ML20202A914
| ML20202A914 | |
| Person / Time | |
|---|---|
| Issue date: | 04/11/1984 |
| From: | Bird P NRC OFFICE OF ADMINISTRATION (ADM) |
| To: | Arrington R OFFICE OF PERSONNEL MANAGEMENT |
| Shared Package | |
| ML20199L935 | List:
|
| References | |
| FOIA-98-361 NUDOCS 9901280311 | |
| Download: ML20202A914 (44) | |
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$11 O Mr. Roland H. Arrington Retirement Claims Division :
Office of Personnel-Management !
1900 E Street, N.W.
Washington, D.C. 20014 !
Dear Mr. Arrington:
In your letter of February 15 you asked for certain additional information regarding coverage for investigator positions in 01. This information is attached. If you need additional information or wish to meet to discuss this matter further please contact me on extension 492-7400 or Susan Dickerson on extension 492-9500. i Sincerely, original sise*4 by Fau1E. Bird Paul E. Bird Director Division of Organization & Personnel Office of Administration Enclosed:
- 1. OPM Request #1 and attachments
- 2. OPM Request #2 '
- 3. OPM Request #3
- 4. OPM Request #4
- 5. OPM Request #5 Distribution:
O&P r/t P&PD r/f P&PD s/f (SiektTson Re: O&P 84-103 :
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OPM Request #1 (1) Please send us an organization chart for the'0ffice of Investigations and its predecessor, the Office of Inspection and Enforcement (IE).
Attachment 1 is the organization chart of 01's predecessor, the Of fice '
of Inspection & Enforcement, and attachment 2 is the organization chart for the Agency's current Office of Investigations.
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(n e, e Janet C. parttee Chiel Lee 8. Illostabethee, Je.
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ORG ANIZ AftO80 CM Att OfflCE OF INvf5TICAfl0NS tanduc t s tavest iget tons of liceasees, ase t teemts, .
teatracters er wenders. Inc tedlag the tavestigetlea of all ellegattens of wrongdelag by other thea MC eaoleyees sad contracters. Develess pe t tcy, proce*
deres ead quality control steadores for the coadvet of ett 01 lavestigettens. Plens, coordiaetes, directs and esecutes adelaistrettre effetes of the Office. Melntelas current overeness of tagutries and laspectless by other oceaty offices to identify the mees for formel lavestigetleas. Reeps teamtsstea pelaclpels corrently leformed of settees ondee ",
lavestigetten es they effect safety metters. Itenes esproerlate referrels to the Department of Justice.
Metatstas 1telsea with other egencies sad eesentte-tiens to ensure the tfeely enchange of f afermetten e?
mutual laterest.
Ofrectee Sea 8. Mr as Deputy 01rectee Doger A. Fortune i
t 01 fitLO OPERATIOtr$ Directee, trilita= J. Ward k
Conduct. supervise sad essure gwellty contret of lavestigettons =lthta geogrechte limits of the M C tegteaal Of fice with which they are co-tecated. Pre- t vide lavestigettve support end counset 14 MC Regional sentatstrators. taswee that Regleast Asetalstrators sad the Of rector. OI. eee fully and certsatly taformed of sigatricoat lavestiget t re metters e f fec tlag MC m
eco4 ens. Relatete cuereat swee ness of f aevleles sad laseet t f oot withfa the reglea la which they are F located to identify the need for and rece==end formet lavestiget teas. Estettish and salateln e f fettive llelsea with othee egencles and orgentrations within i their areas of conceen. ithen reevired. provide )
lavestigettee suppeet to other O! field ef fices or Weedoverters, la additica, the CI field Of fice.
Neglen IV morselly conducts, supervises and esseees the guettty coatrol lavestigetteas associated with ;
4 the vender Inspectlea Progese ,
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- Ofrector . . ....... . Eugene I. Peette Of Fleid Of fice. Reglen IV Ofrector . . . Richeed R. Herr 01 Flete Of fice. Reglea v..... .
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OPM Request #2 1 (2) "We understand your agency's need to hire experienced criminal investigators in the IE at the time it was established. Do i you plan to hire new criminal investigators at entry-level . j grades (GS-5) when the senior investigators leave NRC? If you i do, why didn't you submit position descriptions for those ,
positions as well?" '
The Office of Investigations does not plan to hire new investigators at the entry-level grades when senior investigators leave NRC. Based )
on caseload and strict hiring limits placed on 01, we plan to hire only '
experienced investigators. I l
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0 OPM Request #3 (3) "Some of the position descriptions for the jobs for which you have requested primary coverage indicate that the incumbents devote 40 to 50 percent of their time to investigations. Please clarify how .
you arrived at this figure. In doing so, please provide us with a breakdown of all types of investigations performed by your investi-gators (criminal and non-criminal) and a comparison of the time (by 1 percentage) devoted to each type of investigation." l OI was specifically established to perform thorough and objective investigations of suspected wrongdoing on the part of NRC licensees I and their contractors, employees, and vendors, so virtually all 01 investigations involve ostensible criminal violations.
i Generally, knowing and willful violations of NRC regulations which j implement the NRC-applicable portions of the Atomic Energy Act (as l well as other Federal statutes) are defined as crimes and are legally construed as violations of the Atomic Energy Act. The evidence gathered by 01 investigators in establishing such willful violations frequently may establish violations of various sections of the Federal criminal code such as false statements (18 USC 1001), conspiracy (18 USC 371), mail fraud (18 USC 1341 or 1343) or related offenses.
The 01 investigation of these matters in addition to supporting NRC civil enforcement actions may be and are referred to the Department of Justice for criminal prosecution.
It is noteworthy that even though 01 has only been functional since mid-July 1982, its staff of less than 29 GG-1811 investigators have referred 15 cases to the Department of Justice for criminal con-sideration and investigators are currently assisting in several l
grand jury cniminal cases.
The most common cases appear to involve falsification of records, material false statements, provision of substandard components, and intimidation or harassment of employees.
I We believe you found the 40 to 50 percent figures in the " working conditions" of the position descriptions. All of the incumbents' time is spent on investigations; however, 40 to 50 percent of their time is spent in the field. The rest of the time is spent preparing testimony, assisting grand juries, writing reports, liaison with other Federal Enforcement agencies, etc., duties which are normally done in office conditions.
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- OPM Request #4 1 :
(4) "In reviewing the position Senior Investigator (Task Leader), j GG-1811-14, we hold the opinion that it may be more suitably i placed in the secondary / supervisory category. .Please review ,
the regulations and tell us if you agree with our preliminary !
opinion." !
While we agree that the position has some leadership aspects, the essential purpose and primary responsibilities of the l position are to conduct significant and complex investigations.
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0 OPM Request #5 (5) "You have also requested general coverage in the primary category for the positions Investigator, GG-1811-12 and Investigator, Field Operations, GG-1811-13. We think that the duties of these positions mbre appropriately meet the requirements for the secondary /admini- '
strative category. Please review these position descriptions as well."
After reviewing the cited position descriptions, we believe a distinction should be made between the positions assigned to agency headquarters, and those assigned to field offices. The GG-12 and GG-13 level investigators in the field should be under primary coverage. The GG-12 and GG-13 level investigators in headquarters are more appropriate in the secondary /
administrative category. (At one time, we had practicing investigators in headquarters, currently we do not.)
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9 INVESTIGATOR, GG (1811)-13 Office of Investigations (OI) hb&W OI Field Office FUNCTIONAL STATEMENT Conducts investigations of allegations, accidents or incidents occurring at or related to NRC licensed facilities and activities. Utilizing the full range of investigative skills, plans, conducts and brings to a conclusion sensitive and complex investigations which may ultimately result in significant enforcement act. ion and/or criminal prosecution.
with all phases of agency operations. These activities require close familiarity REGULAR DUTIES -
Under the authority of Section 161c. of the Atomic Energy Act of 1954, as l amended (the Act), as assigned, and without detailed guidance, plans and conducts investigations concerning alleged or suspected violations of NRC '
regulations and/or Federal laws which occur at or are related to NRC licensed facilities and activities. These include the Act, the Energy Reorganization Act of 1974, as amended, the National Environmental Policy Act, and the relevant sections of Title 18, U.S. Code.
Incumbent is authorized to administer oaths and affirmations, and, when directed by competent authority, to serve subpoenas and perform such functions as provided in Section 161k. of the Act.
The investigations performed are frequently sensitive in nature and may stem from outside allegations, from NRC inspections or from NRC initiated inquiries into accidents, incidents, thef t, fraud or any unusual circumstances involving nuclear materials or facilities which could adversely affectithe'public health and safety.
Matters being investigated are occasionally controversial and may be of great interest to employees, the general public, special interest groups, members of Congress and the media. 01 investigations are exceptionally complex in that most involve cably intertwined. matters where criminal and civil violations are inextri-Analyzes developed information, complaints or allegations in order to identify the issues involved and to ascertain the types of eudence that will be needed in each ' case; determines the scope, timing and direction of each investigation and makes recommendations regarding the technical skills and equipment needed to support the investigation.
- Gathers facts through such' methods as interview, observation, interrogation.
and contacts with allegers or others, and analyzes records to establish facts or obtain evidence. .
Recognizes, explores and exploits leads to information and evidence to establish accuracy and authenticity of facts. Remains aware of and identifies the elements of criminality in all investigations.
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Recognizes the need for prompt reporting of critical information to the Director.
01 Field Office and other appropriate NRC managers and staff and to outside agencies having competence or jurisdiction in a given area; coordinates investi- a l
gations with federal, state and local law enforcement agencies as the situation and own judgment and experience dictates.
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Directs and participates in (1) the gathering and preservation of evidence to
. be used in the furthering of enforcement cases; (2) interviewing individuals as
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o INVESTIGATOR, GG (1811)-13 .
Office of Investigations (01) 01 Field Office s necessary to further an investigation and obtaining, where appropriate, signed statements to be used in evidence; and (3) the preparation of clear, logical and impartial reports which must be complete, accurate and in a form suitable for evidentiary purposes in a court of law or other legal or administrative proceedings.
Performs more complex investigations of allegations pertaining to particular licensee activities to detennine the status of compliance with the tenns of the license, NRC rules and regulations and federal statutes.
Uses cameras, photostatic machines, tape recorders, etc. as necessary to obtain and record evidence and documents.
In his area of expertise, acts as a specialist and consultant to the Regional inspection staff and provides training, advice and assistance in investigative matters to other Regional personnel who may be called upon to assist or partici-
. pate in investigations; through training and consultation, creates an awareness on the part of inspectors of potential criminal violations which may be uncovered during routine or special inspections.
Presents the results of investigations to the Director the 01 Field Office; to senior managers,both in the Region and in the Office of Inspection and Enforcement; to other offices in the NRC; and to the ACRS, ASLB and othery ,a.s appropriate; testifies in Court or before Hearing Examiners when requeste&. '
Assists in the referral of assigned cases to the U.S. Department of Justice on analogous state or local prosecutions.
Assists in the perfection of cases for criminal prosecution at the request of federal, state, or local prosecutors in accordance with NRC policy. '
P vides guidance to newer and lower graded investigators to help them acquire i;quisite investigative skills.
BASIC SKILLS
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cour cecisions concerning admissibility of evidence, constitutional rights and related issues. Must be able to recognize, develop and present evidence that reconstructs events,. sequences, and time elements and establishes relation '
ships, responsibilities, legal liabilities, conflicts of interest, in a manner that meets requirements for presentation in various legal hearings and court proceedings. This knowledge is equivalent to that gained by the completion of an undergraduate program leading to a baccalaureate degree at an accredited college or university supplemented by at least flVE years of progressively responsible investigative experience gained through full time employ.nent as an investigator with a federal, state or local law enforcement or investicative a.ge ncy. (Note:
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INVESTIGATOR, GG (1811)-13 -
3-Office of Investigations 01 Field Office ,
Requires detailed familiarity with the appropriate statutes, regulations and license. conditions bearing on investigations.
Skills include, but are not limited to: i General knowledge and awareness of what constitutes a crime or violation as defined in pertinent statutes such as the Atomic Energy Act of 1954, as amended, the. Energy Reorganization Act of 1974, as amended, the National Environmental ,
Policy Act, and relevant sections of Title 18, U.5. Code; Detailed knowledge of the kind of evidence and elements of proof associated with a particular crime or violation; Detailed knowledge of the methodologies used to prepare, preserve and document evidence so as to prevent its destruction, suppression or being rendered unusable.
General knowledge of the relationships among the criminal and civil investi-gative jurisdictions of various federal, state and local agencies; and General knowledge of decisions and precedent cases involving the admissibility of evidence.
Should also have knowledge and/or skill in: ,,,'a, .
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(a) the use and development of sources of information, e.g., infonnants or
- allegers, and methods of obtaining required facts and evidence; (b) searching for physical or documentary evidence or leads; (c) using evidence to substantiate findings or conclusions; *
(d) examining records to detect links in a chairi of evidence and/or infcrmation; (e) using camer.as, tape recorders and photostatic machines to record evidence and documentst; (f) observing situations and maintaining surveillances; (g) preparing reports of investigation; ' '
(h) using modern detection devices and laboratory services; (i) advances in investigative technology and procedures; (j ) detecting discrepancies in information and in distiguishing between relevant and irrelevant information or evidence; (k) reccanizing, exploring and exploiting leads and collecting and l ,
presenting physical evidence; l .
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I INVESTIGATOR, GG (1811)-13 .-
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Office of Investigations (01) 01 Field Office i (1) de.veloping and maintaining regular liaison with federal, state and local law enforcement and investigative agencies; and (m) interviewing or interrogating allegers, witnesses, suspects or informants.
(n) the preparation of cases for. referral to the U.S. Department of Just' ice or appropriate state or local prosecutors; ,
(o) the functions and procedures associated with investigativs grand juries; and l
(p) the applicability of the Freedom of Information and Privacy Acts.
Must be able to communicate effec'tively, in both oral and written form, scientific and technical facts in a fashion understandable to others, in !
. reports of investigation and in legal or administrative proceedings. 1 Must be able to maintain composure and funct. ion effectively under stress.
CONTACTS Frequent contact with key management and technical personnel ~ of licensees and their contractors / vendors, to conduct interviews and to,obs6rve and record facts about persons, objects, and events.
Continuous contact with the Regional Staff to share investigative findings, to ,
make recommendations and to obtain and provide assistance regarding the need -
for corrective action regarding matters under investigation. .
Continuous contact with federal.. state and local law enforcement and other officials to obtain and provide information and assistance regarding matters under investigation. !
Frequent contact with federal, state or local prosecutors regarding referred cases. ,
Frequent contact with Headquarters, Office of Investigations, as well as with other NRC elements regarding matters under investigation. ,
1 Occasional contact with senior NRC Management.
- RESPONSIBILITY FOR DECISIONS:
Supervision Re~ceived Reports directly to the Director, 01 Field Office, GG-14 General Supervision "B" Guides are the Atomic Energy Act of 1954, as amended, the Energy Reorganization
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INVESTIGATOR, GG (1811) - -
Office of Investigations (01) 01 Field Office 4
Act of 1974, as amended, relevant sections of Title 18, U.S. Code, other statutet, and NRC rules, regulations and policies.
Acts independently with general guidance ti rovided on policy matters by the Director, 01 Field Office.
Independent Action '
Analyzes the developed information, complaint or' allegation to identify the issues involved and the types of evidence or infomation needed; detemines the scope, timing and direction of investigations.
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Provides sound, logical and thoroughly documented findings to NRC officials, legal hearings and courts of law.
Recomends Recommends to the Director appropriate action to deal with allegation, incident or accident investigated. Based on his experience and the review of evidence, expeditiously alerts Headquarters (01) and Regional Management to those investi- j gations in which potential criminal violations appear to exist /have occurred, !
so that appropriate and timely coordination can be initiated with the Depart- l ment of Justice (D0J).
SUPERVISION EXERCISED L Directs activities of all inspectors assigned to specific investigations and (serves as the team leader.
L'ORKING CONDITIONS -
ummun Frequent'ly, field investigations are made with exposure to usua . p ant hazards,
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exposure to inclenent weather, and the need to use protective clothing and equipment.
Investigations are frequent.ly conductec at construction sites, power plants, etc., where the investigator's actions could result in significant economic impact upon workers and employees; this often,means working in a hostile environment and dealing with individuals at cross purposes with the mission of NRC.
Meets with allegers/ informants to obtain information relative to alleged violations of NRC regulations and/or federal laws. Such meetings often take place in remote locations, motels, etc., with individuals who may pose a threat to the investigator.
EFF0P.T T$e field work-requires irregular work hours, extensive standina, walking, and climbing; also, moderate physical effort in traveling to perform assigned investigations. -
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SUPERVISORY INVESTIGATOR, GG-1811-15 DIRECTOR, FIELD OPERATIONS .
Office of Investigations (01) l Functional Statement As a principal management official of the Office of Investigations, directs the work of a professional investigative staff at headquarters and monitors the activities of five Field Office Directors. engaged in conducting inquiries and i
investigations into the activities of individuals and organizations, other than i
HRC employees, organizations, or contractors, within the scope of NRC authority.
' Serves as supervisory investicator and senior expert in all chases of investi-Qative activity monitors, coordir6tes, and evaluates office investigative operations and identifies need for and develoos coerating guidance for the in-vesticative prooram. Serves as the crimary headouarters contact for 01 field i
l offices on investicative matters, coordinatino investications and orovidina nsitive issues.
Supervises the review of all investigations to assure conformity with NRC policy and maintenance of high professional standards. Maintains sensitivity to those investigations involving potential criminality so as to ensure timely coordination or referral to the Department of Justice.
Regular Duties
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Directs the activities of the Division of Field Operations at headouarters and the five 01 Field Offices. Through the management and supervision of these organizational components:
(Directs and controls the implementation of the office investigation
,p rcg ram.
rves as primary headquarters contact for investigative matters.
Maintains status of significant investigations and inquiries performed by Field Offices and monitors their efforts to ensure compliance with office policy and proqedures.
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- V V Receives, reviews, and evaluates investigative reports, teletypes and related c_orrespondence f rom Field offices. Advises Director / Deputy Director, 01 of significant investigations as they develop. Makes rec.ommendations which further the development of complex cases involving NRC's nission to protect the public health and safety.
' ck t Audits investigative performance of 01 Field Offices by monitoring major investigations, examining ir.cuiries/ allegations to see if investigations l
were performed as warranted and reviewino sample cases to determine
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{whether they .neet professional standards and conform to establish policies, hriteria and instructions.
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SUPERVISORY INVESTIGATOR, GG-1811-15 DIRECTOR, FIELD OPERATIONS Office of Investigations (01) -
Acts as the focal point for ongoing investigations and coordinates field input with appropriate staff groups in the Headquarters and with other NRC organizational entitles as appropriate.
As 01 senior investigator and expert in criminal and civil investigations, and in his/her role as individual contributor to the program, the incumbent personally:
Reviews the findings of investigations performed by others in order to recommend a course of action, such as further investigative activ.ity or criminal review by the Department of Justice.
/ Identifies areas where administrative and investigative guidance is f necessary and recommends to Director / Deputy Director, 01, action necessary l to develop such guidance. Routinely provides guidance to 01 Field offices to linsure prompt and effective handling of complex investigations activity.
Travels to NRC regional offices, and 01 Field Offices to develop and maintain effective headquarters / field liaison. personally, or throuch staff survevs. acoraises and evaluat'es the manaaement and functionina of 01 Field investicative procrams acainst established procrernatic recuirements, professional standards and cuides. Appraisals may include accompanying Field staff members in the actual performance of field investigative activities.
Provides oral and/or written replies for signature of Office Director / Deputy (
- Director or senior NRC staff to inquiries from other government agencies, members of Congress, Congressional Committees and members of the public regarding NRC investigations.
Uncer the authority of Section 161c. of the Atomic Energy Act of 1G54, as amended (the Act), as, assigned and without detailed guidance, plans, supervises and conducts sensitive investigations of alleged or suspected violations of federal laws and/or NRC regulations (including the Act, the Energy Reorganization Act of 1974, as amended, the National Environmental Policy Act, and the relevant sections of Title 18, U. S. Code) which occur at or are related to NRC licensed facilities and activities.
- Incumbent is authorized to administer oaths and affirmations, and, when directed by competent authority, to serve subpoenas and perform such functions as ovided in Section 161k. of the /,ct.
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As assigned, directs and participants in (1) the gathering and preservation
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of clear, logical and impartial reports which must be conplete, accurate and in a form suitable for evidentiary purposes in legal or administrative proceedings or in a court of law, dppraisesperformanceofDF0 staff. Appraises performance of all 01 Field Office Directors. Performs second level review of performance appraisals of all -01 Field Office non-supervisory personnel.
Directs activities of investigators assigned to specific investigations conducted by 01 Headquarters. In such investigations, incumbent may serve as the principal investigator or team leader.
Recognizes, explores and exploits leads to infomation and evidence to establish accuracy and authenticity of facts, applying general knowledge of the role of NRC in the use of radioactive materials and awareness of overall NP.C policies in the area of regulation of such uses.
Presents results of investigations to the Director /Seputy Director, 01, to other top management in NRC and to the ACRS, ASLB, and others as appropriate; testifies before hearing examiners or in court when requested.
Staffs and selects investigative personnel' for the DF0 and 01 Field Offices. .
BASIC SKILLS Recuires' thorcuch knowledoe of investicative technicues as well as of the laws of evidence and the rules of criminal procedure.. Should be aware of precedent ccurt decisions concerning admissibility of evidence, constitutional rights and related issues. Must be able to recognize, develcp ard present evidence that reconstructs events, sequer?ces, and time elements and estrblishes relationships, respcosibilities, legal liabilities, conflict of interest, etc., in a manner that meets requirements for presentation in court or other lecal or admini-strative proceedings. This knowledae is ecuivalent___to that cained by the comoletion of an underoraduate orocram leading to a baccainurrate decree at an accredited collece or university supplemented bv et leEst PMfP9945uumm6m i
At least two of these eicht years should have involved the management or supervision of investigations. s Criminal investigative experience gained through full time employment as an investigator with a federal, state or local law enforcener.t er investigative agency.
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Specific skills include, but are not limited to:
Thorough knowledge of' supervisory principles and techniques, and demon-strated skill in applying them, sufficient to assure effective supervision, direction, and motivation of professional and clerical staff memb'ers, and assure that their efforts achieve the required end results.
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- 1 General knowledge and awareness of what constitutes crimes or violations as defined in pertinent statues such as the Atomic Energy Act of 1954, as amended, the Energy Reorganization Act of 1974, as amended, the National Environmental Policy Act, and the relevant sections of Title 18, U. S. Code.
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Detailed familiarity with the appropriate statues, regulations and l license conditions bearing on investigations. ;
- 1 Thorough knowledge of the kind of evidence and elements of proof associated j with a particular crime or violation.
Detailed knowledge of the methodologies used to pre,, pare, preserve and document evidence so as to prevent its destruction, suppression or being rendered unusuable.
General knowledge of decisions and precedent cases involving the admissibility of evidence, constitutional rights, search and seizure, etc.
General knowledge of the relationships among the criminal and civil investigative jurisdications of various federal, state and local agencies.
Ability to recognize, develop and present evidence that reconstructs events, sequences, and time elements, and establishes relationships, responsibilities, legal liabilities, conflicts of interest, etc., in a menrer that meets requirements for presentation in various legal / l administrative hearings and court proceedings.
General knowledge of.the scientific and technical applications of 4 radioactive materials as they relate to the regulttery process. Broad ]
understanding of the principles, practices and applications of nuclear '
engineering, the physical sciences and biolcgy sufficient to conduct investigations into incidents, accidents, allegations and unusual circumstances. including those involving the loss, theft or diversion of special nuclear materials. This includrs a frmiliarity with the fundamentals of reactor construction and operation as v ell a with the associated terminology.
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_5 SUPERVISORY INVESTIGATOR, GG-1811-15 DIRECTOR, FIELD OPERATIONS Office of Investigations (01)
Ability to perceive policy and procedural deficiencies or problems in investigative methods, techniques, procedures and standards; thorough ,
I knowledge of the investigative field so as to accomplish exceptionally difficult staff work which contributes directly to the advancement of the NRC's missipn.
Must be able to communicate effectively, in both oral an written form, scientific and technical facts in a fashion easily understandable to others, in reports of investigation and in leage or adminstrative proceedings.
Must be able to maintain composure and function effectively under stress.
l incumbent must also have knowledge and/or skill in the following areas:
(a) the ues and development of sources of information (informants) and methods of obtaining required facts and evidence; (b) searching for physical or documentary evidence or leads;
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(c) using evidence to substantiate findings or conclusions l (d) examining records to detect links in a chain of evidence and/or information; (e) using cameras, tape recorders and photostatic machines to record -
evidence and documents.
(f) observing situations and maintaining surveillances; (g) preparing reports of investigation; (h) using modern detectin devices and laboratory services;
'i) advances in investigative technology and procedures; (j) detecting discrepancies in information and in distinguishing between relevant and irrelevant information or evidence; (k) recognizing, exploring and exploiting leads and collecting and presenting physical evidence; (1) developing and maintaining regular liaison with senior officials of federtl, state and local law enforcement and investigative agencies; O
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(m) interviewing or interrogating witnesses, suspects or informats ;
and taking sworn statements.
Finally, the incumbent must have had broad and diversified experience in hand'.ing. complete, legally sound technical investigations, preparing a,nd documenting investigative findings to support enforcement or legal proceedings and developing sound recommendations in areas in which lityf(j or no legal precedent has been established.
CONTACTS Continuous contact with the Director and Deputy Director, 01, and senior
. members of the NRC staff for the purpose of reporting the status of investi-gative activity and coordination 01 and other NRC office staff efforts relating to ongoing investigations. Regular contact with the Director / Deputy Director, OI, to discuss matters of NRC policy, receive general guidance and to brief the Director on major program matters an significant investigations. Frequent contact with the Executive Director for Operations and with the Commission to brief them on natters under investigation.
Continuous contact with senior regional management and 01 Field O'fice Directors
- concerning ongoing investigations, and on practices and problens related to the
.NRC investigative program. ;
Continuous contact with senior representaives of the Office of Inspector and Auditor (OIA) to ensure appropriate and timely coordination of investigations '
and other matters of mutual interest.
Frequent contact with senior management personnel of other NRC organizations; also with.senier management personnel of federal, state and local law enforce- I ment agencies en investigative, intelligence and policy matters of mutual interest and to maintain a ments in the investigative, proficiency field. and understanding of lastest develop- i i
Occasional contact with witnesses, intervenors, informats, etc. , sone of whom may have cross purposes with the incumbent and which may require the incumbent to exercise the highest degree of professional skill in order to obtain complete '
and accurate information.
Occasional centacts with top management representatives of licensee organi-zations during the course of investigations and on matters related to alleged !
violations of NRC rules, regulations and/or federal laws.
Occasional contacts with consultants and technical specialists who assist NRC i p,ersonnel in the investigation of theft, fraud, falsification of records '
dCCidents, incidents or any unusual Circumstances involving nuclear materials or facilities which could adversely affect the public health and safety. l
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DIRECTOR, FIELD OPERATIONS OfficeofInvestigations(01)
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Supervision Received '
Rep' orts directly to the Cirector/ Deputy Director, 01 (SES) l Incumbent performs assigned responsibilities independently with only. general I l guidance provided on policy matters. Normally, opinions and recommendations
! are accepted with little or no review; however, in matters known to be of particular concern or interest to the Executive Director for Operations or the Commission, incumbent's recomendations are subject to review by the Director / Deputy Director, 01.
General Supervision "A" Guides are the Atomic Energy Act of 1954, as amended, the Energy Reorganization Act of 1974, as amended, the Administrative Procedures Act, relevant sections of Title 18, U. S. Code, other statutes, and NRC rules, regulations and policies.
Decisions Made Independently (a) Resolves day-to-day problems concerning routine an[nonrbuti e aspects of investigative program coordination with Regional Offices and 01 Field Offices.
(b) Nakes on-the-spot technical.and adminstrative decisions, within delegated authority, while performing or supervising investigations, including -
expanding the direction and scope of the investigation being conducted or directed.
(c) Determines, within delegated authority, what information with respect to ir.vestigati,ons can be released to officials of federal, state and local egencies, licensees, r,eprcsentatives of the media, and concerned or involved members of the public.
(d) -Incumbent makes decisions which cenerally commit the NRC in the field enconpassed by the position; these decisions are limited only by agency j policy, programs or regulations. ]
l Acts independently with general guidance provided on policy matters by the Deputy Director, 01. ,
- l. Independent Action j Analyzes the developed information, complaint or allegation to identify tFe issues involved and the types of evidence or inforration needed; determines the scope, timing and direction of investigations. !
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SUPERVISORYINVEsilGATOR,GG-1811-15 DIRECTOR, FIELD OPERATIONS Office of Investigations (01)
Provides sound, logical and thoroughly documented findings and recommendations to NRC officials.
Identifies and implements policies for conducting and managing investigative activities throughout 01. ,
Provides authoritative advice and opinions to the Director / Deputy Director, 01 and other senior NRC officials on difficult and complex natters related to investigations.
Recommends (a) Appropriate action to deal with the allegation, incident and accident investigated. Based on experience and the review of evidence, expeditiously alerts NRC senior management to those investigations in which potential criminal violations appear to exist /have occurred, or substantial evidence of unsafe conditions exists.
(b) New or revised procedures, guides and techniques for the development of information, the handling of allegers or inTormants and the conduct of investigators. ,,, -
(c) Concurrence or nonconcurrence on investigative reports, correspondence with public officials, members of Congress, public announcements and other matters relating to investigations.
SUPEPNISION EXERCISED *-
d [ Exercises direct supervisory control over a orofessional <taff nf thraa nr mnra subordinate investicators, grades 11-14 and over investicative interns assioned g
f ) to who may beDirects Field Operatiene.. assigned the activitiesin support of inspection and of a given technical investigat personnel
.y l ea tSe r. Exercises direct supervision over five GG-14/15 01 Field Office Directors.
WORKING CONDITIONS Approxicately 95 percent of time is spent in under normal office conditions with the balance being spent in field investigations. Field investigations -
are nade with exposure to usual plant hazards, exposure to inclement weather, and the need to use protective clothing and equipment.
Investigations' are frequently conducted at construction sites, power plants,
' etc. uhere the investigator's actions could result in significant economic impact upon workers and employees; this means working in a hostile environ-ment and dealing with individuals at cross purposes with the mission of NRC.
Meets with informants HRC regulations to obtain and/or federal information relative tc allened violations of laws. Such meetings often take place in remote
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locations, motels, etc., with individuals who may pose a threat' to the safety '
l and well-being of the investigator.
' EFFORT ;
! The field work may require irregular work hours, extensive standing, walking, and climbing; also, moderate physical effort in traveling to perform assigned l l ' investigations. i l
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(Operations Officer ) GG-(1811)-14 Field Operations s Office of Investigations '
f B"CVU FUNCTIONAL STATEMENT As a Operations Officer on the staff of the Director of Field Operations (DFO), serves as a staff investigator and senior expert in all phases of investigative activity. As an expert in criminal and civil investigations, identifies need for, develops and promulgates operating policy and guidance for an investigative program of national scope and significance. Audi,ts performance of NRC field investigative elements to determine if investigations are performed as warranted, to ensure empliance with estabished policies and to ensure maintenance of high profession 01 standards. Serves as a primary Headquarters contact for the Field Offices, both to coordinate investigations and to provide guidance on complex and sens!tive issues which may arise.
Plans, organizes and conducts highly sensitive investigations as assigned by immediate supervisor and/or the Deputy Director, 01. Is alert to those investigations involving potential criminality so as to ensure timely coordination for possible referral to the Department of Justice (D0J).
REGULAR DUTIES Serves as primary Headquarters contact for Field Offices on investigative matters. itaintains status of significant investigations and inquiries performed by Field Offices and monitors their efforts to ensure, compliance !
with 01 policy and procedures. Performs investigations pd 'ijnquiries in major I cases.
Audits investigative performance of 01 Field Offices by monitoring major investigations, examining inquiries / allegations to see if investigations were performed as warranted and reviewing sample cases to determine whether the actions of Field Offices conform to established policies, -
criteria and instructions.
Travels tc 01 Field Offices in order to develop and maintain effective Headquarters / Field Office liaison. Personally, or throuch O! staff surveys, assists in appraising and evaluating the management and functioning of the investigative prcgram against established progranmatic requirements and guides in his area of speciality. Appraisals Day
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include the accorrpaninant of regional staff members in the actual perforr?ance of field investigation activities.
Identifies areas where administrative and technical guidance to the Field -
Offices is necessary andr ecommends to immediate supervisor and/or Deputy Director, 01, action necessary to develop such guidance. Routinely provides guidance to Field Offices to insure prompt and effective handling of conplex investigative activity in his area of speciality.
Receives, reviews and evaluates investigative reports, teletypes and related ccrrespondence from Field Offices. t.dvises immediate supervisor .
and/or Deputy Director, 01, of significant investigations as they develop and makes reccomendations which further the develepnent of complex cases {
involving flRC's mission to protect the public health and safety. '
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. SENIORINVESTIGATOR,)GG-(1811)-14 (Operations Officer Field Operations Office of Investigations l .
' As a senior investigator and an expert in criminal and civil investiga-tions, reviews the findings of investigations performed by others in order to determine a recommended course of action, such as further investigative activitiy or recommendation for criminal review by the l Department of Justice.
L Acts as a focal point for ongoing investigations and coordinates field input with appropriate staff groups in 01 Headquarters and with other NRC organizational entities as appropriate.
Presents results of investigations to 01, to 0IA, to top management in the NRC and to the ACRS, ASLB, and others as appropriate; testifies in court or before Hearing Examiners when requested.
l Under the authority of Section 161c. of the Atomic Energy Act of 1954, as amended (the Act), as assigned and without detailed guidance, plans, supervises and conducts sensitive investigations of alleged or suspected violations of federal laws and/or NRC regulations (including the Act, the Energy Reorganization Act of 1974, as amended, the National. Environmental Policy Act, and the relevant sections of Title 18, U.S. Code) which occur at or are related to NRC licensed facilities and activities. Incumbent is authorized to administer oaths and affirmations, and, when directed by l- competent authority, to serve subpoenas and perform such functions as l l provided in Section_161k. of the Act. The investigations performed !
frequently have broad national implications and may stem from outside l allegations, from NRC inspections or from NRC initiated inquiries into '
theft, fraud, accidents, incidents or any unusual circumstances involving nuclear materials or facilities which could adversely affect the public health and safety. When directed, conducts or leads special ;
investigations into certain NRC activities. '
l Directs and participates in: (1) the gatherin evidence to be used in enforcement cases; (2)g and preservation interviewing of as individuals necessary to further an investigation and . obtaining, where appropriate, signed statenents to be used in evidence; and (3) the preparation of clear, logic' al and impartial reports which must be complete, accurate and l in a form suitable for evidentiary purposes in a court of law or other l
-legal or administrative proceedings.
Directs activities of regional inves'tigators and/or inspectors as well as Headquarters personnel assigned to specific investigations conducted by
. 01 Headquarters. In such _ investigations, serves as the principal investigator or team leader. !
Provides oral and/or written replies for signature of senior KRC staff to inquiries _from other government agencies, nenbers of Congress, Congressional Committees and members of the public regarding NRC investigations.
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SENIOR INVESTIGATOR, (Operations Officer ) GG-(1811)-14
- Field Operations s Office of Investigations i Id6ntifies need for, develops and promulgates operating policy and guidance for the NRC investigative program.
Assists in the referral of assigned cases to the U.S. Department of I' Justice on analogous state or local prosecutions.
Assists in the perfection of cases for criminal prosecution at the request of federal, state,,or local prosecutors in accordance with NRC policy. .
BASIC SKILLS Requires a thorough know'1 edge of investigative techniques as well as of the laws of evidence and the rules of criminal procedure. Should be aware of precedent court decisions concerning admissibility of evidence, constitutional rights and related issues. Must be able to recognize, develop and present evidence that reconstructs events, sequences, and time elements and establishes relationships, responsibilities, legal liabilities, conflicts of interest, and related matters, in a manner that meets requirements for presentation in court or other legal or administrative proceedings. This knowledge is equivalent to that gained by the completion of an undergraduate program leading to a baccalaureate degree at an accredited college or university supplemented by at least six years of progresjivelyy ' responsible investigative experience gained through full time employment as an investigator with a federal, state or local law enforcement or investigative agency. Criminal investigative experience is essential because the incumbent must be alert to areas of potential criminality in the investigations performed personally as well as in the review of investigations performed by regieral investigators.
- Specific skills include, but are not limited to:
Ability to perceive policy and procedural deficiencies or problems in iraestigative methods, techniques, procedures and standards; thorcugh krewledge of the investigative field so as to accomplish exceptionally difficult staff work Ohich contributes directly to the advanceement of the NRC's mission.
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Knowledge and awareness of what constitutes a crime or violation as defined in pertinent statutes such as the Atomic Energy Act of 1954, as -
, amended, the Energy Reorganization Act of 1974, as arrended, the National Environmental Policy Act, and the relevant sections of Title 18, U.S.
! Code.
Knowledge of the kind of evidence and elements of proof associated with a particular crime or violation.
Knowledge of the methodologies used to prepare, preserve and document evidence so as to prevent its destruction, suppression or being rendered urasable.
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l Knowledge of decisions and precedent cases involving the admissibility of evidence, constitutional rights, search and seizure, and other investiga-tion-related matters.
Knowledge of the relationships among'the criminal and civil investigative jurisdictions of various federal, state and local agencies.
Ability to recognize, develop and present evidence that reconstructs events, sequences, and time elements, and establishes relationships, responsibilities, legal liabilities, conflicts 'of interest, and related matters, in a manner that meets requirements for presentation in various legal / administrative hearings and court proceedings.
General knowledge of the scientific and technical applications of radio-active materials as they relate to the regulatory process. Broad under-standing of the principles, practices and applications of nuclear engineer-ing, the physical sciences and biology sufficient to conduct investigations into incidents, accidents, allegations and unusual circumstances, including those involving the loss, theft or diversion of special nuclear materials.
This includes a familiarity with the fundamentals of reactor construction and operation as well as with the associated terminology.
Incumbent must be able to effectively communicate, in both oral and ,
written form, scientific and technical facts in a fashion understandable to others, in reports of investigation and in legal,, or administrative proceedings.
Must be able to maintain composure and function effectively under stress. )
Incumbent must also have knowledge and/or skill in the following areas: .
(a) the use and development of sources of information, i.e., informants, intervenors or allegers and methods of obtaining. required facts and
' evidence; -
(b) searching for physical or documentary evidence or leads; (c). using evidence to substantiate findings or conclusions; (d) examining records to detect links in a chain of evidence and/or informa tion; (e) using cameras, tape recorders and photostatic machines to record evidence and documents; l (d observing situations and maintianing surveillances; (g) preparing reports of investigations;
,, (h) using mocern detection devices and laboratory services;
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(i) advances in investigative technology and procedures; ,
(j) detecting discrepancies in information and in distinguishing between
! relevant and irrelevant information or evidence; l
(k) recognizing, exploring and exploiting' leads and collecting,
. preserving and presenting physical. evidence; ,
I (1) developing and maintaining regular liaison with senior offic,ials of l
federal, state and local law enforcement and investigative agencies; l
(m) interviewing or interrogating allegers, witnesses, suspects or l
informants and taking written statements.
(n) the preparation of cases for referral to the U.S. Department of Justice or appropriate state or local prosecutors;
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(o) the functions and procedures associated with investigative grand juries; and l
(p) the applicability of.the Freedom of Information and Privacy Acts.
CONTACTS
! Continuous contact with immediate supervisor and/or thefeputy Director, 0I,.
other senior 01 managers and principal members of the NRC staff for the purpose of _ reporting the status of investigative activity and coordinating of 01 and other NRC office staff efforts concerning investigations underway.
Frequent contact with the Director, 01, to discuss matters of HRC policy, receive policy guidance and to keep the Director informed on major program -
matters and significant investigations.
Frequent contact with middle and top management personnel of other NRC organi-zations; also with senior management and operational level personnel cf federal, state and local law enforcement. agencies on investigative, intelligence and policy matters of mutual interest and to maintain a proficiency and understand-ing of latest developments,in his area of speciality.
Frequent contact with witnesses, intervenors, and informants, some of whom acy l
have cross purposes with the incumbent anff which may require the highest degree of professional skill in order to obtain complete and accurate information. .
Frequent contacts with top management representatives of licensee orgainizations during the course of investigations and on matters related to alleged vicittions of NRC rules and regulations and/or federal laws.
I l Continuous contact with Field Office Directors and Regional Division and Branch Chiefs on matters pertaining to ongeino investigations or on inspections impacting cn the investigative program.
Ot'casional contacts with consultants and specialists who provide technical assistance and expertise in the conduct of investigations into theft, fraud, accidents, incidents or any unusual circumstances involving nuclear materials or facilities which could adversely affect the public health and safety.
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(Operations Officer ) GG-(1811)-14 .
i Field Operations Office of Investigations Frequent contact with federal, state or local pro ecutors regarding referred Cases.
RESPONSIBILITY FOR DECISIONS Supervision Received:
Dir.ector of Field Operations, 01 (GG-1811-15) '
General Supervision "A" '
Guides are the Atomic Energy Act of 1954, as amended, the Energy Reorganization '
Act of 1974, as amended, the Administrative Procedures Act, the National Environ-mental Policy Act, relevant sections of Title 18, U.S. Code, other statutes, and NRC rules, regulations and policies.
1 Incumbent performs assigned responsibilities independently with general l guidance provided on policy matters by the Director of Field Operations.
Independent Action !
Resolves day-to-day problems concerning routine and non-routine aspects of !
investigation program coordination with Field Offices.
Mekes on-the-spot commitments on matters in his area of fpeciality in the absence of specific programmatic guidance and within the frame-work of 01 and NRC policy, to ensure rapid resolution of difficult and complex matters related to investigations.
Conducts investigations and analyses reports for completeness, accuracy and technical adequacy, and recommends appropriate action.
- Represents 01 in discussions with licensees regarding act. ions resulting from investig'ations and in coordination of investigative efforts with federal, state or local law enforcement or investigative agencies.
Recomends Reconnends or endorses the establishment or significant modification of NRC l policies governing the Agency's investigative, program, whic, although not limited by existing policy, are subject to endorsement or approval by a higher
. authority.
Referral of cases to another agency when results indicate investigation and/or action outside NRC purvicw.
l SUPEP. VISION EXERCISED Directs the activities of all investigative, inspection and technical
, personnel who may be assigned in support of en investigation and serves as the l t'e'am leader.
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(Operations Officer ) GG-(1811)-14 .
Field Operations Office ofs Investigations .
WORKING CONDITIONS i Nortral office conditions for 85% of duties. About 15% of working time is t l spent in field investigations. Frequently field investir:tions are made with i exposure to usual plant hazards, and inclement weather, and require the use of ;
protective clothing and equipment. !
Investigations are of ten conducted at construction sites, power plants., etc.
where the it lestigator's actions could result in significant economic impact upon workers and employees; this often means working in a hostile environment and dealing with individuals at cross purposes with the mission of NRC.
F.eets with informants to obtain information relative to alleged violations of f RC regulatins and/or federal laws. Such meetings often take place in. remote i locations, motels,etc. , with individuals who may pose a threat to the investi- )
gator, i
i EFFORT l
- The field work requires irregular work hours, extensive standing, walking, and l climbing; also, moderate physical effort in traveling to perform assigned j investigations.
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(Task Leaf *) )
Office of Investigations (01) 4 '
01 Field Office -
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FUNCTIONAL STATEMENT Serves as senior investigator in the Field Office. As an expert investigator, with technical expertise and outstanding leadership qualities, provides- l special,ized advice and ccunsel to the Di-ector., 01 Field Office on investigative i matters and plans, conducts and brings to a conclusion extremely sensitive and .
I complex investigations which may ultimately result in significant enforcement l action and/or criminal prosecution. These activities require close familiarity with all phases of agency operations. Position occasionally requires exceptionally close and confidential relationship with the Director due to sensitivity of subject matter.
l REGULAR DUTIES l
Under the authority of Section 161c. of the Atomic Energy Act of 1954, as amended (the Act), plans and .onducts complex investigations concernino alleged or suspected violations of NRC regulations and/or Federal laws which occur at or are <
related to NRC licensed facilities and activities. These' include the Act, the i Energy Reorganization Act of 1974, as amended, the National Environmental Policy !
Act, end the relevant sections of Title 18, U.S. Code. Incumbent is authorized ,
to administer oaths and affirmations, and, when directed by competent authority, l to serve subpoenas and perform such functions as provided in Section 161k. of '
the Act. The investigations performed, in addition to being" extremely complex, are frequently sensitive in nature, controversial, and oFgreat interest to employees, the general public, special interest groups, members of Congress and the media. 01 investigations are exceptionally complex in that most involve matters where criminal and civil violations are. inextricably intertwined.
1 Analyzes developed information, complaints or allegations in order to identify the issues involved and to ascertain the types of evidence that will be needed
- in each case; determines the scope, timing and direction of each investigation, mckes recommendations regarding the technical skills and eovipment needed to i support 'the investigation, and efficiently directs an investigative team j through all phases of the investigation.
Gathers facts through such anethods as interview, cbservation, interrrogation, and contacts with allegers or others, and analyzes records to establish facts or obtain evidence. Remains aware of and identifies the elements of criminality in all investigations. ,
Recognizes, explores end exploits leads to infornGion and evidence to establish accuracy anri authenticity of facts, applying general knowledge of the role of NRC in the use of radioactive' materials and awareness of overall NRC policies in the area of regulation of such uses.
Recognizes the need for pronpt reporting of critical information to the Director, OI Field Office, and other appropriate NRC managers and staff and to outside agencies having competence or jurisdiction in a given area; coordinates investi gations with federal, state and local iaw enforcenent agencies as the situation
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(Task Leader) '
Office of Investigations (01),
01 Field Office .
and own' judgment and experience-dictates.
Directs and participates in (1) the gathering and preservation of evidence to be used in'the furthering of enforcement cases;'(2) interviewing individuals as necessary to further an investigation and obtaining, where appropriate, signed statements to be used ~in evidence; and (3) the preparation of clear, logical and impartial reports which must be complete, accurate and in a form suitable for evidentiary purposes in a court.of law or other legal or administrative pro-ceedings. -
Performs the more complex investigations of allegations pertaining to particular licensee cctivities to determine the status of compliance with the terms of the license, NRC rules and regulations and federal statutes.
9 Uses cameras, photostatic machines, tana recorders, etc. as necessary .to obtain ,
and record evidence and documents.
In his area of expertise, acts as a specialist and consultant to the Director 01 Field Office, to the Regional Administrator and the regional inspection staff to provide training, advice and assistance in investigative matters to personnel who may be called upon to assist or participate in investigations; through ;
training and consultation, creates awareness on the part of, inspectors of {
potential criminal violations which may be uncovered dur,ing" routine or specia'l l inspections.
. Prepares and presents briefings on investigations to the Director. 01 and/or members of the Commission, to senior managers in the Region, the Office of In-spection and Enforcenent and other offices in NRC, to the ACRS, ASLB and others as appropriate; and may testify in Court or before Hearing Examiners, or -
before Congressional Committees when requested.
i Assists in the referral of assigned cases to the U.S. Department of Justice on analogous state or local prosecutions.-
Assists in the perfection of cases for criminal prosecution at the request of federal, state, or local prosecutors in accordance with.NRC policy.
Provides leadership and guidance to newer and lower graded investigators to help them acquire requisite investigative skills. Serves as team leader for extremely complex investigations, which may have National ramifications. '
r BASIC SKILLS l
i Requires thorough knowledge of investigative techniques as well as of the laws
' of evidence and the rules of criminal procedure. Should be aware of precendent court decisions concerning admissibility of evidence, constitutional rights and related issues. Must be able to recognize, develop and present evidence that l reconstructs events, sequences, and time element.s and establishes relationships, l r'esponsibilities, legal '" abilities, conflicts of interest, in a manner that l
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h SENIOR INVESTIGATOR, GG (1811)-14 (TaskLeader)
Office of Investigations (01) 01 Field Office .
I meets requirements for presentation in various legal hearings and court pro-l ceedings. This knowledge is equivalent to that gained by the completion of a l
graduate program leading to a baccalaureate degree at an accredited college or l university supplemented by at least five years of progressively responsible investigative experience gained through full time employment as an investigator with a ' federal, state or local law enforcement or investigative agency. .
Requires detailed familiarity with the appropriate s.tatutes, regulations and license conditions bearing on investigations.
Requires technicai expertise regarding reactor construction and operation ,
sufficient to assess and evaluate conditions at power plants which may be !
under investigation.
Requires leadership ability to coordinate and direct a team which may consist of a mix of interdisciplinary personnel. Must have the ability to interact with technical personnel to control, schedule and coordinate work effort and to exchange information regarding technical issues under investigation.
Skills include, but are not limited to:
Detailed knowledge and awareness of what constitutes a crime or violation as defined in pertinent statutes such as the Atomic Energy Act of 1954, as amended, l the Energy Reorganization Act of 1974, as amended, the f$tional Environmental l Policy Act, and relevant sections of Title 18, U.S. Code; Detailed knowledge of the kind of evidence and elements of proof associated with a particular crime or violation; Detailed knowledge of the methodologies used to prepare, preserve and document -
evidence so as to prevent its destruction, suppression or being rendered unusable.
General ' knowledge of the relationships among the criminal and civil investigative jurisdictions of various federal, state and local agencies: and l
General knowledge of decisians and precedent cases involving the admissibility
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of evidence.
General knowledge of the scientific and technjcal applications of radioactive materials as they relate to the regulatory process. Broad understanding of the prinsiples, practices and applications of the physical sciences and biology sufficient to conduct investigations into incidents, accidents, allegations and unusual circumstances, including those involving the loss, theft or diversion of special nuclear materials. This includes : familiarity with the fundamentals of reactor construction and operation as well as with.the associated terminology.
i Ability to perceive policy and procedural deficiencies or problems in investi-gative methods, techniques, procedures and standards; thorough knowledge of the investigative field so as to accomplish exceptionally difficult staff work which contributes directly to the advancement of the NRC's mission.
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j SENIOR INVESTIGATOR, GG (1811)-14 .
(Task Leader) ;
Office of Investigations (01), .
01 Field Office .
Must also have knowledge 'and/or skill in:
(a) the use and development of sources of infonnation, e.g., informants or allegers, and methods of obtaining required facts and evidence; (b) searching for physical or documentary evidence or clues; i l
(c) using evidence to substantiate findings or conclusions; (d) examining records to detect links in a chain of evidence and/or information; (e) using cameras, tape recorders and photostatic machines to record evidence and documents; i
(f) observing situations and maintaining.surveillances;
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l (g) preparing reports of investigations; (h) using modern detection devices and laboratory services; (i) advances in investigative technology and procedures; ul. r ,
gy ,.
3 (j) detecting discrepancies in information and in distiguishing between relevant and irrelevant information or evidence; (k) recognizing, exploring and exploiting leads and collecting and presenting physical evidence; (1) developing and maintaining regular ' liaison with federal, state and local law enforcement and investigative agencies; and (m) interviewing or interrogating allegers, witnesses, suspects or informants.
(n) the preparation of cas'es for referral to the U.S. Department of Justice or appropriate state ' local prosecutors; (o) the functions and procedures associated with investigative grand juries; nd '
(p) the applicability of the Freedom of Information and Privacy Acts.
Must be able to communicate effectively, in both oral and written fonn, scien-tific and technical facts in a fashion understandable to others, in reports of investigation and in legal or administrative proceedings.
M,ust be able to maintain composure and function effectively under stress.
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-t SENIOR INVESTIGATOR, GG (1811)-14 (Task Leader)
- Office of Investigations (01) 01 Field Office
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CONTACTS' Frequent co_ntact with key management and tiechnical personnel of licensees and their contrectors/ vendors, to conduct interviews and to observe and record facts about persons, objects, and events. ,
Con'tinuous contact with the Director, 01 Field Office, and senior Regional !
management to share jnvestigative findings, to make recommendations and to !
obtain and provide assistance regarding the need for corrective action re- !
garding matters under investigation. l I
Regular contact with senior federal, state and local law enforcement and other I officials to obtain and provide information and assistance regarding matters under' investigation.
Frequent contact with Director 01, as well as with other Headquarters elements regarding matters under investigation.
Frequent contact with federal.. state or local prosecutors regarding referred Cases.
Occasional contact with senior and mid-level management. personnel at NRC Head-quarters, F.egional Offices and other government agencier..to d.iscu'ss 7
and recom-mend changes to technical and administrative policies, standards and procedures and other matters having significant impact on the NRC investigative program. i RESPONSIBILITY FOR DECISIONS: '
Supervision Received *
. Reports directly to the Director. 01 Field Office', GG-14 .
1 General Supervision "A" Guides are the Atomic Energy Act of 1954, as amended, the Energy Reorganization ;
- Act of 1974, as amended, relevant sections of Title 18, U.S. Code, other 4
statutes, and NRC rules, regulations and policies.
Decisions Made Independently t
~(a) Makes on-the-spot technical and administrative decisions, within delegated authority, while performing investigat: ens, including expanding the direction and scope of the investigation being conducted or directed.
(b) Determines, within delegated authority, what information with respect to investigations can be released to officials of federal, state or local agencies; licensees; and concerned or involved members of the public.
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c Incumbent makes decisions which commit the NRC in the field encompassed by the position; these decisions are limited only by. agency policy, programs or regulations.
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' t SENIOR INVESTIGATOR, GG (1811) #
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Office of Investigations (OI),
01 Field Office -
Independent Action Analyzes the developed information, complaint or allegation to identify the issues involved and the types of evidence or information needed; determines the scope, timing and direction of investigations.
Provides sound, logical and thoroughly documented findings to NRC offi.cials, legal hearings and courts of law.
Recommends (a) Appropriate action to deal with allegation, incident or accident investi-gated. Based on his experience and the review of evidence, expeditiously 1 alerts Headquarters (01) and Regional Management to those investigations i in which potential criminal violations appear to exist /have occurred, so that appropriate and timely coordination can be initiated with the Office I of Inspector and Auditor (01A). 1 (b) New or revised procedures, guides and techniques for the development of information, the handling of allegers or informants and the conduct of investigations.
(c) Concurrence, non-concurrence or modification of: invekig'ativereports; correspondence with public officials and members of Congress; public announcements; and other matters relating to investigations.
/
SUPERVISION EXERCISED Directs activities of other investigators and/or inspectors assigned to specific '
investigations and serves as the lead irivestigator and team leader. As assigned, monitors the day-to-day activities of more junior investigators in specific investigative functions or across the entire spectrum of investigations.
Serves regularly as Acting Director, 01 Field Office in the absence of the Director.
WORKING CONDITIONS Approximatel'y 40 to 50 percent of time is spent in field investigations.
Frequently, field investigations are made with exposure to usual plant hazards, '
exposure to inclement weather, and the need to use protective clothing and i equipment.
Investigations ~ are frequently conducted at construction siter,, power plants, etc., where the investigator's actions could result in significant economic impact upon workers and employees; this often means working in a hostile ,
environment and dealing with individuals at' cross purposes with the mission of l N,8C. I Meets with allegers/ informants to obtain information relative to alleged violations of'NRC regulations and/or federal laws. Such meetings often take place in remote locations, motels, etc., with individuals who may pose a threat j l . . . w 4 . . . . . 4 - . ,, l
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SENIOR INVESTIGATOR, GG (1811)-14 - ~7- -
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(TaskLeader) ..
Office'of Investigations (01) 01 Field Office ,
EFFORT ' -
The field work requires irregular work hodrs, extensive standing, walking, and climbing; also, moderate physical effort in traveling to perform assigned investigations. -
other than normal duty The' hours (at above activities night and/pr areand weekends) frequently frequently ixceconducted during'ed the basi week. -
Staffing levels may frequently require the investigator to pursue such investigative activities alone without the support or protection of additional investigators.
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SENIOR INVESTIGATOR, GG (1811)-14 (TaskLeader)
Office of Investigations (01) 4 01 Field Office -
NOM FUNCTIONAL STATEMENT .
Serves as senior investigator in the Field Office. As an expert investigator, with technical expertise and outstanding leadership qualities, provides special,ized advice and counsel to the Director, 01 Field Office on investigative matters and plans, conducts and brings to a conclusion extremely sensitive and complex investigations which may ultimately result in significant enforcement .
action and/or criminal prosecution.
with all phases of agency operations. These activities require close familiarity Position occasionally requires exceptionally close and confidential subject matter. relationship with the Director due to sensitivity of REGULAR DUTIES Under the authority of Section 161c. of the Atomic Energy Act of 1954, as amended (the Act), plans and conducts complex investigations concerning alleged or suspected violations of HRC regulations and/or Federal laws which occur at or are related to NRC licensed facilities and activities. These include the Act, the Energy Reorganization Act of 1974, as amended, the National Environmental Policy Act, and the relevant sections of Title 18, U.S. Code. Incumbent is authorized to administer oaths and affirmations, and, when directed by competent authority, to serve subpoenas and perfonn such functions as provided in Section 161k. of the Act. The investigations performed, in addition to being ' extremely complex, are frequently sensitive in nature, controversial, and oFgre&t interest to employees, the general public, special interest groups, members of Congress and the media. OI investigations are exceptionally complex in that most involve matters where criminal and civil violations are. inextricably intertwined.
Analyzes developed information, complaints or allegations in order to identify the issues involved and to ascertain the types of evidence that will be needed
- in each case; determines the scope, timing and direction of each investigation, makes recommendations regarding the technical skills and eovipment needed to support 'the investigation, and efficiently directs an investigative team through all phases of the investigation.
Gathers facts through such Jnethods as interview, cbservation, interrrogation, and contacts with allegers or others, and analyzes records to establish facts or obtain evidence. Remains aware of and identifies the elements of criminality in all investigations. .
Ret gnizes, explores end exploits leads to information and evidence to establish acccacy and authenticity of facts, applying general knowledge of the role of 1:RC *,
the use of radioactive' materials and awareness of overall NRC policies in the area of _ regulation of such uses.
Recognizes the need for pronpt reporting of critical information to the Director, 01 Field Office, and other appropriate NRC managers and staff and to outside agencies having competence or jurisdiction in a given area; coordinates investi ga.tions with federal, state and local law enforccnent agencies as the situetion 1
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c t t SENIOR INVESTIGATOR, GG (1811)-14 .
(Task Leader)
Office of Investigations (01)'
01 Field Office .
and own' judgment and experience-dictates.
Directs and participates in (1) the gathering and preservation of evidence to be used in 'the furthering of enforcement cases;'(2) interviewing individuals as necessary to further an investigation and obtaining, where appropriate, s.igned statements to be used in evidence; and (3) the preparation of clear, logical and impartial reports which must be complete, accurate and in a fonn suitable for evidentiary ceedings. purposes in a court.of law or other legal or administrativ,e pro-Performs the more complex investigations of allegations pertaining to particular licensee activities to determine the status of compliance with the terms of the license, NRC rules and regulations and federal statutes.
Uses cameras, photostatic machines, tape recorders, etc. as necessary to obtain and record evidence and documents.
In his area of expertise, acts as a specialist and consultant to the Director, 01 Field Office, to the Regional Administrator and the regional inspection staff to provide training, advice and assistance in investigative matters to personnel who may be called upon to assist or participate in investigations; through training and consultation, creates awareness on the part of ' inspectors of potential criminal violations which may be uncovered duqing routine or specia'l inspections.
Prepares and presents briefings on investigations to the Director. 01 and/or members of the Comission, to senior managers in the Region, the Office of In-spection ari Enforcenent and other offices in NRC, to the ACRS, ASLB and others as appropriat.e; and may testify in Court or before Hearing Examiners, or -
before Congressional Committees when requested.
Assists in the referral of assigned cases to the U.S. Department of Justice on analogous state or local prosecutions.
Assists in the perfection of cases for criminal prosecution at the request of federal, state, or local prosecutors in accordance with NRC policy.
Provides them leadership acquire andinvestigative requisite guidance toskills.
newer and lower graded investigators to help Serves as team leader for extremely complex investigations, which may have National ramifications.
- BASIC SKILLS Requires thorough knowledge of investigative techniques as well as of the laws of evidence and the rules of criminal procedure. Should be aware of precendent ccurt related decisions issues. concerning admissibility of evidence, constitutional rights and Mest be able to recognize, develop and present evidence that rssponsibilities, legal liabilities, conflicts of interest, in a manner thatrecons
I r SENIOR INVESTIGATOR, GG (1811)-14 (Task Leader)
Office of Investigations (01) !
OI Field Office .
meets requirements for presentation in various legal hearings and court pro-
! ceedings. This knowledge is equivalent to that gained by the completion of a l
i graduate program leading to a baccalaureate degree at an accredited college or ;
university supplemented by at least five years of progressively responsible ;
investigative experience gained through full time employment as an investigator j with a ' federal, state or local law enforcement or investigative agency. .
Requires detailed familiarity with the appropriate statutes, regulations and ;
license conditions bearing on investigations. l Requires technical expertise regarding reactor construction and operation sufficient to assess and evcluate conditions at power plants which may be !
under investigation.
Requires leadership ability to coordinate and direct a team which may consist of a mix of interdisciplinary personnel. Must have the ability to interact with technical personnel to control, schedule and coordinate work effort and to exchange information regarding technical issues under investigation.
Skills include, but are not limited to:
Detailed knowledge and awareness of what constitutes a crime or violation as defined in pertinent statutes such as the Atomic Energy Act of 1954, as amended, the Energy Reorganization Act of 1974, as amended, the fQtional Environmental Policy Act, and relevant sections of Title 18, U.S. Code; Detailed knowledge of the kind of evidence and elements of proof associated with a particular crime or violation; Detailed knowledge of the methodologies used to prepare, preserve and document
- evidence so as to prevent its destruction, suppression or being rendered unusable.
General' knowledge of the relationships among the criminal and civil investigative :
jurisdictions of various federal, state and local agencies; and General knowledge of decisi,ons and precedent cases involving the admissibility l of evidence.
General knowledge of the scientific and technjcal applications of radioactive materials as they relate to the regulatory process. Broad understanding of the principles, practices and applications of the physical sciences and biology sufficient to conduct investigations into incidents, accioents, allegations and unusual circumstances, including those involving the loss, theft or diversion i of special nuclear materials. This includes a familiarity with the fundaraentals .
of reactor construction and operation as well as with.the associated terminology. I Ability to perce:ve policy and procedural deficiencies or problems in investi-gative methods, techniques, procedures and standards; thorough knowledge of the in,vestigative field so as to accomplish exceptionally difficult staff work which 1
I contributes directly to the advancement of the fGC's mission.
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i SENIOR INVESTIGATOR, GG (1811)-14 -
4- .
(Task Leader)
Office of Investigations (01),
01 Field Office Must also have knowledge and/or skill in:
(a) the use and development of sources of information, e.g., infonnants or allegers, and methods of obtaining required facts and evidence; (b) searching for physical or documentary evidence or clues; (c) using evidence to substantiate findings or conclusions; (d) examining records to detect links in a chain of evidence and/or information; (e) using cameras, tape recorders and photostatic machines to record evidence and documents; ,
(f) observing situations and maintaining surveillances; (g) preparing reports of investigations; (h) using modern detection devices and laboratory services; (1) advances in investigative technology and procedures; J' ,
4s v '
(j) detecting discrepancies in information and in distigtishing between relevant and irrelevant infonnation or evidence; (k) recognizing, exploring and exploiting leads and collecting and presenting physical evidence; (1) developing and maintaining regular ' liaison with federal, state and local law enforcement and investigative agencies; and (m) interviewing or interrogating allegers, witnesses, suspects or informants.
i (n) the preparation of cases for referral to the U.S. Depai tment of Justice or appropriate state or local prosecutors;
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- (o) the functions and procedures associated with investigative grand juries; and '
(p) the applicability of the Freedom of Information and Privacy Acts.
Must be able to communicate effectively, in both oral and written fonn, scien-tific and technical facts in a fashion understandable to others, in reports of investigation and in legal or administrative proceedings.
Mu,st be able to maintain composure and function effectively under stress.
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l SENIOR INVESTIGATOR, GG (1811)-14 (Task Leader) i Office of Investigations (01) {
OI Field Office CONTACTS' Frequent contact with key management and t'echnical personnel of licensees and their contractors / vendors, to conduct interviews and to observe and record facts a' bout persons, objects, and events. ,
Con'tinuous contact with the Director, 01 Field Office, and senior Regional management to share investigative findings, to make recommendations and to obtain and provide assistance regarding the need for corrective action re- i garding matters under investigation.
Regular contact with senior federal, state and local law enforcement and other officials to obtain and provide infonnation and assistance regarding matters under investigation.
Frequent contact with Director. 01, as well as with other Headquarters elements !
regarding matters under investigation. '
Frequent contact with federal, state or local prosecutors regarding referred Cases.
Occasional contact with senior and mid-level management < personnel at NRC Head-quarters, Regional Offices and other government agenciess.to disettss r
and recom-mend changes to technical and administrative policies, standards and procedures and other matters having significant impact on the NRC investigative program.
RESPONSIBILITY FOR DECISIONS:
Supervision Received **
Reports ,directly to the Director, 01 Field Office', GG < .
General Supervision "A" !
Guides are the Atomic Energy Act of 1954, as amended, the Energy Reorganization Act of 1974, as amended, relevant sections of Title 18, U.S. Code, other statutes, and NRC rules, regulations and policies.
' ~
Decisions Made Independently (a) Makes on-the-spot technical and administrative deci: ions, within delegated authority, while perfonning investigations, including expanding the direction and scope of tne investigation being conducted or directed.
(b) Determines, within delegated authority, what information with respect to investigations can be released to officials of federal, state or local agencies; licensees; and concerned or involved members of the public. I (E) Incumbent makes decisions which commit the NRC in the field encompassed by the position; these decisions are limited only by agency policy, programs or regulations. -
_- - . . . . . .- ~. - - . .-. ._ -. - - . . .-
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lh SENIOR INVESTIGATOR, GG (1811)-14 .
(Task Leader)
Office of Investigations (01), .
01 Field Office -
l l Independent Action l
l I
Analyzes the developed information, complaint or allegation to identify the issues involved and the types of evidence or information needed; determines the scope, timing and direction of investigations.
Provides sound, logical and thoroughly documented findings to NRC offi.cials, legal hearings and courts of law. ;
1 Recommends
! i (a) Appropriate action to deal with allegation, incident or accident investi-gated. Based on his experience and the review of evidence, expeditiously alerts Headquarters (01) and Regional Management to those investigations in which potential criminal violations appear to exist /have occurred, so that appropriate and timel of Inspector and Auditor (y coordination can be initiated with the Office OIA).
(b) New or revised procedures, guides and techniques for the development of information, the handling of allegers or informants and the conduct of investigations.
i (c) Concurrence, non-concurrence or modification of: 14we t'ig'ative reports; correspondence with public officials and members of Congress; public announcements; and other matters relating to investigations.
i /
SUPERVISION EXERCISED Directs activities of other investigators and/or inspectors assigned to specific '
investigations and serves as the lead irivestigator and team leader. As assigned, monitors the day-to-day activities of more junior investigators in specific t
investigative functions or across the entire spectrum of investigations.
l Serves regularly as Acting Director, 01 Field Office in the absence of the Di rec tor.
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WORKING CONDITIONS
! Approximately 40 to 50 percent of time is spent in field investigations.
Frequently, field investigations are made with exposure to usual plant hazards, '
i exposure to inclement weather, and the need to use protective clothing and equipment.
Investigations ~ are frequently conducted at construction sites, power plants, etc., where the investigator's actions could result in significant economic impact upon workers and employees; this often means working in a hostile environment and dealing with individuals at cross purposes with the mission of N,8C.
Meets with allegers/ informants to obtain information relative to alleged violations of NRC regulations and/or federal laws. Such meetings often take 4
place in remote locations, motels, etc., with individucls who may pose a threat
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4 SENIOR INVESTIGATOR, GG (1811)-14 ~
(TaskLeader)
Office'of Investigations (01) .
01 Field Office EFFORT
- The field work requires irregular work hodrs, extensive standing, walking, and climbing; also, moderate physical effort in traveling to perform assigned investigations.
The' above activities are frequently conducted during. other than normal duty hours (st night and/;,r weekends) and frequently exceed the basic workday / work-week. -
Staffing levels may frequently require the investigator to pursue such investigative activities alone without the support or protection of additional investigators.
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