ML20149G896

the Office of the Inspector General

ML20149G896
Person / Time
Issue date:	06/30/1997
From:	NRC OFFICE OF THE INSPECTOR GENERAL (OIG)
To:
References
NUREG-BR-0149, NUREG-BR-0149-R01, NUREG-BR-149, NUREG-BR-149-R1, NUDOCS 9707240117
Download: ML20149G896 (10)

Text

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l THE UNITED STATES NUCLEAR l REGULATORY COMMISSION

I i THE OFFICE OF THEINSPECTOR GENERAL 4

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. 1 i l l HISTORY

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j STAFF AND ORGANIZATION

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FUNCTIONS AND PRODUCTS t

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i 2 THE OFFICE OF THEINSPECTOR GENERAL 1

HISTORY I The Inspector General,Act of 1978, Public Law 95-452, October 12,1978, was amended by the Inspector General Act Amendments of 1988, Public Law 100-504, October 18, 1988. The 1988 amendments designated the U.S. Nuclear Regulatory Commission as an  :

agency to receive a statutory Inspector General (IG). .

In 1989, David C. Williams was installed as the first Presidentially appointed IG. i In 1996, President Clinton appointed Hubert T. Bell as the second IG to the NRC. <

1 THE MISSION l Responsibilities The statutory language of the Inspector General Act states that the purpose ofindependent offices of Inspectors General (OlG) is to provide independent and objective units to conduct and supervise' audits and investigations relating to agency programs and operations. This statute also authorizes the OIG to provide leadership and coordination in recommending policies to prevent and detect fraud and abuse in agency programs and operations.

To accomplish these objectives, the OIG establishes policy for audits and TheInspectorGeneralis investigations for NRL vograms and operations and conducts, supervises, and coordinates these audits and investigations. Further, the OIG reviews existing appointedbythePresident nd proposed regulations to evaluate their impact on economy and efficiency in the agency and on the prevention of fraud and abuse and recommends changes with theadviceand as avpropriate.

, consentof the Senate. NRC's Inspector General reports to and is under the general supervision of

_ the NRC Chairman, but operates with independent personnel, contracting, and budget authority.

The IG informs the Chairman and the Congress of fraud or any serious problems with

, the administration of NRC programs and operations discovered during audits, investigations, and reviews. The OIG recommends corrective action and reports on progress in implementing its recommended actions. The OIG refers criminal matters to l the Department of Justice (DOJ) for prosecution and refers administrative offenses to NRC managers for action.

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STAFF AND ORGANIZATION How r.seu Inspector General j The Inspector General  ;

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Th; statute states that the head of each 01G shall be an IG appointed by the President, j by and with the advice and consent of the Senate. IGs are selected on the basis of l

their backgrounds in investigating or auditing or in related backgrounds, such as law or public administration.

l To ensure the independence of the office, the IG may be removed only by the President, i who must communicate the reasons for a removal to the Congress. The IG is selected j without regard for political affiliation.

i The Deputy Inspector General l

I Oversees the conduct and supervision of audits and investigations relating to agency programs and operations

{ Manages all administrative and planning activities necessary to support the j programmatic mission of the OIG I

j The Assistant Inspector General for Investigations I

• Supervises the performance of investigative activities and inquiries relating to l NRC programs and operations

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• Advises and assists the IG on all investigations and inquiries conducted by i the OIG

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The Assistant Inspector General for Audits I

j Supervises the performance of auditing activities relating to NRC programs and operations i

• Advises and assists the IG on a. iudits and evaluations conducted by the OIG i

The Team Leader for Resource Management and Operational Support Staff

= Prepares the OIG Semiannual Report for Congress l = Provides all administrative and operational support for OIG programs, including pre-l paring and administering the budget and operating an independent personnel program

! Legal Counsel Provides independent legal counsel and representation for the IG and the OIG l

• Advises and assists the IG on all legal issues and serves as legal advisor to the

! OIG staff I

• Coordinates and drafts regulatory commentary i i

! Issue Area Managers

To enhance oversight and understanding of the NRC's operations, Issue Area Managers

{ .(IAMs) have been designated to cover the agency's major cost centers. An IAM is

! assigned to monitor the following areas: (1) Reactor Program, (2) Nuclear Materials l Program, (3) Nuclear Waste Program, (4) Office of Administration, (5) Information

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Office Strategic Plan

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Resources Management and Resource and Administration Cost Center (except Office of Controller and Administration), and (6) Controller Office (including Chief Financial Officer audits). Under the IAM program, senior audit staff are responsibic for ongoing cognizance of their assigned areas. Paralleling the agency's basic mission areas, the IAM concept establishes "in-house" expertise and enables the OIG to be more fully informed and responsive to its statutory responsibilities.

Investigator Review;ng Case Work FUNCTIONS AND PRODUCTS .

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OIG INVESTIGATIONS a> .

3 l An OIG investigation is a planned, systematic search for relevant, objective evidence f ""

I derived from individuals. documents, tangible objects, and data.

1. w Thejurisdiction of the OIG extend's to all matters relating to f:aud and abuse by NRC if .

employees, contractors, and other recipients of funds relating to NRC programs and f. -

operations. OIG investigations focus on violations of law or misconduct by NRC f '

employees and contractors as well as allegations of irregularities or abuse in NRC "*

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. programs and operations. j Allegations are received primarily from NRC employees and licensees. However,

' Congress, other agencies, citizens, and public interest groups also refer matters to the I OIG for investigation.

A major conduit for complaints is the OIG Hotline.

After all relevant information is gathered, an investigative report is prepared. When there is

. evidence of criminal wrongdoing, the report is presented to the DOJ to consider for prosecution l Lin Federal Court. If the evidence presented shows an administrative offense, the repon will be sent to NRC managers for action.

Investigationsfocuson Investigative Products. violations oflawor l 1

Investigative Report misconductbyNRC The icvestigative report relates pertinent facts of a case and describes available employees andcontractofs.

evidence to concisely address all relevant aspects of any allegation against an individual and those aspects of an allegation not substantiated. Investigative reports do not recommend disciplinary action against individual employees.

The agency is expected to advise the OIG within 90 days of receiving the investigative report as to what disciplinary or other action has been taken in response to the findings in the investigative report.

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4 l 6' THE OFFICE OF THEINSPECTOR GENERAL 4

1 i Event Inquiry The Event Inquiry is an investigative product documenting examination of events or i agency actions that do not focus specifically on individual misconduct. These reports .

i identify institutional weaknesses that led to or allowed a problem to occur. The agency  ;

{ is requested to advise the OIG of managerial initiatives taken to cure any institutional weaknesses identified in these reports.

i Management Implications Report The Management Implications Report (MIR) was developed at the request of semor i

' NRC officials to provide managers with a " Root-Cause" analysis as to how a particular problem developed. The objective of an MIR is to give managers sufficient information to j facilitate correction of a problem and to avoid similar issues in the future.

i OIG AUDITS An audit is an independent, systematic assessment of a government organization,

program, function, or activity.

In addition to audits resulting from statutory requirements, for example, the Federal 4

Managers FinancialIntegrity Act,31 U.S.C. Q3512; the Government Performance and

Results Act of 1993, Public Law 103-62; and the Chief Financial Officers Act,31 U.S.C.

j' f f 501-506 and 901-903, OIG audit authority permits the conduct of systematic reviews L throughout the organization.

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An audit involves several steps, ranging from notification of the office to be audited to '

! audit followup. The underlying goal of the audit process is to maintain an open channel l j of communication between the auditors and the NRC managers to ensure that audit i

) findings are accurately and fairly presented in the audit report.

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Audit Products l Audit Report 1

i An audit report is the documentation of the cbjectives,' survey, review, findings, and recommendations resulting from the objective assessment of a program, function, Audits have a well-delineated process that allows for agency review of draft

$uditors conduct audit reports and required agency responses to OIG recommendations. Along SystematicrevieWSand ,

with this review and response is a formal audit followup and reporting of audit l results in the OIG's " Semiannual Report" to the Congress, assessments throughout Special Evaluation Report the organization.  !

l A Special Evaluation Report documents the results of short term, limited assessments. An evaluation is a mechanism the OIG uses to provide an initial, quick response to a question or issue and to work collaboratively with agency managers to j determine whether an in-depth audit should be planned.

l REGULATORY COMMENTARY Regulatory Commentary is the review of existing and proposed legislation, regulations, and policies so as to assist the agency in preventing and detecting fraud, waste, and Audit Staff Analyzing abuse m programs and operations. NRC Documents Regulatory Commentaries document OIG's objective analysis of vulnerabilities created within agency programs and operations by proposed or existing statutes, regulations, or policies.

d OIG reviews proposed legislation, rey,ulations, directives, and policy initiatives that

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affect NRC's programs and offices. Significant concerns are documented in a regulatory '4' -

commentary and provided to the agency for consideration. The statutory intent of the ,

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regulatory commentary is to prospectively identify and assist in preventing problems; ,M l- therefore, formal replies are not always requested by the OIG. However, significant A observations regarding action or inaction by the agency are reported in the OlG Semiannual Report to Congress. '

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8 THE OFFICE OF THEINSPECTOR GENERAL

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THE SEMIANNUAL REPORT TO CONGRESS In accordance with requirements of the Inspector General Act, the Semiannual Report is a document prepared by each IG that summarizes the activities of that OIG during the a .. .._ six-month periods ending March 31 and September 30 of each year. The report is i 'p+

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submitted to the head of the agency, the Chairman in the case of the NRC, no later than April 30 and October 31 of each year. Within 30 days of receipt, the Chairman submits )

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agency remarks together with the IG's report to Congress.

, The reporting requirements for the IG's Semiannual Report are contained in Section <

5 of the IG Act of 1978. Since passage of the Act, additional guidance on the content of the report has been provided by the President's Council on Integrity and Efficiency OlG Semiannuar and the Office of Management and Budget. Items normally included in the report 1 Reportto Congress are as follows:

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1. Description of significant problems, abuses, and deficiencies relating to the l 4 administration of the NRC's programs and operation.

2. Audit recommer. lations for corrective action,

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3. Significant audit recommendations described in previous reports for which the agency has not completed corrective action.

J j 4. Matters refe red to prosecutive authorities and the results of those prosecutions.

l 5. Selected Regulatory Commentary summaries and any agency :esponse.

j 6. Statistical tables demonstrating the dollar results of the OIG's intemal program audits 4

and contract audits performed during the reporting period.

The report may also include special feature articles concerning relevant topics. j 4

t THE INSPECTOR GENERAL HOTLINE The OIG estab!ished a toll-free number (1-800 233-3497) to provide NRC employees, l

contractors, and others with direct access to OIG's Hotline Program. Hotline procedures l cnd guidelines were carefully developed to ensure the confidentiality of NRC employees l wishing to report incidents of possible fraud, waste, and abuse within the NRC. Trained 01G staff are available to answer calls Monday through Friday, between 10 a.m. and 4 p.m. (eastern standard time). Individuals may also provide information to hotline personnel by writing to the IG at: l U.S. Nuclear Regulatory Commission j Office ofInspector General Hotline Program Mail Stop T5-D28 Washington, DC 20555-0001 s

NUREG/BR-0149, Rev.1 1

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