ML20213D982
| ML20213D982 | |
| Person / Time | |
|---|---|
| Issue date: | 01/26/1982 |
| From: | Dircks W NRC OFFICE OF THE EXECUTIVE DIRECTOR FOR OPERATIONS (EDO) |
| To: | Demuth C OFFICE OF MANAGEMENT & BUDGET |
| Shared Package | |
| ML20213D984 | List: |
| References | |
| FRN-52FR41442 AB43-2-125, NUDOCS 8202230095 | |
| Download: ML20213D982 (11) | |
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UNITED STATES
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NUCLEAR REGULATORY COMMISSION
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.January 26, 1982 Mr. Christopher DeMuth Administrator for Information and Regulatory Affairs Office of Management and Budget Washington, D.C. 20503 i
Dear Mr. DeMath:
By letter of October 30, 1981, to Nunzio Palladino, Chairman of the United
- States Nuclear Regulatory Comission (NRC), you requested the NRC submit to the Office of Management and Budget (OMS)'its plans to identify and implement improvements in controlling the paperwork burden imposed on NRC licensees.
, We are pleased to provide you the enclosed descriptions of our planr.
The NRC has already established several mechanisms to improve the control of the paperwork burden imposed on NRC licensees.
On October 8, 1981, the Comission established the new position of Deputy Executive Director for Regional Operations and Generic Requirements.
The princinar purpose for" establishing.the position is to provide a single agency focal point.for.-
controlling generic requirements imposed on, and generic cornunications with Specifically the Deputy Director for Regional Operations'and NRC licensees.
Generic Requirements coordinates licensing, inspection and enforcement inter-actions with licensees by NRC's major offices responsible for.those activities and pmvides management control of these activities involving Headquarters He also controls the 7rogramatic offices and Regional operations offices.
imposition of all generic requirements on licensees including paperwork re-In additien, he serves as Chairinan of the Comittee to Revies quirements.
Generic Requirements which is assigned to review generic requirements imposed A detailed cin licensees operating one or more classes of nuclear reactors.
description of the functions of that Committee is set forth in Enclosure 1.
We also have two other efforts in progress which will improve control of These include reporting and recordkeeping requirements imposed on licensees.
a review of NRC guidelines for performing a regulatory analysis and the agency's rev.iew of existing regulations.
These efforts are described in Enclosure 2.
l In addition, our plans include two other projects which will lead to improve-First, a review will ments in the paperwork burden imposed on NRC licensees.
be conducted to establish retention periods for those recordkeeping requirements.
Second, the NRC staff will prepare an NRC
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which current,y are open-ended.
1 manual which will govern the imposition of reporting and recordkeeping require-
' ments on members of the public. A work plan for carrying out these projects is l
l described in Enclosure 3.
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Wh fe'el the appointment of the Deputy Executive Director for Regional Operations and Generic' Requirements, the establishment of the Committee to Revieu Generic R'equiremehts, and the d,ther prtijects I have described, represent significant efforts to control the hapervofk burden imposed on licensees.
We recognize the neid to continue to monitor our efforts and take additional steps when To keep the OMB infortned of our efforts to control and monitor necessary.
paperwork burdens imposed on licensees the NRC will provide the reports listed in Enci,osure 4.
Sincerely, William J. Dircks Executive Director for Operations
Enclosures:
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ENCLOSURE 1,
The 'Conrditiee,to Review heneric hecuirements The United States Nuclear Regulatory Comission establ.ished, effective '
November 2,'1981, the Comittee to Review Generic Requiremer.ts.
The objectives
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of the Connittee are to improve the NRC control over requirements imposed on NRC licensees and to focus priorities of the agency c'nd the, nuclear industry on those requirements having the greatest safety significance. 7be comittze has the respmisibility to reconrnend to the Executive Director for Operations the.
approval or disapproval of requirements to be inposed on one or more classes of nuclear reactors, thus serving as a single, agency-wide point of control.
The Committee will de;crmine whether or not proposed new requirements-will
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contribute effectively to health and safety or will, place an unnecessary burden The Committee consists of representatives of on licensee or agencyetesources.
seven NRC offices, including NRC's four major program offices.
It's Chairman is the nek Deputy Executive Director for Regional Operations and Generic Require-The Charter of the Committee prescribing the scope of the Cormittee's ments.
responsibility and its 'peccedures are now pending Co::rnission review. ' A copy of the. Charter will be sent to you in a few weeks.
As acknowledged in OMB's_ letter of 0:;tober 30,' 198'1, the NRC nas taken a major step in controlling reporting and recor'dkeeping requirements imposed on liEensees x
The Com-in.the establishment of the Comittee to Review Generic Requirements.
mittee will review the need and practical utility of all reporting and record Interim keeping requirements imposed on one or more classer of nuclear: reactors.
O pr'ocedures and' review criteria have been estab,l.i.shed, fot.3hj _Comittee's review of reporting and recordkeeping requirements (Attached).
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1 INTERIM
. PROPOSED
- PROCEDURE FOR THE ASSESSMENT OF REPORTING AND RECOADKEEPINE REQUIREMENTS IMPOSED ON LICENSEE 5
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This procedure applies to all Requests for OM3 Clearnance under the Paperwork
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1 Reduction Act which are submitted to CRGR as part of the package requesting approval to impose a requirement on one or more classes of reactors.
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1.
When a requirement imposes a repor. ting or recordkeeping requirement on licensees, the office submitting the package will submit a draft of the 0M3 Clearance Application; required in the nemorandum of April 24, 1981 from William J. Dircks, hecutive Director for Operations to all Directong*
- regarding~ the implementation of.the Paperwork Reduction Act.
A copy of the draft OMB Clearance Application shall be concurrently furnished to the Division of Technic ~al Information Document Contrdi.
- 2.
The following f actors will be considered by the DEDROGR and the CRGR evaluating a proposed reporting or recordkeeping requirements:
Is the reporting or recordkeeping requirement needed (i.e.
Is is (a) the best means to achieve a necessary regulatory objectivef).'
(b)
Does the information reported or re uired to be kept, have practical utility, i.e., does the NRC have the capability to use the information in a timely and useful fashion?
(c)
Is the s.chedule for imposing the reporting or recordkeeping
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requirement reasonable?
Is the reporting or recordkeepiNg requirement selected the least
('d) burdensome method for achieving a necessary regulatory objective (i.e., Does it impose the appropriate degree of formality and detai1?).
(e)
Does the requir'ement duplicate or overlap requirements imposed by
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the NRC?
(f)
Does the requirement duplicate or overlap requirements imposed by other government agencies?
r-(g) Was the method used to estimate 'the b.urden adequate?
Are'the b'urden estimates reasonable when compared,with similar l
(h) requirements previously cleared?
l (i) 1s the method proposed for collecting or keeping t'he information con'sistent with sound record management practices?
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(j)
],5 the record retention. period sufficiently oefinitive and,
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reasonable?
(k) *.Does the reedirement' adequately {dentify the records to be j
inaintained an'd the infonnation tci be reporte ? -
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Are NRC administrative. support requiremen'.s sufficient to J
manage the infomation collected?
(,m) What is the impact on.the agencys. inf6r:ation collection budeet?
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The Office of Administration within five days of the submission of the reporting or recordkeeping requirement will provide to DEDROGR a written-3.
assessment of the. factors set forth above in Itsa 2; DEDRDGR will <!ecide which Requests for OMS. Clearance should be submitted 4.
for CRGR review..All others will be returned.to ADM for appropriate action.
For each 0F3 Clearance Package submitted for the revi.ew, the CRGR will
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detennine if the proposed reporting ~or recordkeeping is needed and has
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potential utility.
The Chairr.an of the CRGR, once a reporting or recordkeeping requirement 6.
is approved, will provide the Office of Administration,a written. statement of the CRGR decision.
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Aftet concurrence by DEDROGR or approval by CRGP., the Office of Adinistration will submit the NRC application to OM3 for clearance.
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Agency Projects in Progress Which Affect Control of Reporting and Recordkeeping Requirements I.
Review of Acency 'Talue 15cact Guidelines In a March 25, 1981, letter to the Commission, Vice President Bush asked that. the Commission comply with the spirit of Executive Order 12291 (the
',' Order") and adhere voluntarily to Sections 2 and 3 of the Order. The response to the Vice President stated the Commissio'n'JL support for the
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purposes and objectives of the Order and informed the Vice President that the staff would conduct a study' to identify particular changes, consistent with NRC responsibilities under the Atomic Energy Act, to bring Commission procedures and practices,more in line with the spirit of Sections 2 and 3 of the. Order.
To carry out this study, the NRC's Executive Director for Operations on December 7,1981, appointed an agency-wide Task Force to review the agency's Value Impact Guidelines which were adopted in 1978.
The objective of the review is to improve the quality and use of analyses within the NRC and to promote consistency with Executive Order 12291.
One of the several principal purposes of the review will be to integrate the analysis of reporting and recordkeeping requirements into the over-all analyses of substantive regulatory requirements to which these paper-work requirements relate.
The integration is expected to result in a more effective analysis of NRC regulatory actions and provide a rcre effective mechanism for identifyi.ng the costs and benefits of imposing requirements.
' '**~ It is another p0rpose of the Task Force to consider whether more effective institutional mechanisms are needed t,o assure procedural compliance with the Value Impact / Regulatory Analysis Guidelines and to assure the analyses
, of both substantive regulatory requirements and reporting and recordkeeping requirements are adequate.
The revised Guidelines which will be developed by the Task Force is expected to become a principal decision document for the Co=mittee to Review Generic Requirements and other-senior NRC managers including the Agency's Senior Official.
The revised Guidelines being developed by the Task Force are expected to
.become effective in April,' 1982.
A copy of the revised Guidelines, when approved, will be provided to OMS.
2.
The Periodic and Systematic Review of Existino Reculations The Commissioners of the United States Nuclear Regulatory Co= mission, in its Three Mile l'sland Action Plan, directed the NRC staff to review all existing NRC regulations over a five-year period.
An, interoffice Regulations Coordinating Committee was appointed on September 16, 1980, to coorcinate the review.
This " Periodic and Systematic Review" establishes a mechanism to identify potential substantive changes to ::RC regulations, through
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analysis of a specific regulation, or through an analysis of several regulations aff ecting the same topic.
The review is designed to evaluate all existing regulations for need, benefit cosi, content,
' quality, clarity and structure.
This " Periodic and Systematic ' Review of Regulations" is also responsive to Section 3(i) of Executive Order 12291 which requires Executive Branch agencies to initiate a review of all existing regulations to determine if they satisfy the criteria of the Executive Order, and ta,Section 610 of the Regulatory Flexibility Act (Public Law 96-354) which requires agencies to review the continued need for all regulations which have a The significant impact upon a substantial number of small entities.
revised Value Impact / Reg'ulatory Analysis Guidelines discussed above are Such e.xpected also to apply to these reviews of existing regulations.
will further the responsiveness of the NRC review to Executive Order 12291..
Among the several specific criteria against which the regulations will be reviewed are several which address reporting and recordkeeping requirements.
These include (1) whether'the regulatory requirement is needed, (2) whether alternative approaches have been considered and the least burdensome of acceptable alternatives has been chosen and (3) an estimate has been
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made of reporting burdens and recordkeeping requirements necessary to r comply with the. regulations.
r ecordkeeping
- Where the review of existing regulations finds reporting o' requirements which should be changed, the NRC will apply to.H3 for OMB will also be notified s
approval through nomal clearance procedures.
of any previously. approved reporting or recordkeeping recuirements which are deleted.
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Projects to be Undertaken Which Relate Dir~ectly to Infornation Collection Requirements 1.
Review of record retention recuirements for records recuired to be reintained by NRC licensees.
a.
Focus
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The NRC published a notice in the Federal Reoister on May 3,1976 (41 FR 18300) which prescribed definite time periods for many of the records required to be maintained by licensees. The NRC regulations still contain~ a number of recordkeeping requirements for which no definite retention period has been established. The.
purpose of this review is (1) to determine.if those retention -
periods which have definite tire ' periods established are still valid and (2) to establish, where possible, definite retention periods which are currently open ended.
In reaching these decisions, the followi.ng will be considered:
- 1) 'Is the retention period justified by Regulatory needs?
2)
What burden is imposed on licensees as a result of requTring the records to be maintained?
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b.
Review Product i
Federal Register Notice of a proposed rule. identifying and describing the proposed changes to the NRC recordkeeping requirements.
c.
Tentative Schedule of Milestones and OMB Deliverables Initiation Date:
Februa ry,.1982.
Draft Federal Register Notite to the Commission:
June, 1982.
. Publication of Federal Register Notice: August, 1982.
Federal Hotice sent to OMS:
August,1982.
Final Rule sent to OMB: October, 1982.
d.
Estimated Resources 12 man months 2.
Preparation of NRC Manual Chapter for processing applications for OM3 approv2 of reporting and recordkeeping requirements.
a.
Focus There are several on-going activities which will affect the preparation of an HRC manual for processing OMB clearance applications.
First, the HRC currently uses interim procedures for processing applications for DMB approval'of reporting and recordkeeping requirements imposed on members of the public. These interim procedures were established in a memorandum dated April 24., 1981, from William J. Dircks, Executive Director for Operations, to all RRC Office Directors (Enclosure 3).
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s Since that time, the NRC has developed operating' experience applying ne,w guidelines resultiny from requirements in the Paperwork Reduction
- Act.
Second, the NRC has pending with OMB an application for approval
~.of an exemption f,-om the requirement to obtain an OMB approval of class exemption f.or an information collection where it is needed due to urgency to protect the public health and safety.
Third, a Task Force reviewi,ng the Value Impact / Regulatory Analyses Guidelines of
. the. Agency are addressing the integration of the analyses of reporting.
and recordkeeping requirements with the technical and administrative
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regulatory requirements to which they relate.
The results of the OMB consideration of the class exemption, the Task Force review of regulatory analysis guidelines, and knowledge gained from several months of operating experience will provide an adequate
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basis for developing a fornal manual addressing policies, procedures, The and responsibilities for conducting information collections.
Manual Chapter will do the following:
,1) Define the information collections required to be approved by OMB.
- 2) Assign responsibility for preparing, evaluating and approving the OKB application.
3)
Establish procedures for obta'ining routine OMB approval of r
NRC imposed reporting or recordkeeping recuirements and for obtaining an OMB emerge,ncy. clearance when necessary.
- 4) Define the contents of the supporting statement which is to be included in the OMB application.
- 5) Establish the procedures and define the criteria for exempting the imposition of a reporting or recordkeeping requirement due
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to the urgency of the need to protect the public health and
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safety under the class exemption.
Establish procedures for giving notice in an information collection 6) requirement when th~e requirement applies to nine.or fewer people and thus is not subject to OMB clearance.
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Tentative Schedule of Milestones and OMB Deliverables c.
Initiation Date:
March, 1952.
Draft Manu'al Chapter to NRC Offices for Review:
May, 1982.
Manual Chapter to the Executive Director for Operations for Approval:
July, 1982.
Approved Manual Chapter to OKB:
July, 1982.
d.
Estimated Resources i
Four (4) man-months.
...p e mass em mw emen RA I st.Y
ENCLOSURE A Periodic NRC Repo'ets to N Provided to the OMS l
The NRC Se.mi-Annual Regulatory Agenda (published quarterly).
1.
,The Monthly Report to the Comission of Actions Taken by the Comittee 2.
to Review Generic Requirements.
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51320.6 General Information Collection Guidelines Unless the agency is able to deconstrate that such collect, ion of information is necessary to satisfy statutory requirenents or other substantial need, QG will not approve a collection cf information:
(a) Requiring respondents to report information to the agency nere often than quarterly; Requiring respondents to prepare a written res"mnse to an
- (b) information collectico request or requirenent in fewer than 30 days after receipt of it;.
Requiring resoondents to,subnit nore than an original and (c) two copies of any document; (d)
Requiring grantees to subnit or maintain information other than that required under OMB Circulars A-102 or A-110';
Prcuiding for remuneration of rescondents,. other than, (e) contractors or grantees;
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(f)
Requiring respondents to retain records, other than l
health, medical, or tax records, for nore than three years; In connection with a statistical survey that is not (g) designed to produ results that can t:e generalized to the universe of study; (h) Unless tne agency has taken all practicable steps to develco separate and simplified requirements for small businesses a:M otner small entities;
'(i)
Requiring respondents to subnit proprietary, trade secret, or other confidential information unless the agency can its demonstrate that it has instituted procedures to protect confidentiality to the extent permitted by law; (j)
Requiring respondents to maintain or provide infonnation in a fonnat other than that in wnich the information is customarily maintained.
51320.7 Definitions For purposes of implementing the Pacersork Reduction Act a:d this the follcuing terms are defined as follows:
- Part,
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