ML19262B867
| ML19262B867 | |
| Person / Time | |
|---|---|
| Issue date: | 07/12/1979 |
| From: | Kenneke A NRC OFFICE OF POLICY EVALUATIONS (OPE) |
| To: | Gilinsky V, Hendrie J, Kennedy R NRC COMMISSION (OCM) |
| Shared Package | |
| ML19262B859 | List: |
| References | |
| SECY-79-082, SECY-79-82, NUDOCS 8001150486 | |
| Download: ML19262B867 (13) | |
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UNITED STATES
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'T' ORA'E.3 FCR :
Cha'ir.=n Hendrio Cc:n.i ssicner Gilins'./.y Canissioner Kennedy
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Co.nissioner Bradford Comi,sc"rGAhearne
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AMpm/e, Acting Director, OPE +
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Fcr the Ccmmis'sica../
-he Senate Commit. tee on Enytronment and Public h'orks has recommended inclusicq
- f a rec,uire:.ent fcr a c.anagement study in the FY 1950 NP.C authorization legi;-
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The mandated one-year study would include:
..ine e:Ticient man.agement of agency reso.urces;
- 2. The management of contracts and procurement;
- 3. The agency's capability for crisis management; x
". The need for improvement in coordination and ccT.munication given the agency's statutcry structure; and
?. E'fec'.i te perscnrel management, particularly. itn regard to equal employment c;pcrtunity policies."-
-te :3rtinent secticn of the Ccmmittee's' report is enclosed, along with the
- e -t' nent secticn of the bill (Sec. 106).
he stLdy discussed here would compleme~nt, rather than duplicate, a related
' i cf. crk in orogress -- a revicw of delegaticns cf authorit;. within N?,C --
..- C:E/03: stuay recuested by the Cctmission due to be ccmp.leted in Se:tember.
- re :elecatier, stud.' includes review of formal delecaticns of authority fren
- he [ctm.issicr. to. tis of fice. directors, tcgether wi.h principal redele;aticns;
- s fi:to celegaticns Of authority; and policy optiens available to the Cc:aission liter - '.; e; '.s-ir.; patterns of. delegation.
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' 3 d tyOes of ~.a.iji7irt study Can be CCOsidere';
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Given that th: most it..ediate attention is likely to ftcus on the, first cf
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'.-lhile it ':culd a';so provide appropriate badkground for any ccre specialized studies, such studies would ce undertaken frcm time to time in pirticular areas on the basis of special consideraticns and are not intecded
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..t 1921 073
For the Ccmmission J (b) What are the relative roles of papers and crcl discussion,s?
(c)'To hat extert do (i) papers and (ii) cral ciscussicas focus en the crucial fac' ors that enter Commission decisions?
(d) What is the bearing of the Sunshine Act on the conclusions with respe:t to (b) and (c)?
8.
What are the Chairman's functions as (a) N$C's principal executive officer and (b) the Commission's spckesman? What are the roles of other Cor.issicners and of the Commission as a collegial body in relatio'n to these functicns of the Chairman?
9, Are thare matters in.ihich there could be merit in resorting to the lead-Cc: issi;ner concept?
'f so, xhat objectives ar.d constrains would ce apprcpriate? What.;ould be the advantages and cisadvantages?
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0 If i:a cecide to proceed, ycu can have 0?E and OGC pre;are fcr y:ur ce / e.,1:d
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C0r.!rcCt0r Selectior,1 v.tuld, Of Course, be a CC.missiCn decision.
Your scope 'decisicns need not aEait receip't of the GA0 re;crt drift.
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you -'y. tant to consider making changes in the.stucy s s :
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DI5CUSSION
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.; r.e Cc=nt.:,e.e n, a.s s.,cen:=ca a n=ber of concerns re, car.e,:.
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{_s 1921 077 66J e
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.o The following is a summary of some of the committee's concerns.
=-W
~-
First. the size of the NRC stad has grown subs:antially in recent n. ;-
==..
y.e.:rs. On February 10.1975. when the Agency began operations, NRC
_ ";=-
c.ad 1,515 posi.tions. Th.e Escal. year 1HO, authorimuon rec.uest s
- .. ".... =.
"=
- _-...
- =
.or :3..qJo pon.nons, an meresse or. more tnan 1,000 people, or 607c',
- _=:.
E;;-
since 1975. The Escal vear 1950 authorination request rentesents an in-crease o: 105 staf positions above tlie Escal vear 1979 ler'elThe.b'ulk of
--===;-
~
these positions S5) are targeted to reduce the backlog of power plant
.r --"1... -
==
liemg amen -ents in tne 05iee of Nuclear Reactor Regulation.
i..-------
W The cos. of these stad positions for Escal ye's.r 1950 will be about $4
'2-
~-~
.million..uthough XRL has provided a detailed explanation of how these people will be used to reduce the backlog of moreihan 2.200 outstanding licenh amendments, the acenev nas failed-to provide r
a fully satisfactory explanation as':o why NR'C management allowed
! "~ 1__
~
.. _.. = _.
- b b1C.h.,lo. g to develon.over the F"ber of new nuc, ear power plant h,eense ast few Tears.
t "~
in accinon, altnougn tag nu=
l r -._._.. ~ ~ -
epplications coming 10 to NRC has been dec%g over the past few
, rears. the N.RC rec.uests for stad to.nrocess those an.P cadons have
~ --'-
li reen :ncreannt. A manaccment review 'rould provide mformativa on
~.. -.. _..
wb ther NRC~ management is usinc its growihr s:nf efec:ivelv and
' ::r-----
could identify other emerging pro 51em ares, si:ch as the backIog of.
license amendments, before they reach the point where nujer new
~-"
naf increases are needed :o address the:d.
Se:ond. poor =anagement of NRC don:racts, consultants anc other
[ = R
.u=-
n n.-
arra:.gements for research services, has been identided in repc ts by.
[-'
GAO and by NRC's Ofice of Inspec:or and Auli:cr. The contnittee e
..._f.~~;.. _
has mken acticn to provide for.more efective management of contracts ar.d other crocurement actions. Those actions are d:scussed senaratelv in this repon A management review of NRC's contracts a'nd pro'-
E._. _..
- urement ac:irities woulc provide funher information on specine de-
=-
Sciencies in the a$encv's present nr:mtices as well as the efecnveness 7 ~"~'~" '.__
a
..:r-of,those.actio.s w ich' the committee has recommended to correct the.
1*
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=~
cesciencres.
Third, events during the Three Mile Island incident.'esneciallt the E~
~.._..i
~
NRC's limi:ed resnonse wi:hin the Erst few davs and ' release of con-i "--
dininc and un:oofdinated advice cominc from ihe scener wi:hin that W
~' MT ~~
' nrovide u'sefm,v response. A.n rcepencen: management review could
- ["""r=~=.-
p-io.f. raise c,uestien.s regarding the NR'C's managa'sent' organization
":=
- emercene i:iformation in t..is area as well.
- E. = ="-
' Fcurth. the com.minee has in the past identified communication and E.
ec rrdinntion c!Eicul:ies within NRC's exist.ine statutort strue:ure as a 1
f."~'
ecIlerial bcdv with adiudicatorv responsibilities. Fo'r enample. tne cr.msittee di'scovered t'ne NRC~ practice of direct commumcalions 7'=~#='~1?
amon major NRC stad edices and the Commission without inform-L.
~
- =
in the Executive Director for Operations, the chief staE oficer for F
- r-the agency. In addition, major pro ~ ram areas. such as nuclear waste E
"~
="
disposal and safeguards. are spreal across several NP,C stad ofices, a development not contemplated b the Energv Reorganization Act.
..._;r_.:=,
=E==-
3 of 1974.
F=
Scme manacement mechanisms have been developed for coordinat.
E._;.Z..~Z.
ine :he over!5ninc einr:s of the various odices. but there are indica-t.= -
E E.~""-.
- iens that :!dma~v not be as edeetive as necessarv. An indenenden~t
=anagement, mvied would help to identify othei coordination and
.. r u.._
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.ccmm mication di5culties and to develop eEective manage =ent te:h-E:
- - ~.:....
- C. ; '."Z._
E"O....
nicues to addresa these:
Er".
~
Einallv, the director of NRC's 05ce of Ecual Emolor:hent Op-5F- ~ ~~"-
--~' ~ ~_. -
portunit.Fhas recomrnended. and the Commisiion has'.en'dorsed, the E '" ~~~~
.........._... r w..-..
need for an assessment of the agencr's,persennel pohey and prac-
....:T.
-m - -.
tices, and their impact oh women and imnorities. however,d. it does m view of demands on the Acency in the wake bf Three Mile Islan E--
.. =.:;E.g. _ ~~r not apnear that NRC itself will undertake such a studv.' An in;-
t--
~ ~ " '
.._. --i. - ---
~
dependent management review could usefully p(rovide such a studv.1) the purpose an'd E_
Further, a manace=ent review could ennmiie
......' ~ "... _
effectiveness of S'RC's sebaration of the Federal Women's Coordina-
.. l...; : ~::....._ __.. _
E tor function from the E O oEce: and (2) the possible conHiet of.
~ ~ ~
~~"
interest implications of the Federal Womens Program AdvJsory A r
Committee's role as an NRC advisort g: cup as well as a representa-F 1 ~~~~"- -"
ti.ve of women in class actionsuits acainst the Co"" ion.
W._ -.. -
The committee has received estihates frtz three independent man-
@h-
- =...:r--...
agement consulting Orms which indicate that r. thorough review of
{!.E.~..T ~- '.. -~..--
~~,
SRC's manacement practices, includine documentation and recom-p...
~~
mendations for corrective action, could 6e conducted for a cost of apq e ~'
prcrimatelv S250.000 to S500.000.
E.~"
"~~ " - :$=~~ - Z The condnitte E-....'.~.".
..._..r. _..~~.'...T..7_1.Z.
for an m. depenc,e author,izes' the Co.*ssion'to enter into a contract ent stucy or NRC s =anacement structure. process,
}i;..
~.
t procedures, and operations. This studv shoul'd at least include t F
_2- ~~ ~~ '-
~~... =..
(1) The eMeient man:gement c'f agency resources;
$~~
~~~"": ---- -
(2) The =2nagement of contracts an(procurement; E. ""; _..._
--" =
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(5) The acenev's enpr.bility for crisis management:
~~~ ~~ ~ _.
~
- 6) The netd'for improve:nent ir. coordination cnd communi.
E. ~ ~~~
caticn civen the acener's statutor st ucture; and E:
"=
(5) Efective persoinel manaie=ent, carticularlv with rezard
~ ~ '
to ecual emoiorment opnortuniticolicies:
~
k; :
. This sIudy dould be cenipleted a'nd submitted to the Congress not Ir t
. =. ;;:..:;
later inc.n one year from the date of enactment of the Escal'vcar 1950/
D-. _.-...
. _. _ _... ~
authorization act.
=
The committee intends that the'Cc.nnission, in selecting a Erm to undertake che study, shoul'd choose a E m with ceneral aud,itinz er.
N perience that avoids either the appearance or the actuality of anv~ con-I
~
dict of interest regarding nuclear regulatory matters.
1
~~
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'i 1921 079 4
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.S Szc.106.'Th'e' Commission is authorized and directed 9 to enter into a contract for an independent review of the Com-
.10 mission's management structure, processes,' procedures, and-11 operations. The revie1c shall include an assessment of the 12 effectiveness of all levels of agency management in carrying 13 ou: the Commission's s!ctutcry responsibilities, in developing 14 and implementing policies and programs, and in u.cing the 15 personne! cnd funding available to it. The contract shall pro-16 ide fon submission of a report of the findings'and recommen-l 17 da! ions cf !he review to the Commission n_ot later than one l
1 15 year from the date of~ enactment of this Act, and the Commis-19, sion shall.immediately transmit such report to the. Congress.
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18 An Interpretive Guide to the GOVERNMENT IN TFE Sl'NSHINE ACT 1532b(c,)
Since the exernptions are worded in terms of categories of information to be disclosed at a meeting, the agency deter-mination made in advance of the meeting must of necessity be an estimate of what is likely to t:anspire. The Act requires the agency to determine whether the disclosurein questionis "likely," and the Conference Report nqtes ti?at this means "that it is more likely than nct that the event or result in question will occur," Conf. Rept.15.2 Of course, the agency will' seldom be able to separate entirely its calculation as to the likelihood of the resitlt frorn its perception of the gravity of the hatm.
1 Exemptions (1) and (2)'- National Defense and Foreign Pol-icy: Internal Personnel Rules and Practices
"(1) disclose matters that are (A) specifically outhorized under criteric established by cn Executive order to be kept secret in the interests of national defense or foreign
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policy and (B) in fcct properly cicssified pursuant to such Executive order;
"[2] relate solely to the interncl perscnnel rules'cnd picc-tices of cn agency."
Exemptions'(1) and (2) are identical to the first two exemp-tions in the Freedom of Information Act. 5 U.S.C. 555:(b).
With respect to the second exemption. the language of the 5
House bill was taken in preference to the lansuage in the Senate bill " relate solely to the agency's own internal per.
sonnel rules and practices." Accer&ngly, exemption (2) would be a"ailable for the discussica of a personnel matter involving another agency.' The Conference Repcrt also notes with approval the Supreme Ccurt's interpretation of the sec-and Freedom of Information Act exer.ptica in Department cf
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Air Force v. Rose,.125 U.S. 352.[19 6); Conf. Rept.,15.5 2See also regulation of the Securities'and Excha::ge Commission 17 C.F.R.1200.401[f). 4 2 F.R.14 594.
- See, e.g., regulations of the Commodity Futures Trading Commis-sion.17 C.F.R. [147.3(b)(2). 42 F.R.12704: and the Securities and Exchange Commission.17 C.F.R. (200.402(a)(21. 42 F.R.14694.
Sin Depcrtment of Air Force v. Rcse, suptc the Supreme Court held that FOIA exemption (2)'was not available to withhold case sum-I maries of honors and ethics hearings at the Air Force Academy.The Court said.
"[A]t least where the situation is not one where disclesure may i
risk circumvention of agency regulatien. Exemption 2 is not applicable to matters subject to such a genuine and significant public interest. * *
- Rather, the general thrust of the exemp-l tion is simply to relieve agen:ies cf the burcen of assembling l
and maintaining for public inspecnon matter in which :.he j
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An interpretive Guide to the 1
1S COVERN.\\'fENT IN THE SUNSHINE ACT Exemption (3) - Statutory Exemption I
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"[3] disclose matters specially exetnpted from disclosure l
by statute [other than section 552 of this title), provided
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t that such statute TA) requires that the matters be with-held from the public in such a manner as to leave no dis-
[
cretion on the issue, or (B) establishes pbrticular criteria for withholding or refers to particular types of matters to t
L be withheld "
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This exemption parallels the third. exemption in the
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Freedom of Information Act,5 U.S.C. 5552(b)(3), which is amended to conferm by section 5(b) of the Government in tne j
Sunshine Act.The Conference Report says that this exemp-i tion "cpplies only to stctutes that either (c) require that the in-fo mation be withheld from'the publicin such'o manner cs to lecve no discretion on the issue, or (b) establish par-ticular criteric for withisolding or refer to particular types of infarmation to be withheld. The conferees intend ~
l this language to overruitt the decision of the Supreme t
Court in Administrator, FAA, v. Robertson 422 U.S.255
)
(1975), which dealt with section 1104 of the Federal l
Aviction Act cf 1956 (49 U.S.C. 51504). Another example of a statute whose' terms do not bring it within this ex-y emption is section 2106_ of the Socici Security Act (42 U.S.C. s1306J." Conf. Rept.,14.
I Examples of statutes which would come within e> imption (3) are sections 70S(b) and 709(e} of the Civil Rights Act of public ceuld not reasonably be expected to have an interest?
c5'.'.S.st369-70.
Translaimg such a public interest.administrajive burden calculus frem the FOIA to the Sunshine Act presents certain prcblems. It night be argued that 'he public shvays has an interest in matters vhich are sufn:ient.:. important to require the attention of a of Presiden*.ial appointees, and in. most respects the g
zucrum administrative.;urdens of desing a meeting are greater than those invohec in he' ding an open meeting. On this rationale. therefore, the scope cf exempticn (:') might be fairly narrow.
The earlier legislative history. however. indicates that the pur-pose of Sunshine exemption (:) is "to protect the priva,cy of staff members and to cover the handling of strictly internal matters." H.
Rept. !. 9: see also S. Rept 21. With respect to protection of privacy the exemption overlaps exemption (6).although the privacyinterest in discussicc. of persennel matters may very well go beyond pre-t ventir.g disclosure of mformation of a personal nature and include b'
the ir:eres:s of participants in the meeting in being able to comment' freelv on the qualifidations of members of the staif. In other words.
the inte;.t,of Sunshine exemption (2) seems to be to preserve. in the area of persennel and internal administration, the values served by n'e fif:S exemption of tne FOIA.
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