ML20030A548

Requests Commission Approval of Revised Draft Manual Chapter 0103 Re Executive Director for Operations Delegations of Authority

ML20030A548
Person / Time
Issue date:	12/18/1980
From:	Bickwit L NRC OFFICE OF THE GENERAL COUNSEL (OGC)
To:
Shared Package
ML19297D012	List: ML20030A548
References
TASK-PIA, TASK-SE SECY-80-457A, NUDOCS 8101090986
Download: ML20030A548 (5)

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%....s SECY-80-457A December 18, 1980

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(Affirmation)

To:

The Commissioners From:

Leonard Bickwit, Jr.

General Counsel

Subject:

ELO DELEGATIONS OF AUTHORITY

Purpose:

To obtain Commission approval of a revised draft Manual Chapter 0103.

Discussion:

At its November 21, 1980 meeting cr this subject, the Commission approved r ome of the provisions of the proposed EPO dele-gation of audnority and withheld action as to oEber provisions.

The provisions yet to be approved are:

0103-01 (first senterca) 0103-02 (introductory sentence) 0103-022 0103-024 (introductory clause) 0103-031*

0103-03 0103-031*

0103-032 0103-037 Our effort to develop languaga that would facilitate Commissfon action on the outstanding provisions of the 4.iegation is attached ( Attachment 1).

An important unresolved issue is the philosophical question whedaer the EDO should be free to take up matters not explicitly delegated to him -- subject to the requirement that the EDO is to submit important policy questions to. die In the present draf t, two separate provisions were erroneously assigned identical numbers.

The final draf t will correct this problem.

8101090986 801218 PDR SECY

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Contact:

C.W. Reamer, OGL-x41493

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The Commissioners Commission -- or, rath er, whether the EDO should be restricted to those matters explicitly delegated to him by the Commission.

That question, as set forth in our earlier memo on this subject, is With respect to matters of business within your functions which you have not previously assigned to the staff or explicitly reserved for yourself (or for the adjudicatory boards, the ACRS or Commission-level ofid es), do you wish the EDO to be able to act unless dhe Commission votes to take the matter for itself or do you wish the EDO to be able to act only if the Commission votes to send the matter to the EDO?

The following language, which is paragraph 02-031 in Attachment 1, embodies the restrictive approach :

1 (a) any other matter or function

}h explicitly assigned by the Commission y le l

or the Chairman.

Any matter or function not explicitly assigned to (O

the EDO is reserved to the Commission or the Chairman as the case may be.

The broad approach can be expressed as I

follows:

(b) any other matter or function not explicitly reserved to or otherwise Jg g

assigned by the Commission or the l

Chairman as the case may be.

In OGC's cjinion, either version (a) or (b) should be adopted in order not to i

leave resolution of the policy question in doubt.

However, the Ccmmission has the optica of rejecting both versions and including no explicit statement on the issue.

We understand the EDO 's l

December 9 memo to favor this approach.

j However, the EDO does not oppose option (b).

Commissioner Hendrie supports the EDO's position.

L

's The Commissioners -

Several odier matters should be highlighted.

1.

0103-024: As now drafted, 024 calls for Ccmmission approval only with respect to major staff ;eorganizations.

The remaining 024 language could be interpreted not to require Commission approval of the odhar items listed (i.e.,

budget estimate, proposed distribution of funds).

We believe this result is unintended.

It can be corrected so as to permit Commission approval of all items in 024 by following the Reorganization Plan language as we have done.

EDO authority for staff reorganizations not involving major offices is not disturbed by this change.

2.

0103-031 (first sentence):

This language is suggested to reflect that the substance of the limitation on TDO authority is chiefly a matter of EDO judgment.

3.

0103-032:

Commissioner Bradford now supports Commissioner Gilinsky's proposal to raquire Commission approval of contracts in excess of

$750,000.

Pr.asently, there exist no express statutory requirements for Commission approval of contracts involving a particular dollar figure.

The FY 81 Appropriation Act (P.L.96-367) is free of such requirements.

The FY 80 Authori-l zation Act (P.L.96-295) included two such requirements, but limited them to funds authorized for FY 80; similar requirements were not included in the FY 81 Authorization bills reported in the House and Senate.

The Commissioners _ Recommendation:

With respect to the question wheEher the EDO delegation should be broad or restrictive, respond to the following:

l Do you prefer version (a)?

Do you y afer version (b)?

Do you prefer the EDO 's position?

With respect to remaining, unapproved portions of the EDO delegation, we recommend approval of the draf t langucge contained in Attachment 1.

Leonard Sickwit, Jr. l.

General Counsel Attachments :

(1)

Draf t Manual Chapter (2)

EDO Memorandum of December 9, 1980 (3)

Draf t SRM Commissioners' comments or consent should be provided directly to the Office of the Secretary by c.o;b. Tuesday, January 6, 1981.

Commission Staff Office comments if any, should be submitted to the Commissioners NLT December 29, 1980, with an information copy tu the Office of the Secretary.

If the paper is of such a nature that it requires additional time for analytical review and comment, the Commissioners and the Secretariat should be apprised of when comments may be expected.

This paper is tentatively scheduled for affirmation at an open meeting during the week of January 12, 1981.

Please refer to the appropriate Weekly Commission Schedule, when publishad, for a specific date and time.

DISTRIBUTION Commissioners Commission Staff Offices Exec Dir for Operations ACRS ASLBP ASLAP Secretariat

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Cut November 20, 1980 FOR AFFIRMATION AND/OR DISCUSSION AND VOTE AT COMMISSION MEETING ON NOVEMBER 21, 1980

SUBJECT:

SECY-80-457 - EDO DELEGATIONS OF AUTHORITY The Commission is being asked to approve a proposed Delegation of Authority to the Executive Director for Operations (Manual Chapter 0103).

To date, Chairmar. Ahearne, Commissioner Gilinsky and Commissioner Hendrie have provided approval / comments on the proposed delegation.

An annotated draft delegation indicating all proposed changes and comments is attached.

Additionally, Chairman Ahearne and Commissioner Gilinsky have also approved the General Counsel's recommendation th&t the staff be directed "to develop and publicize a means by which all limitations on EDO authority (including governing policies) may be discovered by, for example, users of the manual who are not intimately f amiliar with the work ings of the EDO,

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Cne alternative might be to identify an EDO c:ficial who is responsible for maintaining a complete file of delegations, limitations and governing policies with resp ^c' to the authority of the EDO. "

Samue V.# Chilk S

retary f the Commission

Attachment:

As Stated DISTRIBUTION:

Chairman Ahearne Commissioner Gilinsky l

Commissioner Hendrie Commissioner Bradford General Counsel Director, OPE Director, OCA Director, CPA 8101090991 801218 PDR SECY W

80-457A PDR l

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1 CHAPTER 0103 ORGANIZATION AND FUNCTIONS 0FFICE OF THE EXECUTIVE DIRECTOR FOR OPERATIONS

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/ 0103-01 SUPERVISION The Executive Director for p ns reports for all matt rs to

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The Executive a change (VG - not

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Director for Operations shall be governed by the general policies necessary) of the Comission and by such regulatory decisions, findings and determinations as the Commission may by law be authorized to make.

DeExecutiveDirectorforOoerations,throughtheChairman, CGC suggesti I

(JVVG OK) shall insure that the Commission is fully and currently informed t

,i about matters within its functions.

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' 0103-02 FUNCTIONS

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The Executive Director fc,r Operations PepOrt" '^

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'hc M rac+4n" nd cure ~4rio" o# the Chw, 11s spec 1fically responsible JA change L

(VG - not necessary)

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021 administrative functions of the Commission including JA change (VG-too bro!

j resolving EE0 and grievance matters; budret cc.tre' 1-d ' -

delete " coni i

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executic nd oroviding succort services.

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OPJJ distribution of business among the offices which report t

to the EDO.

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0?J4 preparation /of n

(i) the budget estimate for the Commission; (ii) the proposed distribution of appropriated funds

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according to major programs and purposes; and

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1. l (iii) procosals for the reorganization of'the offices which lJA change (VG-OK) report to the EDO. -Cd. r00rca"f re"c"r #"'d va cungg QA ~OK)

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• 0245' consulting with the Chairman orior to the Chairman's OGC suggestior I

(J1v"4-OK) j Mitiation of the acoointments of the Directors of Nuclear Reactor Regulation, Nuclear Material Safety and Safeguards, l

Nuclear Regulatory Research, Inspection and_ Enforcement

_and Standards Develcoment.

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y 02F6 appointing and reeving without any furthee action by the l

Commission, all officers and e:rployees of the of" ice s OGC suggestic:

(JVVG-OK) reporting to the EDO except:

Directors of Nuclear Reactor Regulation, Nuclear Material Safety and Safeguards, Nuclear i

Regulatory Research, Inspection and Enforcement, and I

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Standards Development.

l 0?g7 supervising, directing, coordinating, and approving the activities of the offices reporting to the EDO.

'vd 02/$ develop and approva delegations of authority for offices dd(

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reporting to the EDO.

02)f responding to the reouests of members of the Coranission OGC suggesti l

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- (JVVG<E) for access to information.

O insuring that the Commission, through the Chairman, is fully i

and currently informed about matters within its function.s.

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[0GC is to dr language w ich makes it clear that only Commission VGsugestice.

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(oGC made functions which haNve been exoressly deNoated to the EDO are in similar sugges fact delegated, iriclud funct reviously assigned to EDO fd,.$,wvu sr!< >

which the Comission do ow intend to abolish but which are

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not clearly cover 4 026 abov unctions which have not been

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deieaateddhould be assumed to be.reserveds to the Commission].

.. j 0103-03 AUTHORITIES g

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The Execui.ive Direc, tor for Operations shall be the chief operating and administrati e officer of the Commission and, except as t

otherwise pro ded tr law, regulation, Commission action, or

,h action by e Chairman, reports to and is supervised by tne JA change l {l soc 4 (VG-not necen V

Chairman d is authorized and directed to discharce/th:

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licensing, reaulatory, and administrative functions of the

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NRC and to take such action 5as 5<//necessary to carry out the functions and execute the authorities assigned by this chapter, chapters of offices reporting to the EDO, or other official directives or communications.

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Limitations placed on the authority of the EDO include the 17 i

following:

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[5-igi fi nr.t-Questions of policy arw-tc b: o cae..;ad VG chance 4.o [ sold by ] ~ ion,'cr rnchtica.

dum.- w es k nelm a_4, y p

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$79,nD 032 Contracts, agreements, or interagency ac ons required by law (including authorization statute attached as Appendix A), or regulation to be appr ed by the Commission

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and other contracts for more than 32". 00' shall be VG_ @.ance

\\y submitted to the Commission for approval.

The Executive UA-W VG dange Director for Ooerations will orovide the_ Commission 5 days r U+-od

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notice ~of cancellatiens by the E00 of contracts pre _viously acoroved by the Commission.

033 Those nondelegable functions described in section 161n of the Atomic Energy Act, as amended (Appendix B).

034 Approval of employment of an individual by the NRC prior to completion of the security investigation and reports required by Sec.145.b of the Atomic Energy Act of 1954, as amended, is limited to situations in which an individual will be precluded from access to Restricted Data or National Security Information through administrative procedures, and only upon receipt of an affirmative recommendation from the Director of the Division of Security and a clear showing of need by che regsesting organization.

This authority may not be redelegated.

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035 Any report required by the head of NRC by the Special Counsel pursuant to 5 USC 1206(b)(3)(A) (relating to alleged violations of law in a Federal agency) shall be submitted by the Executive Director for Ooerations, through the Chaiman, to the Commission for review and signture of the Chairman.

Any reports submitted to NRC by the Special Counsel pursuant to 5 USC 1206(c)(3) shall be schmitted by the EDO, through the Chairman, to the Comission for review and certification by the Chairman regarding those matters set forth in 5 USC 1206(c)(3)(A) and (B).

Authority to act for the head of NRC pursuant to 5 USC 1206 may be redelegated to the Deputy EDO but may not be further delegated.

036 With respect to export cases, the Executive Director for Operations will comply with the directive of the Commission contained in Appendix C to this Chapter.

037 Carrespondence to State and Federal afficia'u which involve major new policy questions and all correspondence to the 3/VG change President, and Chairpersons of the Oversight. Committees, k(

Q shall be submitted to the Chaiman for signature.

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i Corresoondence involvina matters of oolicy,will recuire VG change.

Commission aoorovak

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0103-04 REDELEGATION OF AUTHORITY BY THE EXECUTIVE DIRECTOR FOR OPERATI The Executive Director for Operations may, except where expressly prohibited herein redelegate to others authority delegated by this or other official directive or comunication, except that such redelegations and any stipulations on further redelegations must he in writing.

A copy is to be filed with the Secretary of the Comission, and is to be reflected in the NRC Management Directive System.

0103-05 DELEGATION OF AUTHORITY TO THE DEPUTY EXECUTIVE DIRECTOR FOR OPEPATIONS The Deputy Executive Director for Operations is authorized and directed to act in the stead of the Executive Director during the latter's absence.

0103-06 ORGANIZATION STRUCTURE AND INTERNAL ASSIGiciENTS The Office of the Executive Director for Operations includes the Administrative and Correspondence Branch.

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4d UNITED STATES C ug'3)d

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NUCLEAR REGULATORY COMMISS:UN jj WASHINGTON, D. C. 20556

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CEC 9 1980 MtMORANDUM FOR: Leonard Bickwit General Counsel FROM:

William J. Dircks Executive Director for Operations

SUBJECT:

EDO DELEGATION OF AUTHORITY I have reviewed the attached markup of the ED0 Delegation of Authority which you provided me for comment by note of November 29, 1980.

Most of the changes indicated are refinements to preserve Comission prerogatives and make explicit the Chairman's role. They also place more limitations on the EDO authority.

It seems to me that the Comission is better served by an EDO with fewer formal limitations and a proper sense of responsibility.

Specifically, in regard to paragraph 02-031, the EDO would be in a better position practically and optically if this paragraph was omitted.

I also suggest a modification to paragraph 03-311.

I would prefer that the second portion of the paragraph read:

...with respect to such questions, views of the relevant offices which, in the opinion of tha EDO, are significant should be presented to the Comission for decision."

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Wt111 J. Dircks Executive Director for Operations Enclosure Markup cf EDO Delegation of Authority CC: Chafrman Ahearne Comissioner Gilinsky Comissioner Hendrie Comissioner Bradford SECY 81o1090993 8o1218

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PDR

(

ORGANIZATION AND FUNCTIONS CHAPTER 0103 OFFICE OF T' 7 EXECUTIVE DIRECTOR FOR OPERATIONS

2%c4 a hbjec/ lo A 4p.1t< tan naf

<d:l4 se wjada,y.3,PA 6./oq y/fea e8'%AN {iG 6/,im.A 0103-01 SUPERVISION ns reports fn't all matt rs to

'4 The Executive Director for p 3.a 4.

...se.

.u-......<47. tf the Chairma.

The Executive a change (VG - not

+-

necessary).

Director for Operations shall be governed by the general policies of the Comnission and by such regulatory decisions, findings and determinations as the Connission may by law be authorized to The Executive Director for Operations, through the Chairman, CGC suggestie (JeVVG CK) make.

shall insure that the Comission is full? and currently informed about matters within its functions.

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j 0103-02 FUNCTIONS g gg

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'-d The Executive '.irector for Operations Pep.

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+ke c' h, is specifically responsible a c unge 5

e (VG - not for:

necessarf) a change administrative functions of the Comission including (VG-too b=ad 021 delete " cent:-

resolving'EED and,_crievance matters; b ' st-: = 5:' ?- N T

c :cu

d oroviding sut,oort services.

& d ;ce f ?j + hr 0 -' M C E/ W

• lhe O2p C/casfirn } f business among the offices which report 027J distribution o to the EDO.

( bV WmisWn cens'kdh n 0?Jf preparationgof (i) the budget estimate for the Comission; d

(ii) the proposed distribution of appropriated fun s according to major programs and purposes; and i

a?

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orocosals for the reorgani'ation of tfie offices which JA change (iii) u (VG 2) report to.the EDO. -Getti eoroanizations would be VG c.anga.

C)A ~

subject to Commission aceroval.

s CGC suggestic-0?/> consultino with the Chaiman orier to.the Chairman's initiation of the acoointments of the Directors of Nuclear

c..

Reactor Regulation, Nuclear Material Safety and Safecuards, Nuclear Reculatory Research, Inspection and Enforcement and Standards Deveicoment.

02S appointing and removing without any further action by tr.e Conunission, all officers.and employees of the office s CGC suggesti:

(UVVG-OK) reporting to the EDO except:

Directors of Nuclear Reactor Regulation, Nuclear Material Safety and Safeguards, Nuclear Regulatory Research, Inspection and Enforcement; and Standards Development,

~

0?g7 supervising, directing, coordinating, and approving the activities of the offices reporting to the EDO.

02/5 develop nd a;,prov elegations of authority for offices SK reporting to the EDO.

1 CGC sugges-OJp(7 responding to the reouests of members of the Co: mission _

(TWG for at:ess to information_.

g2fpinsuring that the Commission, through the Chairman, is fully and currently informed about matters within its functions.

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.[0GC is to dra.

ear that only Comission VG su esti (OGC:.ade

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functions which ha been expressly de ed to the EDO are in sip J sugg N

(JA-OK fact delecated, includinw funct s creviously assicned to EDO

_ k, & p erste f

which the Co: mission dea no ow intend to abolish but which are gm not clearly cover-e 026 abov netiens which have not been

<# M c G 4" deleaate d be assumed to be res (to the Comission].

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0103-03 AUTHORITIES g.

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Tne Execui.ive Dii ec r for Operations shall be the chief operating and administrati e officer of the Commission and, except as otherwise pro ided by law, regulation, Comcission action, or action by-e Chairman, reports to and is supervised by the JA change sat (VG-not nece.

Chairman nd is authorized and directed to discharge /th:

licensing, regulatory, and administrative functions of the kJ NRC and to take such actionias k/necessary to carry out the functions and execute the authorities assigned by this chapter, chapters of offices reporting to the ED'O, or other

~'

official directives or communications.

Limitations placed on the authority of the EDO include the following:

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[M;.=.i. h=t-] } Questions of policy a :W h M k ch lo sw ley tc -h,.. o.. t;.d VG c;2nce 031 tcMIvl'A bf.

/ e,o[the Comission f:r-r:::,wtu. n.

fil ma],or views 8

f d' i d

,p g g of affected offic are to be presented?

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