ML20154E177
| ML20154E177 | |
| Person / Time | |
|---|---|
| Issue date: | 04/26/1988 |
| From: | Hayes B NRC OFFICE OF INVESTIGATIONS (OI) |
| To: | |
| Shared Package | |
| ML20154D958 | List:
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| References | |
| FOIA-88-237 NUDOCS 8809160246 | |
| Download: ML20154E177 (7) | |
Text
PREPARED TESTIMONY SUBMITTED BY UNITED STATES NUCLEAR REGULATORY COMMISSION TO SUBCOMMITTEE ON ENERGY AN9 THE ENVIRONMENT OF THE COMMITTEE ON INTERIOR AND INSULAR AFFAIRS UNITED STATES HOUSE OF REPRESENTATIVES CONCERNING PROPOSALS TO RESTRUCTURE THE NUCLEAR REGULATORY COMMISSION PRESENTED BY BEN B. HAYES, DIRECTOR OFFICE OF INVESTIGATIONS SUBMITTED: APRIL 26, 1988 8809160246 000030 PDR FOIA PDR FELTONee-237 -g7A g.g ,
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GOOD MORNING, MR. CHAIRMAN. MY NAME IS BEN HAYES. I AM THE DIRECTOR OF THE NRC OFFICE OF INVESTIGATIONS, A POSITION THAT I HAVE OCCUPIED SINCE FEBRUARY 1983, 1
THIS IS THE FIRST OPPORTUNITY I HAVE HAD TO THANK YOU, MR. CHAIRMAN, FOR ALL YOUREFFORTSONTHEBEHALF0FTHEOFFICEOFINVESTIGATIONS(01). SIX YEARS AGO THE NRC INVESTIGATIVE PROGRAM, SUCH AS IT WAS, WAS FRAGMENTED AND UNFOCUSED, STAFFED WITH LITERALLY A HANDFUL OT QUALIFIED IJ'VEMIGATORS WHO LACKED THE ORGANIZATIONAL INDEPENDENCE TO PURSUE SUCH INSTANCES OF WRONGDOING THAT CAME TO THEIR ATTENTION.
YOUR COMMITTEC TOOK AN ACTIVE INTEREST IN THESE SHORTCOMINGS, AND IN MARCH 1382, YOU SENT THE COMMIS$10N A LETTER URGING THE CREATION OF AN OFFICE OF INVESTIGATIONS. WITHIN A MONTH, THE CHAIRMAN ANNOUNCED THE CREATION OF 01 AS A COMMISSION LEVEL OFFICE. NEEDLESS TO SAY, WE IN OI BELIEVE THERE WOULD NOT HAVE BEEN AN 01 WITHOUT YOUR INTERVENTION.
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MORE0VER, YOU CONTINUED TO KEEP AN EVE ON US DURING THE SOMEWHAT EMBATTLED l l
YEARS THAT FOLLOWED OUR CREATION. OF PARTICULAR RELEVANCE TO MY TESTIMONY l
TODAY, YOU SWIFTLY AND EFFECTIVELY MADE YOUR OPPOSITION KNOWN ON THOSE OCCASIONS WHEN THE C0tHISSION CONTEMPLATED TRANSFERRING O! UNDER THE EXECUTIVE DIRECTOR FOR OPERATIONS. IN SHORT, THERE IS LITTLE DOUBT YOUR CONTINUED Vi 4 LANCE HELPED ASSURE Ol'S CONTINUE 0 INDEPENDENCE OVER THE YEARS. AGAIN, FOR ALL OF THIS, A MOST HEARTFELT THANK YOU FROM THE MEN AND WOHEN OF THE OFFICE OF INVESTIGATIONS. l 1
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-2 YOUR LETTER OF INVITATION TO CHAIRMAN ZECH INDICATED THAT MY TESTIMONY WAS REQUESTED CONCERNING PROPOSALS RELATING TO THE OFFICE OF INVESTIGATIONS.
I WOULD LIKE TO 00, WITH YOUR PERMISSION, IS TO DISCUSS BRIEFLY THOSE AUTHORITIES AND PROTECTIONS THAT A PROFESSIONAL INVESTIGATIVE ORGANIZATION LIKE 01 MUST HAVE IN ORDER TO FUNCTION WITH COMPETENCE AND INTEGRITY. I BELIEVE THIS APPROACH WILL PERMIT A MORE MEANINGFUL DISCUSSION OF THE PRO-POSALS RELATING TO 01.
FOR PURPOSES OF THIS DISCUSSION, I WILL ASSUME THAT THE AUTH0r.ITIES AND RESPONSIBILITIES CURRENTLY GRANTED 01 BY 10 CFR PART 1, NRC MANUAL CHAPTER 0119, AND THE COMMISSION-MANDATED O! INVESTIGATIVE POLICIES REMAIN AS THEY WERE PRIOR TO FEBRUAkt 1, 1E88. AS AN ASIDE, IT IS NOT CLEAR WHICH OF THESE, IF ANY, REMAIN EFFECTIVE SINCE WE WERE PLACED UNDER STAFF.
FIRST, THE OFFICE OF INVESTIGATIONS MUST HAVE BOTH THE APPEARANCE AND REALITY OF SUFFICIENT ORGANIZATIONAL INDEPENDENCE TO ENABLE IT TO CONDUCT THOROUGH AND OBJECTIVE INVESTIGATIONS. TO THIS END, I DELIEVE IT IMPERATIVE THAT THE INVESTIGATIVE FUNCTION REPORT DIRECTLY TO THE COMMISSION -- AS WAS THE CASE WITH OI FOR THE FIRST FIVE AND A HALF YEARS OF 'TS EXISTENCE. I WOULD LIKE TO SHARE TWO POINTS FROM A DOCUMENT ENTITLED, vua f_ STANDARDS FOR INVESTIGATIONS, ISSUED BY THE PRESIDENT'S COUNCIL ON INTEGRITY AND EFFICIENCY.
THE DOCUMENT NOTES THE NEED FOR INVESTIGATI'VE ORGANIZATIONS TO BE, "... FREE, BOTH IN FACT AND APPEARANCE, FROM IMPAIRMENTS TO INDEPENDENCE...". IT ALSO STATES:
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"THE INVESTIGATIVE ORGANIZATION SHOULD REPORT TO THE HEAD OR DEPUTY HEAD OF THE GOVERNMENT AUTHORITY TO REFER INVESTIGATIONS TO THE APPROPRIATE PROSECUTIVE AUTHORITIES AND TOP MANAGEMENT WITHOUT FEAR OF CENSURE."
THIS GUIDELINE WOULD REQUIRE 01 TO REPORT TO THE COMMISSION, THE EXECUTIVE DIRECTOR FOR OPERATIONS IS NOT THE DEPUTY AGENCY HEAD.
I HAVE A NUMBER OF REASONS WHY I BELIEVE STRONGLY O! SHOULD REPORT DIRECTLY TO THE COMMISSION, AND NOT REMAIN PART OF THE NRC STAFF. HOWEVER, IN THE INTERESTS OF TIME, I WILL GO ON TO THE OTHER AUTHORITIES THAT I BELIEVE ARE NEEDED.
THE SECOND ADDITIONAL AUTHORITY WOULD BE EXPRESS CRIMINAL INVESTIGATIVE AUTHORITY, CONCURRENT WITH THE FBI, FOR VIOLATIONS OF STATUTES OR REGULATIONS OTHERWISE WITHIN THE CIVIL JURISDICTION OF THE NRC. THIS AUTHORITY NOT ONLY WOULD PROVIDE O! WITH SOME IMPORTANT INVESTIGATIVE TOOLS, BUT WOULD REMOVE SOME OF THE AMBIGUITY THAT ATTENDS OUR CURRENT INVESTIGATIONS. AS IT NOW STANDS, VIRTUALLY EVERY CASE OF WRONGDOING WE INVESTIGATE INVOLVES FOTENTIALLY CRIMINAL AS WELL AS CIVIL VIOLATIONS. THIS REQUEST FOR EXPLICIT CRIMINAL l INVESTIGATIVE AUTHORITY IS NOT SOME RADICAL IDEA THAT ORIGINATED ONLY IN 01.
TO THE CONTRARY, THE DEPARTNENT OF JUSTICE HAS RECOMMENDED O! BE GIVEN THIS AUTHORITY ON AT LEAST TWO OCCASIONS.
RELATEDLY, LAST YEAR I STRONGLY SUPPORTED THE INCLUSION OF O! WITHIN THE STATUTORY NRC OFFICE OF INSPECTOR GENERAL THAT WAS PROPOSED UNANIMOUSLY BY THE SENATE GOVERNMENTAL AFFAIRS COMMITTEE IN S. 908. (I MIGHT ADD, I STILL VERY MUCH FAVOR SUCH AN APPROACH.) ONE OF THE REASONS FOR MY STRONG SUPPORT IS 1
THAT STATUTORY INSPECTORS GENERAL HAV6 CRIMINAL INVESTIGATIVE AUTHORITY. THEY ALSO HAVE ANOTHER AUTHORITY I BELIEVE IS NEEDED BY THE DIRECTOR, 01.
THAT AUTHORITY, THE THIRD ON MY LIST IS THE AUTHORITY INSPECTORS GENERAL HAVE TO APPOINT, SUPERVISE, AND DIRECT ALL SUBORDINATE EMPLOYEES. THE DIRECTOR, 01 DOES NOT HAVE THAT AUTHORITY, BUT THERE IS A PROVISION FOR THIS IN REORGANIZATION PLAN HO. 1 0F 1980. THE PLAN STATES THE CONNISSION MAY DELEGATE THIS AUTHORITY TO CERTAIN COMMISSION-LEVEL OFFICES SUCH AS OUR SISTER OFFICE, THE OFFICE OF INSPECTOR AND AUDITOR. I WOULD ASSUME THAT THE DIRECTOR, 01 COULD BE GIVEN THAT SAME PRIVILEGE WERE 01 TO REMAIN A COMMISSION OFFICE. SUCH AUTHORITY WOULD PROVIDE PROTECTION AGAINST THE ARBITRARY REASSIGNMENT OF PERSONNEL TV AND FROM O! OVER THE OBJECTION OF THE DIRECTOR,
- 01. AT A TIME WHEN THE NPC FINDS ITSELF WITH A SURPLUS OF SOME TECHNICAL PERSONNEL, THERE MAY BE INCREASED PRESSURE TO ACCEPT SOME OF THEM IN 01 -- IN LIEU OF THE EXPERIENCED INVESTIGATORS THAT WE REALLY NEED.
AND THAT IS ABOUT IT -- A REAFFIRMATION OF EXISTING AUTHORITIES, AND THE ADDITION OF THE THREE I HAVE DISCUSSED SHOULO BE SUFFICIENT TO ALLOW THIS OFFICE TO CARRY OUT ITS FUNCTIONS WITH COMPETENCE AND INTEGRITY. THERE IS ONE PROVISO, HOWEVER: THESE AUTHORITIES MUST BE CONFERRED LEGISLATIVELY SO THEY ARE NOT REVISITED EVERY TIME THE COMPOSITION OF THE COMMISSION CHANGES, OR QUITE CANDIDLY, EVERY TIME WE INCUR THE WRATH OF A MEMBER OF CONGRESS FOR SIHPLY 00!NG OUR JOB, THE INVESTIGATIVE FUNCTION MUST BE INSULATED FROM THE POLITICAL PROCESS, BE IT INTERNAL OR EXTERNAL. I BELIEVE THE IMPORTANCE OF THE NRC INVESTIGATIVE FUNCTION TO THE PROTECTION OF THE PUBLIC HEALTH AND SAFETY WARRANTS NOTHING LESS THAN THIS.
THIS BRINGS ME TO SPECIFIC COMMENTS REGARDING CURRENT LEGISLATIVE INITIATIVES.
TO THE EXTENT THAT HOUSE JOINT RESOLUTION 395 FITS IN THIS CATEGORY, AS IT RESULTED IN 01 BEING MOVED UNDER STAFF, LET THERE BE NO DOUBT -- MY ENTIRE STAFF AND I ARE OPPOSED TO IT. THE REASONS WHY SHOULD BE CLEAR FROM MY DISCUSSION S0 FAR.
OF THE REMAINING INITIATIVES, MR. SHARP'S BILL, HR 4140, WHICH IS ALSO SPONSORED BY MR. GEJDECSEN, WOULD BE MY FIRST CHOICE. ALTHOUGH IT LACKS SOME OF THE AUTHORITIES THAT I HAVE DISCUSSED ABOVE, IT WOULD PROVIDE AN ADEQUATE BASIS TO ENABLE Of TO CARRY OUT ITS RESPONSIBILITIES WITH A SIGNIFICANT DEGREE OF INDEPENDENCE. WHAT IS ESPECIALLY APPEALING TO ME IS THAT IT DECOUPLES THE O! "FIX" FROM TFE MORE POLITICALLY CHARGED ISSUES FOUND IN OTHER INITIATIVES.
MY CONCERN IS WI NEED THIS AUTHORITY AS 500N AS POSSIBLE. WE CANNOT AFFORD TO WAIT WHILE OUR "SALVATION" IS DELAYED BY ISSUES ONLY PERIPHERAL TO US.
MR CHAIRPAN, I AM AFRAID WE DON'T HAVE A LOT OF TIME. THE FEBRUARY 1, 1988 )
PLACEMENT OF CI WITHIN THE OFFICE OF THE EXECUTIVE DIRECTOR FOR OPERATIONS WAS A DEVASTATING BLOW TO OUR INSTITUTIONAL MORALE. A HIGH WORKLOAD COUPLED WITH l
A CHRONIC SHORTFALL OF RESOURCES, NOT TO MENTION THE CONTINUING ANXIETY .
REGARDING WHETHER O! WOULD BE PLACED UNDER THE EDO HAS ALSO TAKEN ITS TOLL.
i THE PRACTICAL IMPACT OF THIS LOW MORALE IS THIS: MY ENTIRE HEADQUARTERS INVESTIGATIVE STAFF HAS INDICATED TO ME THEIR INTENTION TO SEEK EMPLOYMENT ELSEWHERE. THREE OUT OF MY FIVE FIELD OFFICE DIRECTORS HAVE SAID THE SAME 1
THING. I BELIEVE THAT THE SAME SITUATION EXISTS AT THE WORKING INVESTIGATOR l
1 LEVEL. JUST LAST '.'IEK, A SENIOR INVESTIGATOR TOLD ME HE WAS SERIOUSLY CON-SIDERING ACCEPTING A POSITION WITH ANOTHER AGENCY THAT WOULD RESULT IN A l
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3 DOWNGRADE FROM GS-14 to GS-12, A LOSS OF OVER $6000 PER YEAR. MR. CHAIRMAN, WE SIMPLY CANNOT AFFORD TO LOSE INVESTIGATORS OF THIS CALIBER, AND CEATAINLY NOT BECAUSE OF THEIR CONCERN ABOUT WHETHER THEY WILL BE ALLOWED TO PERFORM AS PROFESSIONAL FEDERAL INVESTIGATORS. THAT IS WHAT IS SO AMAZING TO ME -- ITS NOT A MATTER OF MONEY OR PERSONAL ADVANTAGE. THEY JUST WANT TO BE ABLE TO 00 THEIR J0B.
i WHAT I AM SAYING MR. CHAIRMAN, IS THAT IF WE DO NOT ACT SWIFTLY, THERE WILL BE NO 01, JUST AN EMPTY SHELL. O! INVESTIGATORS NEED AN INDICATION THAT THEY ARE IN FACT VALUED, AND THAT THE UNITED STATES CONGRESS WILL TAKE THE STEPS NECESSARY TO ENSURE THEY HAVE BOTH THE "FACT AND APPEARANCE" 0F INVESTIGATIVE INDEPENDENCE.
IN CLOSING, I HOPE ! HAVE BEEN ABLE TO GIVE YOU A SENSE CF HOW STRONGLY WE IN OI FEEL ABOUT THE NEED FOR SOME LEGISLATIVE RELIEF. I WOULD WELCOME AN OPPORTUNITY TO SIT DOWN WITH YOUR STAFF AND PROVIDE WHATEVER ASSISTANCE THEY MIGHT WANT.
MR. CHAIRMAN, THAT ENDS MY PREPARED REMARKS. I WOULD BE PLEASED TO RESPOND TO ANY QUESTIONS YOU OR ANY OTHER MEMBER MIGHT HAVE.
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