC employees or NRC contractors, which are the responsibility of OIA. .
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\ 0FFICE OF INVESTIGATIONS , j f' INVESTIMTIVE PROCEDURE ' MEMORANDUM NO.82-001 , t
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SUBJECT:
' INVESTIGATIVE PROCEDURE HEMORANDA , i -
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To define and outline the use of Inve'stigative Procedure Memoranda (IPMs) I 1
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GENERAL POLICY ~
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I IPMs are issued by the Director of 01. IPMs will be assigned an identification - number consisting of two' digits representing the calendar year of issuance followed by a sequential number, e.g., 82-001, 82-002, etc. IPMs will remain in effect until rescinded, modified, or incorporated in the OI Manual. (Specific OI:HQ case guidance will be provided, as needed, by memorandum.) PURPOSE . . An IPM is a mechanism by which OI:H'Q can transmit investigative guidan = throuchout 01 in a prompt manner. IPMs are meant to express general guidance regarding investigative procedures or techniques such as Oaths and Affint.ations, Collection of Evidence, or Subpoenas. , 1, . - ! We= DEVIATIONS FROM IPMs - W \. Unless specifically stated to the contrary in the IPM itself. 01 investigators or others assigned to 01. investigations may deviate from the IPMs so long a~s the deviation does not lead to a violation 'of the rights of the persons under investigation or to limitation'of NRC options regarding enforcement or correction of unsafe conditions. Nonnally.the OI investigator will first
'; discuss such deviations with' the appropriate Fielt! Office Director, but when necessary the proposed deviation may be brought to the attention of the Director, Division of Field Operations for approval. The reasons for any substantiale deviations from the guidance provided in IPMs should be documented either in the report oftinvestigatic' or n in a separate memorandum to the file.
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IMPROVING IPMs
- All OI personnel are encouraged to bring to the 01 Director's attention
. suggested improvements to existing IPMs and topics which would be appropriate s ~
for coverage in IPMs. e
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OFFICE OF INVESTIGATIONS .
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i INVESTIGATIVE PROCEDURE MEMORASDUM NO. 82 002 , SUBJ,ECT,: CONTACTSNITHNEESMEDIA~ .-
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OBJECTIVE . To promulgate specific guidelines for the release of infomation to the news media by 01 personnel. , j . CAUTION ' Instructions set forth in the IPM are not to be construed as contradicting any other stated NRC policy enunciated elsewhere governing the confidentiality of information encountered by 01 employees within the scope of their official duties. Examples of such other policies include the protection of proprietary
- - infomation, safeguards information, and national security infomation.
GENERAL POLICY [ . Fairness, accuracy, and sensitivity to tihe rights of individuals and organizations
- involved in 01 investigations, as well as to .the public's right to know, must prevail in all dealings with the news media. No 01 employee should knowingly furnish an erroneous, deceptive, or misleading answer to a news media inquiry.
Generally 01 managers, in consultation with HQ and/or Regional Public Affairs Officers, handle all contacts with the news media; such managers should be as
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D responsive as practical and as possible, giving proper consideration to whether providing information may adversely affect either the righ.ts of otheis or interfere with the successful completion of. the investigation. The reporter should be told if questions cannot be answered for the above reasons.
- Hote that other NRC employees assigned to or othepise knowledgeable of 01 investigations will be considered to be 01 personnel for the purposes of this -l IPM. -
The term "No' co=ent" should be avo.ided. If an 01 manager does not know the answer to a reporter's question, the manager should say, "I don't know," and depending upon the nature of the inquiry, tell the reporter that information that can be released will be furnished as soon as it is available, or refer the
- reporter to a HQ or Regional Public Affairs Officer.
s Under no circumstances should any 01 employee ask or suggest that a reporter withhold information from the public, nor should favoritism be shown in providing information to one reporter and not to another, if asked. 5 Investications Related to Enforcement Proceedings
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! The task of striking a fair balance between the protection of those involved . in civil or criminal proceedings with the Government and public understandings j- of the problems o'f administering the law depends largely on the exercise of sound judgment by reporters and those iesponsible for administering.the law.
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'f At n'o. time 'shall. DI personnel; fur:niskanyfiliformatiiin'for u the influencing (or which'..may? reasonably;be expected;to influence') the' outcomeW'- 7.
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ofa proceeding' *DIZpers'onnel{. associated;with;enfo'rcement: actions :(eith'er 2 -
- -. civil or criminal.)?sha11 not .dfur.ing .theic-investigation ^or litigation,' make 7OF '.T '
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- 2. or participate'.in making an eEtrajudiitial?,statemeht, 'other' -
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the statement would.be publicly. disseminated and such dissemination wo'uld-. r p' ld'h
.relinterfere with:a fair'pr'oceeding'~ L T Linc
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'(1)'.-Evidence;regardi6s *the'-;cccurrence or?. transaction involvediy,'T f q~ , .. :-. ;
(2) The' character dr.icredibi,11ty)ofia'.pirtf;. witness,or or tests:or prospective witness
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(3) Thelperforma'nceTor
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or failure of.44iarty to submit-i results
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1 ' .. . i ,.53;defenses ; ,;@ y. -of a , (4) An opinion as4to.the merits of the claims or . s'-.?y '
? i as required by law ci. administrative wle. ? ' : 3 (5) Any other matter reas'enably likeif,.to;. interfere witha fai.r heaHng -6f ".- '-
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j News Releases /sevsdConferences>s". -E...Pr.e'::3. .- : E :.~. ; ? ?
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conferences to announce the ~ 7 initiation or results of.an ongoing OI investigation. Responsible' NRC 'offil:Tals whPmake prograrmatic decisions based upon' OI inves (e.g., the imposition of civil penalties) may discuss the results of completed OI investigations.in news releases or news conferences provided they .do not reveal any nonpublic information (e.g., the iden'tity'of confidential sources). Because lt . the 01 report of investigation will normally be publicly available by this time, OI will not usually participate in such news conferences. Exceptions to this l #" ' J-policy must be approved by the Director, OI, in consultation with the Director, 1 Office of Public Affairs. % i i Inouiries From News Media e .--- . E Media inquiries concerning investigative matters 'should be answered by the Field Office Director, Public Affairs Officer, (either at 70 or the Regional Office), or 01:HQ, within the guidelines set forth in this IPM. Responses to
- g. such inquiries should be courteous, factual, and as helpfui as possible while i r refraining, however., from answering' hypothetical questions or questions that -
would require expression of personal opinions. *
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- The reason-for the pol. icy of. referring ..all 'such. matters to either an GI manager l .or-a' Public Affairs.0fficer is tocensure both uniformity and
- accuracy of any .- ,
- information that i,s;provided td news media. - - .- ...
Unless overriding circumstances dictate othemise, OI investigators who are approached.by re S. port'ers 'should provide only the following responses:
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IdenEifyrthemsel'vis,;.' .- ('1 .
- (2) Furnish the name:of the Field Office to which they are assigned, and .
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-(3) State' the general nature .'of .the invest. igation.
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. Requests for idditional inforniation should 'be answered by courteodsly
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- referring the repo,rter,.:to the Field Off_ ice Director or Public Affair.s - .
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( OBTAINING INFORMATION FROM MEDIA . , Investigators may have contact with reporters to obtain information, such as leads and names of informants.
- Investigators should be cautious about inadvertently releasing prohibited infonmtion'to reporters in the course of
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'such contact.
Investigators may not, except in imergency conditions, question $mbers of the news media concerning their conduct in the course of, or arising out of, the coverage or investigation of a news story, without 01:HQ approval. .
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. INVESTIGATIVE PROCEDURE.MEM.O.RANDUM N.O.4.. 2-0,03
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SUBJECT:
INVESTIGATIVE NOTES - - OBJECTIVE: ". c :Y.
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.: .1 . i. .i Q ... '. i. u To provide guidance to OI investigators concerning taking, :utilizing, and . ! --
retaining invest.icative notes.. - . . -
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.- GENERAL POLICY). .,
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g,;.- j. . Whether to take notes during an interview.is a de:ision left to the discretion . . of the investigator. However, contemporaneous notes made by an' investigator during the course of'an investigation may be helpful in producing an accurate, effective, and thorough investigative product. Notes are used to record pertinent
- oral testimony, data extracted from. documentation, personal observations, and the matter being investigated. These j - other notes, together with
- statements and.other to, documentary and physical evidence . .
infom.ation which may be.. germane . j obtained during an . investigation, will facilitate the preparation of a comple'te j report of investigation (ROI)." This IPM provides guidance for those situations " when DI investigators elect to' take notes. - l
- Notes should always be accurate. They should contain the dates and locations
- i. .,. of record reviews or interviews, fully identify the persons interviewed as I .g:.. / .
well as other individuals present,. and reflect all material pertinent to the cK. ~- investigation. The existence of unusual conditions or other developments , which may impact upon the investigation should also be included in the i investigator's notes. 5 METHOD AND AMOUNT OF NOT5 TAKING
; The cethod'of taking not_es is'left to the discreti6n of the investigator.
The amount of note. taking will vary with the circumstances. Friendly witnesses will seldom object to notes being taken during an interview. These individuals ,
. are usually anxious to impart infomation and will consider note taking as an
,. acknowledgement of the im'portance ofNhat they have to say.
WHEN TO REFRAIN FROM NOTE TAKING- j
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Hostile or indifferent witnesses may be reluctant to provide information if they observe.the investigator taking notes of their verbal re..7arks. Under s - these circumstances, the interview may be more successful if the investigato'r refrains from taking. notes until .after all pertinent information has been i
. elicited and discussed orally. Then the substantive information can be documented in either note form'or a written statement, or both. If necessary, ,
j the interviewee can be assured that such a procedure protects' him by providing l 1
- - an accurate record of the information he has.already orally furnished. A reluctant.
witness will often not object to technical data, names of individuals, chronology of events, and other. such specific information which an investigator would not be exp,ected to comit to memory,- being recorded in notes during the course r 2.^ '
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OFFICE OF INVESTIGATIONS INVESTIGATIVE PROCEDURE MENORANDUM 82-013 NO. - -- .
SUBJECT:
REPORT OF INVESTIGATION-FOPy.AT ..
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OBJECTIVE - This IPM is intended to ensure that all 01 investigations are reported in.aE . thorough, objective, and consistent manner. ,,
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GENERAL POLICY . ., The results of all 01 investigations will be documented in a Report of Investigation (ROI).The ROI is 01's principal product which is furnished to other NRC-ccmponents and t'o licensees and the public'after appropriate deletion of" exempt ROI's must be matter (dissemination of ROI's is to be addressed in IPM i82-014). written with sufficient detail to provide the appropriate NRC program cfficials with
. sufficient facts on which to base their decisions. All pertinent documentation will be appended to ROI's and all individuals contacted will be fully identified,7- --
with the exception of those sources granted an express pledge of confidenh.asty- .---...a-__ pursuant to IFM !82-008. , k ROI FORMAT .- , , , The following is an outline of the format for ROI's. Succeeding sections.in_ T - '- N" this IPM will expand on the contents of each portion of the ROI. .
- 1. Cover sheet - preprinted femat
- 2. Title page - preprinted femat
- 3. Body of ROI - c6ntains the following sections:
SUMMARY
- DETAILS
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- 4. STATUS OF INVESTIGATION l
- 5. ATTACHMENTS (if appropriate) '
Note that the section heldings, i.e.,
SUMMARY
, DETAILS, STATUS OF INVESTIGATION, and ATTACHMENTS will always be capitalized, but not underlined. Captions under ! the DETAILS section will be underlined but not capitalized. All section headings and captions will begin at the left margin (i.e., they will not be indented or - centered). . . 1 I. COVER SHEET . t Cover sheets will be placed on an ROI whenever there is some restriction on its dissemination. These cover sheets will be' preprinted and distributed to Field Offices as soon as they are available. See IPM #82-014 on dissemination of ROI's
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for details of such restrictions. 6 t i s i . ,
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of an interview. If conditions preclude taking notes during an. interview, all ;
- pertinent information obtained should be written down irmediately after the
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interview has terminated while it is still fresh in the investigator's mind. DETAIL OF NOTE T, AXING . . When an' investigator anticipates obtaining a written statement, ,his interview I notes may be relatively limited; however, the notes should supplement the statement j by recording any pertinent informati'on furnished which was not included in the 4 written statement. . Conversely, when a written statement is not pr,ovided, more detailed notes of the substantive portions'of the interview are reconmended. These can subsequently be utilized in the preparation of the ROI and/o'r a i
. Results of Interview. .c RETEhTION OF NOTES
- c Retention of investigator's notes after .they have been utilized for
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preparing an' ROI and/or Results of Interview is a matter within the discretion of the investigator. Since investigators occasionally testify at administrative and judicial
.- proceedings, they may consider it prudent to retain their no.tes until all aspects of the matter being investigated have been completed. It is to be noted that investigators' notes which are shown or transmitted to any other
!, individual, or which are comingled with the official investigative file,-
; are censidered agency records and as such they are subject to Freedom of 4
[_.. Information Act (FOIA) requests.
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INVESTICJsTIVE PROCEDURE MEMORANDUM NO. 82-004 . SUSJECT: EVIDENCECUST0D[
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OBJECTIVE . To furnish procedural guidance to 01 investigators pertaining to tshe required methods of maintaining proper. custody of evidence related to OI investigations. GENERAL POLICY . 4 a The investigator must " follow standard practices in collecting and accounting for evidence to ensure its admissibility at a proceeding. , FROCEDURE' The " Chain of Custody" begins when the evidence is initially discovered. The accounting contin ~ues until the evidentiary item is presented in a proceeding. . The investigator must be able to demonstr. ate through testimony at a hearing, if necessary, his/her knowledge of who had possession of the evidence at all times. .- If the chain of custody is not preserved and accountability is lost by not - - - obtaining appropriate signatures and dates of evidence transfers to other investigators or technical experts, the integrity of the evidence may be ?M C-challenged and it may not be admitted into the proceeding. 9,. f '~ . 8Y PROGRki REQUIREMENTS The following procedures are to be followed to ensure that there is a continuous chain of custody and protection of the integrity cf the evidence.
-.- 1. Restrict the numher of individuals who handle the evidence between the time it is initially discovered and its presentation into a proceeding.
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- 2. . Maintain records for evidence removed from the investigator's possession.
- a. Record the name(s) of individual (s) to whom evidence is transferred.
b'. Document ! time and dati of the transfer.
- c. Record purpose of transfer.
- d. Document name of individual and time and date the evidence was l returned.
- 3. Require that all individuals who handle the evidence provide their signature and written identificatiqn on an evidence custody record, s
, 4. Obtain a signed receipt from any individual accepting evidence and 1 also provide a signed. receipt when evidence is returned from any proceeding or technical examination. ,
- 5. Check returned evidence to detennine if the item is the same as .
4 submitted and. check to establish if evidence is in original conditien. -
- l 6. . Record any changes in the condition of the evidence.
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A. . , (V. INVESTIGATIVE PROCEDURE MEMORANDUM NO. . 82-005 ..
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PHYSICAL EVIDENCE COLLE'CTION
SUBJECT:
OBJECTIVE ,
~
To furnish guidance pertaining to the collection of physical evidence during C. investigations. -
. GENERAL POLICY ,
The need for collecting physical evidence may vary from one investigation to another. If the investigator detennines that an item is of evidentiary value to an . investigation, it should be obtainet n such a manner as to ensure that . it is not damaged, altered, or destroyed. PROGRA'i REQUIREMENTS In instances where physical evidence is obtained, it should be properly marke - soon as possible to ensure its identific'ation at a later date..Under certaid
~
circumstances it may be advantageous to photograph evidence before moving it - its location.6 The following guidelines are furnished to assist in the markin-of evidence.
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- 1. . Mark each item of evidence when it is remov.ed from its original C='. ~ place of discovery.
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- a. Print the investigator's initials on the item. .
- b. Record the date and recovery time.
- c. Pilce a numerical or alphabetical identifier on the item.
'- 2. Utilize pen and ink markings on documentary type evidence.
- 3. Utilize a scribe or stylus-type instrument to mark metallic objects.
- 4. ' Place each small object or easily altered or damaged object in a sep.
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container (s), seal the container (s), and affix the markings describe above.
- 5. Mark each section of evidence items which have removable or separable parts.
6; Evidence which requires,special handling relating to radiation safety should be obtained only after requesting assistance from appropriate radi~ological safety personnel. IPM No.' 82-004 should be consultad for _0I procedures concerning Evidence Cust. _S.
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. - INVESTIGAT.I.V.E ,P. ROC.EDURE- . .y . -- : MEMORANDUMiND.582,00,6 . _ . g >, c,r, , .. a. .#.. . , . . s,.,.
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. SU3]ECT:' USE OF ORDE.RS IN .SUPP.ORTdOF 'I.NVESTI.GATIONS ~, E,.,,
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To describe the sitt.fations in which investigators should request.that. - . orders be issued l.to2 support.-01' investi.gations .and :to outl.ine thetp'ocedures r .\., 3 .f
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NRC order-issuinduth5Yity?Ss3h'rcis"ed.ino$t Trei;uently 'in 'supp'off of-the? 2 - Comission's enforcement ob. licensing proceedings. Although facts ; uncovered 1.
- in OI investigations will serve.as.the.. basis for orders in many enforcement .
or licensing inatte'rsiithe:dicision'to's'eek -them is made by other NRC. -f-P m - 4 components.:2 The-only ordersiOI;will-seek are those that enhance.0I's ability ; to successfullyf,esol:ve -=:,. aimatter' dnder investigation. .. "..._ .-'.:.f..'....'
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The Comission's authority.to . issue orders is' found in subsections 161 b., i., and o. of the Atomi~c Energf": Act of 1954., as amended. The Comission has ,W delegated the authority to islbe or'ders t6 various' NRC officials. The ~-
.:. procedures for imposing requirements onTlicensees by order are contained in 10 CFR Part 2, Subpart B.. :..
4 TYPES OF SITUATIONS 'IN WHICH ORDERS MAY BE SOUGHT BY OI - This section illustrates: situations in which orders may be of value.during the course of.0I investigations. .
. s Failure To Cooperate With the Investication ,
' = i . In the great majority of. cases, investigators are able to obtain voluntary cooperation;'but, on occasion, individuals or organizations may not be cooperative. OI can compel 1 testimony and/or production of evidence by subpoena in such situations from.any; individual or organization; however, sometimes the - cooperation required 'is of a-different nature. For example when a company . . under investigation: improperly. conditions access'to the facility or its' personnel, L or otherwise obstructs-the-investigation', ,a subpoena is unsuited-to obtain the , y necessary cooperatidn. 'In such3ituations an order directed to -the -appropriate licensee may be necessary to sec'ure the cooperation of the licensee and any individual or organization that has a direct or indirect relationship with the licensee .(e.g., subsidiaries, . parent companies, vendors, contractors, sub- ' *
- contractors, consultants, agents; and employees). ' '
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Preservation of Evidence ' '. . . l Investigators normally will retain possession of documentary or other physical l
?' - evidence identified during investigations in accordance with the relevant 01 l i instructions on the handling of evidence. However, when it is no't practicable for OI to obtain actual control of the evidence because of its volume or physical characteristics, an ' order may be issued directing the licensee to ensure its preservation. Such ari order should be effective whenever the evidence is under the control of a licensee or any individual or organizatien that has a direct or indirect relationship,with the licensee.
HOW TO OBTAIN OltDERS
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When the investigator be.lieves that an order would be of assistance in an c 1 investigation, he/she shotid request 01 ranagement to seek an. order. Whenever possible the investigator should propose language to be used in the body of the order.so that any order that is issued will be responsive to the need perceived. Because OI does not have authority to issue orders, the Director, 01, shall request any orders he/she deems necessary, in consultation with the cognizant legal office, from the appropriate issuing authority, e.g., the Comission, presiding officers in NRC proceedings, or the Director of the Office
. of Inspection and Enforcemen* .
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0FFICE OF INVESTIGATIONS ;
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INVESTIGATIVE PROCEDURE MEMORANDUM NO. 82-008 , SU3 JECT,: CONFIDENTIALITY 0F INFORMNTS/ WITNESSES OBJECTIVES . (1) To provide the NRC with the broadest possible latitude in maki.ng use of infomation frein infomants and witnesses while still providing those . individuals with adequate assurances that their identities will be protected as fully as possible. e (2) To minimize the posiibility of subsequent claims that individuals were offered confidentiality, when it was not granted either as a matter of policy i or because it was not specifically requested. GENERAL POLICY
' Investigators will not routinely offer confidentiality to individuals making allegations or otherwise providing information during the course of an NRC investigation. The subject of confidentiality, i.e., the protection of the'/.,. -- -
identity of an informant or witness, nomally should not be raised initially- - - by the investigator during an NRC interview. If an individual requests anonymity,' be . . or forthcoming, if in the opinion of the investicator the investigator may tilen grant the information confidentiality. will not otherwist.$ - 7-l n/7 i, l b: _ EXTE!E OF CONFIDENTIALITY AVAILABLE
- Before confidentiality .has been gran'ted, the individual should be informed that, although the pledge is not absolute, it is NRC policy _not to divulge to others the identity of people granted ' confidentiality, either during or subsequent to the investigation; further, the individual should be told that his/her name will
; not normally appear in ._the publicly released repoft of investigation. It should i be pointed out, however, that the nature of the allegations or the limited I numb.er of individuals' privy to the subject infomation may provide a basis for
. guessing his/her identity. Such " guesses" will not be confimed or otherwise 5
.. responded to by NRC.
Finally, the individual should be made aware that, if the results of the 4 investigation form the basis for an enforcement action, either civil or. criminal, and a hearing ensues, it may not be possible to maintain his/her anonymity. The individual should be infor;ned that the information - J may be given to Congress and/or other Federal agencies. He/she should also-be advised of the protection afforded by section 210 of the Energy , Reorganization Act of 1974 to employees who may be discharged or otherwise discriminated against for providing information or assistance to the NRC. i CONFIDENTIALITY AGREEMENT When an individual accepts the. offer of confidentiality, a "Confidehtiality
- A5 reement" (attachment.1) must be executed. This fom outlines the scope of l._
i A- the agreement and the responsibilities of each party. Investigators are not authorized to grant confidentiality to anyone who refuses to sign an agreement I, . e6 9 ________m_
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4 A - conditions" which may be.used ti address'particular heeds;:howev'er .'. N.' : . "< ~ f investigatorsimay'.not: allow istichicondi~tions .to. alter the' generaT scop'e'.6f.;.U, . "
- ..confidentialify zuthorize'd? -Aftei -the.. form is signed tyJboth -the'.individualE- f.
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the 01 Field 0ff. ice. file fo.r the.inv.est.,igation!. . . ;. W - d. 4 . % 4. - . 2 .. .
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, tur e ...e. u w... ...... .... .. ..... .. ...... . , .. ..,, , , , - I have information tnat I wish to provide in confidence to the U. S. Nuclear Regulatory Commission (NRC). I request an express pledge of confidentiality as a cendition of providing this information to the NRC. I will not provide this infomation voluntarily to the NRC without such coa.fidentiality being extended to ce.
It is of understanding, consistent with its legal obilgations, the NRC, bh . agreeing to this confidentiality, will adhere to the following coriditions: (1) The NRC will not identify me by name or personal identifier in any NRC initiated document, conversation, or conrnunication released to the public which relates directly to the infomation provided 'by me. I understand the tem "public release" to encompass any distribution outside of the NRC with the exception of other public agencies wMch may require this information in " futherance of their responsibilities under law or public trust. . (2) The NRC will disclose my identity within the 'NRC only to the extent ' required for the conduct of HRC related a'ctivities. (3) During the course of the inquiry or investigation the NP'.C will also make every effort consistent with the investigative needs of the Comission to avoid actions which would clearly be expected to result in the disclosur'e of my identity to persons subsequently can'tacted by the NRC. At a later stage I understand that even though the NRC will make every reasonable effort to protect my identity, l*:^ ?
- cy identification could be compelled by orders or subpoenas issued by courts o(,' '
law, hearing boards, or similar legal entities. In such cases, the basis for.~
- granting this promise of confidentiality and any other relevant facts wil,1 be.:., -
"M cc::cunicated to the authority ordering t! 2 disclosure in an , effort to maintain . .--
)9 . cy confidentiality. If this effort proves unsuccessful, a representative of F the NRC will attempt to infom me of any such action before disclosing my identity.
- I also understand that the NRC will consider me to have waived my right to confidentiality if I take any action that may be reasonably expected to disclose my identity. I further enderstand thrit the NRC will consider me to have waived
- my rights .to confidentiality if I provide (or have previously provided) infomation
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; to any other party that_ contradicts the infomatfort that I provided to the NRC or if circumstances indicate that I am intentionally providing false infomation to the NRC. .
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Other Conditions: (if a y) I have read and fully understand the conten.ts of this agreement. , I agree with its provisions. Date Signature of source of information
- Typed or Printed Name and. Address l
l . l i.' Agreed, to on behalf of the US NL.: lear Regulatory Comission. 1 Date Signature l Typed or Printed Name and Title Revision 1. .
c OFFICE OF INVESTIGATIONS IC INVESTIGATIV
E. PROCEDURE
MEMORANDUM NO. 82-009 .
SUBJECT:
ADMINISTERING OATHS OR AFFIRMATIONS
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OBJECTIVE . To provide unifom guidance about administering oaths and affimations. AUTHORITY - Subsection 161c. of the Atomic Energy Act of 1954, as amended, authorizes ., the Cor:nission to ad=inister oaths and affimations in connection with its investigations. That authority has been delegated to the Director, 01, and redelegated to all 01 investigators. GENERAL POLICY The point at which an oath is administered depends upon the circumstances surrounding the interview., However,' as a general yule, it is more advantageous to complete the interview and obtain as much infomation as possible before administering . . . .
- the oath or affimation. There may, however, be instances in which it would be beneficial .to place the individual under oath before the interview. '- ""' ' ',
When the investigator determines that the affiant is willing to swear or affim. -- y.. to the veracity of the infomation, sworn testimony should be obtained by having S" the. affiant raise the right hand. The investigator should also raise the right- - hand and say:
"Do you swear" (or "affim") "that the" (1) " statement given by you,"
.* (2) "infomation provided by you," or ,
; (3) "information you ar's about to give,"
"is the truth, the whole truth,- and nothing but the truth, so help you God?"
An affimative response validates the oath. Note that the words, "so help you i
. God" are omitted in the case of an affimation.
The choice of the proper phrase within the oath / affirmation is detemined by the following circumstances: . (a) Phrase (1) is used when the affiant provides a written statement. l (b) Phrase (2) is used when the affiant refuses to provide a written statement, but does agree to swear / affirm to the veracity of oral e testimony. (c) Phrase (3) is used when the oath /affimation is administered at the--
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' outset of the interview. - - - - . .
- IIhen the affiant provides a written statement, the oath or affimation 'is administered after the affiant has read the statement and made necessary o
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n- . 1 !+ \ .- corrections, but before' the statement is signed (see Fo6.at 1). If the interviewee is unwilling to provide a sworn statement, the langtiage in Format 2 may be.used; such unsworn declarations have the same effect as sworn statements. -If the interviewee is only willing to provide a signed statement, Format 3 should be used. .
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FORMAT 1 . > I have ' read the foregoing stateme,nt consisting of handwritten / typed pages. I have made and initialed any necessary I corrections and have swear that the foregoing signed my name in ink in the margin of each page. statement is true and correct. Signed on at - (date) (time)
.o SIGNATURE: ~
NME: (ItPED OR PRINTEL) , day of , 19 Subscribed and sworn to before me this . at .
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I have read the foregoing statem'ent consisting of handwritten / typed pages. I have made and initialed any necessary corrections. an'd have'--~ ~~ - signed my name in i.nk in the margin of each page.' I declare that the fore . going. statement is true and correct. Signed on
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Persons'intervieked.during the. course .of-NRC investigations may'.have comitted ,' . .._ criminal:as well:as civil . violations of statutes:or~NRC-regidationsi.. . "- f . Consequently, the question ar.ises as to .whether;.such persons warnings requiredi t o'be furni'shed to' criminal'e suspects - Supreme Court by th. .' need decision in the case of Miranda.v. Arizona (384 U.S. 436..(lg66));and. related .;' .
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- l The undersigned certifies that is an Investigator with the Office of -Investigations, US tiuclear Reguiatory Comissieri.' Pursuant to '
39 CFR 265.6 (Release of Infomation - Availability of Records), please provide the above named investigator without charge the name(s) and/or address (es) of the postal customer (s) that he/she requests. Such' information is required to be ' obtained in the perfomance of the named Investigator's official duties with the
.. US Nuclear Regulatory Comission. .. ..... .. ,, . . _ _ _ . _ . .,
Director, Field 0ffice Office of. Investigations
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0FFICE OF INVESTIGATIONS
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82-013 INVESTIGATIVE PROCEDURE MENOPJJiDUM NO. - ._-. . SUBIECT: REPORT OF INVESTIGATION- FORMAT ..
.N '.,, ,,. . _ .
OBJECTIVE -
- This IPM is intended to ensure that all 01 investigations are reportedr" in.aj
thorough, objective, and consistent manner. ,
.g GENERAL POLICY . .,
The results of all 01 investigations will be documented in a Report of Investigation (ROI).The _ROI is 01's principal product which is furnished to other NRC-components and to licensees and the public~after appropriate deletionROI's of' exempt must be matter (dissemination of ROI's is to be addressed in IFM fB2-014). written with sufficient detail to provide the appropriate NRC program officials with All pertinent documentation
. sufficient facts on which to base their decisiens.
will be appended to ROI's and all individuals contacted will be fully identified,7- -
' with the exception of those sources granted an express pledge of confidentlauty- -. ..-.. ..J-__
pursuant to IFM #82-008. . k ROI FORMAT .- , , , h The following is an outline of th'e fomat for ROI's. Succeedingsections.in~2_.'. this IFM will expand on the contents of each portion of the ROI. .
- 1. Cover sheet - preprinted format -
- 2. Title page - preprinted femat
- 3. Body of ROI - contains the following sections:
s
SUMMARY
i . - 0ETAILS _
- 4. STATUS OF INVESTIGATION
- 5. ATTACHMENTS (if cppropriate)
Note that the section he dings, i.e.,
SUMMARY
, DETAILS, STATUS OF INVESTIGATION, and ATTACHMENTS will always be capitalized, but not underlined. AllCaptions section headings under , the DETAILS section will b'e underlined but not capitalized. i and captions will begin at the left margin (i.e., they will not be indented or , centered). . I. COVER SHEET . Cover sheets will be placed on an ROI whenever there is scme restriction on its dissemination. These cover sheets will be' preprinted and distributed to Field ( l Offices as soon as they are available. See IFM #E2-014 on dissemination of ROI's . . for details of such restrictions'.
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- p. II. TITLE PAGE ,
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'. Attached is the title page to be used for all ROI's. This format should be typed en NRC (Washington, DC) letterhead until a supply of preprinted title pages is made available. . Attachment 2 is an example of what a completed title page might look like. The following is a description of some of-the specific fields contained on the title page which are not self-explanatory. ' ~ . ,
Title Case titles normally are a combination of the name of the company,' facility, or other entity, and a succinct statement of th'e nature of the investigation such as
- alleged falsification of QA records" or "possible unauthorized release of radio- :c
> activity." In instances.where no identifiable facility or entity is involved, the geographic location will be used instead, such as " Buffalo, New York - Plutonium
> -- Container Found in Junkyard." OI:HQ should be contacted for guidance in captioning i any cases-in whir.h individuals are the subjects of the case. ' Sucolemental l This caption is used to capture'the ' docket, license, or vendor number, or any ~
~
other useful identifyin'g data. - ..
-... Case Number -
The case number is composed of a single character identifying th'e control office " ' . g.- (1,2,3,4,5, or H signifying Philadelphia, Atlanta, Chicago, Dallas, San Francisco,
'k F'
,gQ~. or Headquarters respectively), two digits signifying the calendar year, and a three digit sequential number. The case number remains the same regardless of ! which office prepares the report or how many reports are produced. , 1 Control Office The control office is the office that has overall responsibility for the case.
- This normally is the office which opened the cast. The status of a case within the control office, and hence the overall status of the OI case, is either PENDING, CLOSED, or SUPPLEMENTAL. The =latter term applies to any additional information reported subsequent to,t,he formal closing of an investigation.
l
- .+r .
Reporting Office ! The reporting office caption and status is used to report investigative activity conducted by an office on the behalf of a control office. The reporting office caption is omitted when the entire investigation was handled by. personnel of th'e control office. The status of a case within the reporting office is either PENDING,,' l SUPPLEMENTAL or RUC. The latter stands for " referred upon completion" which heans l n i that all investigative coverage requested of the reporting office by the control i -- office has been completed. . . . . . . .. .. Perio2o'fInvestigaIion l The period of investigation extends from the time the case is opened (or the
~-L.-
request. received from the control ' office) to the date of the last investicative .
' N/ activity.
,. . . _ . l l
Repo'rting Investigator ,
.?
The reporting investigator is the person preparing the ROI. The reporting i investigator is responsible for ensuring that the report accurately reflects the date collected by all personnel assigned to the case. The reporting investi-gator signs and dates the final copy of the ROI that is dispatched to DI:HQ. .-_.- . . . - Participating Investigator - -- 4 Under this caption a)1 Government personnel who participated in the iriveitigation are identified by name, title, and organization. Participating personnel do not sign the.ROI g, . ,,, m a e,,,,,e t,.
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, 3{i , .
~
Reviewed by:_ .c J ROI's rust be reviewed and signed by Field Office Directors before bein'g' for ~ warded to 01:HQ. .ROI's for,HQ case _s are reviewed by the reporting investigator's first-level supervisor. ' CC ~ -. Acoroved by: ROI's h.isk'be approved by'the' Director. 01, or ajother designated 01:HQ iifficial before they are released outside OI. . . , am
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III. SU WARY _, f
,. . s The purpose of 'this section is to sumarife the information contained within+""
the main body of the report of investigation. Although the sumary will be as:: 3----
,y brief as possible, it must be of sufficient length to convey to the reader the.
reason for the investigation, the investigative actions that were taken, and what infomation resulted from those actions. While the sumary should reflect all the substantive infomation developed during the course of the investigation, - care must be exercised to ensure that it does not contain information that does not appear in the main body of the report.
- 6 IV. DETAILS ,
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The main body of the report is the details section. This section will be used to record all pertinent details of th'e investigation in a thorough, systematic,
. comprehensive, and objective manner. This section will be further divided into captioned sections descriptive of the investigative activity reported therein.
Each such caption will be on a separate page. This affords the following advantages: - ,
- 1) It allows the correction of typographical errors without having to redo
~
~
the entire report.
- 2) It facilitates' the writing of the. report by more than one person:- Each __
participant can write up his or her activity under the,, appropriateca'p' tion -
- as soon as the particular activity is complete. ;,,-,.
M1 -
- 3) It allows the reporting investigator to organize the report of investigatica by arranging the individual captions in the order that best presents -
the infomation to the reader. , e
- i. .,
e Although the usual method of structuring the sequence of captions is to place them in a chronological order, some investigations may lend themselves to a 4
.i
- different method of presentation. Other than the first two captions described below, the choice of sequence is entirely that of the reporting investigator.
. The first caption in the details section of every. report is entitled Purpose-of Investigatien. As this caption will set the scope of the investigation, great care shculd be exercised to reflect carefully upon the specific objectives of the investigation before writing 'this caption. Some examples of this caption, which nomally will consist of only one or two sentences are: ,
The purpose of this investigation was t'o investigate allegations that quality control inspectors employed by ABC Inc. were being systematically intimidated by construction workers with the tacit approval of XYZ Nuclear -- Generating Station uanagement. The purpose of this investigation was to investigate apparent records falsification by the ABC Security Service which was discovered during the course of a routine inspection. .
~
The purpose'of this investigation was to establish the sequence of events during the accident at the XYZ NPS during the . period of June 12-15, 1980.
-..s . __ : __._
The obvious purpose of this caption is to give the reader a clear understanding . 7; of what the investigation is about. .- .-'^- The second mandatory caption is the Background caption. This section will . be--- .
..[
D i.E~^, used to describe the information.or situation that led to the initiation' of7hTT investigation. It will also reflect the identity of the NRC management official (s) who requested or authorized the investigation as well as any other information known upon initiation of the investigation. This section will not be used to record any invastigative effort on the part. of the NRC except for the results of an inspection or inquiry.that may have provided the basis for the investigation.
.. Subsequerit captions are within the discretion of the reporting investigator and are governed by the nature of the investigation. Although cases involving cultiple allegations might require the listing of the allegations separately,
~
most separateinvestigations treatment of can be reported the allegations thisby(use of the is largely appropriate influenced by scoping captions with the investigation properly; it is usually better to write more than one report
- of investigation when dealing with di,sparate allegatons rather than to attempt to " shoehorn" such allegations into one report).
The following are examples of captions that could frequently be used in reports, of investigati~on: Interview of Alieoer Interview of Security Director / Nuclear Materials Manager , .,__ Description of Facility . Observation of' Security Procedures
~
~
2 I' , Examination of Quality Assurance Records . 4
- BacKorouno Data Recaroing John F. Roe
( Examination of Reactor Containment I b - Re-interview of Alleger ! Contact with the Bay City Police ' Department N
- 1
. .. . i
' Intervicw of John F. Roe Y r Examination (or review) of Guard Trainino Records
?
?M Interviews of Security Guares ; ,
As a general rule, interviews that yield sutstantive infomation will be reported under an individual: caption.~ A more generic caption should be used to doeurent-interviews of classes or groups'of interviewees that fail to provide substantive infomation.. For example, twelve security guards when interviewed separately were unable to provide any relevant infomation. This would then be written up in the following manner: . Interviews of Security Guards' .'_.. The fo11ciwing security guards employed by the ABC Security Guard Service at the XYZ NPS wire interviewed individually at the XYZ.NPS during . period May 1-3,1980. . '; ~ List full identification 'of all 12 cuerds in tabular fom. . ;. e All denied knowledae of any irregularities in the firearms qualifications program. None of the interviewees was able to provide any information pertinent to this -investigation. . . .... . . . ,
-. Note that it is important to identify these apparently non-productive inteNi'eis . 2.
for the following reasons. Most fundamentally, it provides the reader wi.th 'a .T.C . more balanced picture of the evidence or lack thereof relating to the purpose of
- rp [
~
the investigation. Secondly, it neutralizes witnesses that for one reason or-- e another might be used by the subject of the investigation to refute infordtT6n-- -" u =- " i" r. .. gained from other sources. , Whenever an interviewee furnishes a written statement, the information reported in the details section under the individuaT caption should only' summarize those portions of the statement that' speak to the purpose of the . investigation. It i . should call the reader's attention to the fact that a statement was obtained j ; and is appended to the report as in the following$ example: Interview of John Jacob Roe
~
Roe, a' security guard employed'by the ABC Security Guard Service, when
- interviewed by Investigators R. K. SMITH and P. E. JONES on May 2,1980 at the XYZ NPS security office, voluntarily provided a signed, sworn statement (Enc 1csure 1) wherein he stated that he had never successfully ,
qualified with the .38 revolver notwithstanding the fact that his employer's records indicated that he had done so. According to ROE, after failing three tinies to achieve a passing score on the range on March 17, 1980, his supervisor, Sgt. James ADAMS told him not to worry about it in that he . ! (ADAMS) would fix~the records to show that ROE was qualified. ROE indicated j
~------ ~
that ahother ' guard, Sally MYERS was present during the conversation arjd
. . _ _ could corroborate his assertions. ROE indicated that he. has perfomed his
~ - - ~ ~
duties'as an armed guard ever since that datej. ROE was unable to p"rovide - 1 any additional pertinent infomation. '
.. q -
f, Surnames of pers' ens should always be capitalized in ROI's. ' ' a. A
From time to time, an interviewee will provide considerable sube.antive infor-
. # .' mation but be unwilling to reduce it to the fem of either a sworn or unsworn
., signed statement. In such instances, this information should be placed in a In document that can stand by itself in the same canner as a signed statement- i
- these instances, the infomation should be written in the fem of Results of Interview, the fonnat for which will be provided in a separate IPM. Re'sults of ,
Interviiw will be treated the same as a signed statement for purposes of sr,iting
' the report, i.e., the individual caption will sumarize the pertinent information ,
and direct the reader's attention to the enclosed Results of Interview as j in the exacple cited above. , , Unless granted'an express pledge of confiden'tiality in accordance with the _
~
prtvisions of IPM f82-008, all interviewees will be fully identified in113- ,, ROI's (see IFM f 82-014,).
- Whenever poss51e, h5oto aphs or diagrams should be appended to the repoh of invest.igation to enhance understanding. For instance, a diagram or photograph would be useful to the reader when attempting to describe a particular component, or the location of an event or occurrence within a facility. Black and white photographs are usually sufficient and have the additional advantage of being
- able to be reproduced reasonably well via xerography. However, in cases . involving radiation overexposures- where there are observable. signs of the physical Gjury, color photog'raphs should be used. ~Because of the additional expense that aftends .,
it, color _ photography-should be limited to those instances where color de6cnstrab1f. -' increases the reader's understanding of the matter of being investigated.. v - i
- a.-.h L .-
Tne sub-caption"" Investigator's Note" proHdes a mechanism for the investig'aTorM to document his or her opinion or, observation regarding a particular por' tion 7fF
"- the report. Typical uses of the Investigator's Note caption would be to point out contradictions in an intenriewee's testimony, to add observations regarding the investigator's opinion of the reliability of the interviewee or the infomation being provided, or to add other relevant observations. The Investigator's Note caption must be used sparingly'in order to maintain the objectivity of the report.
Tne Inves.tigator's Note is indented five spaces and inserted within the caption to which it relates. Some examples are: - $
. INVESTIGATOR'S NOTE:
JONES impressed the reporting investigator as' a sincere, highly articulate individual. He answered all questions without
- hesitation' or apparent evasiveness.
INVESTIGATOR'S NOTE:' J. SMITH and S. FRANK when interviewed describe JONES as a pathological liar who had vowed to "get even" with XYZ management. A note of caution. Unless the investigator is absolutely convinced that the_ s Investigator's Note is 1moortant to tne unoerstancing or assessment of tne - infor=ation, it .is best lef t out because the investigator may have been deceived by a particularly persuasive interviewee or have misread a cenuinely nervous, but trutnful interviewee. Too gratuitous a use of such Notes will drastically affect the objectivity of the report due to their tendency to influence the reader. -
.y 7,
. . . . m .: -
When choosing the captions that fom the basis for the details section of t,he
-N report, the writer should remember the need for all reports Upon to answer the funda-completion of the
^
menta.1 questions of Who, What, When, Where, Why, and How. details section, the reporting investigator should assemble the captions in the proper order and read the. assembled package with a view to assuring that the e * .e . J
.. ~ . ,
. = ..j.
- . . _ . ._ . . , ,; ,, y
, .~;~f *.,-..,...
.' . . , for'egoing questio'n's afe answe~ red." If 'they are not, ob'viously . additional' field-work and/or writing is needed. If not'all of these questions can be . answered U J7 ( - at the time the report is written, either the investigation must remain in a T '-
J Pending Status or.the Status of . Investigation section,. described below, ~should *
- L._
state the reasons' why these questions could not be answered.' , De names of the 01 or other personnel who perfomed the activity des'cribe[in a particular caption (such as . interviews) will always be noted in the details
- ,_ ;. section. .
Y. STATUS OF INVEST'IGATION .
-.. . 2.j '
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This section'obthe report' appears on a ' separate page following the datiiis~~. section and is used to infonn the reader of the status of the investigation as well as the reasons for~-its status. Only the Control Office can describe the - investigation as CLOSED in this section. A Field Office producing a report.. of investigation as a result of a lead sent to them would merely state, "ThisWhen investigition ' continues in a PENDING status," without further explanationi the control office writes an interim report, an explanation should be provided as to why the. case remains PENDING. For example: , This investigation continues in a PENDING . status awaiting review andm_ - analysis' of' ths'inforiition4ep6rted'herein by IE Manacement and the9 Office 'of the Executive Legil Director _(or US,Depar.to_e[t of Justice)1, ...s. This investigation continues in a FENDING status awaiting location and ' interview of Sally FFANK by the PhiTadelphia Field Office. __.3;ew m . aM d: v - ,. . _ , , , .
.-=see 3' ~
The status of a case is always capitalized in an ROI. When a case is closed by the control office, and all of the basic questions
- listed above have been~ answered by the ROI^as well as any others that may have been generated during the course of the investigation, it is sufficient to use the statement, "The status of this investigation is CLOSED." In the event that
- there are loose ends, and a decision is made to close the case, some explanation should be furnished as-in the following examples:
Upon review of the.information developed to date by this investigation, i Mr. John SMITH, Division of Ria'ctor Operations, indicated that no further
. investigative: effort was warranted. Consaquently the status of this investigation is CLOSED.
Attempts to develop additional pertinent infomation have been unproductive. In the absence of logical investigative leads, this investigation is CLOSED. In the event that information subsecuently comes to the attention of NRC regarding this matter, the case will be reopened and the results of the : additional investi'gative.e.ffort, reported in_ Supplemental reports bearing ;~c-= the-- same. case contro1 number; .. Again, tb primary purpose of this caption is to tie up loose ends and toffet- . the reader know that the writer is aware of any gaps in investigative coverage. -
%s -
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***e
f VI. ATTACHMENTS . This is the last section of the report and is used to describe the attachments. Generally, the original of statements or other documents will remain in the files -' l of the control office where they can be obtained if needed for evidentiary '.l ~
. purposes in hearings'.and trials resulting from the investication. Thus it Qill not be necessary to' differentiate in the attachments section between copies and .
originals unless the original is not retained in the control office files. As a general principle, all recipients of 'the ROI will receive all the attachments, but there may be exceptions such as photographs (for economic reasons) or statements (for reasons of confidentiality). Any ROIs from which enclosures have been;--- deleted must be appropriately an. notated to the effect (see IPM #82-014); . .. . _ ..,
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PERIOD OF INVESTIGATION:
.. REPORTING INVESTIGATOR: .
PARTICIPATING PERSONNEL:. . ..
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Atta.. . ment 2 DATE OFFICE OF INVESTIGATIONS- *
~.
REPORT OF INVESTIGATIONS TITLE: XYZ Nuclear Power Station Alleged Falsification of Guard Training Records SlJPPLEMENTAL: DN 50-123 CASE NUMBER:
- Al-82-001 .
CONTROL OFFICE: Atlanta , STAfUS: PENDING Dallas ,- STATUS: RUC 7 REPORTING OFFICE:- PERIOD OF ItiVESTIGATION: August 2-6, 1982 REPORTING INVESTIGATOR: Frank R. Stanley, Senior Investigator;,.,g. ., 3.,, Dallas Field Office
-Brian A. Downs, Investigator ..
u, [ PARTICIPATING PERSONNEL: , m.,,_ .(- Dall.as Field Office , , _ , , , 5 T.. John A. Wilkins, Investigator . Chicago Field Office
- Michael J. Duncan, Physical Security Inspector
- NRC Region II REVID!ED BY:
- Allen J. Michaels, Acting Director Dallas Field Office, 01 r,.h APPROVED BY:
Steven B. Williams, Deputy Director Office of Investigations s
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.M I .
N, , M
I ,,; - {- . .- t I ' September.27, 1982 I - 0FFICE OF INVESTIGATIONS -
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INVESTIGATIVE FROCEDURE MEMORANDUM NO. 82-015 .
~ ~ ~ - - --
SUBJECT:
RELEASE OF SAFETY-RELATED INF0FF.ATION SURFACED THROUGH 01 - INVESTIGATIONS' ,, s DBJECTIVE: To furnish DI investigators with guidance concerning the dissemination of any safety-related information of an imediate nature which may be developed
- during the course of an investigation. -
BACKGROUND: , ,
.~ _
In an investigation or inquiry conducted'by Or,'the investigator is responsible _. __,
- for. protectihg the integrity of the investigative process. If non-01 personnel .
~
are assigned to the investigation, the investigator functions as team leader
.s., and retains his responsibility. Normally, this includes strictly controlling .s /-
the release-and dissemination of all info 6 nation which may be germane to the 0.: J. matter under investigation; however, when the nature of this information is, f#.
~
'or appears to be, both safety-related and of imediate concern, the investi-gator has the further responsibility of ensuring that the appropriate NRC officials are expeditiously notified so that corrective action may be promptly initiated, s
.- Therefore, when a potential significant safety issue is identified during the
- course of an 01 investigation, the investigator wi'11 imediately notify the Director of the appropriate field office. It will then be the responsibility of the OI Field Office Director to furnish the cognizant NRC Regional Aduinistrato.r with all available information concerning the issues in question. The Regional Administrator will determine the actual safety
- significance of the~ issue and the need, or lack thereof, of prompt corrective action. After consultation with the Director 01 Field Office, or his designee, the Regional Administrator (or his designee) may decide to notify the licensee, _ vendor, etc. of those significant safety-related issues .
requiring prompt attention; however, the 01 Field Office Director (or his/her designee) should advise the Regional Admin'istrator with a view teward limiting the release of information to the minimum necessary to protect the public health and safety. No 'other information should be released in the interest of maintaining the integrity of the investigative process. I After notifying 'the Rhgional Administrator of the safety-related issue, the
. ~- .
-01 Field Office Director shall advise 01 headquarters at the earliest possible
.T0 op portunity. A written record of 01's notification to the region, shall be 7 prepared and shall include, but not be limited to, the nature of the inforta-to who
\_, ,
tion, the time and date it was provided to the region, 4 a S
. O n-_ h
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'G whether it was released outside the NRC, e'tc. It should be emphasized that :
the threshold for the notification of the 01 Field Office Director by an investigator should not be too high; if there is any doubt whatsoever as to whether the infonnation should be transmitted, by all means transpit it7- - Finally, it should also be noted that 01 only bears the responsibility .of ._.._ .-- notifying the Regional Administrator of safety-related matters which arise .- ' during an 01 conducted investigation or inquiry; when such ratters are
- surfaced during an inspection or inquiry can' ducted by a particular region,i, ~ .
. even though 01 investigators. may have been asked to assist or participate, the responsibility for any, notification remains with the regional personnel.
.c
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s 0FFICE OF INVESTIGATIONS INVESTIGATIVE PROCEDURE MEMORANDUM NO. 8.3-016
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SUBJECT:
E0ARD HOTIFICATIO$ PROCEDURES FOR ALLEGATIONS . OBJECTIVE - . ,j-
. .p To provide the . appropriate NRC staff oTT1ce with information regarding allega-tions received by 01 from sources outside NRC which may be subject to a Board '
Hotification (BN). - BACKGROUND . There is a Comission approved agency-wide policy regarding notification of Licensing Boards, Appeal Boards or the Comission of new and potentially important information which the technical staff believes to be relevant to one or more proceedings pending before the Boards or the Comission. Broadly stated, the policy calls for all NRC personnel to be alert to the emergence of such information--from outside sources or within the NRC--which is potentially relevant to a pending adjudication. This information must be channeled, , together with the recomendation that it go to the Board (s) and with the *
- rationale for that recomendation, to the Director of Licensing, NRR, or NMSS's Beard Notification Coordinator for further assessment and recommendh-tion (see NRR Office . Letter 19, Rev.1, attached).
APPLICABILITY w i The policy on Board Notification recuires that Boards be provided new informa-tion developed or, received within thirty (30) . days prior to the start of the l evidentiary hearings. Thereupon, the Board Notification period extends until the adjudication becomes final within the Comission, i.e., until completion
.-of Ccmission* review or Comission election not to review it. Information
-received prior to the boara notification period is simply factored into staff document.ation (e.g. Safety Evaluation Report) which goes to the Boards in the
.. normal course of. events. .
It applies to all const'ruction permit and operating license proceedings regardless of the specific issues which are in controversy. However, for i
.- operating license a endment hearings, Scard Notification is limited to infor- !
mation on issues under consideration in the hearing. If an allegation (information) ultimately results in a Board Notification, all parties to the adjudicatory. proceeding as well as the Board (s) will be provi-ded with the notification. - GENERAL POLICY All allegations received directly by 01 Investigators from a source dutside NRC which . hay be subject to a BN shall be promptly transmitted to the 'appro-priate NRC staff office (when received by headcivarters investigators) or
- regional office (when received by field investigetors) for their review, evalcation and recczandation for a BH.
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. PROGRAM REQUIREMENTS ,
. OI investicators -
~g' All allegations received directly by 01 Investicators from a source outsid( NRC which may be the subject of a BN should be promptly transmitted to the , appropriate staff office (NRR, NMSS) .when rece'ived by headquarters investigators or regional office when received by field investigators. The transmission will be made through the cognizant 01 supervisor within trb , - working days. .in the case of a Fi' eld. 0ffice, 01:HQ should be promptlys.' informed concurrent with the transmittal of the information to the cognizant regional office.
- j This applies to allegations which relate to a facility which ifthe subject of an adjudication which has reached the BN l stage as explained above,**/ regardless of whether the allegations will be handled through inspectioTor investigatory effort. ~
It is incumbent upon all O'I investigative personnel to always view any allegation information they may directly receive, not only from the perspective-of its potential investigative merit, but also whether or not it
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may reouire a Board Notification. Field Office Director / Director, Division of Field Ooerations a) Reviews allegations identified or received directly by investibators supervised by them. Transmits the al, legations within two working - days to the appropriate region or in the case of Director,DF0 to the appropriate staff office (NRR or HMSS). The priority in which such , .E "an investigation is placed will be determined through discussion between the appropriate 01 Field Director and 01:HQ. pcv l b) It will be the responsibility of the DF0 to transmit to the' j appropriate staff office any update.information affecting a previously issued _ BN. The Field Office Directors will ensure that such updated information when identified by the Field Office, is transmitted to the DF0 within 2 working days after its receipt.
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c) Director, DF0 in consultation with the cognizant Field Office
- Director reviews and concurs in BN's initiated by the staff office regarding allegations which are the subject of an 01 investigation to ensure that the BN is sufficiently informative but does not
. provide information which if released would compromise that investigation. *
*/ The information is in turn provided to NRR or HMSS by the Region for further assessment to determine whether the information is subject to a BN. If the information is subject to a'BU and.it relates to an 01 investigation, OI:HQ reviews the BN to insure' the information will. not compromise the investigation.
c*/ Allegations received from an outside. source although not subject to' this 01 JN procedure shall also be promptly transmitted to the - appropriate region or staff. office either by the field Office Director or Director, Division of Field Operations. 2 Ih. . . - , _ _ _ __ ~ ,
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- REFERENCES .
di For additional background infor..ation refer to Inspection and Enforcement - Manual Chapter 1530 HRR Office Letter 19 (revision 1), HRR Office Letter 37)'
. SECY-82-122, and SECY-82-340.
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. NUC1. EAR REGULATORY CO!.'.?/,lSSION *
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. MEMDF.'JiDUM FOR: Darre.ll G. Eisenhut,' Director, Divisien of Licensi Richard H. Yell =er, Director, Division of Enoineer,ng. ing /
Stephen H. Hanauer, Director, Divisien of Huhan Facto 5: /. Safety -
, Derwood F. Ross, Director, Division of Syste:ms Integration .
e inomas E. Murley, Director. Division of Safety Technoloey i Eernard J. Snyder, Program Director, TMI Program Office i FROM: Harold R. Denton, Director, Office of Nuclear Ranct.or .
. . . . .. .- - Reculati on
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SUBJECT:
IRP, OFFICE LETTER NO 19, RD'ISION 1 . PROCEDURES FOR NOTIFICATION TO LICLNSING SOARDS OF RELEVANT AND KATERIAL NER INFORK; TION
. Effective i=ediately, all' NRR. personnel will use the fellcwing revised p ocedures for assuring prompt and appropriate action on notifying Licensing
. Boards, Appeal Panel and the Comissien of new inforr.ation which is considered
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- by thf staff to be relevant and material to one or more licensing proceedings.
.; 4ne.se revised pro edures reflect thh experience we have gained since issuing C'
the original Office Letter No.19 on July 6,1978.
- This Office Letter places an obligatien on all NER staff memben to be alert to the significance of new ;information that is developed in the course of their review and to consider whether this' information could reasonably be regarded
-as putting a new or different light upon an issue bbfere Er.ards er es raising a nea issue after publication of the staff's principal evidentiary d:>:u: ents.
inis is the central iume of the procedures and re:;uires the e.xercise of good
. jud; nt to assure that Boards will not, be burdened with matarial beyond that potentially significant to 'the individual licensing prC0eedings.
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Harold R. Denton," Director Office of Nucitar Reactor Regulation '
Enclosure:
Scard Notification Proca' dure SE
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m . . . . BOARD N0ilFluTION PRDCEDURE
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M A. BACKGROUND - e
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Folleving Comission a'pproval of its Board Notification policy ca May 4,
' 197E, the Office of Nuclear Reactor Regulation issued NRR Office Letter No.19,' dated July 6,1978, which contained Scard Nctification proceddes - .
to be i:$lemented by NRR. The t'erm *5 card Notification' refers to
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new infermatien which is considered to be relevant and material to - - - one or more licensing proceedings', i.e., =aterial relating to an issue befcre a Licensjng Board, Appeal Panel, or the Comission which can retsonably be regarded as putting a new or different light en that
.. issue, cr raising a new issue. (Note that the term *5oard* will be -
used in this procedure. to, refer to Licensing 5 cards, Appeal Panel and Comission. )
- In a censrindu= dated May 10, 1978, the Cc: mission requested that an evaluation.
, ' of the Scard Notification policy be prepared when appr::imately one ye-ar
, of experience was available. To this end, Comission Paper SECT-80-129, dated March 10, 1950, provided an assessment of then current procedures and pr: posed changes to.these procedures to ccrrect prcble=s en:ountered
. in carrying cut the Board Notification policy. ' .
. E. DISCUSSION ,
,There vere three significant chances to the Board Notificatjon procedures
% .recc= ended in SECT-80-129 and approved by the Comission:
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- 1. Chance the time threshold for initiating the formal Soard Notification '
procedures f rom the issuance of the ACES Supplerant and FES to 30 days befor.e the stah of the evidentiary hearing.
- 2. '
Eli=inate the routine transmittal to the 5 cards of staff corresper.dence and noticer. to applicants' and licensees. StaYf terrespenden:e and notices to applicants and licensees voeld be sent to the 5 card . only if it is determined to reet the pidelines for Scard Notification, i'.e. , new. informaticr> considered ,ma teria.1 and relevant.
- 3. Incorporate the pidelines for staff appraisal and evaluatien of Scard .
Notification matter set (crth in ALAS-5$1, as follovs:-
- a. supply an expesition adequate to alloE a ready apprecNtion of the
, precise. nature of the Board Motificatien catter; -
- b. supply an exposition adequate to allow a ready appreciatien of the extent to what the.Scard Notificatien matter right have a bearing upon the pa.rticular facility bef:re the board.; *
' ' c. .'in the event a conclusion with regard to the safety or environmental
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- G : significance of tJie Scard Notificatien matter is p.tsented,' set forth *
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the rezsening underlytric that c:nclusien sufficient to allow the
.5 'bcard to make an inf er-Ed jud;:er.t en the valicity of the c:nclusicn;
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- d. where the' board has limited jurisdiction,' spell eut the pe'sible ,
- relationship between the subject atter cf the notification'any~-
one .or core cf the issues .before the board. r. E ,' C. _ DETERMINATION OF RECOMMENDATIONS FOR BOARO NOTIF] CATION SY TECW.NICAL ,
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REYlEW GROUPS.AND PROJECT F.ANAGERS - l The Scard Notification policy is applicable to operating' license " proceedings as well'as. construction permit proceedings. In these
. proceedings the staff will send new infor ation relevant and uterial to safety-or envirenemtal. issues to the Boards regardless of the specific issues.which~ have been placed in contreversy. 'This .
practice includes. proceedings for the conversion of provisional to
- s. full-term operating licenses. In hearings .concerning operating .
- license arend
- ents Board Notification is limited to the 1:: sues under consideration in the hearing. All staff mmsers are responsible for
- i reviewing all inforation received in the course of their assigned ;
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tasks, including reports identified by the Research and Standards . 4 Coordination Branch as being appropriate for. consideration for Scard
- Nctificatien, to determine whether it my he related to licensino j, proceedings and'my represent relevant 'and uterial new inforation :
i Q ', ihich should be provided to appropriate Boards. .} m . 1 4 Infer ation received from outside sources and considered to be suitable for Scard Notification sheuld be handled ,in an expeditious ranner. Some ; j exa:; oles of inf oratio,n f rom.outside sources are: (1) the reporting of
- errcrs discovered in a vendors Energency. core Cooling System (ECCS)
! models or ccdes which could result in changes t,o-analyses previously j* ". evaluated and discussed in the SER, (2) tl.e reporting of gological l features which could result in significant changes to these previo0 sly
- reported by the applicar.: and evaluated by the staff as discussed in
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the SER, and (3) thoseireports identified by the Resesrch and Standards Coordination Branch as being appropriate fer consideratier..for Scard . ! Notification. . < . t i " ~ Internally generated infcrmatien that eculd reascnably be regarded as ! putting a new or different itght upon, an issue befcre Boards should also be rtpor'ted as expeditiously as practicable. Mcvever, the . Cc:r;;ission's policy recognizes the dif ficulty of determining the point
- vhr.n'an individual staff retber's perceived concern has developed into
! a staff issue of sufficient i portance that Boards are to be notified. , In accordance with the Comission's policy, internally generated ! information should be provided to Scards at the point when the staff deter; nines that it is necessary to get more infermation abcut a problem - i-from a source' external to the staf f. That is, if such new inforn tien . <
. is determined to be of suffici,ent importance to seek further inic.rntien, j
analyses *, tasts, etc., frem licensees er venders, WRC contracts, cr, , others outside the WRC staff, then the t'ssue has developed to the point l . vhere concerned !cardg should be inforced. ,,, l \ . , . L - .*
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., :q 22 As fcf interrl ally centrated information, technical papers.ind journal N..,
articles should be provided to Boards at a point when the' staff determines that '(1) such information is of sufficient in:portance to call into question staff pcsitions and criteria or..(Z) the staff has determined to seet / . further information, analyses, tests, etc., frcm licensees, vendors, XRC centractors or others outside the staff. ' . .. Q* . / ,*
- 1. Staff 're'mbers shoul'd proYide prcmptly the followi.ng inferr.ation, through their canigerent, to the Director, Dfyision of Licensing:
- a. The item ,recocrended for notification of Scards. -
- h. An exposit' ion a dequate to allow a rea@ ' appreciation of the precise nature of Scard Notification matter. .
- c. Considerations regarding relevancy and materiaiity; i.e.,
putting.a new or different light upon an issue before the Ecard or raising a new issue. -
- d. An capcsitten adequate to allow a ready apprtciation of the *
- extent to what the 5 card Nctification matter micht have a ~
bearing upon the particular facility before the Beard.
- f e. A statecent is to the perceived significance of the information
%g .4 as it may affect current staff positions. (A clear assessment ,* & of the significance is not required at this time and the . reconmendation should not be delayed in crder to per:;it lengthy determinations. If a citar assessment and final resolution is available, it obviously provides for a' clean Scard submittal. For all reco:cendations yhich do not centain a final resolution
. follcr.eup action is required to inform the Eccrds as to the ultimate
_ staff oisposition. )- ..
- f. In the event a conclusion with regard to the safety or envircamental significance of the Scard Hotificatien natter is .
presented, set forth the reasoning unde'rlyin5 thet conclusion
- suf ficient to allow the Soard to r.abe an infor.ed judgment on
,, the validity of the c:nclusion. *
- g. Where the Board has limited jurisdict,ien, spell out the possible relationship between the subject matter of the notification and -
one or ncre of the*iss*ues before the Scard. ,s '
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h. N. If the infordation relates to t specific decist, a s.taterent - I as to pessible applicability to other doctets.. .. .
' 2. NRR also has a responsibility for identifying inferration potef,tig11y -
relevant and raterial to boards considering facilities licensed' inter - Part 70 and under the cognizance of the Office of Nuclear Material
- Safety and Saf ep.'ards (Mr.55). Staff cerbers should take any such recomendations through their canage:ent to the Director, Divisio( of Licensing. The inferration provided should, to the extent pessible, conform to that listed in Item 1. above. The Director, Division of Licensing.,will fpr<ard the Board Notification raterial to the '
Director, Office of Nuclear Material Safety and Safeguards.
- 3. Recomendatibns ray be judged by the Director, DiYision cf licensing, ,
not to be raterial and relevant an'd a recorandem to that effect will be l provided to the originator. If the originator still feels that .the inferratien should be provided to Boards, he or she should so state in a follewup recormendatien. Such a follevep ret:=endation will be i processed through the nerral Board Nctificatien channels. Although i coments ray be added indicating disagreerent by these who judged the inferratica not to be' relevant and raterial, it will be fc warded to
' the Sotrd. ' '
l 9;f k. Board Nctifications on differing prcfessional opinions will follow
'f,:* the proced. ires of HRC Manual Chapter 4125, " Differing Pr:f essienal Opinions." -
D. FP.0CE551NG GT BOARD NOTIFICATION RECC"?.ENDAT10NS
- 1. The, key to com,encerant of Scard Nctificatiens on a specific case is'the establishra.-t of,the date fer the beginning of evidentitty hearing and issuance of related notice by the Scard. Prior to 30 days before the - l hearing, new material which is' considered raterial and relevant to a l
prc:eeding is presented to the Scards via SER supplemnt or other document s. However, if there are ite.s ,that have not been appropriately disposed of, a sum.ary list is to be provided by the prcject rar.ager
,,. tc the Scard 30 days befcre the stan of the hearing. For cases within 30 days of (or during) the evidentiary hearing new raterial found w.terial and relevant chall be fer erded pre ly to the Ecard acccrding to these procedures. -
- 2. OELD will providetDL with pieriodic updates of a list of current ,.
proceedings for f acilities under the cognizance of DL, indicating
. Whether the Licensing Scard, Appeal Scard'or Cc.sission has -
jurisdiction over proceedings.
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l~ . . : . l l .:4 3. The Office of the Director, DL, will establish and raintain the , i 'f* record-keeping syste: related to all Boa-d Notification ratters. N*' This will include a log cf current proceedings and a detailed list ,, of issues under. consideration. *
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- 4. The Director, Divisi...on of Li-censing,'shall review all recor,r:endat~ ions' and determine whether they are relevant and raterial (5 working (c'fs .
f rom logging). Recomendations containing inforration censidered to **
. be directly m1ated to a specific case art als'o reviewed for' i applicability to other cases. If it is determined that t'recomendation is not considered to be rtievant and raterial, a rencrandum to that.
effect is sent to the recomending parties. If the inforration and . acconparying reco::hindatien are not clear enough for a deter =ination to be r.:de, the Director will request clarifying inforration from the . originator.
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l* '* 5. For instan:es prior to 3D days of the evidenti'ary hear,ing, the Dirtetor, Division of Licensing, shall forward a rar:orandur. to the cognizant DL Assistant Director (s) advising them that the iter, be brought to the - attention of the Ecard through incorperation in the SEF. or as supple-mentai staff testicony. A copy of the .e:norandum will be sent to : the criginator. The project ranager is responsible for seeing that the ite: is covered in evidentiary doeur.ents unless it has been
. deter =ined that the item has been resolved and that Sca'rd Notification
- Gre. ' -], is not required. Final dispesition shall be reported to the Dffice -
JF of the Director, DL.(Board Notification Coordinator). k. mar. .-
- 6. For instarces within 3D days of (or during) the evidentiary hearing, the Director, DiYision of Licensing, shtll forward a neroranda to the c ';nizant DL Assistant Director' advising ther. that the item
- ust te brought progtly to the attention of the appropriate Boards.
. ... The cocnizan DL Assistant Director shall assure that the item is brought pre::ptly to the attention of the Scard.s (5 working days
- frem receipt of the Director's mencrandum).. Copies cf the Board Hetification shall b sent to the origir.ator, technical review groep. Office cf the: Director,.DL (Bearc Nctification Coordinator) and OELD (Hearing Division Directer and Chief Counsel). - -
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.. 7. A finding by the Director, Division of 1.icensing, with regard to Board recer:r andations shall be reviewed by the DL .1.ssistan: Directors for
. applicability to proceedings rtiated.to applicatiens fcr c:nstruction- l permits, post-CP proceedings, applications fer operating licenses, as,. !
well as proceedings relating to issuance of license arend. ants. . . Proceedings related to research and test faciliti'es licensed un6er j Part SD are to be tak'en into c:nsideration also. . l - t e s 9 q l . - _ _ _ _ _ _ - - - _ _ _ _ _ a
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OFFICE OF INVESTIGATIONS : i
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INVESTIGATIVE PROCEDURE MEMORANDUM'NO: 83-017 .
SUBJECT:
PROCEDURE.FOR DETERMINING SUSPECTED REGULATORY VIOLATIONS , OBJECTIVE: To provide specific guidance for determining whether or not an allegation in-volves the type of wrongdoing within the investigative purview of 01. [ GENERAL POLICY: . . , 01 investigations should comence with an assessment of the allegation followed by the identif.ication of the regulatory violations, if any, indicated by the allegations. The potential violations and their component elements should be made a part of the Background Section of the ROI. The requestors of investi-gations will normally, provide their identification of the potential violations at the time of their requests. All ROI references to violitions should include statements which indicate that the investigator discussed the initial aliegations or preliminary investigative findings with an appropriate official to help deter-
. mine what violations, if any, were indicated by the allegations or preliminary findings. That official should be identified by name.and title in the ROI. *
'> DISCUSSION: 'M The most successful investiga+. ions ar those*which begin with the development of a plan of action. That plan should evolve from the initial identification of the investigation's purpose or objective. 'A't *.the direction of the Commission, 01 investigations should focus upon allegations Mf wrongdhi.ng3y licensees, applicants, contractors or vendors (but not NRC employees or NRC contractors).
-Although not explicitly stated, the. allegations of'wr.ongdoing should relate directly to specific NRC requirements 'or regulations,.- Therefore, a mandatory first step of any OI investigation is to' deter' ine. m which, if any, specific NRC
. regulations or requirements may have been' violated.
As indicated above, this' normally will be 'done by the requestor at the time of the request. In those instances where this is not done, it is incumbent on the investigator to do so. In many instances the 01 investigator may not possess the necessary technical expertise to make that determination. In such instances, the investigator should avail himself of the counsel of personnel whose pro-fessional knowledge and position in the organization c'an assist the investigator in identifying what potential, violations may exist. This normally will be at the level of division director or above. The. identified regulatory requirements should then form the foundation of the investigative plan. Should this procedure
, produce no indication of violations.of NRC requirements or Feddral Statutes, then the allegations may be insufficient to warrant investigation.
Once 'such requirement's are identified, the investigatch should then determine - what specific, elements constitute each putative violation. The objective is to reduce the alleged vi,olations into their composite parts so that the investigator
. will know what acts of commission or omission would constitu,te a wrongdoing.
2- ; When this point is reached the investigator can then formulate a plan based upon those acts. If this procedure is followed, the investigator will have a concise method for identifying suspected violations, determining specific acts which would constitute those violat. ions, and assembling material facts related to the allegations. It should be 'noted that the same approach can and should be used at any time during the investigation when investigative findings indicate a possibl_e violations not indicated by the original allegation. The above discussion relates to the initial phases of the investigation. It is neither desirable nor.pe,rmissable to attempt to set forth in the final report the specific violations which may or may not be demonstrated by the investigations as this is the responsibility of the requestor, other liRC managers, or-adjudicatory bodies. . For purposes of this IPM, the term "liRC requirements" is used to describe liRC Regulations, appropriate statutory provisions, license conditions, technical specifications, orders, licensee comitments, or any other regulatory require-ment the violation of which could lead to the imposition of enforcement sanctions. O
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- c . . . . ..:... .-. . . .. .. . d OUESTION 134. When the Commission established the Office of Investigation it indicated that 0! would report
'directly to the Commission for an interim period only. More than a year has passed since 0! was established, yet it still reports to the Commission. Does the Commission plan to move 0!
under the Executive Director of Operations? ANSWER. Based on reconnendations from both the EDO and the Director, 01, the Commission veted earlier this year to retain 01 as a Commission-level office, the Commission may reconsider the issue of whether to move 01 under the Executive Director for operations ea rly next' yea r. N'N'4 BEVILL/0CA ftl 3/26/84 W_}}