ML20197E830
| ML20197E830 | |
| Person / Time | |
|---|---|
| Issue date: | 11/10/1983 |
| From: | Hayes B NRC OFFICE OF INVESTIGATIONS (OI) |
| To: | Gilinsky, Palladino, Roberts NRC COMMISSION (OCM) |
| Shared Package | |
| ML20197E584 | List: |
| References | |
| FOIA-85-334 NUDOCS 8605150325 | |
| Download: ML20197E830 (7) | |
Text
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.l'EMORA*CUti FOR: Chairman Palladino
- Commissioner Gilinsky i
Cormissioner Roberts
$ Commissioner Asselstine I Commissioner Bernthal J
FROM: .Een B. Hayes, Director j Office of Investigations ,
SUBJECT:
REQUEST FROM THE HOUSE CO 'M:TTEE 0?, APPROPRIATIO:;5 i
1 The Hcuse Committee on Appropriatier.s, ir. its report on the Energy i and Water Development Appropriaticr. Bill,19E', directed that NRC report to the Committee regarcing 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 1 publishing".f the policies and procedures of the Office of Investigations.
1
! The latter issue was addressed by the Office of General Counsel in a 1
j memorandum from James A. Fitzgerald to the Commission dated October 24, 1983. I have enclosed. for your review a proposed response to the first issue posed by the Comittee.
8605150325 860403 PDR FOIA ADAT005-334 PDR
Enclosure:
As stated .
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3 Surname: RFortuna:sk BHayes Date : 11/9/83 11/ /83
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01 POLICY STATEMENTS POLICY l 01 wil'1 perform thorcugh, timely and objective investigations. This will include investigations of allegations of wrongdoing by individuals or crganizations, other than NRC employees or NRC contractors, which are within the scope of NRC authority.
POLICY 2
- 01 investigations will be conducted in accordance with general procedures and practices of other investigatory agencies.
POLICY 3 01 investigators may be delegated authority to administer oaths or affir-mations during the course of 01 investigative efforts.
POLICY 4 O! investigations may be initiated at the request of the Commission, the EDO, or a Regional Administrator, or on the initiative of the Director, 01.
i The Director, 01, will promptly inform the Chairman of all investigations commenced by 01.
POLICY 5 The criteria .stablished for initiating an inspection or an investigation ce nct precluce concurrent conduct of both types of activity.
i POLICY 7 OI investigators may grant requests for confidentiality during the course 4
of an inv.estigation. NRC will respect an 01 investigator's promise of confidentiality unless and until the interviewee's testimony is required i for an administrative or judicial proceeding or the ipterviewee discloses
! the testimony. The identity of persons not subject to the reporting re-j_ quirements of 10 CFR Part 21 who report to the Commission information addressed by that regulation will also be accorded confidentiality as re-
.i quired by 10 CFR 21.2. ,
POLICY 8 i Investigators and others assigned to 01 investigations shall identify,
- collect, and preserve evidence relevant to investigaticns 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 lnvestigators and others assigned to 01 investigations shall attempt, when warranted by the importance to the investigations, to witness and/or photographically recor'd the violation or condition that is the focus of the investigation.
POLICY 10 Investigators and others assigned to 01 investigations will be alert for '
indications of deliberate violations of NRC regulations or Federal statutes and will pursue relevant leadi,. They will also make reasonable efforts to determine the extent of involvement or awareness by management of licensees, '
applicants, vendors' or other entities in any instances of deliberate viola-tion of IGC regulations or Federal statutes.
POLICY 11 l
Other i2C comoonents will provide 01 with timely legai and technical assistance consistent with its impact on the overall liRC mission.
POLICY 12 .
01 may use the investigative support of Federal, State or local agencies or other organizations during the course of 01 investigations.
POLICY 13 The Office of Inspector and [uditor (01A) 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 the Fed-eral Eureau of Investigation). Emergency situations requiring prompt
. field referral to the 00J and/or FBI should be made with: t delay or con-
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sultation with OIA. Referrals for prosecution or investigation, inquiries '
or the transmittal of' investigative information to these agencies shall be promptly documented in writing with copies provided to offices concerned.
POLICY 14 Investigative activity of 01 may occasionally develop information within the jurisdiction of another agency. This information will be routinely provided to that agency under appropriate controls.
POLICY 15 l
l 01 shall keep liRC components which request 01 investiptions informed of significant developments in ongoing investigations.
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. POLICY 16 The requestor of an 0! invesbgation and any tiRC 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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POLICY 17 01 shall advise cognizant fiRC components of safety issues discovered as the result of an ongoing 01 investigation. . POLICY 18 With the exception of significant safety issues, information regarding an ongoing 01 investigation will not be disclosed by any f;RC employee outsice iG.C 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-fiRC personnel in entrance or exit inter-vieres, except safety items requiring immediate corrective action. POLICY 20 Irrestigators will thoroughly and accurately document their investigative afforts and substantive information developed during investigation. POLICY 21 CI investigative reports shall be in sufficient detail to permit an informed rinagerial review of the issues under investigation, and to permit an fiRC determination as to the need for enforcement or other ccrrective actions. POLICY 22 Reports of .' .estigation (ROI) prepared by 01 investigators should contain an objective recitation of all relevant facts developed in the course of tne investigation. They should not contain either the opinions or conclu-sions of the investigators. Opinions or conclusions of persons interviewed are permissible, however. In a memorandum transmitting the Report of Inves-tigation to the f;RC action office, 01 management will normally include over-all concl-usions regarding what 01 believes occurred iri the matter investigated or its opinion as to the weight of the' evidence. 01 will not make a determin-ation as to whether the occurrence constitutes a violation or furnish recom-cendations for enforcement / corrective action. POLICY 23 01 reports of investigation, while in preparation or review, will not be circulated outside f;RC without specific approval of the Chairman. POLICY 24 - 01 reports of investigation, while in preparation or review, will normally nct be circulated to other tiRC offices. In those cases where OI perceives . the existence of safety questions recuiring prompt attention or determines that it would be of substantial benefit to the accuracy of the final report, 01 may have other !!RC officials review, and comment on pertinent portions of g i the report. Final 01 investigative reports will be provided to the appro- Pi priate i;2C officials. a
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POLICY 25 The Office of Inspector and Auditor retains responsibility for investigations regarding ti'iC t employee and contractor misconduct and interal waste, fraud and abuse. . POLICY 26 01 shall be informed promptly by fiRC employees of a'l allegations which involve wrongdoing, other than allegations of wrongdoing on the part of fiRC employees or tiRC contractors, which are the responsibility of 01A. , e-e e 9 e
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INVESTIGATIVEWORKLOAD-1982AND1983 . d 1E 1T3 % IPNESTIGATIONS OPENED 68 < INQUIRIES OPENED 3 TOTAL CASES OPENED 161 206 . i D 4 49(22FROM1982) e g INVESTIGATIONS CLOSED INQUIRIES CLOSED R ( 3 FROM 1982)
- , TOTAL CASES CLOSED 123 131 -)]
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/'i 5 INVESTIGATIONSOPEN12/31 38 53 (10 FROM 1982)
[ -, INQUIRIESOPEN12/31 E ( 3 FROM 1982) . O' TOTALCASESOPEN12/31 3 113 , 1.
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{y e j UNITED STATES a NUCLEAR REGULATORY COMMISSION
& ,E WASHING TON, D. C. 20555 {},6, NSb
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December 27, 1984 '33% DEC 28 8 0 31
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"hAgARilG MEMORANDUM FOR: Ben Hayes, Director, OI Tom Rehm, Special Assistant to the EDO Carlton Kammerer, Director, OCA FROM: Richard P. Levi, OGCkb
SUBJECT:
ADDITIONAL RESOURCES FOR OI On November 23, 1984 Commissioner Zech requested OGC's views on the legality of administrative measures to assist the permanent OI staff. (Attachment 1). I am attaching a draft response to Commissioner Zech (Attachment 2), and would appreciate any comments your offices may have by c.o.b. Thursday, January 3, 1984. Attachments: As stated .- 9
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