ML20155G982

Forwards Results of Survey of 51 Federal Investigative Organizations to Determine Mgt & How Referrals Made to DOJ, in Response to 850320 Request

ML20155G982
Person / Time
Issue date:	04/26/1985
From:	Connelly S NRC OFFICE OF INSPECTOR & AUDITOR (OIA)
To:	Asselstine, Palladino, Roberts NRC COMMISSION (OCM)
Shared Package
ML20150F698	List: ML20151P486 ML20155G972 ML20155G982 ML20155G991 ML20155H000
References
NUDOCS 8605120035
Download: ML20155G982 (12)

Text

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Attachmznt - Q34

/#* " %.h UNITED STATES

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NUCLE AR REGUL ATORY COMMISSION usecrow o c. 2osss 2

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April 26.1985 MEMORANDUP FOR: Chairman Palladino Comissioner Roberts Comissioner Asselstine Conunissioner Bernthal

/

7/

//

Comissioner Zech

'd

• FROM:

Sharon R. Connelly, Director Office of Inspector and Auditor

SUBJECT:

SURVEY OF FEDERAL INVESTIGATIVE OFFICES In accordance with Comissioner Bernthal's memorandum to Comissioner Zech dated March 20, 1985,- OIA surveyed 51 investigative organizations to determine how they are managed and how referrals are made to the Department of Justice (DOJ).

We contacted organizations that conduct internal and external investigations.

Our survey included both statutory and non-statutory inspectors general.

(Statutory inspectors general are authorized by the Inspector General Act of 1978 or similar. legislation.

While statutory inspectors general report to the agency head. or the officer next in rank, they operate independently and have a responsibility to keep the Congress infomed about agency deficiencies.)

Unless otherwise noted, the organizations surveyed employ criminal investigators.

None of the investigative organizations briefed non-investigative agency management as a matter of practice prior to making referrals to 00J.

In fact, most strongly recomended against any kind of pre-refer-al briefing either to agency management or to the agency's legal counsel.

Some did indicate that post-referral briefings were provided to management in cases affecting

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specific program areas, or that might result in adverse media coverage or involve high-ranking officials.

With three exceptions, all referred criminal matters directly to DOJ.

In two organizations, the agency's legal counsel referred criminal matters to DOJ.

Five organizations consulted with or received concurrence or approval from their agency's legal counsel before referring criminal matters to DOJ.

Two organizations indicated OGC review had been the cause of considerable delay, and one organization indicated that OGC review resulted in the loss of a prosecutable matter.

8605120035 860422 PDR COMMS NRCC CORRESPONDENCE PDR

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Attachment - Q34

1. 2 2-The infomation in our survey was obtained through telephone discussions with senior officials in the investigative organi.'ations and through Government directories.

We did not send the survev to each agency for verification.

Our survey is attached. Please call me if you have any questions.

Attachr"ent:

As stated.

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A;thority to Investirptive Onpnizatima' Hefer Cases tevel of 000 hjmcy thit.

Level Dirrctly to (Yli Regortirvj Review Crwints tbclear Repla-Assistant Director Office of Inspector Yes

1) Director, Office ib, Interval arri extenul investitutirm, tory Carmissim for Investirptims arvi blitar (nm-of Insp(tor arul Int we Wiert practical, CIA cmsults with III statutory) blifor rrwmt gw-for to rvfenal to Inl.

?) Carmissim Office of Sane Yes Coimissim th Extemal investimtions, investigations FTIfN Investigatims Office of Insgrctor N/A

1) Insgoctor reneral fl/A Intemal investirptims. Limitni foiemi (non-statutory)

?) Assistant Dirrctor, punitorirwi of trant nvulnets.

Office of Cnipliance reneral investimtor, sedes 1P10

3) Dinttor, KilfN Criminal allerptirm refe rmi thnnh 00C to fill to cmitr.t invistimtim.

foleral Esenjmcy Asst. IG for Office of Imirctor Yes

1) Instrctor fm>ral A(pnwe Intemal arut extermi investimtims, tbnagment A ericy Investicptims feneral (rvn-statutory)

?) Director, fDM fYI revi<ws referrals for leml 9

strfficiency.

Office of Person-Special inrpiries Office of Inspvtor Yes

1) Inspector ferral ib Intenal yvi extenul investimtirm, nel Nrugret arx1 Investirp-Ceneral (non-statutory)

?) Deputy Dinttor, Offire has furciirmt for Inst 5 nrs, tions Division (IN Mwn onaniini, (YI ms rnisultal m

3) Dirretnr, (IH referrals. This rair.at "isvecessarv' rwThltw,. Durirw; gust 2 years all referrals have lum ciirvct to (fil.

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Cnwermmt Asst. IG for Office of Inspector Yes

1) Inspector Ceteral No Intemal arvi extermi investimtions.

S Printing Office Investigatims feneral (rvn-statutory)

?) Ibblic Printer ri>

?e Federal florre Loan Asst. IG for Office of Inspector Yes

1) Impector Oncral No Intermi anr1 extermi investimtirm.

1 Ibr* Boant investigatims Ceneral (nm-statutory)

?) Diainran, Illie

- tinital States investimtims Office of Inspector Yes

1) Assistant Insfoctor No Intermi armi extemal investimtirm.

Infonratim Divisim Cereral (rvn-statutory) reneral Curnmtly rvonnnliinq IG investi<ptim hjmcy

?) Inspytor rneral fisictim.

3)Dirrctor,il5IA

2 Authority Io Irwestigative Onenizatifral Refer Ca<es Ievel of 000 Agmcy linit Ievel Dirittly to IRI ik1rutirvJ ikNi(w Crmrents Otpartmsit of Asst. IG for Office of Insgector Yes

1) Instuttnr feneral ib Intenul aort extermi investirktIms.*

Tmasury investigatims reneral (non-statutory)

2) Srtmtary, Imasiny

-Secret Servim Instittim Office of Instoctim Yes

1) Assistant Dinttor, tb Intermi anit extenal investimtims.

Staff Off1(e of Insgoctim

2) (bal wrortirwt to:

Director, Secmt Service Insgectnr remral, Imasury Office of Investi-Sme Yes Director, Secret Pb btenal investimtims.

9atims Service

-Dumau of Alco-Interm1 Irwesti-Offim of Intemal Yes

1) Assistant Dintinr, No Intermi arul extermi investimfims.

lolo Totucco, gatim Divisim Affairs Office of Intemil and Fimanrs AffairT.

?) Dual mputino to:

Director, ATF Insgector rcreral, Imastry Offim of Crimiral See Yes Dirrctor, Air tb fxtemal investirptims.

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Authority to lovestigative Onpnizaticml I&fer Cases ievel of Orc Ajmcy thit Level Dirrctly to Inl Ihortirv1 Revim Coments

-Custas Service Intenal Semrity Office of mmcnnent Yes

1) Assistant Com-Pb Intenul and extermi investirptims.

Divisim Integrity issioner, Offim of Nm<pmmt Integrity

2) thial trportirvj to:

Ommissiner, Custms Irspector Cercral, Irmsury Office of Investi-Office of Cnforumnt Yes

1) Assistant Carm-No fatermi investi ations, gatims issioner, Office of Enfostrmmt

2) Caimisstorer, Custnis

-Interml Rewriue Intemal Senarity Office of Assistant Yes

1) Assistant Carmissiorer Pb Intenul arvi extermi investicatins.

Service Divisim Carmissioner for for inspectim inspection

2) Diyuty C(mmissioner

3) lui reinrtiruj to:

Camiisslarer,116 Insguttnr Octoral, irmsury 4

Office of Assis-Office of Associate Yes

1) Associate Carmi-No Extenul investistions.

tant famiissioner Comiissiner, Operations ssiner, Oieratims for Criminal

2) Caimissirscr,116 Investigatim O

9-ibstal Service Special Irwesti-Insgectim Service Yes

1) Chief Ibstal Pb Intenul auf extermi investimtims A

gations Divisim Degurtsent inspector,Insgection (hittily smsitive).

(nnr>-statutory)

Service Derartmmt

2) Ibstnaster Cereral O

Office of Criminal inspectim Service Yes

1) Chief Pvtal th Intenal arvi extermi investicatims.

Irwesti<ptims Deturtnent inspector,inspec-tim Service tharinnit

?) Ibsenw.ter rervral

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4 Anttority to Investigative Dnyinizational Refer Cases lewl of OfC Agency thit Level Dintily to [n]

I4 srtir 1 Fevi(w Commts 1

Lg ul E ployrrot investimtions Office of Aalit Pb l)Diief,Officeof Refers Intemil arvi exterm) investimtims.

Qportunity Section (rvn-statutory)

Astit to (nl Camissim

?) fannissim Inteistate Enfomstent Offim of Crmpliarre aruf Yes

1) Dinyttrr, Office of Yes inte ml arvt btermi investicatims.

Camerte Section fansmer Assistarve 04mpliance ant frC revirw. for leml suffirirvrv.

Cmmission (stn-statutney)

Cmsmer Assistance

?) Dialinnn, funnissim Peace Corps inspectims arul Office of Cm pliance ib

1) Dinttor, Offim of Refers Intemal arvi extemil investimtirsis.

Investitystions (rvn-statutory) finpliance in IQ1 Crimirul irwestiretors are classirint

?)AssociateDirector as foreisp wrvim mplowes.

for Muugwnt

3) Dirrctor, IE Investi utions Bureau of Anlits Yes

1) Director, ihmiu of tb Intenal arvi extermi investimtions, Railmwi Retire-went Hoa d Staff arvi Investimtim Antits arvi investi-Pkw office. rav y,s las (rrn-statutory) tutim authorimi an insgartir raviral, ani

?) becutive Dinttor pmcatures nw teim writtm.

3) Hoant Departmmt of Asst. IG for Office of instector Yes

1) Inspectar favval ib Interm) ani extenul inwstimtims.

Labor Investigatims Ceneral (statutory)

2) Secretary,Latrr Office of Onjani-Office of Inspettar Yes

1) Inspector fnwral ib Utemal investimtims, ml Crise arvi feneral (statutory)

?) occretary, t alor Racketering N

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5 Authority to investigative Dnynizatimal Refer Cases ievel of Ort

/kyncy linit Level Dirntly to (T(

Returtituj Pcview Crno m ts Dqurtamt of Asst. IG for Office of Inspector Yes

1) Instwytor feneral Nn Intenul arvi extenul investirpt ims.

Interior Investigations reneral (statutnry)

?) Secretary, Interior Resourte Pm-Office of Tednical Yes

1) Assistant Dirrctor, Mi Extenul irmtiretims, intion Services Tectoiral Services Staff

2) Dryuty Dintinr, Mwwppmt Services

3) Dirvctor, Insrtws of Larul Mwwirwent

4) k.sistant Snmtary, Iarvi arri Water Resrurus

5) Secrvtary, Interirr u,

law Enforusent Office of fruilan Yes

1) Dirator, Office of Nn fxtenul inwstirptirw.,

l Servims Divisim Services lowlian *cmas

?) Deguty Assistant Snmtary, thstrau of Irvlian Affairs 3)AssistantSnrvtary, Irvlian Affairs

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4) Secmtary, Interior Law Enfornumt Wildlife Mwugtment Yes, tut 11 Dryuty Associate Cmcur Extenui inwstimtims. Dirat Division see (xanmt Director for Wildlife referrals rn nrisawrwmts. Felmies am >

Mwegwont refermi in (IT. for cmcunence; if m N l

2) Associate Dirrctor repnnse in 30 divs violations arv j

for Wildlife tvfermi dirw.tly to Inl.

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3) Director, I6 fish and Wilrilife Servis es

4) Assistant SKmtary a

for fish, Wildlife arut c

Parks

5) Wretary, Interior 4

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i-7 Authority to Investigative Orginizatiomi Refer Cases level of frf Ayncy lbit level Dinctly to IR) 14 rrtim Pcvim Cornuts 1

Depirinent of Asst. IG for Office of Insioctor Yes

1) Insptfor femral ib letermi armi extenal irwsti-Agricultum investigatims Corral (statutory)

2) Secmtary, hwi-95tions. tbte: Srce sorcial prrgrien cultum offices love investiminrs, eitler ifl10 or otter spcialties. They infer crimimi caws to IG for investim-tlon.

Dqurtnent of Asst. IG for Of fice of Inspictor Yes

1) Inslorfor fueral ib Intermi arri exterm1 inw sticatim.

Transportatim investigatims fereral (statutory)

?)Seceviary, Transpriatim Departmut of Asst. IG for Office of Inspectnr Yes

1) Irr.pictor facral ib Interrol arvi extermi inctimtins.

Emnly investirptions femral (statutory)

?) Sr(rvtary, Isenly I

Oceral Services Asst. IG for Office of Insp< tor Yes

1) Insprtor forral ib Intemal arvi exterval investimtims.

u Mninistratim Investigatims femral (statutory)

?) Mirinistratnr, (M fcderal Pmtective l%lic Puildirw; Service Yes

1) Deguty Camissioner, tb Interml arit extermi investirptirrn.

Servim Peal Pnirdy Qvratims

2) Gemissirter, filS

3) Mirinistrator, GSA Natimal Aem-Asst. IG for Office of Insloctor Yes

1) Insprinr forral Pb' internal arvi extenul investimtims.

nautics arul Investimtions fereral (statutory)

2) Mninistrator, tRSA Space Mninis-g tratim g.

a Ogurtumt of Asst. IG for Offim of Insp< tor Yes

1) Inspr. tor foreral Ib Intermi arvi extenul investimtims.

k Ibalth arxl insen Investirptims foreral (statutory)

?) Secretary, HI5 Services ru I

Arncy for Asst. IG for Office of Insp'ctor Yes

1) Insgrtor femral tb, Imt Intermi arut citermi irwstimtims. S, Intermtimal Instectims an(f fmeral (statutory)

?) Muinistrator, AfD see Criminal investimtors am postly Developrent investigatims ammnt forviipi service omlryvs. If referral mlates to a<pncy unurer., refenals are rmnjimteri with frf,

8 Astluirity to investigative Onpniraticrul 14*fer Cases Iewl of frC h)mcy thi t.

Level

_Directly to 00J Reportirwi Revirw Q w m ts Department of Asst. IG for Office of Insgoctnr Yes

1) Insrector roteral No Intenul arwi extenul investirptims/

State Investigatims roteral (statutory)

2) Secn tary, IX15 It vi<w by remral Counsel for actvisory opinion is diso rtireurv.

Deputy Assistant Dumau of Alninis-Yes

1) Assistant Seartary, tb Intemal arvi extemal investimtions.

S&mtary for tration Burmo of Investimtors arv imstly forvirp Security Aluinistratim service orpinyms.

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2) thtbrsecmtary for Security Assistatur, Science 1. Intrw11rugy

3) Secmtary, 005 Canrniity futums Divisim of Sine N/A,see Ctrmissim N/A, Extemal Investirptitos. Investimtnrs I

Trading Cannissim Enfonntent crnnent see am Qwnlity future lovestirstrws.

ranmt A11erptims of cririiral activities are refermi try letter in IO) for fill

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adjudicatni in-house.

Intenutimal Offim of Inves-Office of 4rratims N/A

1) Dinctor, Office N/A Extemal investirptims. Crvntrts Trade Omnissim tigitims of Operatims irupfries rvennlinq famirp ungetitim

2) Gmnissim, IIC arul it_s eff&ts m 16 parufacturers.

Persmnel series am 1101 - Inter-mtimal Trade hulyst.

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Federal Miritine Durvau of Investi-Office of tic Minagirrl ib

1) Dirwtor, Ibivau Apmw fatemal investiratims. Investirp-i Cannissim ration Director of Ilr'ariswa A Iield tions crvwtrtal try attonevs, atsiltors,@

Qeratims armi (pwral inwstientors (1810

2) Of fice of Mimairwl series). th crirnimi investigitnrs, lisch 3

Director of (TL les caused " excessive" delays ine

3) Cannissioners cases rmchiruj (Gl. Several cases law e icon " lost" <tc to frC delays.

W Attspted to tuin direct referral autlority; incver, frmnissianers am 4

ogpr.ed. Cases are civil artninistrative put ters dier= tnl trwm! shigv. as tsumm j

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9 Astlurity to Investi<ptive Or91ntiational ikfer Cases 8.evel of 000 Anmcy thit level Directly to [nl Regurtire Revirw Onnymts Securities and Divisim of Sane Yes, tut Onmissioners tb Extermi investigatims. Referrals can le mwle tiy I49 rrel Anninistraftws or i

Exchange Con-Enfornatut see comtnt missim or the Gmmissim. In) also can twpest Osmissim files lastd m frut m6nt investi<atim.

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QUESTION 34 (CONTINUED),

COMMISSIONER ASSELSTINE ADDS:

1 DID NOT SUPPORT THE COMMISSION DECISION TO REQUIRE THAT 01 CONSULT WITH THE COMMISSION BEFORE REFERRINO CERTAIN CASES TO THE DEPARTMENT OF JUSTICE.

I DID, HOWEVER, SUPPORT THE DECISION TO REQUIRE 01 TO CONSULT WITH OGC BEFORE REFERRING CASES TO D0J.

AS THE ATTACHED MEMORANDUM FROM THE GENERAL COUNSEL STATES, THE CONSULTATION IS LIMITED TO " ASSURING THAT THERE IS A LEGAL BASIS FOR THE REFERRAL IN THE SENSE THAT 01'S FACTUAL CONCLUSIONS, IF TRUE, CONTAIN THE ELEMENTS WHICH CONSTITUTE A SPECIFIED CRIME."

I FELT THAT IT WAS USEFUL FOR THE GENERAL COUNSEL TO ENSURE THAT REFERRALS MEET LEGAL REQUIREMENTS BEFORE THEY ARE SENT TO D0J.

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