Investigations

On this page:

• The Office of Investigations
• The Role of the Office of Investigations
• Authority and Jurisdiction
• Annual Report
• NRC Report on Criminal Regulatory Offenses

The Office of Investigations

Director: Thomas Ashley
Deputy Director: Jerry Prichard

The Role of the Office of Investigations

The Office of Investigations (OI) conducts investigations of licensees, applicants, their contractors or vendors, including the investigation of all allegations of wrongdoing by other than NRC employees and contractors; ensures that the Commission and NRC offices are aware of matters under investigation as they affect the public health and safety, and common defense and security; maintains current awareness of inquiries and inspections by other NRC offices to identify the need for formal investigations; makes appropriate referrals to the Department of Justice maintains liaison with other agencies and organizations to ensure the timely exchange of information of mutual interest; and issues subpoenas where necessary or appropriate for the conduct of investigations.

Authority and Jurisdiction

The OI investigative authority is derived from Title 10 of the Code of Federal Regulations (CFR), Part 1, Section 1.36 (1998); Section 161(c) of the Atomic Energy Act of 1954, as amended (42 U.S.C. 2201 (c)); and Section 206 of the Energy Reorganization Act of 1974 (42 U.S.C. 5846). The OI investigative jurisdiction includes the investigation of alleged wrongdoing by licensees, certificate holders, permittees, or applicants, by contractors, subcontractors, and vendors of such entities, and/or by management, supervisory, and other employed personnel of such entities who may have committed violations of the Atomic Energy Act, the Energy Reorganization Act, and rules, orders, and license conditions issued by the Commission.

Annual Report

In accordance with NRC Staff Requirements Memorandum COMJC-89-8, dated June 30, 1989, the OI produces an Annual Report. This publicly available report provides the NRC with an overview of the mission, purpose, and activities of the OI, including highlights of significant investigations that OI completed during the fiscal year. This is the 36th OI annual report.

NRC Report on Criminal Regulatory Offenses

In response to Executive Order 14294, the NRC prepared a Report on criminal regulatory offenses enforceable by the agency or the U.S. Department of Justice. The report describes the legal authority, mens rea standard, and penalties associated with these offenses.

As discussed in the report, the NRC does not apply strict liability to evaluate potential criminal regulatory offenses involving NRC requirements. In accordance with the Atomic Energy Act, as amended (AEA), the NRC applies willfulness as the mens rea standard for all criminal regulatory offenses involving NRC regulations. Also as described in the report, Congress, in the AEA, established the range of potential penalties for those convicted of criminal regulatory offenses involving NRC regulations.

The NRC works with the Justice Department regarding potential criminal violations of NRC regulations. The NRC refers potential criminal violations of NRC regulations to the Justice Department – as the Justice Department decides whether to initiate criminal proceedings.

Criminal proceedings involving NRC regulatory offenses, while serious, are not common. On average, the Justice Department pursues criminal proceedings involving potential violations of NRC regulations about two to three times every five years.