ML18333A261

OMB 3150-0209 - Draft OMB Supporting Statement 10 CFR Part 5

ML18333A261
Person / Time
Issue date:	01/02/2019
From:	Pamela Baker NRC/SBCR
To:
Somerville J (301) 415-5203
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ML18333A255	List: ML18333A261 ML18333A272 ML18333A284
References
OMB 3150-0209
Download: ML18333A261 (7)

Text

DRAFT OMB SUPPORTING STATEMENT FOR 10 CFR PART 5 "NONDISCRIMINATION ON THE BASIS OF SEX IN EDUCATION PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE" (3150-0209)

EXTENSION Description of the Information Collection The regulations under 10 CFR Part 5 implement the provisions of Title IX of the Education Amendments of 1972, as amended, except section 904 and 906 of those amendments (20 U.S.C. 1681, 1682, 1683, 1685, 1686, 1687, 1688). The provisions are designed to eliminate, with certain exceptions, discrimination on the basis of sex in any education program or activity receiving Federal financial assistance, whether or not such program or activity is offered or sponsored by an educational institution as defined in the Title IX regulations. Except as provided in §§ 5.205 through 5.235(a), the Title IX regulations apply to every recipient and to each education program or activity operated by the recipient that receives FFA from the Nuclear Regulatory Commission (NRC).

The NRC enforces provisions covered by Title IX and 10 CFR 5. In order to do so, the NRC must engage in information and data collections, as necessary, to determine whether a recipient is complying with the regulations. Recipients are required to maintain on file, make available for inspection and provide to responsible NRC officials upon request information and documents related to investigative, compliance and enforcement provisions. Recipients are also required to permit reasonable access by NRC to the recipient's books, records, accounts, facilities, and other sources of information to the extent necessary to determine compliance. Recipients are required to keep records and submit to the responsible NRC official, timely, complete, and accurate compliance reports at the times and in the form and containing the information that the responsible NRC official may determine to be necessary to enable the official to ascertain whether the recipient has complied or is complying with the regulations. Three reoccurring recipient collections that take place include: 1) Pre-Award Compliance Review Process, wherein documents and assurances are provided to determined there are no red flags or issues concerning discrimination prior to an NRC award of Federal financial assistance (See NRC Standard Form (SF) 781 (Parts A, B, and C (( SBCR Compliance Review Part C Additional Title IX Information)) ; 2) Post-Award Compliance Process, wherein recipients program operations are routinely monitored to ensure nondiscrimination during the award phase and compliance with regulations and mandates; and 3) Recipients are mandated to submit annual EO compliance report to SBCR no later than December 31 each calendar year. In addition, If NRC receives a complaint alleging discrimination (See NRC SF 782), or conducts an investigation, or conducts a periodic compliance review the affected recipients are required to provide requested information and documentation. The investigative, compliance, and enforcement procedural provisions of Title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d) ("Title VI") are hereby adopted and applied to the Title IX regulations. These procedures may be found at 10 CFR 4.21 through 4.75 (See 10 CFR 5, Subpart F - Procedures).

The purpose for collecting this information is to ensure that recipients of Federal financial assistance operate their programs and activities in a non-discriminatory manner. The form 782 outlines the responsibilities of the recipient under the law to engage in fair practices and provides the NRC with another vehicle to assess recipient programs. Each applicant/recipient is

assigned a case file in which this form is filed. Each request is assigned an SBCR compliance review number which reflects the year of the request, month of the request, and the numerical order of receipt of the request. Case files are maintained in paper form in a locked file cabinet.

All recipients of Federal financial assistance from the Nuclear Regulatory Commission (NRC) are subject to Title IX, but Title IXs anti-discrimination prohibitions are limited to the educational components of the recipients program or activity, if any. Failure to include a type of Federal assistance in the list indicated below shall not mean, if Title IX is otherwise applicable, that a program or activity is not covered by Title IX. The following is a list of Federal financial assistance administered by the NRC to which Title IX applies:

(a) Conferences on regulatory programs and related matters: Agreements for financial assistance to State and local officials, without full-cost recovery, to confer on regulatory programs and related matters at NRC facilities and offices, or other locations.

(b) Orientations and instruction: Agreements for financial assistance to State and local officials, without full-cost recovery, to receive orientation and on-the-job instruction at NRC facilities and offices, or other locations.

(c) Technical training courses: Agreements for financial assistance to State and local officials, without full-cost recovery, to receive orientation and on-the-job instruction at NRC facilities and offices, or other locations.

(d) Participation in meetings and conferences: Agreements for participation, without full-cost recovery, in meetings, conferences, workshops, and symposia to assist scientific, professional or educational institutions or groups.

(e) Research support: Agreements for the financial support of basic and applied scientific research and for the exchanges of scientific information.

(f) Educational Institutions: Agreements for financial assistance to education institutions to include applicants or recipient that is an institution of higher education, an institution of graduate higher education, an institution of undergraduate higher education, an institution of professional education, or an institution of vocational education A. JUSTIFICATION

1. Need for and Practical Utility of the Collection of Information The investigative, compliance, and enforcement procedural provisions of Title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d) ("Title VI") are hereby adopted and applied to the Title IX regulations. These procedures may be found at 10 CFR 4.21 through 4.75 (See 10 CFR 5, Subpart F - Procedures). For example, under 10 CFR 4, § 4.33 Access to Sources of Information, state each recipient shall permit access by the responsible NRC official during normal business hours to such of its books, records, accounts, and other sources of information, and its facilities as may be pertinent to ascertain compliance with this subpart. Section 4.41 Periodic Compliance Reviews states that the responsible NRC official shall from time to time review the practices of recipients to determine whether they are complying with this subpart. Section 4.42, Complaints states that any person who believes himself or any specific class of individuals to be subjected to discrimination prohibited by this subpart may by himself or by a

representative file with the responsible NRC official a written complaint. Section 4.43, Investigations states that the responsible NRC official will make a prompt investigation whenever a compliance review, report, complaint, or any other information indicates a possible failure to comply with this subpart. The investigation should include, where appropriate, a review of the pertinent practices and policies of the recipient, the circumstances under which the possible noncompliance with this subpart occurred, and other factors relevant to a determination as to whether the recipient has failed to comply with this subpart.

Similar provisions related to information and data collections found under NRCs 10 CFR 4 that apply to the agencys Title IX regulations (See 10 CFR 5, Subpart F - Procedures) are captured in the following paragraphs:

Section 4.21 (a) General Requirements: Every grant, loan or contract covered by the subpart, must contain or be accompanied by an assurance that the program will be conducted in compliance with all imposed requirements.

Section 4.22 Continuing Federal Financial Assistance: Every application for a grant, loan, or contract submitted by a State or State agency for continuing FFA under this subpart contain or be accompanied by an assurance that the program is/will be conducted in compliance with all imposed requirements, and include methods of administration that give reasonable assurance of compliance with the subpart.

Section 4.24 (a), (b) Assurances from Institutions: In the case of a grant, loan or contract involving Federal financial assistance to an institution of higher education, the assurance required by §4.21 shall extend to admission practices and to all other practices relating to the treatment of students. The assurance required with respect to an institution of higher education, hospital, or any other institution, insofar as the assurance related to the institutions practices with respect to admission or other treatment of individuals as students, patients, or clients of the institution or to the opportunity to participate in the provision of services or other benefits to such individuals, shall be applicable to the entire institution.

Section 4.31 Cooperation and Assistance: The responsible NRC official shall to the fullest extent practicable seek the cooperation of recipients in obtaining compliance with this subpart and shall provide assistance and guidance to recipients to help them comply voluntarily with this subpart.

Section 4.32 (a), (b), (c) Compliance Reports: Recipients are required to keep records and timely submit complete and accurate compliance reports that contain the information NRC needs to determine whether or not the recipient has complied, or is complying with the subpart. Primary recipients are also required to ensure that their sub-recipients provide compliance reports that allow them to carry out their obligations under this subpart. Additionally, the primary recipient is required to retain each record of information needed to complete a compliance report for three years, or as long as the primary recipient retains the status of primary recipient.

Section 4.34 Information to Beneficiaries and Participants: Recipients are required to make available to participants, beneficiaries, and other interested persons information regarding this subpart and how it applies to the program receiving FFA, and to make this information available to them in the manner, NRC finds necessary to inform them of the protections against discrimination assured by the Act and this subpart.

Section 4.41 Periodic Compliance Reviews: NRC is required to periodically review the practices of recipients to determine whether or not they are complying with this subpart.

Section 4.42 Complaints: Any person who believes himself or any specific class of individuals to be subjected to discrimination prohibited by this subpart may by himself or by a representative file with the responsible NRC official a written compliant. A complaint must be filed not later than ninety (90) days from the date of the alleged discrimination, unless the time for filing is extended by the responsible NRC official. A complaint shall be signed by the complainant or his representative.

Section 4.43 Investigations: NRC is required to conduct a prompt investigation whenever a compliance review, report, compliant, or other information indicates a possible failure to comply with this subpart. The investigation should include, where appropriate, a review of the pertinent practices and policies of the recipient, the circumstances under which the possible noncompliance occurred, and other factor relevant to a determination regarding whether or not the recipient failed to comply with this subpart.

2. Agency Use of Information The information is used to incorporate the basic standards for determining sex discrimination, and is designed to provide guidance to recipients of money paid, property transferred, or other Federal financial assistance extended under any program or activity, by way of grant, entitlement, cooperative agreement, loan, contract, or other agreement by NRC, or an authorized contractor or subcontractor of NRC.

3. Reduction of Burden Through Information Technology The NRC has issued Guidance for Electronic Submissions to the NRC which provides direction for the electronic transmission and submittal of documents to the NRC.

Electronic transmission and submittal of documents can be accomplished via the following avenues: the Electronic Information Exchange (EIE) process, which is available from the NRCs Electronic Submittals Web page, by Optical Storage Media (OSM) (e.g.

CD-ROM, DVD), by facsimile or by e-mail. It is estimated that approximately 100% of the responses are filed electronically.

4. Efforts to Identify Duplication and Use of Similar Information No sources of similar information are available. There is no duplication of requirements.

5. Efforts to Reduce Small Business Burden The information collection does not involve small businesses or other small entities.

6. Consequences to Federal Program or Policy Activities if the Collection is not Conducted or is Conducted Less Frequently There is no specific time frame for collection. The required information is submitted upon applying for FFA and continues for the period that such assistance is provided by the Commission. The proposed collection of information is necessary to ensure nondiscrimination and compliance with Federal civil rights regulations in NRCs FFA programs and activities.

7. Circumstances which Justify Variation from OMB Guidelines There are no variations from OMB guidelines.

8. Consultations Outside the NRC Opportunity for public comment on the information collection requirements for this clearance package has been published in the Federal Register.

9. Payment or Gift to Respondents Not Applicable.

10. Confidentiality of Information Confidential and proprietary information is protected in accordance with NRC regulations at 10 CFR 9.17(a) and 10 CFR 2.390(b).

11. Justification for Sensitive Questions Not applicable

12. Estimate of Burden.

Each of the 200 respondents will be required to submit 3 reports a year1 for all of the 10 CFR reporting requirements under Sections 5.110; 5.115; 5.205; and 5.230. The estimated number of responses is 600 (200 respondents x 3 reports). The total annual reporting burden is 3,000 hours0 days <br />0 hours <br />0 weeks <br />0 months <br /> (200 respondents x 3 reports x 5 hours5.787037e-5 days <br />0.00139 hours <br />8.267196e-6 weeks <br />1.9025e-6 months <br /> per response) with an estimated annual cost of $825,000 (3,000 x $275).

Each of the 200 recipient respondents will maintain the records required under 10 CFR

5. Where a recipient makes available Federal financial assistance from NRC to a subrecipient, the recipient shall provide the subrecipient written notice of the 1

Each recipient is required to submit requirements during the Pre-Award process, the Post-Award process, an Annual EO report, and other collections, if requested (e.g. investigate and correct violations, complaint filed, etc.).

At a minimum, 3 reports and 3 collections are required unless the NRC determines information is necessary to satisfy a complaint, investigate or correct a violation, or other information as needed.

subrecipient's obligations under Title IX and NRCs regulations. The burden for these third-party collections are incorporated in the estimated recordkeeping burden. The estimated number of recordkeepers is 200. The total annual recordkeeping burden is 600 hours0.00694 days <br />0.167 hours <br />9.920635e-4 weeks <br />2.283e-4 months <br /> (200 recordkeepers x 3 hours3.472222e-5 days <br />8.333333e-4 hours <br />4.960317e-6 weeks <br />1.1415e-6 months <br /> per recordkeeper), with an estimated annual cost of $165,000 (600 hours0.00694 days <br />0.167 hours <br />9.920635e-4 weeks <br />2.283e-4 months <br /> x $275).

The overall estimated burden is 3,600 hours0.00694 days <br />0.167 hours <br />9.920635e-4 weeks <br />2.283e-4 months <br /> (3,000 hours0 days <br />0 hours <br />0 weeks <br />0 months <br /> reporting + 600 hours0.00694 days <br />0.167 hours <br />9.920635e-4 weeks <br />2.283e-4 months <br /> recordkeeping) for an estimated total cost of $990,000 (3,600 hours0.00694 days <br />0.167 hours <br />9.920635e-4 weeks <br />2.283e-4 months <br /> x $275). The estimated cost for each respondent is $4,950 ($990,000 / 200 respondents).

The total number of responses is 800 (600 reporting responses plus 200 recordkeepers).

The $275 hourly rate used in the burden estimates is based on the Nuclear Regulatory Commissions fee for hourly rates as noted in 10 CFR 170.20 Average cost per professional staff-hour. For more information on the basis of this rate, see the Revision of Fee Schedules; Fee Recovery for Fiscal Year 2018 (83 FR 29622, June 25, 2018).

13. Estimate of Other Additional Costs The quantity of records to be maintained is roughly proportional to the recordkeeping burden. Based on the number of pages maintained for a typical clearance , the records storage cost has been determined to be equal to .0004 times the recordkeeping burden cost. Therefore, the storage cost for this clearance is $66 (600 recordkeeping hours x .0004 x $275).

14. Estimated Annualized Cost to the Federal Government The staff has developed estimates of annualized costs to the Federal Government related to the conduct of this collection of information. These estimates are based on staff experience and subject matter expertise and include the burden needed to review, analyze, and process the collected information and any relevant operational expenses.

Staff estimates that it requires 5 hours5.787037e-5 days <br />0.00139 hours <br />8.267196e-6 weeks <br />1.9025e-6 months <br /> of professional effort to review each report. To review 600 reports requires 3,000 staff hours (600 reports x 5 hours5.787037e-5 days <br />0.00139 hours <br />8.267196e-6 weeks <br />1.9025e-6 months <br />) at a cost of

$825,000 (3,000 hours0 days <br />0 hours <br />0 weeks <br />0 months <br /> x $275/hr).

Record holding is estimated to cost $209 per square foot. Four cubic feet x $209 = $836 storage costs.

The total costs to the Federal government is estimated to be $825,836

15. Reasons for Change in Burden There is no change in burden since the last renewal. The professional hourly rate decreased from $279 per hour to $275 per hour.

16. Publication for Statistical Use There are no plans to publish the information received from licensees pursuant to these reporting requirements.

17. Reason for Not Displaying the Expiration Date.

The requirement will be contained in a regulation. Amending the Code of Federal Regulations to display information that, in an annual publication, could become obsolete would be unduly burdensome and too difficult to keep current.

18. Exceptions to the Certification Statement.

There are no exceptions.