10 CFR Part 4- Final Supporting Statement

FINAL OMB SUPPORTING STATEMENT
FOR
10 CFR PART 4
"NONDISCRIMINATION IN FEDERALLY ASSISTED COMMISSION PROGRAMS"
(3150-0053)
EXTENSION
Description of the Information Collection Requirements
The Office of Small Business and Civil Rights (SBCR) administers the U.S. Nuclear Regulatory
Commission’s (NRC) Outreach and Compliance Coordination Program (OCCP) to ensure
adherence to, and compliance with various civil rights statutes and regulations, Executive
Orders, White House education initiatives, related provisions of the Energy Policy Act of 2005
(EPAct), and other internal/external regulatory requirements. OCCP also ensures NRC’s
compliance with mandatory data and information collection, and reporting requirements.
SBCR administers the agency’s OCCP directed towards ensuring equal access to, benefits
from, and participation in NRC Conducted and Financially Assisted Programs, Activities and
Services; and NRC-wide adherence to, and compliance with, mandatory data and information
collection, and reporting requirements imposed by various civil rights statutes and regulatory
requirements such as those listed. The reporting and recordkeeping requirements are
necessary in order for NRC staff to assure that the recipients of NRC Federal financial
assistance are also in compliance with applicable civil rights statutes and regulations.
All recipients of Federal financial assistance from the NRC are subject to the provisions of
10 CFR Part 4. The types of Federal financial assistance provided by the NRC, to which these
statutes and regulations apply, include, but are not limited to, the following:
• Educational Systems, Universities, Colleges, and Research Institutions
• Equipment and Building Loans
• Use of Equipment
• Donation of Surplus Property
• Grants
• Loan Guarantees
• Training
• Employee or Student Recruitment
• State Health and Radiological Offices
• Day Care Center Providers
• Food Services Providers
• Fitness Center Providers
• Emergency Response Entities
• Other Assistance
Failure to include a type of Federal financial assistance in the above list shall not mean, where
10 CFR Part 4 is applicable, that a program, activity, or service is not covered.
A. JUSTIFICATION

1.

Need for and Practical Utility of the Collection of Information.
The regulations under 10 CFR Part 4 implement the provisions of Title VI of the
Civil Rights Act of 1964, Pub. L. 88-352; (78 Stat. 241; 42 U.S.C. 2000a note), Title
IV of the Energy Reorganization Act of 1974, Pub. L. 93-438, (88 stat. 1233; 42
U.S.C. 5801 note), which relate to nondiscrimination with respect to race, color,
national origin or sex in any program or activity receiving Federal financial
assistance from NRC; Section 504 of the Rehabilitation Act of 1973, as amended,
Pub. L. 93-112 (87 Stat. 355; 29 U.S.C. 701 note), Pub. L. 95-602 (92 Stat. 2955;
29 U.S.C. 701 note) which relates to nondiscrimination with respect to disability in
any program or activity receiving Federal financial assistance; and the Age
Discrimination Act of 1975, as amended, Pub. L. 94-135 (89 Stat. 713; 42 U.S.C.
3001 note), Pub. L. 95-478 (92 Stat. 1513; 42 U.S.C. 3001 note), which relates to
nondiscrimination on the basis of age in any program or activity receiving Federal
financial assistance.
The current effective information collection requirements of 10 CFR Part 4,
Subparts A – C, are identified in Appendix A.

2.

Agency Use of Information.
The information is used to incorporate the basic standards for determining
discrimination under the applicable civil rights statutes and regulations, 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.
There are no legal obstacles to reducing the burden associated with this
information collection. The NRC encourages respondents to use information
technology when it would be beneficial to them. It is estimated that approximately
98% of the potential responses are filed electronically. Information shall be
submitted in the following manner by: a) Electronic submission, using the SUBMIT
button; b) Facsimile to: (301) 415-5953 or c) E-mail
to: [email protected]

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, and will have a minimal, if any impact on small businesses.
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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
by the recipient upon initiation or modification of a program, during the pre-award
and post-award stage, periodic monitoring, and, if a complaint is being processed.

7.

Circumstances which Justify Variation from OMB Guidelines.
There are no circumstances that would justify variation from OMB guidelines.

8.

Consultations Outside the NRC.
Opportunity for public comment on the information collection requirements for this
clearance package was published in the Federal Register on June 14, 2017 (82 FR
27291). NRC emailed seven licensees and no comments were received. NRC
received one comment from the public that was out of the scope of information
collections.

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.
In every case, information pertaining to handicapping conditions is required in
order to assure compliance with Section 504 of the Rehabilitation Act of 1973, as
amended. There are no sensitive questions pertaining to nondiscrimination on the
basis of age, race, color, national origin or sex.

12.

Estimate Burden and Burden Hour Cost
An estimated 200 respondents will be subject to approximately 3 collection
requirements, requiring minimal information and documentation. Each of these
200 respondents will be requested to submit information and documentation for
collection and reporting requirements covered under 10 CFR Part 4. The total
responses under reporting is 600 (200 x 3 = 600). The total number of responses
is 800 (600 reporting responses plus 200 recordkeepers). The total annual
estimated reporting burden is 3,000 hours (600 reporting responses x 5 hours).
The estimated burden per response includes time to complete the form in addition
to reading the instructions and preparing the necessary documents. The total
annual estimated recordkeeping burden is 600 (200 recordkeepers x 3 hrs.) The
total overall estimated burden is 3,600 hours at a cost of $979,200 (3,600 hours x
$265 per hour).
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13.

Estimate of Other Additional Costs.
The NRC has determined that the quantity of records to be maintained is roughly
proportional to the recordkeeping burden and, therefore, can be used to calculate
approximate records storage costs. Based on the number of pages maintained for
a typical clearance, the records storage cost has been determined to be equal to
0.0004 times the recordkeeping burden cost. Because the recordkeeping burden
is estimated to be 600 hours, the storage cost for this clearance is $65.28 (600
hours x 0.0004 x $265/hour).

14.

Estimated Annualized Cost to the Federal Government.
The burden cost for professional staff-hour is estimated to be $265 hours. The
estimated annual cost to the Federal Government in administering the program
and procedures for data collection pertaining to nondiscrimination on the bases of
race, color, national origin, sex, disability, and age contained in these requirements
is:

15.

Annual cost - professional effort
(600 reports x 5 hrs x $265/hr)

=

$844,200

Annual cost - record holding requirement
for ongoing program
(4 cubic ft. x $209/cubic ft.)

=

$ 836

Total annual cost

=

$ 845,036

Reasons for Change in Burden.
There is no change in burden. The cost for professional staff-hours increased from
$272/hr to $265/hr.

16.

Publication for Statistical Use.
There are no plans to publish the information received from recipients 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.
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B. COLLECTIONS OF INFORMATION EMPLOYING STATISTICAL METHODS
Statistical methods are not used in the collection of information.

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Appendix A- 10 CFR Part 4 - Information Collection Requirements
The current effective information collection requirements of 10 CFR Part 4,
Subparts A – C, are identified and explained below.
Subpart A
Any program or activity which receives Federal financial assistance from the NRC
must meet the requirements of Title VI of the Civil Rights Act of 1964, Pub. L.
88-352; (78 Stat. 241; 42 U.S.C. 2000a note) and Title IV of the Energy
Reorganization Act of 1974, Pub. L. 93-438, (88 stat. 1233; 42 U.S.C. 5801 note).
The Acts address nondiscrimination with respect to race, color, national origin or
sex in any program or activity receiving Federal financial assistance.
Current information collection requirements of 10 CFR Part 4, Subpart A,
“Regulations Implementing Title VI of the Civil Rights Act of 1964 and the Energy
Reorganization Act of 1974" are as follows:
Section 4.21(a) requires that every grant, loan or contract under a program to
which this subpart applies, except a program to which Sec. 4.22 applies, shall, as a
condition to its approval by NRC, or by the appropriate NRC contractor or
subcontractor, and the extension of any Federal financial assistance pursuant
thereto, contain or be accompanied by an assurance that the program will be
conducted in compliance with all requirements imposed by or pursuant to
Subpart A.
Section 4.22 requires that every application by a State or a State agency for
continuing Federal financial assistance shall require the submission of and every
grant, loan, or contract to or with a State or a State agency to carry out a program
involving continuing Federal financial assistance to which this subpart applies,
shall, as a condition to its approval and the extension of any Federal financial
assistance pursuant to the grant, loan or contract, contain or be accompanied by, a
statement that the program is (or, in the case of a new program, will be) conducted
in compliance with all requirements imposed by or pursuant to Subpart A, and shall
provide or be accompanied by provisions for such methods of administration for
the program as are found by the responsible NRC official to give reasonable
assurance that the recipient and all other recipients of Federal financial assistance
under such program will comply with all requirements imposed by or pursuant to
Subpart A.
Section 4.24 requires that assurances from institutions apply to the entire institution
unless the institution establishes to the satisfaction of the responsible NRC official,
that the institution's practices in designated parts or programs of the institution will
in no way affect its practices in the program of the institution for which Federal
financial assistance is sought. The assurance shall in any event extend to the
entire facility and to facilities operated in connection therewith.
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Section 4.32 requires recipients to keep and submit timely, complete, and accurate
Federal financial assistance records for three years and submit these records
when requested to the NRC official for determining if recipients complied or are
complying with Subpart A. If for any reason a primary recipient extends Federal
financial assistance to another recipient, the other recipient has to submit records
to the primary recipient to carry out its obligations under this subpart. NRC
maintains a copy in the program office files and the Public Document Room.
Section 4.34 requires recipients to make available to beneficiaries or other
interested persons, information regarding Subpart A and how it applies to the
program under which the recipient receives Federal financial assistance.
Subpart B
Any program or activity which receives Federal financial assistance from the NRC
must also meet the requirements of Section 504 of the Rehabilitation Act of 1973,
as amended, Pub. L. 93-112 (87 Stat. 355; 29 U.S.C. 701 note), Pub. L. 95-602
(92 Stat. 2955; 29 U.S.C. 701 note). The Act prohibits nondiscrimination with
respect to disability in any program or activity receiving Federal financial
assistance.
Current information collection requirements of 10 CFR Part 4, Subpart B,
“Regulations Implementing Section 504 of the Rehabilitation Act of 1973, as
Amended" are as follows:
Section 4.125(d) references collection of confidential medical histories of
applicants and requires that information obtained by a recipient employer as to the
medical condition or history of an applicant for employment will be collected and
confidentially maintained for three years for review by U.S. government officials
investigating compliance with the Rehabilitation Act of 1973, as amended.
Section 4.127(d) requires that where structural changes to facilities are necessary
to render a program receiving Federal financial assistance accessible to and
useable by disabled persons, a transition plan is to be developed, approved by
NRC, and maintained until structural changes have been completed.
Section 4.231(a) requires that recipients submit an assurance statement that their
programs and activities will be operated in compliance with Section 504 of the
Rehabilitation Act of 1973 or Subpart B.
Section 4.231(e) requires that recipients perform self-evaluations of policies and
practices that are covered by Section 504 of the Rehabilitation Act of 1973, as
amended, to assure that their programs are in compliance with the law. This selfevaluation is to be done with the assistance of interested persons, including
disabled persons and/or their representatives. Should this self-evaluation reveal
practices or policies that do not comply with NRC regulations, they must be
modified and remedial steps must be taken to eliminate the effect of past
discrimination. The records of self-evaluation shall be maintained on file for public
and/or NRC inspection for a period of three years.
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Section 4.232 requires recipients to take appropriate initial and continuing steps to
notify participants, beneficiaries, applicants, and employees, including those with
impaired vision or hearing, and sub-recipients of its non-discrimination policies.
Subpart C
Any program or activity which receives Federal financial assistance from the NRC
must also meet the requirements of the Age Discrimination Act of 1975, as
amended, Pub. L. 94-135 (89 Stat. 713; 42 U.S.C. 3001 note), Pub. L. 95-478 (92
Stat. 1513; 42 U.S.C. 3001 note). The Act also prohibits nondiscrimination on the
basis of age in any program or activity receiving Federal financial assistance.
Current information collection requirements of 10 CFR Part 4, Subpart C,
“Regulations Implementing The Age Discrimination Act of 1975, as amended" are
as follows:
Section 4.321 requires each recipient signing an assurance statement that its
primary responsibility is to ensure that its programs and activities will be conducted
in compliance with all the requirements imposed by the Act and these regulations.
A recipient also has responsibility to maintain records, provide information, and to
afford NRC access to its records to the extent required, to determine whether it is
in compliance with the Act and these regulations.
Section 4.322(b) requires that when a recipient makes available Federal financial
assistance from NRC to a sub-recipient, the recipient shall provide the subrecipient written notice of the sub-recipient's obligations under the Act and these
regulations.
Section 4.324 requires recipients to make available to NRC, upon request,
information necessary to determine whether the recipient is in compliance with the
Act and these regulations, and permit NRC reasonable access to its records and
sources of information.

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