ML19291C201
| ML19291C201 | |
| Person / Time | |
|---|---|
| Issue date: | 01/07/1980 |
| From: | Ahearne J NRC COMMISSION (OCM) |
| To: | Mcintyre J OFFICE OF MANAGEMENT & BUDGET |
| References | |
| NUDOCS 8001230121 | |
| Download: ML19291C201 (10) | |
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UNITED STATES y
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. NUCLEAR REGULATORY COMMISSION
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' r January 7, 1980 f.w )
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3 CHAIRMAN The Honorable James T. McIntyre, Jr.
Director, Office of Management and Budget Room 255 Old Executive Office Building Washington, D.C.
29593
Dear Mr. McIntyre:
In his December 7,1979 statement, the president said he would shortly sutxnit to the Congress a reorganization plan for NRC.
He further stated that the plan would (1) strengthen the role of the Chairman as the chief executive officer, (2) empower the Chairman to select key personnel, and (3) authorize the Chairman to act on the Commission's behalf in an emergency.
The Commission understands that the Office of Management and Budget is to prepare the plan, and wants to submit to OMB its views on the topics to be addressed in the plan.
The Commission agrees that the central premise of any reorganization plan should be the retention of the collegial body.
I would have personally preferred the course of a single-head, Executive branch agency, as proposed by the President's Commission on the Accident at Three Mile Island. However, the President's decision was to retain the collegial structure, and that decision clearly has wide support both inside and outside this Commission.
It is the view of the Commission that retention of the Commission structure logically requires the Commissioners as a collegial body to possess the basic authority typically held by the heads of other administrative agencies. The Commission believes that this authority must inexorably extend to any matter that the Commission, acting in its collegial role as head of the agency, deter-mines to be important to the mission of the agency. Only then can it ensure the proper discharge of the agency's statutory responsibilities.
Since I am not fully in accord with this principle, my views differ in some respects from the position of the Commission.
I will provide those views to you at the end of this letter.
Turning to the specific items to be addressed in the plan, the Commission's position is as follows:
- 1.,
The Respective Roles of the Commission as a Colleaial Body the Chair-mTn, and the Executive Director for Operations.
The collegial Commission should deal with all adjudicatory matters, rulemiing decisions, significant regulatory policy matters as determined by the Cc 1 mission,- and such other 1791 316 80 012 30 i L l
2 matters as a majority of the Commissioners wants to consider.
The Comission should establish the basic policy, planning and program guidance for the agency and should review and approve the agency's budget proposals. Major reorganizations of the staff should be reviewed and approved by the Commis-
- sion, e
The Chairman should be the Chief Executive Officer of the agency. As such, he should manage the affairs of the agency and be responsible for its day-to-day operations.
He should carry out the decisions of the Commission and deal with all matters of agency business not assigned to the Commission as collegial functions, in accordance with the Commission's policies and deci-sions.
He should act through the EDO to manage the staff and the resources of the agency in accordance with the decisions of the Commission.
The EDO should be the Chief Staff Officer and should act as the Commission's agent, under the general supervision of the Chairman, in managing the day-to-day operations of the agency.
He should develop for the Commission the planning and program guidance and the budget.
He should keep the agency's business on track, keep the Commission properly informed, control the quality of the staff's submissions in the Camission's decisionmaking process, and act as the representative of the Commission as directed.
2.
The Selection of Key Personnel. The Commission should appoint the EDO, the directors of the five principal program offices (the Office of Nuclear Reactor Regulation, the Office of Nuclear Material Safety and Safeguards, the Office of Nuclear Regulatory Research, the Office of Inspec-tion and Enforcement, and the Office of Standards Development), the Execu-tive Legal Director, the heads of the Commission-level offices (the Office of General Counsel, Office of Policy Evaluation, Office of the Secretary, Office of Congressional Affairs, Office of Inspector and Auditor, and Office of Public Affairs), members of the Atomic Safety and Licensing Appeal Board, the Atomic Safety and Licensing Board Panel and the Advisory Committee on Reactor Safeguards, and such other agency officials as the Commission may specify.
Other appointments should be made by the Chairman or his designee.
Few subordinate officials of the agency possess solely administrative or executive functions, and none of them is among the specified officials that the Commission would appoint under the above arrangement. The work of the Commission-level offices relates predominantly to the Commission as a collegial body, and each of the specified staff officials has substantial responsibilities with respect to the Commission's collegial functions.
If such officials were to be appointed by the Chairman, then they would no longer be accountable to the Commission even though they would continue to influence and be involved in its collegial functions.
.m 1791 317
3 Excluding the appointments for the Licensing and Appeal Boards and the ACRS, the Commission's proposed structure should reduce the number of appointments in which the Commission is involved from 43 to 13, assuming a majority of the Commission did not choose to go beyond the number specified.
3.
Emergency Response. The Commission has recognized the potentially serious shortcomings of collegial actions during an emergency and the need to designate a single agency official to act on its behalf when time is of the essence.
However, the Chairman may not be the best qualified person to handle the technical complexities of an emergency in all instances.
The Commission's preferred approach would be a statutory provision authoriz-ing delegation of most Commission functions, including those relating to emergency response, to individial Commissioners including the Chairman.
Such delegation authority would comport with that of most other independent Commissions.
The Commission also recommends giving the Chairman authority to delegate his functions, as a logical extension of giving similar authority to the Commission. At a minimum, authority should be provided for delegation of emergency management functions alone.
Current law does not provide for either this broad or this narrow authority.
4.
Other Matters. There are other changes in the Commission structure which might be effected by a reorganization plan but which the President did not propose in his statement. The Commission will meet shortly to consider which if any of these changes it may wish to recommend. So that you may have our views as early as possible on those subjects mentioned by the President, we have chosen not to delay this submission until we are able to present a position on these other matters. As soon as we are able to meet to discuss them, we will forward any additional recommendations that we may have.
My own view is that a stronger executive structure is called for and that the Chairman must be responsible for the operation of the staff. Although some of the positions above are steps in this direction, I do not believe they go far enough to provide significant improvement in the efficiency of Commission opera-tion.
My positions on these points, where they differ from those stated above, are as follows:
1.
The collegial Commission should deal with all adjudicatory matters, rulemaking decisions and significant policy matters.
I do not believe its V
charter should include the broader definition of "such other matters as a majority of the Commissioners wants to consider."
This phrase would in effect leave open any and all issues, actions, and day-to-day operations for the collegial Commission to decide.
1791 318
4 The EDO should be Chief Staff Officer and should act as the Chairman's agent in managing the day-to-day operations of the agency.
It is critical to set up a single-line of authority if an operating agency is to be run effectively.
2.
'The Chairman should appoint the EDO and directors of the five princi-pal program offices and approve all other staff appointments he chooses to review.
To establish clearly the single line of authority, the Chairman should be designated by statute as the appointing official for staff other than the Commission level staff. The full Commission should appoint the heads of the Commission level offices (Office of General Counsel, Office of Policy Evaluation, Office of the Secretary, Office of Congressional Affairs, Office of Inspector and Auditor, and Office of Public Affairs), sembers of the Atomic Safety and Licensing Appeal Board, the Atomic Safety and Licens-ing Board Panel and the Advisory Committee on Reactor Safeguards.
3.
Emergency response is the most demanding function in terms of rapid decision making of an operational agency.
The line of authority must be clear and set up to allow incisive decision making.
I believe placing such authority in a single person is much wiser than placing it in a group.
In addition, emergency response is a highly technical operations problem.
It must be directed by that person most familiar with the technical capabilities of key members of the staff. Therefore, I support the proposal to make the Chairman solely responsible for emergency response.
He should also have authority to delegate any functions he sees fit to anyone, including other Commissioners.
The Commission is uncertain whether the President now intends to address all of the above matters in the reorganization plan or whether some may be addressed by a statutory amendment.
Accordingly, the Commission has attached amended language for the Energy Reorganization Act (42 U.S.C. 5 5801 e_t_ seq.) which it believes would formalize the structure it proposes under the above headings.
I have also attached amendatory language which embodies my own views.
We remain available to provide any assistance we can.
Sin rely,
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(1 -
%Qd e
ohn F. Ahearne Attachments as stated 1791 319
(1)
RESPECTIVE ROLES OF THE COMMISSION AS A COLLEGIAL BODY, THE CHAIRMAN, AND THE EXECUTIVE DIRECTOR FOR OPERATIONS Commission's proposal:
Amend the Energy Reorganization Act as amended (42 U.S.C. S5801 et seq.)
1.
By amending the fifth sentence of section 201(a)(1) to read as follows:
Each member of the Commission, including the Chairman, shall have equal responsibility and authority in all decisions and actions of the Commission in the exercise of its functions under paragraph (3) of this subsection, shall have full access to all information relating to the performance of his duties or responsibilities, and shall have one vote.
2.
By repealing paragraphs (2), (3), (4), and (5) of section 201(a), and by substituting the following new paragraphs (2) and (3) to that section:
"(2) The Chairman of the Commission shall be the Chief Executive Officer of the Commission and shall exercise all of the executive and administrative func-sns of the Commission.
The Chairman shall have authority with respect to and be responsible for the day-to-day operations of the Commission including (a) the supervision of personnel employed under the Commission (other than personnel employed regularly and full time in the immediate offices of Commissioners other than the Chairman, and except as otherwise provided in the Energy Reorganization Act of 1974 as amended), (b) the distribution of business among such personnel and among administrative units of the Commisison, and (c) the use and expenditure of funds, ana for all matters not within the authority and responsibility of the Commission under paragraph (3) of this subsection.
The Chairman shall act through the Executive Director for Operations to exercise management control over all offices reporting to or through the Executive Director, and over the resources of the Commission.
The Chairman shall exercise his functions in accordance with the policies and decisions of the Commission.
1791 320' ATTACHMENT 1
2
"(3) Notwithstanding paragraph (2) of this subsection, there are reserved to the Commission authority with respect to and responsibility for all adjudicatory matters, rulemaking decisions, significant regulatory policy matters as determined by the Commission, and such other matters as the Commission votes to consider.
The Commission shall establish the basic policy, planning and program guidance for the Commission and its staff, and should review and approve the Commission's budget and major reorganizations of its staff.
3.
By repealing the first twelve (12) words of subsection (b) of section 209 and by substituting the following words:
The Executive Director shall be the Chief Staff Officer of the Commission and shall act as the agent of the Commission under the general supervision of the Chairman.
(2) SELECTION OF KEY PERSONNEL Commission's proposal:
Amend the Energy Reorganization Act as amended (42 U.S.C.
55810 et seq.) by adding a new paragraph (4) to section 201(a) to read as follows:
"(4) The Commission shall have the authority to appoint and remove the Executive Director for Operations, the Directors of the Of fice of Nuclear Reactor Regulation, the Office of Nuclear Material Safety and Safeguards, the Office of Nuclear Regulatory Research, the Office of Inspection and Enforcement and the Office of Standards Development, the Executive Legal Director, the General Counsel, the Directors of the Office of Policy Evaluation, the Office of Congressional Affairs, the Office of Inspector and Auditor and the Office of Public Affairs, the Secretary of the Commission, and such other officials as the Commission may specify.
The Chairman shall have the authority to appoint and remove all other personnel of the Commission.
~ 1791 321"'
3 (3) EMERGENCY RESPONSE A.
Version which the Commission prefers:
Amend the Energy Reorganization Act as amended (42 J.S.C.
S 5801 et seq.) by adding the following new section 201(i):
"(i)
Except for those functions which may not be delegated under section 161n of the Atomic Energy Act as amended, the Commission shall have the authority to delegate any of its functions to one or more individual Commissioners, including the Chairman, or to any officer or employee of the commission, and the Chairman shall have the authority to delegate any of his functions to one or more individual Commissioners or to any officer or employee of the Commission.
B.
Version which is acceptable to, but not preferred by, the Commission Amend the Energy Reorganization Act as amended (42 U.S.C.
S 5801, et seq.) by adding the following new section 201(i):
"(i)
Except for those functions which may not be delegated under section 161n of the Atomic Energy Act as amended, the Commission shall have the authority to delegate any of its functions concerning emergency response management to one or more individual Commissioners, including the Chairman, or to any officer or employee of the Commission.
I791 322'
(1)
RESPECTIVE ROLES OF THE COMMISSION AS A COLLEGIAL BODY, THE CHAIRMAN, AND THE EXECUTIVE DIRECTOR FOR OPERATIONS Chairman Ahearne's proposal:
Amend the Energy Reorganization Act as amended (42 U.S.C. S 5801 et seq.)
1.
By amending the fifth sentence of section 201(a)(1) to read as follows:
Each member of the Commission, including the Chairman, shall have equal responsibility and authority in all decisions and actions of the Commission in the exercise of its functions under paragraph (3) of this subsection and shall have one vote.
2.
By repealing paragraphs (2), (3), (4), and (5) of section 201(a), and by substituting the following new paragraphs (2) snd (3) to that section:
"(2)
The Chairman of the Commission shall be the Chief Executive Officer of the Commission and shall exercise all of the executive and administrative func-tions of the Commission.
The Chairman shall have author-ity with respect to and be responsible for the day-to-day operations of the Commission and for all matters not within the authority and responsibility of the Commission under paragraph (3) of this subsection.
The Chairman shall act through the Executive Director for Operations to exercise management control over all offices report-ing to or through the Executive Director, and over the resources of the Commission.
The Chairman shall exercise his functions in accordance with the role of the Commission as described in paragraph (3) of this subsection.
"(3)
Notwithstanding paragraph (2) of this subsection, there are reserved to the Commission authority with respect to and responsibility for all adjudicatory matters, rulemaking decisions, and significant regulatory policy matters as determined by the Commission.
The Commission shall establish the basic policy, planning and program guidance for the Commission and its staff, and should review and approve the Commission's budget'and major reorganizations of its staff.
1791 32*V ATTACHMENT 2
2 3.
By repealing subsection (b) of section 209 and by substituting the following new s'absection:
"(b)
The Executive Director shall be the Chief Staff officer of the Commission and shall act as the agent of the Chairman under the general supervision of the Chairman.
The director of each component organiza-tion of the Commission, other than the General Counsel, the Directors of the Office of Policy Evaluation, the Office of Congressional Affairs, the Office of Inspector and Auditor and the Office of Public Affairs, and the Secretary of the Commission, shall report through the Executive Director.
4.
By repealing from the first senten' e of each of sections c
203(d), 204(d), and 205(d) the words ", who may report directly to the Commission, as provided in section 209,".
(2)
SELECTION OF KEY PERSONNEL Chairman Ahearne's proposal:
Amend the Energy Reorganization Act as amended (42 U.S.C.
S 5801 et seq.)--
1.
By repealing from the first sentence of each of sections 203(a), 204(a), and 205(a) all after the first comma, by substi-tuting a period therefore and by adding a new paragraph (4) to section 201(a) to read as follows:
"(4)
The Commission shall have the authority to appoint and remove the General Counsel, the Directors of the Office of Policy Evaluation, the Office of Congressional Affairs, the Office of Inspector and Auditor a*td the Office of Public Affairs, and the Secretary of the Commission.
The Chairman shall have the authority to appoint and remove all other personnel of the Commission.
2.
By repealing subsection (a) of section 209 and by substi-tuting the following new subsection:
"(a)
There is hereby established in the Commission an Executive Director for Oper2tions.
1791 324
~
3 (3)
EMERGENCY RESPONSE Chairman Ahearne's crocosal:
(Note:
Chairman Ahearne believes that the Commission's version "A" would be a desirable change in the law for the Commission's day-to-day functioning.
However, neither version "A" nor version "B" represents his position for emergency response.)
Amend the Energy Reorganization Act as amended (42 U.S.C. S 5801 et seq.) by adding a new paragraph (5) to section 201(a) to read as follows:
"(5)
Notwithstanding paragraphs (2) and (3) of this subsection, the Chairman shall have the exclusive authority to exercise any function concerning emergency response management during an emergency, and the auth-ority to delegate any such function other than those functions which may not be delegated under section 161n of the Atomic Energy Act as amended, to one or more individual Commissioners or to any officer or employee of the Commission.
I791 325
.