ML20011E080

Request for OMB Review & Supporting Statement Re 10CF75, Safeguards on Nuclear Matl-Implementation of Us/Iaea Agreement. Estimated Respondent Burden Is 204 H

ML20011E080
Person / Time
Issue date:	01/30/1990
From:	Amenta J NRC OFFICE OF INFORMATION RESOURCES MANAGEMENT (IRM)
To:
References
OMB-3150-0055, OMB-3150-55, NUDOCS 9002070246
Download: ML20011E080 (11)

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$'aeer$83 Request for OMB Review

-- (Rev. seotemter 1983)

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, important Read instructions before compieting f orm. Do not use the f.ame SF 83 Send three copies of this form, the matenal to be reviewed, and for J s request both en Executive Order 22291 review and approval under paperwork-three copies of the supporting statement, to:

r the Paperwork Recuction Act Answer all Questions in Part 1. If this request is for review under E.O.

Lffice of information and Regulatory Aff airs 12291, complete Part il and sign the terutatory certification. If this Office of Management and Buoget l.

reovest is for approval uncer the Paperwork Reduction Act and 5 CFR Attention: Docket bbrary, Room 3201

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1320, skip Part it. complete Part 111 and sign the paperwork certification.

Washington, DC 20503

" PART l.-Complete This Part ior All Requests.

1. Detrtment/ agency and bureau'ottice ononatmg reauest

2. Agency coac U. S. Nuclear Regulatory Commission 3 1 5 0 l

3. Narne oi ptisoll who can Dest answer Questions regaroing th!s request Irleonone number l

L Don Kasun

( 301 )492-3379

4. TitJ of intorrnation collection or ruiemammg 10 CFR Part 75 Safeguards on Nuclear Material - Implementation of US/lAEA Agreement

' b. Vri autnority tor mrortration tonectir+ or ruit (cote unitec btates Cove. Puoat saw. or Lnecatwe orcer) 4?

US; 2201(n) or

6. Atficted public (check ah that 40D0 )

6 b Feotralagencielor employees 1 C inoeviduais on househoics 2 C Fatms 6 C Non profit mstr' Jtions 2 C $ tate erlocalrevernme'ts

4. C( ftusmesses or other for proht 7 C Smail busmesses or otran'28tions PART ll.-Complete This Part only if the ftequest is for OMB Review Under Executive Ordet 12291

7. Regulation Identiher Numtier (R!Ni L

_ ~ ~ _ _ _ _. or, Ncne aswFne3 C

8. Type et submission (check one m each catepoy)

Type of revsew requested Classification Stage of covelopment

} C $tandard 1 C Major i C proposedor oratt 2 C Perding 2 C Nonmajor 2 C Fnalo intenmfinal.witnanorproposal 3 C Emergency 3 C Final or intenm final, without pnor proposa!

4 C Statutory or Judicialdeadline

9. CFR section attected CFR

10. Does this regulation contain reportmg or recordxeeping reauirements that recurre OMB approval under the Paperworm Reduction Act and 5 CFR 1320?

. C Yes CNo

" 11. If a rnejor ruie,is there a regulatory impact arialysis attached?

I b Yes 2 C No If"No " did OMB waive tne avysd

} C Yes 4 C f40 Certification for Regulatory submissions in submittmg this reauest for OMB review.tne aatnonzec regut*to y contact and the program offlCiel certify that the requirements of E 0.12291 and any applicable oosicy directives have oeen compoed witr

$ignature of program offscial Date 9002070246 900130 Signature of autnotizea regulatory contact PDR ORG EUSOMB PDC Date

12. (OMB use only)

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sta * " arms m a 9 e e,woui eomom, comi, moe P

, NSN 754403634 do34 g{escrya b oM V ty

PART lit.-Complete This Part Only if the Request is for Approval of a Collection of Informatiets Under the F aperwork Resuction Act and 5 CFR 1320.

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'Q Abst'Ic Energy Fac@ ties,erf puNicin50wordso'tessRadioactive Materials, Nuclear Facility Security" t4 scribe needs, v nd affect Atom 10 CFR Part 75 establishes a system of nuclear material accounting and control to L

implement the US/IAEA Agreement, which requires licensees to submit information con-cerning their installation for the use of IAEA; establish, maintain, and follow prescribed material accounting and control procedures; provide reports: and permit IAEA inspections.

4. Type of intormation collection (checa only orie)

Information coIIections not containedin rules 1 C Regular submission 2 C Emergencysuomissionteert,he,t,o.,attxned)

Information collections containedin rules 3 O Existmg regulation (no change proposed) 6 Final or mtenm final without enor NORM

7. Enter cate of espected or actual Federat 4 C Notice of proposed ruiemaking(NPRM)

A C Regu arsubmission Reg: ster pubhcation at this stage of rutemaking

(.

5 C Fmal. NPRM was previously pubbshed B C [mergency suorrassion(cert /6 cation attachec)

(month, day. year)

! 5. Trpe of review reavested (checA only one) 2 C New coiioeiion 4 C Reinstatement of a previousiy approved coriection for wnich aporovai a C Revision of a currently approved collection has expired 3 3 Extension of the empiration date of a currently approved collection 5 C Eostmg collection in use without an oMB controt number without any chante m the substance or m the rnetnoa of coriection

's Agoncy report torm nurrborts)(inctune stenaarctoctional form number (s))

22. Pumose of information collection (check as many as apply)

Not applicable 1 C Appi> cation for benefits W. Annuat terorting o' d sclosure buroen 2 C Propamevaluation 3 C ceneratpurposestatistics i Numtser of responcents.

4 $ degulatory or comphance 3

2 %meer ot eesponses per respondent 5 C Program piant.mg or management 3 90tal annuai responses (Ime J tirnes tene t) 43 6 C Pesearch J Hours per response 4*7 7 C Aud.t ww hon t,ne nme, o,n,. e 204 i

9. Annual recorakeeping Dureen j 23. f recuency of recorckeeping or reporting (checa att that apply) b l

1 $ Recorckeepmg i Numoer 01 recoremeepers 2 Annuai nauts per recordkeeper.

800 n, porting 3 Tot 8, recorokeeping nours (Iine j times isne ?)

4.800 2 3 onoccasion 4 Accor%eepmit retenten cenoa LIFE.arsi 3 C w,euy

. 3. Votal annual bu'oea i

4 C Mont*ily

ncavestemne ;,ts clus iene J s.sr 5,004 l

5 C ouaneriy Z iri current OMB myentory 4.306 i

s C sem,.annuaiiy l ostference ri ne 2 less tene t;

+ 698

_l 7 C Annually (Coatson of getference 3 C B.ennially 4 Program chaq,e 9 C othertaesence) l

$ Ad ustment

+ 698 l

f

/0. Csrent (most recent> oMB cor trol number or comment number

24. Respondents' obhgation to comply (cliecA the strongest obligation that apptses) 3150-0055 3 C voiuntary

1. Roquested expiration cate 2 C Reavited to cDtain or retam a benefit 3 years from approval date__

3. 00 vannatory

15. Are the responcents onmant, educational agencies or mstitutions or is the pomary purpose et tne co!!ection related to Feoeral education programs? O Yes C No

26. DeCs the agency use samphr g to seiect responcents or ooes tne agency recommend or presenbe the use of sampimg or statistical analysis

. C Yes 0 No by responcents.

17. R eguiator autnority tur the nrormation collect:on I

CFR Piirt 75

. or rR

or.other(spectfy):

E aperwors Certification 7 suWttieg 14s reacest for oMB approval, the agency head, the senior official or an authorized representative certifies that the reavirements of 5 CFR 1320. the

%vacy Act. statistical standa'Os or direct;ves, and any other apphcable mformation pohey directives have been comphed with.

bgnature of program ott.ciat

'Date j

l GIatur]of edenehmen. tt e senior official or an authonzed reoresentativets, Designated Senior Offici 11 head

\\

Date J3yce t

for Information Resources Management beo b

( f g o / cg l

O CPO 1984 0 - 453 776 i

f

r SUPPORTING STATEMENT FOR 10 CFR PART 75 SAFEGUARDS ON NUCLEAR MATERIAL -

IMPLEMENTATION OF US/IAEA AGREEMEllT Justi_f_ication The United States, as a party to the Treaty on the Non-Proliferation of Nuclear Weapons (NPT), has joined with other nations in an effort to limit the spread of nuclear weapons. To encourage widespread adherence to the NPT by non-nuclear-weapon States, in 1967 President Johnson announced that the United States would permit the International Atomic Energy Agency (IAEA) to apply its safeguards to nuclear activities in this country. This policy has been reaffirmed by each succeeding President and has been referred to by other governments as a consideration affecting their decision to ratify the NPT. The US/IAEA Agreement contains provisions which parallel agreements between the IAEA and non-nuclear-weapon States, the principal difference being the exclusion of national security activities.

10 CFR Part 75 establishes a system of nuclear material accounting and control to implement the Agreement between the U.S. ano IAEA for the application of safeguards in the U.S.

The requirements of Part 75 apply to all persons licensed by the Commission or Agreement States to )ossess source or special nuclear material at an installation specified on tie U.S. eligible list as determined by the Secretary of State or his designee and filed with the Comission. The requirements of Part 75 also apply to holders of construction permits and to persons who intend to receive source material or special nuclear material.

Need for the Information Collection The implementing regulations identify provisions requiring licensees (1))to submit information concerning their installation for the use of IAEA, (2 to establish, maintain and follow prescribed material accounting and control procedures, (3) to provide reports and (4) to permit inspections by IAEA representatives. For NRC to implement its responsibilities, it is necessary for licensees affected by Part 75 to maintain records and submit reports pursuant to the following sections.

Section 75.3(a) states that the Comission may, upon application of any interested person or upon its own initiative, grant exemptions from the requirements of this part under specified conditions. Applications under this section are examined by the NRC staff to determine whether the requested exemption is authorized by law and whether it will not endanger life or property or the common defense and security, and to determine if it is otherwise in the public interest.

Section 75.7 requires that a licensee visited by a representative of the IAEA shall immeciately communicate with the Commission, by telephone, to verify the credentials of the visitor if the licensee does not have prior written Commission verification. This communication is necessary to permit the Comissien to provide for facility access by duly authorizea representatives of IAEA.

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Section 75.11f a) requires each licensee subject to the provisions of Part 75 to submit installation information to the Comission in response to a written request.

IAEA Form N-71 is used to collect this information. The use of IAEA Form N-71 has previously been approved by OMB under clearance number 3150 0056, which should be referred to for information collection burden and supporting i

data.

Section 75.11(c) requires each licensee to submit to the Commission information with respect to any modification or change at the installation affecting the informationgivenunderSection75.11(a). This information is required in order to ensure that the information provided to IAEA is up to dete.

Section75.11(d)specifiesthattheinformationrequiredby(a)anc(c)above, submitted on AAEA Form N-71 or other foms, must include identification of features of installation and nuclear material in sufficient detail to facilitete verification, determination of material balance areas and key measurement points, establishment of nominal timing and procedures for physical inventory, record and report requirements and evaluation procedures, requirements and procedures'for verification of the quantity and location of nuclear material, and selection of ccntainment and surveillance methods and techniques at the strategic points at which they are to be applied. This information is collected by NRC for forwarding to IAEA.

Section 75.11(c) specifies that the licensee's detailed security measures for the physical protection of an installation shall be included in the installation information only when and to the extent specifically requested by the Commission. This information, when requested, is necessary for IAEA verification of measures for safeguarding of nuclear material, t

Section 75.12(b) provides that a licensee may request that information of particular sensitivity, which it customarily holds in confidence, not be transmitted to the IAEA.

A licensee who mckes such a request shoulo identify the pertinent document or part thereof and make a full statement of the reasons supporting the request. The licensee must retain a copy of the request and all documents related to the request as a record until the license is teminated or until the licensee is notified that it is no longer covered by the Agreement.

Superseded material must be retained for three years.

The information is reviewed by NRC to determine whether the information should be withheld from IAEA.

In considering such a request, the Comission attempts to achieve an effective balance between legitimate concerns of licensees, including protection of the competitive pcsition of the owner of the information, and the undertaking of the United States to cooperate with the IAEA to facilitate the implementation of the safeguards provided for in the Agreement.

Section 75.12(b)(4) provides that, if a reouest is granted, the information will not be transmitteo but will be held by the licensee as a record for examination by IAEA at a location designated by the Commission until the Comission terminates the license or until the licensee is notified that it is no longer covered by the Agreement. Superseded material must be retained for three years.

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Section 75.12(d) provides thct a licensee may request that information submitted under 75.11 or ?5.14 not be physically transmitted to or made available to IAEA.

Such a request is reviewad by the Comission to determine whether it is consistent with the Agreement.

Section 75.14(a) requires tisat at the time infermation is submitted uncer Section M.11 (Form N-71) and promptly whenever changes are made, the licensee must submit to the Comission information on organizational responsibility for materi61 control and accounting and on health and safety rules to be observed by j

the IAEA inspectors at the installation.

IAEA Form N-71 is used to collect this i

information. The use of IAEA Form N-71 has previously been approved by OMB under clearance number 3150-0056, which should be referred to for information collection burden and supporting data, i

Section 75.21 requires that each licensee notified in writing by the Commission that its installation has been identified under the Agreement must establish, maintain and follow written material accounting and control procedures. The procedures must be retained as a record until the Comission terminates the license er until the Comissien notifies the licensee that it is no longer under the Agreement.

Superseded material must be retained for three years. The procedures must include: a measurement system; procedures for evaluation of precision and accuracy of measurements and estimation of measurement uncertainty; procedures for identification, review and evaluation of shipper /

receiver measurement differences; physical inventory procedures, including frequency; procecures for evaluation of accumulations of unmeasured inventory and losses; and a system of accounting and operating records. The information is used b/ the licensee to carry out its material control and accounting operations, and is reviewed by NRC and IAEA to ensure the adequacy of the licensee's material centrol and accounting programs.

Section 75.22 requires that the accounting records requirec by Section 75.21 must incluce, for each IAEA material balance area, inventory changes, measure-ment results, adjustments and corrections with respect to inventory changes, book inventories and physical inventories, material identification, batch data and source data.

For inventory changes, the records must show the date of the inventory change and, when appropriate, the originating or receiving IAEA material balance area or shipper or reciaient.

These records are used by the licensee, NRC and IAEA to determine whetler there has been a diversion or loss of material.

Section 75.23 requires that the operating records requireo by Section 75.21 must incluce,'for each IAEA material balance area, those operating data which are used to establish changes in the quantities and composition of nuclear material, the data obtained from calibrations, procedures and estimates, description of the actions taken for a physical inventory eno of the actions taken to ascertain the magnitude and cause of any accidental or unmeasured loss.

Section 75.24 requires that records required by sections 75.22 and 75.23 must be retained for five years. This requirement is the result of international agreements.

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Section 75.31 requires that a licensee which has been informed in writing that its installation has been identified under the IAEA Agreement must make an initial inventory report on DOE /NRC Form 742, and must thereafter make accounting reports.

In addition, a licensee who has been given notice pursuant to Section 75.41 that its installation is subject to the applicction of IAEA safeguaros must make the special reports described in Section 75.36, based on the records kept in accordance with Section 75.21.

At the request of the Comission, the licensee must amplify or clarify in writing, within 20 days, any report relevant to implementation of the Agreement.

This information is necessary to provide required information to IAEA in accordance with the Agreement.

Section 75.32 requires that the initial inventory report, on DOE /NRC Form 742, in accoroance with printed instructions for completing the form, must show the quantities of nuclear material contained in or at an installation as of the initial inventory reporting date. That date is the last day of the calendar month in which the Comission gives the licensee notice that an initial inventory report is required. The initial inventory report must be dispatched within 20 days after the initial inventory rcporting period. DOE /NRC form 742 is used to collect this information. The use of DOE /NRC Form 742 has previously been approved by OMB under clearance number 3150-0004, which should be referreo to for information collection burden and supporting data.

Section 75.33 requires that the accounting reports for each IAEA material balance area shall consist of inventory change reports on DOE /NRC Form 741 and material status reports on DOE /NRC Form 742.

The use of DOE /NRC Forms 741 and 742 has previously been approved by OMB under clearance numbers 3150-0003 and 3150-0004, which shculd be referred to for Information collection burden and supporting data.

Section 75.34 requires thet inventory change reports be submitted on DOE /NRC Fcrm 741, in 6ccordance with printed instructions for completing the form.

Form 741 serves 6s a shipping and transfer cocument for special nuclear material and source material as required of NRC and Agreement State licensees. This requirement is needed to enable the U.S. to fulfill its responsibilities as an IAEA participant. DOE /NRC Form 741 is used to collect this information. The use of DOE /NRC form 741 has previously been approved by OMB under clearance number 3150-0003, which should be referred to for information collection burden anc supporting data.

Section 75.35 requires that material status reports nust be submitted and must include a material balance report on DOE /NRC Form 742, and attached thereto a physical inventory listing on DOE /NRC Form 742C listing all batches separately and specifying material identification and batch data for each batch, accompanied by a DOE /NRC Form 740f1, Concise Hote, in accordance with printed instructions for completing the forms.

The material status reports must be dispatched as soon as possible and in any event within 30 days after the start of the physical inventory. The use of those forms has previcusly been approved l

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5 by OMB under the following clearance numbers, which should be referred to for information collection burden and supporting data:

o DOE /NRC Form 742 OMB No. 3150-0004 DOE /NRC Form 742C OMB No. 3150-0058 DOE /NRC Form 740M OMB No. 3150-0057 Section 75.36 requires that licensees that have been given notice pursuant to Section 75.41 must make a special report to the Commission immediately by telephone and telegraph, mailgram or facsimile in certain specified situations involving the possibility of loss of nuclear material in excess of specified limits and in case of unexpected changes in containment to the extent that unauthorized removal of nuclear material has become possible. This information is evaluated by NRC to determine whether any immediate response or corrective action may be necessary.

Section 75.43(a) requires that licensees that have been given notice pursuant to Section 75.41 must give advance written notice to the Commission of specified domestic or international transfers.

Section 75.43(b) requires that notification be given of any proposed shipment of nuclear material for peaceful purposes under an export license issued pursuant to 10 CFR part 110 in any amount exceeding one effective kilogram, directly or indirectly to any non-nuclear weapon state.

Section 75.43(c11] requires that notification be given with respect to nuclear material of specifiec quantities which immeciately prior to export is subject to safeguards under the US/lAEA Agreement.

Section 75.43(c)(2) requires that notificatien be given with respect to any

'pToposed import or nuclear material described in 75.43(c)(1) of any amount exceeding one effective kilogram.

For two or more shipments within any 90 day period from points of origin in the same country, the aggregate of which will exceed one effective kilogram, notification must be given for each shipment.

Section 75.43(d) requires that notification be given with respect to any shipments of nuclear material to a destination in the U.S. other than an installation on the eligible list.

Section 75.4a(c) requires that notification be given to the Comission as soon as possible of any delay in the shipment or receipt of nuclear caterial for which advance notification is required.

Section 75.45 specifies that the notifications required by Section 75.43 must include specified information on the nuclear material and the probable dates of receipt or shipment. For export and import shipments, it should also include information on containers, destination, means of transport, and expected date of arrival.

These notifications are necessary to permit NRC to ensure that sufficient protection is being providea for material being transported and to ensure that any needed coordination with IAEA inspections is arranged.

6 Agency use of Information In order to fulfill United States responsibilities under the US/IAEA Agreement, NRC is required to collect the information and make it available to the IAEA.

NRC would not be able to fulfill its responsibilities without the information.

In an effort to minimize duplication and licensee burden, NRC and the Department of Energy (DOE) jointly maintain a Nuclear Materials Management and Safeguards System (NMMSS).

Common reporting forms are used to minimize the reporting burden on industry members required to provide nuclear materials data to one or both agencies or to IAEA.

In those cases, the licensee is able to file one report to meet the requirements of both agencies, and of IAEA if required.

For those reports, the information is entered, stored, and maintained in the NMMSS and is used to generate reports that are submitted to the IAEA for use in monitoring of selected U.S. facilities.

Reduction of Burden Through Information Technology There are no legal obstacles to reducing the burden associated with this information collection. Applicants and licensees may use electronic information processing systems to prepare and submit required information.

Effort to Identify Duplicaticr i

The Information Rcquirements Control Automateo System (IRCAS) was searched to determine duplication.

Ncne was found.

Effort to Use Similar Information There is no similar information available to the NRC.

Effort to Reduce Small Business Burden NRC has determined that the affected entities are not small entities or businesses as those terms are used in the Regulatory Flexibility Act.

,Consecuences of Less Frequent Collection The data collection times are established by an international agreement and cannot be changed except by modifying the agreement.

Circumstances Which Justify Variation from OMB Guidelines Contrary to the OMB Guidelines in 5 CFR 1320.6(c), fifteen copies of IAEA Form N-71 are required to be submitted.

This is a one time requirement.

The copies are needed for distribution to the IAEA, Department of State, the Arms Control and Disarmament Agency, the Department of Energy, the IAEA Project Officer, and the selected facility's files.

Some of the agencies require multiple copies.

The need for concurrent review, the complexity of the review, and the need for timely completion of the review, dictate the requirement for multiple copies.

7 Contrary to the OMB Guidelines in 5 CFR 1320.6(b), Sections 75.31 and 75.32

'1 require that licensees submit information to L'RC in less than 30 days. These requirements are necessery in order to meet the time requirements for notification to IAEA under the Agreement.

ContrcrytotheOMBguidelinesin5CFR1320.6(f).Section75.12(b)(4) requires that licensees retain certain sensitive information as a record for examination by the IAEA until the Commission terminates the license or until the licensee is notified by the Commission that it is no longer covered by the agreement.

The availability of these records is necessary so that arrangements may be made for the IAEA to review them if circun' stances require.

Consultations Outside the Agency There have been no consultations outside the agency since the previous clearance of these requirements.

Confidentiality of Information None, except for proprietary or safeguards information.

Sensitive _(uestions None.

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f Estimate of Cc,mpliance Burden Reporting kequirements Licensee Total Number of No. of Licensee Staff flours Annual Section Licensees Responses Annually Per Submittal Burden 75.3(c) 2 2

12 24 i

75.7 2

2 0.2 0.4 i

y 75.11(a)

- See OMB Clearance No. 3150-0056 75.11(c)

Includedin75.11(a) 75.11(d)

Includedin75.11(a) 75.11(e)

Included in 75.11(a) 75.12(b) 2 2

12 24 75.12(d)

Includedin75.12(b) 75.14(a)

- See OMB Clearanc.e No. 3150-0056 75.31 Included in 75.32 and 75.36 75.32

- See OMB Clearance No. 3150-0004 75.33

--See OMB Clearance Nos. 3150-0003 and 0004 75.34

- See OMB Clearance No. 3150-0003 75.35

- See OMB Clearances 3150 0004, 0058, and 0057 75.36 2

1 12 12 75.43(a) included in 75.43(b) ano 75.43(c)(2) 75.43(b) 6 12 4

48 75.43(c)(1)

Inc.ludedin75.43(c)(2) 75.43(c)(2) 6 12 4

48 75.43(d) 6 12 4

48 4

75.44(c)

Includedin75.43(b)and75.43(c)(2) 75.45 Included in 75.43(b) and 75.43(c)(2)

Total:

43 204.4 r

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J Recordkeeping Requirements No. of Annual Recordkeeping Licensees Hours per Licensee Total Burden 75.12(b)(4) 6 400 2,400 75.21 6

400 2,400 75.22 Included in 75.21 75.23 Included in 75.21 75.2a Included in 75.21 Total number of recordkeepers:

6 Total recordkeeping hours annually:

4.800 TOTAL ANh0AL BURDEN HOURS FOR PART 75: 5,004 Estimated Cost to Respond to the Collection The estimated annual cost to licensees to respond to the collection requirements is $475,380 (5,004 hrs X $95/hr).

Source of Burden Data and Method for Estimating Burden This data is based on informal consultations by staff with a small number of typical licensees ano on actual reports submitted by licensees to NRC curing previous years.

Reasons for Change in Euroen The change in burcen reflects changes in the number of licensees reporting and in burden estimates for some of the submittals.

In some cases the number of licensees reporting has increased from one to two and in some cases it has decreased from 10 to 6.

The change also reflects the provision for a record-Leeping requirement in Section 75.12(b)(4). That section was not classified as a recorakeeping requirement in previous clearances, but has since been clarified to specify a record retention period.

Estimated Cost to the Federal Government Cost to the Government for review of reporting forms is attributable to and reportea under the clearances for those forms as cited above.

The cost for professional review other than the cited forms is estimated to be 12 professional staff hours at $95 per hour, or $1,140.

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