Improved Oversight and Guidance Needed To Achieve Regulatory Reform at DOE

GAO evaluated the effectiveness of Department of Energy (DOE) procedures for developing regulations. GAO reviewed the development of three regulations which meet the significant regulation criteria and are fully and clearly representative of the DOE regulatory process. GAO was concerned with the adequacy of the DOE process for developing regulations rather than the adequacy of individual regulations.

DOE has not fully achieved the goals of an Executive order which directed Federal agencies to establish procedures to improve existing regulations and those being developed. From October 1977 to January 1981, DOE used two different approaches to regulatory reform. However, both efforts were largely ineffective because DOE lacked: (1) a focal point for strong departmental oversight of the regulatory reform effort; (2) clear policy and program guidance, and delegation of organizational responsibilities for those involved in developing regulations; and (3) effective application of the policy by the program managers in the execution of their responsibilities. The information made available to the various levels of decisionmakers was not complete and did not allow for a full perspective of the need, merits, and costs of the proposed regulations nor allow for effective execution of oversight. Moreover, DOE recordkeeping practices need improvement to assure that the information which is developed is properly documented and readily available to decisionmakers. GAO believes that the data deficiencies resulted primarily from the need for more specific guidance in preparing effective regulatory analyses. Oversight by top management was not effective because of the lack of understanding of and indifference to what was happening at the program manager level because DOE was not fully committed to regulatory reform. Procedures for oversight of the public participation process need improvement as well.

Recommendations

Our recommendations from this work are listed below with a Contact for more information. Status will change from "In process" to "Open," "Closed - implemented," or "Closed - not implemented" based on our follow up work.

Director: F. Kevin Boland Team: General Accounting Office: Energy and Minerals Division Phone: (202) 275-8545