July 2, 2015 

COMSGB-15-0003

MEMORANDUM TO: Commissioner Svinicki 

 Commissioner Ostendorff 

 Commissioner Baran 

FROM: Stephen G. Burns /RA/ 

SUBJECT: COMMISSION INVOLVEMENT IN EARLY STAGES OF 

RULEMAKING 

At several points throughout its history, this agency has taken the opportunity to reassess the 

effectiveness of its rulemaking process. Most recently, the NRC looked comprehensively at the 

process in the context of assessing cumulative effects of regulations, and, as a result, the 

Commission ultimately approved a series of enhancements to address these concerns, (SRMSECY-11-0032). However, the agency has not in some time holistically assessed the role of the 

Commission in the process, in particular the Commission’s role in the initial stages of a 

rulemaking effort. In the late 1990’s and early 2000’s, the Commission had a direct role in 

annually approving the agency’s Rulemaking Activity Plan for the purpose of “ensur[ing] that the 

staff incorporates Commission policy direction into contemplated rulemakings at an early stage 

of rule plan development, before significant resources are expended.” (SECY-97-240). In the 

mid-2000s, as noted by some of my colleagues in their votes on Project Aim, the Commission 

made efforts to streamline the rulemaking process, including giving authority to the staff to 

waive rulemaking plans for review and approval by the Commission (COMNJD-06-

0004/COMEXM-06-0006). Today, the primary opportunity for the Commission to look 

comprehensively at staff’s proposed rulemakings is through the annual budget process. 

Of note, both the Senate and House Committee reports on the FY 2016 appropriations bills 

contain language noting Congress’s concern with the Commission’s role in approving 

rulemaking activities, as well as other checks, such as ACRS and CRGR reviews, and such 

concerns were also noted in associated hearings on the Commission’s proposed FY 2016 

budget. Specifically, the House Fiscal Year 2016 Energy and Water Development, and Related 

Agencies Appropriations report would direct the Commission “to reestablish the pre-2006 

rulemaking process.” The Senate Fiscal Year 2016 Energy and Water Development 

Appropriations report would direct the Commission to return to the rulemaking process outlined 

in NUREG/BR-0053, Revision 6 and directs the Commission to make conforming changes to 

NRC Management Directive 6.3 to be consistent with the process in the NUREG. Both reports 

would also direct the Commission to report to Congress on rulemaking activities. I fully 

appreciate that the Committees may perceive that the NRC lacks sufficient early Commission 

engagement in agency rulemaking activities. I also recognize that there was some support 

during our deliberation of Project AIM for withdrawal of certain prior waivers of Commission 

involvement on rulemaking. 
 -2- 

In my view, the Commission should take action to address the concerns about the 

Commission’s role in the rulemaking process, not only to address the apparent concerns of 

Congress, but also as a matter of good government. As such, I am seeking support from the 

Commission to direct staff to provide the Commission a proposed plan for increasing the 

Commission’s involvement in the rulemaking process with the objective of ensuring early 

Commission engagement before significant resources are expended. The proposed plan 

should include, at a minimum, a recommendation for possibly reintroducing Commission 

approval of the Rulemaking Activity Plan; assessing and addressing any lessons learned from 

the past changes to Commission engagement in the rulemaking process; and a 

recommendation for reconsideration of the Commission’s 2006 direction with respect to the 

approval of rulemaking plans and the reviews of proposed rules by the Committee to Review 

Generic Requirements and the Advisory Committee on Reactor Safeguards. The proposed 

plan should also include proposed measures to minimize the impact on the overall length of the 

rulemaking process. 

The staff shall provide the Commission with a notation vote paper with the staff’s evaluation and 

recommendations within 60 days of the Staff Requirements Memorandum. 

SECY, please track. 

cc: SECY 

 EDO 

 OGC 

 OCA 

 OPA 

 CFO