ML20010F368

Draft OMB Supporting Statement for Design Information Questionnaire - IAEA N-71 and Associated Forms N-72, N-73, N-74, N-75, N-76, N-77 N-91, N-92, N-93, N-94

ML20010F368
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Issue date:	01/01/2020
From:	Office of Nuclear Material Safety and Safeguards
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DRAFT OMB SUPPORTING STATEMENT FOR DESIGN INFORMATION QUESTIONNAIRE - IAEA N-71 AND ASSOCIATED FORMS N-72, N-73, N-74, N-75, N-76, N-77 N-91, N-92, N-93, N-94 (10 CFR SECTION 75.11)

(3150-0056)

EXTENSION Description of the Information Collection In order for the United States to fulfill its obligations under the US/International Atomic Energy Agency (IAEA) Safeguards Agreement (INFCIRC/288) and its Initial Protocol, the Nuclear Regulatory Commission (NRC) must collect information from licensees about their facilities and provide it to the IAEA. Specifically, licensees affected by 10 CFR Part 75 and related sections of Parts 40, 50, 60, 63, 70, and 150 must submit information concerning their facilities using either IAEA Form N-71 "Design Information Questionnaire" and the appropriate associated IAEA Form (based on the specific type of facility, as listed below), or Form N-91 Information in Respect of Nuclear Material Outside Facilities.

The IAEA, a United Nations Organization, developed Forms N-71 through N-94 to standardize the data collection process for all countries that must report design information required by IAEA Safeguards Agreements (INFCIRC/153). Information contained in these forms includes how nuclear material is shipped/received, measured, stored, processed, documented, disposed, etc.,

for the licensed facility. Information collected through these forms is used by the IAEA to document nuclear material handling activities at a licensed facility and to help the IAEA establish its procedures for independently verifying nuclear material movements within an NRC-licensed facility. The IAEA forms associated with specific facility types are the following:

• N-72, Research and Power Reactors

• N-73, Conversion and/or Fuel Fabrication Plants

• N-74, Reprocessing Plants

• N-75, Isotopic Enrichment Plants

• N-76, Geological Repositories

• N-77, Spent Fuel Encapsulation Plants

• N-92, Research and Development Facilities (Locations of Nuclear Material in Amounts Greater Than One Effective Kilogram)

• N-93, Critical (Sub-Critical) Facilities

• N-94, Separate Storage Installations In place of IAEA Form N-71 and the appropriate associated IAEA Form for the specific facility type, Form N-91 may be used by certain locations outside facilities. Information contained in this form documents how nuclear material is shipped/received, measured, stored, processed, documented, disposed, etc., for the licensed site.

• N-91, Information in Respect of Nuclear Material Outside Facilities The U.S eligible facilities list filed by the NRC with the Secretary of State or their designee identifies facilities eligible for IAEA safeguards under the US/IAEA Safeguards Agreement. All facilities that appear on the U.S. eligible facilities list are required to complete and submit an IAEA Form N-71 (and the appropriate associated IAEA Form) or Form N-91 upon written request by the NRC. Holders of construction permits may be requested in writing by the NRC to submit an IAEA Form N-71 (and the appropriate associated IAEA Form) or Form N-91. In addition, applicants for certain source or special nuclear material licenses are required to submit an IAEA Form N-71 (and the appropriate associated IAEA Form) or Form N-91 as specified in 10 CFR Sections 40.31(g), 50.78, 60.47, 63.47, 70.21(g), and 150.17a. NRC issues written requests for information when the IAEA selects facilities listed on the U.S eligible facilities list for performing reporting and recordkeeping activities.

A. JUSTIFICATION

1.

Need for and Practical Utility of the Collection of Information The design information collected includes information concerning nuclear material subject to IAEA safeguards under the US/IAEA Safeguards Agreement (and Initial Protocol) and the features of selected facilities relevant to safeguarding such material. The IAEA Design Information Questionnaire is completed by a facility in order to provide the facility description; the form, quantity, location and flow of nuclear material being used; facility layout and containment features; and procedures for nuclear material accountancy and control. The IAEA will use the design information to develop a facility specific safeguards approach, determine material balance areas and key measurement points, establish an essential equipment list and develop a design verification plan.

2.

Agency Use of the Information The design information is used by the NRC staff to provide official declarations to the IAEA about U.S. nuclear facilities in an effort to fulfill U.S. obligations under the US/IAEA Safeguards Agreement (and Initial Protocol). NRC continues to use the information provided in these forms to collect, retrieve, analyze, and submit the data to the IAEA to fulfill its reporting responsibilities during facility construction, commissioning, operation, maintenance, shut-down, and closed-down (state of preservation or decommissioning). Without this report form, NRC's ability to collect and provide this data would be severely limited.

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.

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 NRC's 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 95% of the potential responses are filed electronically.

4.

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

5.

Effort to Reduce Small Business Burden NRC has determined that the licensees required to submit these forms are not small entities or businesses.

6.

Consequences to Federal Program or Policy Activities if the Collection is not Conducted or is Conducted Less Frequently If the collection and transmittal of design information for IAEA selected facilities were not conducted, the United States would not meet its obligations under the US/IAEA Safeguards Agreement (INCIRC/288). The U.S. is signatory to the Treaty on the Non-Proliferation of Nuclear Weapons (Non-Proliferation Treaty, NPT).

7.

Circumstances Which Justify Variation from OMB Guidelines The requirements under this collection of information conform to the OMB guidelines in 5 CFR 1320.6.

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 Gifts 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). The completed IAEA Form N-71 (and the appropriate associated IAEA Form) or Form N-91 is submitted to the International Atomic Energy Agency, which classifies the information as "Safeguards Highly Confidential," meaning that the information may not be released to any other country, company, or individual.

11.

Justification for Sensitive Questions None.

12.

Estimate of Burden and Burden Hour Cost During the past 3 years, NRC requested that 4 licensees submit updates to Form N-71 and the associated forms. The average burden for completing Form N-71 and its associated form is 360 hours0.00417 days <br />0.1 hours <br />5.952381e-4 weeks <br />1.3698e-4 months <br />. Updates are requested when facilities perform any modification relevant to the application of the provisions of the Safeguards Agreement. The average burden associated with updating the forms is approximately one-quarter that required for a new submission. The average burden for updating Form N-71 and its associated form is 90 hours0.00104 days <br />0.025 hours <br />1.488095e-4 weeks <br />3.4245e-5 months <br />.

Based on information from the IAEA, NRC anticipates four licensees will update their forms in the next three years (90 hours0.00104 days <br />0.025 hours <br />1.488095e-4 weeks <br />3.4245e-5 months <br /> x 4 = 360 hours0.00417 days <br />0.1 hours <br />5.952381e-4 weeks <br />1.3698e-4 months <br />) and two licensees will submit a full form (360 hours0.00417 days <br />0.1 hours <br />5.952381e-4 weeks <br />1.3698e-4 months <br /> x 2 = 720 hours0.00833 days <br />0.2 hours <br />0.00119 weeks <br />2.7396e-4 months <br />). Therefore, the total burden over the next three years will be 1080 hours0.0125 days <br />0.3 hours <br />0.00179 weeks <br />4.1094e-4 months <br /> (360 hours0.00417 days <br />0.1 hours <br />5.952381e-4 weeks <br />1.3698e-4 months <br /> + 720 hours0.00833 days <br />0.2 hours <br />0.00119 weeks <br />2.7396e-4 months <br />), or an annual burden of 360 hours0.00417 days <br />0.1 hours <br />5.952381e-4 weeks <br />1.3698e-4 months <br />. The annual cost for completing Form N-71 and its associated form is

$100,080 (360 hours0.00417 days <br />0.1 hours <br />5.952381e-4 weeks <br />1.3698e-4 months <br /> x $278). The total annual responses will be 2.0 (6 responses /

3 years).

In certain cases, Form N-91 may be used in place of N-71 and the appropriate associated form. However, the NRC does not expect to receive any submissions of form N-91 during the next 3-year clearance. N-91 is a simpler form used by smaller facilities with minimal nuclear material (research lab, transportation facility, etc.) If a licensee were to submit a Form N-91, the estimated burden to complete N-91 is

$50,040 ($278/hr x 180 hours0.00208 days <br />0.05 hours <br />2.97619e-4 weeks <br />6.849e-5 months <br />). However, the actual annual burden is estimated to be $0 since no responses are anticipated.

The $278 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 2019 (84 FR 22331, May 17, 2019).

13.

Estimate of Other Additional Costs There are no additional costs.

14. Estimated Annualized Cost to the Federal Government Approximately 90 hours0.00104 days <br />0.025 hours <br />1.488095e-4 weeks <br />3.4245e-5 months <br /> is expended annually for processing, reviewing and evaluating, and further disseminating each IAEA Form N-71 update (and the appropriate associated IAEA Form). The estimated annual cost to the government is

$50,040.00 (90 hour0.00104 days <br />0.025 hours <br />1.488095e-4 weeks <br />3.4245e-5 months <br />s/form x 2.0 responses x $278/hr). The $278/hr cost calculation is based on the agencys fee rate.

The $278 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 2019 (84 FR 22331, May 17, 2019).

15. Reasons for Change in Burden or Cost The annual burden remains at 360 hours0.00417 days <br />0.1 hours <br />5.952381e-4 weeks <br />1.3698e-4 months <br />. Burden hours will continue to be attributed to selection/de-selection for IAEA safeguards of eligible facilities from the list provided to the IAEA under the US/IAEA Safeguards Agreement. In addition, there has been an increase in the overall cost as a result of an increase in the fee rate from $275/hr to $278/hr.

16. Publication for Statistical Use This information will not be published for statistical use.

17. Reason for Not Displaying the Expiration Date The expiration date is displayed on the forms.

18. Exceptions to the Certification Statement Not applicable.

B.

COLLECTION OF INFORMATION EMPLOYING STATISTICAL METHODS Not applicable.