ML20137D533

Request for OMB Review & Supporting Statement Re 10CFR72, Licensing Requirements for Storage of Spent Fuel in Isfsi. Estimated Respondent Burden Is 13,090 H

ML20137D533
Person / Time
Issue date:	08/07/1985
From:	Norry P NRC OFFICE OF ADMINISTRATION (ADM)
To:
References
NUDOCS 8508220506
Download: ML20137D533 (22)

Text

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Request for 0MB RSYfd9/d 8NY%w 5'*""!0*83

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to este....u Important Read instructions before compteting form. Do not use the same SF 83 Send three copies of this form, the material to be reviewed, and fa t3 request both an Executae Order 12291 review and approval under paperwork-three copies of the supporting statement, to, th) Paperwork Reduction Act.

Of fice of Information and Regulatory Affairs Answer all questions in Part 1. If this request rs for review under E.O.

Office of Management and Budget 12291, complete Part if and sign the regulatory certefecat on. If this Attention: Docket Ubrary, Room 3201 riquest is for approval under the Paperwork Reduction Act and 5 CFR Washington. DC 20503 1320. skip Part II. comp'ete Part 111 and sign the paperwork certification.

PART l.-Complete This Part for All Requests.

2. Agency coce

1. Department / agency and Osteaufoffice or:ginatir g request U.S. I!uClear Regulatory Comr:11ssion 3 1 5 0 Telephone number

3. Name of person who can cest answer questions regarding this request hol ) /". 7 a?nt; John P. Roberts

4. Title of enformation collecten or rulemaking 10 CFR Part /2 - LICE:ISI!iG REQUIREMEi4TS FOR THE STORAGE OF SPEitT FUEL I:1 All 1:10EPE 10E:!T SPEllT F0EL STORAGE IriSTALLATIO:1 (ISFSI)

5. Legal authonty for information collection or rule (cr*e Uonted States Coce. Puotic t.aw or Decutive Order) 2201(o) 42 usC 5 O Federalagencies or employees

6. Aff ected public (check all that apply) 1 O endiv,duaisorhousenoids 3 O rarms s O Non-profitinstitutions 7 0 smaiibusinessesororganiaations 2 O stateoriocaigovernments 4 P Businesses or etner for profit PART ll.-Complete This Part Onlyif the Requestis for OMB Review Under Executive Order 12291

7. Regulation Identifier Number (RIN)

_ _ _ ~ _ _ _ -, or. None assigned O

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Type of review requested S. Type of submission (check one on each category) 1 O standard Stage of development Classification 1 O uajor 1 O proposedordraft 2 O pending 2 O Nonmajor 2 O r.natorintenmfinai.witheriorr.oposai 3 0 cmergency 3 0 rinai or intenm rinai, witnaut enor pr~-->>

4 0 statutoryoriudiciaideactine

9. CF R Section affected CFR

10. Does this regutation contain reporting or recordkeeping requirements that require OMB approvat under the Paperwork Reducteen Act O ves D e.

and 5 CrR 1320?

1 O ves 2On

11. If a maior rule. es these a regulatory impact analysis attached?

3 O ves 4 D.u.

if"No." did OMB waive tre analysis?

Certification for Regulatory Submissions in submstting this request for OMB review,the authonted regulatory contact and the program official certify that the requirem

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pohcy directives have been complied with.

Date Signature of program etficial

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signature of autnonzed regulatory contact Date it. tOAtB use only) standara roem 8 3 6c. a:

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83 108 Pie css eoiticas otiso.ete N5N 754000 634 403' B508220506 850EO7 PDR ORG EUSOMB PDR u

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,. PAR,T lli.-Complete This Part Only if the Request is for Approval of a Collecti:n of Information Under the Paperwork Reduction Act and 5 CFR 1320.

13. Abstract-Describe needs, uses and affected public in 50 words or less 10 CFR Part 72 establishes requirements for an NRC license to possess power reactor spent fuel and associated radioactive materials in an independent spent fuel storage install ation (ISFSI).

NRC is also proposing a rule which would extend the scope of 10 CFR Part 72 to include require-m:nts for NRC licensing of a Monitored Retrievable Storage Installation (MRS).

14. Type of information collection (check only one)

Information collections not contained in rules 1

Regular submission 2

cmergency submission (certification attached)

Information cellections containedin vules 3 O taisting,eguiation(nochangeproposed) s rinai or intera finai without prior seRu

7. tnier eate of e,pected or actuai rederai 4 K' Notice of proposed rulemaking(NPRM)

A O Regular submission Reg' ster publicabon at this stage of rulemak (moara ear.ies'>:

5 O rinar. NPRM was previously published B O Emergency submission (cert r. cat on attached >

15. Type of review requested (check only one) 4 O Reinstatement of a previousir approved coiiection for which appro..

1 O sew coiiection has es pired 2

Revision of a currently approved collection 3 0 titension of tne =>piration date or a currentir approved coiiection s Q t=' sting coiiection in use witneut an oMB controi number without any change in the substance or in the method of collection

16. Agency report form number (s)(onclude standard /octional form number (s)) -

22. Purpose of information cottection (check as many as apply) 1 O Appiication for benefits J/A 2 O Program evaluation

17. Annual reporting or disclosure burden 3 C Generalpurpose statistics lO 4 C Reguiatory or compliance 1 Number of respondents.

3 5 O eregrampianningormanagement 2 Number of responses per respondent 10 s O Reseerch 3 Total annual responses (line 2 times hne 2) l,309 7 0 Audit 4 Hours per response

_3,090 i

5 Total hours (1,ne 3 times hae di

23. Frequency of recordkeeping or reporting (check allthat apply)

18. Annualrecordkeepingburden l

I C Recordkeeping 1 Number of recordkeepers b*lbb Rebefins 2 Annual hours per recordkeeper.

3 Totai recordkeeping hours (I,ne J times hne 2) 5,165 2 G onoccasion 4 Recordkeeping retention period 40 year $

3 O weekiy 19.Totalannualburden 4 0 a nthir 18,255 s O ouarteriy 1 Requested (lene 17 5 plus one 18 3).

O s G semi.annuaify 2 tn curreat oMB inventory

+ lbe2bb 7 O Annuairy 3 Difference (line J lessline 2) 8 O Biennially bplanation aldifference

+ 18,255 9 O other(desenb >:

4 Program change 5 Adjustment.

24. Respondents

• obligation to comply (chec A the strongest abt,gation thaf alvi;

20. Current (most recent) oMB controi number or comment number dolle 1

Voluntary 2

Required to obtain or retain a benefit

21. Requested empiration date 3 years frou a'mroval date 3 O Maneatory

25. Are the respondents primarily educational agencies or institutiens or is the primary purpose of the collection related to Fed

26. Does the agency use sampling to select responcents or does the agency recommend or prescribe the use of samphng or statisticai analysis

. O ves D by respondents?

27. Regulatory authority f or the inf ormation collection 1G CFR par' 72

or FR

or. Other (specify)

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Paperwork Certification In submitting this request for oMB approval, the agency head, the seneor official or an authorized representative. certifies that the require Privacy Act. statistical standards or directives, and any ott'er apphcabte inforrnation policy directives ha e been comphed with,

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Date s gnature of program otticias

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cate tatne 5 gnates ct age cy reao. tne sen or o't.c. wr an 4.trwr :ea repres n

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/'/ /,1 Patricia il 3;rrf, Director

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Offi a Of_f6iiriscrevion

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SUPPORTING STATEMENT FOR 10 CFR PART 72 LICENSIVG REQUIREMENTS FOR THE STORAGE OF SPENT FUEL IN AN INDEPENDENT SPENT FUEL STORAGE INSTALLATION (ISFSI)

Justification Need for and Practical Utility of the Infomation Collection NRC regulations in 10 CFR Part 72 establish requirements, procedures, and criteria for the issuance of licenses to possess power reactor spent fuel and other radioactive materials associated with spent fuel storage, in an independent spent fuel storage installation (ISFSI). The regulations are issued pursuant to the Atomic Energy Act of 1954, as amended, and Title II of the Energy Reorganization Act of 1974, as amended.

NRC is proposing a rule, a copy of which is attached (hereinafter "the proposed rule"), which would extend the scope of 10 CFR Part 72 to include regulatory requirements needed for NRC licensing of a facility provided for in the Nuclear Waste Policy Act of 1982 Section 141, called a Monitored Retrievable Storage Installation (MRS). Some sections would be renumbered under the proposed rule. A cross-index showing section numbers under the existing rule and under the proposed rule is attached for reference.

In order to obtain a license under Part 72, an applicant must submit financial, safeguards, technical, and environmental infomation. Such information is needed both to provide safety assurance and to comply with complementary NRC regulations for environmental protection (10 CFR Part 51) and safeguards requirements (10 CFR Part 73).

The information included in the applications, reports and records is reviewed by the NRC staff to ensure the provision of an adequate level of protection of public health and safety, common defense and security, and the environment. Information concerning the requirements imposed by specific sections is provided below.

Section 72.11 specifies the place for filing an application for an NRC license under Part 72, requires that the application be made under oath, and specifies by reference to Section 72.21 the documents and number of copies required to be submitted with an application.

l The information submitted in the application pursuant to this section and other sections described below is reviewed by various NRC organizational units to assess the adequacy of the applicant's physical plant, equipment, I

organization, training, experience, procedures and plans for protection of i

the public health and safety, common defense and security, and the environment.

t The NRC review and the findings derived therefrom fom the basis for NRC 1

decisions concerning the issuance, modification, or revocation of licenses I

for spent fuel storage.

l l

. Section 72.14, which specifies a portion of the contents of the license application itself, requires the applicant to provide infomation about its identity, its financial qualifications, the construction and operation costs of an ISFSI, and its shutdown and decommissioning costs.

This information will be reviewed by NRC licensing personnel to determire whether the applicant will be able to provide an adequate level of financial responsibility to avoid adverse consequentes to public health and safety.

Section 72.15 requires the submission of a Safety Analysis Report (SAR) to allow a safety assessment of the desigr and operation of the ISFSI. The information must include descriptions and assessments of the site, major structures, systems and components of the ISFSI, the means for controlling and limiting occupational radiation exposures, operating plans, emergency plans, technical qualifications of the applicant, a description of means for controlling radioactive materials released in effluents, and descriptions of quality assurance, security, and decommissioning plans. The infomation will be reviewed by the NRC licensing staff to detemine whether there is reasonable assurance that the activities to be conducted urder the license can be carried out without endangering the health and safety of the public and that they will be conducted in compliance with the regulations.

Section 72.16 requires proposed technical specifications and a summary statement of their bases and justifications. The proposed technical specifications will be reviewed by the NRC licensing staff to detemine whether they will ensure safe operation of the facility. Approved technical specifications will be incorporated in the license.

Section 72.17 requires inclusion of the applicant's technical qualifications, a description of the personnel training program, a description of the applicant's operating organization and delegations of responsibility and authority, and a commitment by the applicant to have and maintain an adequate complement of trained and certified plant personnel prior to the receipt of spent fuel for storage. The infomation submitted will be reviewed by the NRC licensing staff to detemine whether the applicant's technical qualifications, training and organization will be adequate for safe operation.

Section 72.18 requires that the applicant submit a proposed decommissioning plan that contains.information on practices and procedures for decontami-nation of.the site and facilities and for disposal of residual radi oa ctive material after all spent fuel has been removed.

The plan must discuss design features-that will facilitate decontamination and decommissioning ar.d must include the financial arrangements made by the applicant to provide reasonable assurance that the planned decontamination and decommis-sioning of the'ISFSI will be carried out. The information will be reviewed by NRC licensing persannel to determine whether there is reasonable assurance that the planned action will provide adequate protection'to the health and safety of the public.

. Section 72.19 requires the submission of an emergency pl an, in confonnance with the requirements of 10 CFR Part 50, Appendix E, Section IV. Among the items to be addressed are: (1) means for determining the magnitude of a release of radioactive material; (2) criteria for detennining the need for notification and participation of Iocal and State agencies; (3) criteria for determining when protective measures should be considered within and outside the site boundary; (4) onsite decontamination facilities and supplies; and (5) arrangements for services of qualified medical personnel to handle radiation energencies. The pl an will be reviewed by NRC licensing personnel to detennine whether there is reasonable assurance that, in the event of an emergency, appropriate measures can and will be taken to protect public health and safety. The proposed rule would add a reauirement for an sneraency 01 an for an MRS and woul d del ete the reference to 10 CFR Part 50, instead settirg forth specific criteria.

Section 72.20 requires that an application for a license under Part 72 must be accompanied by an Environmental Report which meets the requirements of 10 CFR Part 51.

The Environnental Report is reviewed by the NRC staff. and serves as a basis for the preparation by NRC of an Environmental Impact Statement or an Environ-mental Assessment, which gives detailed consideration to the environmental impacts associated with construction and operation of a proposed f acility or conduct of the activity and assesses impacts in terms of the available alter-natives. This information is necessary to permit NRC to comply with the requirements of the National Environmental Policy Act of 1969.

The burden and cost associated with this requirement are attributable to.and have been previously cl eared by OMB. under 10 CFR Part 51, OMB No. 3150-0021, which should be referred to for further supportirg information, burden and cost data.

Section 72.21 specifies the numbers of' copies and original s of licensing documents to be submitted to meet the requirements of various sections of Part 72. The reouired cooies rance frnm tan for such documents as the Physical Security Pl an and Safeguards Contingency Pl an to 150 copies of the Envi ronmentrl Report. The proposed rule would delete this section and l

would transfer the specific requirements for the numbers of copies of applications and other documents to Section 72.11(c). The orooosed rule l

would require ~, in addition to a signed original, 25 copies of each document.

l Another 125 copies would be required to be retained by the applicant for

' distribution in accordance with instructions from NRC. The complexity of NRC's review and decisionnaking process necessitates the filino of mul tiol e cooies by aool i ca nts. The aoolication may be extremely complex, consisting of mul tipl e foldouts, engi neeri ng drawi ngs, and other printed material of various sizes that is difficult for NRC to reproduce properly or quickly. The NRC reviews typicall y i nvolve numerous technical reviewers within the Office of Nuclear Material Safety and Safeguards.

In addition, documentation must be provided for concurrent review by other NRC offices, technical consultants and contractors, and other participants in the proceedi ng.

The complexity of the review, the need for concurrent review, and the need for timel.y completion of the review, dictate the requirement l

for mul tipl e copies. Del ays resul ting from an i nsuf ficient number of copies would have a much more deleterious impact on applicants than the requirement for mul tipl e copies.

I

. Section 72.32 provides that licensees may submit applications for renewal of licenses issued under Part 72. Applications for renewal must provide the infomation required for an application for a new license, but infor-mation previously submitted in earlier applications or reports may be incorporated by reference without being resubmitted. The section-provides that the duration of a license for an ISFSI may be up to 20 years.

The proposed rule would add a provision that the duration of a license for an MRS may be up to 40 years. The information submitted in an application for renewal will be reviewed by the licensing staff to make the deteminations with rega rd to sa fety, environmental protection, fina ncial responsibility, and other matters as discussed under Sections 72.14 through 72.20 above.

Section 72.33(b)(3) provides that NRC may require further statements after the filing of the application and before expiration of the license to enable NRC to detemine whether the application should be granted or denied or whether a license should be modified or revoked.

Such additional information is sometimes needed to cla'rify information submitted in the application, or to rectify deficiencies in proposed or existing programs for protection of the public health and safety, the common defense and security, or the environment. The additional infomation submitted is reviewed by various NRC organizational units to assess the adequacy of the applicant's physical plant, procedures and plans for protection of the public health and safety, common defense and security, and the environment.

The NRC review and the findings derived therefrom form the basis for NRC decisions concerning the issuance, modification, or revocation of a license for an ISFSI or MRS.

Section 72.33(b)(4) requires that an NRC-approved personnel training and certification program be in effect prior to receipt of spent fuel for storage at an ISFSI. The proposed rule would add this requirement for an MRS. The infonnation submitted will be reviewed by the licensing staff to detemine whether the training and certification program is adequate to assure protection of the public health and safety.

Section 72.33(d) requires that each license include technical specifications, which are submitted by the applicant, stating the limits on the release of radioactive materials for compliance with limits of 10 CFR Part 20 and the "as low as reasonably achievable objectives" for effluents.

In addition, Section 72.33(d)(1) requires technical specifications that establish operating procedures for control of effluents.

Section 72.33(d)(2) requires i

technical specifications that require the establishment of an environmental l

monitoring program to ensure compliance with~ the technical specifications for effluents.

Section 72.33(d)(3) requires technical specifications that I

require the submission of an annual report specifying the quantity of each of the principal radionuclides released to the environment in liquid and gaseous effluents during the previous 12 months of operation and such other infomation as may be required by the Commission to estimate maximum t

radiation dose commitment to the public resulting from effluent releases.

The information submitted pursuant to these technical specification require-ments is reviewed by the NRC staff to determine whether the technical specifications provide an adequate margin of protection for public health and safety and the environment, and to ascertain whether licensee operations j

are consistent with the commitments made in the application and tecnnical speci fi cations.

The technical specifications and reports provide a structured i

. basis for assessing the ef fectiveness of regul ation of releases of radio-active material from an ISFSI or MRS to unrestricted areas by engineering design features and administrative control s.

Section 72.33(e) provides that a licensee must submit an application for an

'anendnent to the license if the licensee wishes to make any chanae that would decrease the effectiveness of the ohysical security pl an. The licensee may make changes without prior Commission approval, provided that the changes do not decrease the effectiveness of the pl an.

In such cases, the licensee is required to submit a report containina a description of each such chanae within two months of the chanoe. The licensee is reauired to maintain records of changes made without Commission approval for two years after the change. This information is needed in order for the regul atory staff to evaluate changes which a licensee has made, or proposes to make, in the physical security pl an.

Section 72.33(f) requires licensees to follow and maintain in effect an emergency pl an approved by the Commission. Licensees may make changes to the approved pl an without prior Commission approval only if such changes do not decrease the effectiveness of the 01 an and the ol an as chanand ennti nnos in meet snaci fied ranni ramonts Licensees are reauired to submit a report to the Commission which describes each change made to the pl an within six months after the change is made. The proposed rule would change this to require the report within twelve months after the change is.made. Licensees desirina to make chanaes that would decrease the effectiveress of the approved emergency pl an are required to submit an application to the Commission for approval.

Section 72.35(b)(1) requires that the licensee maintain records of changes in the ISFSI and of chances in orocedures if these chances varv frnm what is described in the Safety Analysis Report. The licensee must also maintain records of tests and experiments carried out pursuant to Section 72.35(a).

These records must include a written safety evaluation that provides the basis for the determination that the chanae. test. or _exceriment does not involve an unresolved safety question. The licensee must retain the records for the lifetime of the facility. Section 72.35(b)(2) requires that the licensee file a report annually, or as specified in the license, of such changes, tests and exoeriments'. i ncludi na a summarv nf the safotv avaluation of each. Section 72.35(c) requires a licensee desiring to make changes, tests or experiments involvirg an unreviewed safety question, significant increase in occupational exposure or significant unreviewed e nvi ronme nt al impact to submit an application for an anendment of the license pursuant to Section 72.39. The proposed rul e woul d extend these requi rements to an MRS.

This information is needed in order to permit the NRC inspection and licensing staffs to evaluate the safety of changes and practices implemented or proposed to be impl enented he licensees.

. Section 72.36 requires the submission of an application to the Commis'sion if it is desired to transfer a license to another person. The application must include information on the identity-and technical qualifications of the proposed transferee and a statement of the purposes for which transfer is requested and the nature of. the transaction necessitating or making desireable the transfer of the license. The Commission may also require that a written consent from the current licensee or a copy of a court order be filed, attesting to the' transferee's right to possession of the radio-active materials and facilities involved.

This information will be reviewed by the NRC licensing staff to detemine whether the proposed transferee is qualified to be the holder of the license and whether the transfer of the license is consistent with applicable laws, regulations and orders.

Section 72.37(b) makes clear the right of a secured creditor of a licensee to apply for transfer of a license under Part 72. The proposed rule would redesignate this as Section 72.37(c). The burden and cost associated with this section are included in Section 72.36 above.

Section 72.38 requires an application for authority to surrender a license and decommission the facility and dispose of the materials stored therein.

NRC may require additional infomation, including proposed procedures for disposal of radioactive material and decontamination of the site.

The information will be evaluated by the NRC licensing staff to determine whether there is reasonable assurance that the decommissioning and disposal will be performed in accordance with the regulations, will provide adequate protection to the health and safety of the public, and will not be inimical to the common defense and security.

Section 72.39 requires that an application be filed whenever a licensee desires to amend a license. The application must describe the changes desired and the reasons for such changes, following the applicable provisions for an original application..

The information submitted is reviewed by the NRC licensing staff to assess the adequacy of the applicant's physical plant, equipment, organization, training, experience, procedures and plans for protection of the public health and safety, common defense and security, and the environment. The NRC review and the findings derived therefrom form the basis for "9C decisions concerning the modification of the license.

Section 72.42(b) requires a licensee to submit information concerning backfitting or proposed backfitting of the facility at Commission request.

This information will be reviewed by the NRC licensing staff to determine whether or not the backfitting or proposed backfittino will provide 'sub-stantial additional protection to the environment or to occupational or public health and safety.

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Section 72.50(a) requires the licensee to update the design, description of pl anned operations, and other intonnation in the Safety Analysis Report every six months after licensing and during final design and construction, with final submittal at least 90 days prior to pl anned receipt of spent fuel. Final submittal must include final analysis and evaluation of the design and performance of structures, systems and components that are important to safety taking into account pertinent information developed since the submittal of the license application. Section 72.50(b) requires annual updating of the Safety Analysis Report after first receipt of spent fuel for storage.

The proposed rule would extend these requirements to cover MRS receipt of high level waste.

The information will be reviewed by the NRC licensing staff to determine whether there are any changes which affect safety margins approved during i ni ti al l icensi ng.

Section 72.51(a) requires that the licensee keep records showi ng the receipt, i nventory (i ncl udi ng l ocation), disposal, acqui sition, and transfer -

of all spent fuel i n storage. The proposed rul e woul d extend this require-ment to high level waste in an MRS and woul d add a requirement that the records include as a minimum the shipper of the material to the ISFSI or MRS, the quantity of material per item, item identification and seal number, storage location, onsite movements of each storage canister, and ultimate disposal. The proposed rul e will al so require that the records be retained for as long as the material is stored and for five years after it is transferred or disposed of.

Section 72.51(b) requires that each licensee conduct an annual physical inventory of spent fuel in storage. The proposed rule will require that a copy of the current inventory be retained as a record until the Commission terminates the license.

Section 72.51(c) requires that each licensee establish, maintain and foll ow written material control and accounting procedures that are sufficient to enable the licensee to account for the spent fuel in storage. The proposed rule will. require that a copy of the current procedures be retained as a record until the Commission terminates the license.

Section 72.51(d) requires that records of spent fuel in storage be kept in duplicate at separate sites to ensure that a single event cannot destroy both sets of records. Records of material transferred out of the facility must be preserved for five years after the date of transfer..

The material control and accounti ng proceduros are used by the licensee to carry out its material. control and accountiry operations and are reviewed by NRC inspectors to ensure the adequacy of the licensee's programs and comliance with NRC regul ations.

The records are reviewed by the inspection staff to detect diversion of material and to initiate prompt action in the event of a diversion.

Section 72.52 requires that a licensee report an accidental criticality or any loss of special nucl ear materi al. immedi ately to'the appropri ate NRC Regional Of fice by tel ephone and tel egram or tel etype. This information is necessary to promptly inform NRC of particul arly serious maloperations or accidents, and is evaluated by NRC to determine whether 'any innediate response or corrective oction may be necessary.

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Section 72.53 requires semiannual submittal of Material Status reports on DOE /NRC Fonn 742, providi ng information concerni ng the speci al nucl ear material contained in spent fuel possessed received t rans fe rred disnnsed of, or lost by the licensee. The proposed rule would extend this requirement to cover high level waste in an MRS. Licensees subject to the requirements of Part 75 would report as provided in that part instead of Part 72.

The information is required in order for the United States to ful fill its resoonsibilities as a participant in the US/IAEA Safeguards Agreement and

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to satisfy bilateral agreements with Australia and Canada, and to fulfill its domestic safeauards responsibilities. The use of DOE /NRC Form -742 has been previously approved by OMB under clearance number 3150-0004 which shnold be referred to for information collection and reporting data.

Section 72.54 requires that whenever a licensee transfers or receives spent fuel, the. licensee must conplete and distribute a Nuclear Material Transaction Report on DOE /NRC Form 741. Licensees subiect to the renuirements of Part 75 would report as orovided in that part instead of Part 72. The information is needed in order for the NRC regul atory staff to track the movement and possession of special nuclear material, generate i nventory data, and detect the loss or diversion of material and implement action in the event of such loss or diversion. The use of DOE /NRC Form 741 has been previously approved by OMB under clearance number 3150-0003, which should be referred to for information collection burden and supportirg data.

The infonnation submitted in D0E/NRC Forms 741 and 742 (above) is pl aced in the autanated Nuclear Material s Management and Safeguards. System (NMMSS) which is maintained j ointly by NRC and the Deaprtment of Energy (D0E) under contract at Oak Ridge, Tennessee. Common reporting forms are used to minimize the reporting burden on industry members required to provide nuclear material-data to one or both agencies in accordance with prevailing regul ations or contractual obligations. The licensee is thus able to

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file one report to meet the requirements of both agencies. Compliance with I

specific reporti ng requirements is monitored by the agency for which the specific data is reauired.

l Section 72.55(a) orovides that the licensee must maintain any records and make any reports that may be required by the conditions of the license or by the rules, regul ations and orders of the Commission. Records and l

reports provide a primary basis for determination that licensees receive.

l oossess transfer, and dispose of material as authorized in the license and l

in accordance with the regul ations and orders of the Commission. This l

requirement provides additional recul atory support for those conditions and I

provisions and serves to remi nd licensees that thev must enmni v not onl v with Part 72 but with other Cnmmission reaul ations and with snorific license conditions The burden associated with those other requirements is accounted for in the clearances for those regul ations.

l Section 72.55(b) requires each licensee (except DOE) to submit a copy of its.fi nanci al report. i ncl udi ro certi fied fi nanci al statements. These reports are needed for the NRC regul atory staff.to monitor the continued fi nanci al responsibility of the licensee in order to assure that the l

licensee will be able to continue to operate with an adequate maroin of l

orotection of oublic health and safetv

_9_

Section 72.55(c) requires licensees to maintain records that are required by the regul ations or license conditions for the period specified in the regul ation or license condition. This section currently requires that if a retention period is not otherwise specified, the records must be retainei until the Commission authorizes their disposition. NRC's pl anned record retention rulenaking will insert specific retention periods where needed in the regul ations and will provide.that if a retention period is not specified by regul ation or license condition the licensee must retain the record until the Commission tenninates each pertinent license requiring the record.

Section 72.56(e) requires that the licensee submit a report of preoperational test acceptance criteria and test results at least 30 days prior to receipt of spent fuel. The proposed rule would extend this requirement to receipt of high level waste at an MRS. This infonnation is reviewed by the NRC regul atory staff to ensure that the installation meets license conditions for safe operation before spent fuel or high level waste is received and stored.

The following sections contain requirements that must be addressed in the application, either in the Safety Analysis Report (SAR) or in the Environ-mental Report (ER). The burden and cost data for these requirements are attributable to and reported under the application requirement, Section 72.11, or the anendnent requirement, Section 72.39.

Section 72.61 requires that the licensee provide assessments of a number of factors concerning the site, includirg site characteristics that may directly affect the safety or environmental impact of the install ation, frequency and severity of external natural and man-induced events, design basis external events, and the potential for radiological and other environ-mental impacts on the region. The proposed rul e will redesignate this section as new Section 72.70.

Section 72.62 requires identification of natural phenanena which may affect safe operation and design, and requires the collection and evaluation of records of occurrence and severity of important natural phenomena. The proposed rule will redesignate Section 72.62 as new Section 72.71, and will require that the records be retained until the Commission terminates the license.

Section 72.63 requires identification of past and present man-made facilities and activities that might endanger the proposed f acility and identification of potential man-made events that affect the facility design, and requires collection and evaluation of information concerning the potential occurrence and severity of such events. The proposed rule will redesignate this section as new Section 72.73.

Section 72.64 requires that the licensee defi ne the regional extent. of external phenomena, man-made or natural, that are used as a basis for the deisgn of the ISFSI, and identify the potential regional impact due to the construction, operation or decommissioning of the facility.

The proposed l

rule will redesignate this as new Section 72.77.

I Section 72.65 requires that the licensee evaluate the proposed site with l

respect to the effects on popul ations in the region resulting from the l

release of radioactive material s under normal and accident conditions l

durirg operation and decommissioning, and with respect to the effects on the regional environnent resulting from construction, operation and l

decommissioning, taking into account both usual and unusual site character-istics.

The proposed rul e will redesignate this as new Section 72.79.

L

. Section 72.66 requires that the licensee evaluate geological and seismo-logical characteristics of the site. The proposed rul e will redesignate this as new Section 72.81.

Section 72.67 requires that the licensee establish operational restri ctions and limits to meet "as 1 ow as reasonably achievable" objectives for radio-active material s in effluents and direct radiation level s associated with f acility operations. The proposed rule will redesignate this as new Section 72.83.

~

Section-72.70 requires that the licensee evaluate the facility with respect to the potential impact on the environment of spent fuel being transported into.the region. This section will be redesignated by the proposed rule as new Section 72.89.

Section 72.71 requires the application to include the design criteria for the proposed storage install ation. These design criteria establish the design, f abrication, construction, testing, and perfonnance requirements for structures, systems, and canponents important to safety. The proposed rule will redesignate this as new Section 72.91.

Section 72.74(d) requires that the licensee perform analyses to show that releases to the gereral environment durirg normal operations and anticipated occurrences will be within specified exposure limits. Analyses of design basis accidents must al so be made to show that releases to the general environment will be within specified exposure limits. The proposed rule will redesignate Section 72.74 as new Section 72.94.

The information submitted in the application pursuant to the above sections is carefully reviewed by the NRC licensirg staff. A review is made of the physical characteristics of the site, i ncludi ng seismology, meteorol ogy, geology and hydrology, and the popul ation density and use characteristics of the site environs, in order to determine whether these characteristics have been evaluated adequately and have been given appropriate consideration in the facility design.

The facility design and programs for construction and testing of structures, systems and canponents important to safety are reviewed. A review i s al so performed of the applicant's preliminary calcul ations of the response of the facility to a broad spectrum of hypothetical accidents for the purposed of determining whether site acceptablity guidelines are satisfied.

l Section 72.P0(a) requires the licensee to establish and impl ement a quality l

assurance (QA) progran based on the criteria of Appendix B to 10 CFR Part 50 for the structures, systems, and components of an ISFSI that are important to safety.

Section 72.80(c) requires the licensee to maintain records of the design, f abrication, erection, testing, maintenance and occupation of structures, systems, and components important to safety, throughout the life of the ISFSI.

i l

The proposed rule would transfer these requirements to new Section 72.133.

. The program is used by the licensee and is reviewed by the NRC to assure that the f acility and its structures, systems and components are designed, f abricated, constructed, tested, operated, maintained and decommissioned in accordance with established criteria in order to ensure that an adequate level of protection of the public health and safety is maintained.

The records are used by the licensee and by NRC inspectors to determine whether construction, f abrication, testing, and other activities important to safety have been properly conducted. They also pruvide a historical basis for future activities.

As noted above, the current regul ation refers to Appendix B of 10 CFR Part 50 for the criteria for a quality assurance program.

In the proposed rule, the applicable requirements have been extracted from Appendix B of Part 50 and pl aced in Part 72 to provide cl arification as to how those criteria are to be applied to an ISFSI or MRS quality assurance program and to specify what information is required. Under the proposed rule, the applicable requirements are equivalent to those in 10 CFR Part 50, Appendix B.

Licensees who have an NRC approved Appendix B quality assurance program need only state in the application that this approved program will be applied to the ISFSI.

Under the proposed rule, the OA requirements of Section 72.80 will be repl aced by 'new Sections 72.100 through 72.135, which establish quality assurance (QA) requirements that apply to all activities affecting the structures, systems, and components, and decommissioning, which are important to safety. Section 72.100 specifies licensee responsibility for establishing a.0A progra. Prior to receipt of spent fuel at the ISFSI or spent fuel and high-l evel radioactive waste at the MRS, the licensee shall file a description of its OA progra with NRC. and obtain its approval.

-The licensee must also notify NRC of its intent to use a previously-approved QA program. Section 72.101 requires licensees to clearly establish and delineate in writing the authority and duties of persons and organizations performing activities affecting the functions of structures, systems and components which are important to safety.

Section 72.103 requires the establishment of a OA progrm, documented by written procedures or instructions.

Section 72.105 requires the establishment of written procedures for design control. Section 72.107 requires licensees to establish measures to assure that adequate quality is. required in procurement documents.

It al so requires that licensees shall, to the extent necessary, require contractors or subcontractors to provide a QA progra consistent with the applicable provisions of Part 72. Section 72.109 requires that activities affecting quality shall be prescribed by documented instructions, procedures, or drawi ngs. Section 72.111 requires the establishment of measures to control the issuance of documents, such as instructions, procedures, and drawings, including changes thereto, which prescribe all activities affecting quality.

Section 72.113 requires the establishment of measures to assure that purchased material, equipment, and services confonn to the procurement documents, and requires that such documentary evidence he avail able prior to installation or use of the material and equipment. The documentary evidence must-be retained by or avail able to the licensee for the life of the facility and must be sufficient to identify the specific requirements met by the purchased material and equipment. Section 72.115 requires the establishment of measures to assure identification and control of material s,

- parts, and components, either by number on the item or on records traceable to the item. Section 72.117 requires the establishment of measures to assure that special processes, i ncl udi ng wel di ng, heat-treating, and non-destructive testirg, are controlled and accomplished by qualified personnel using qualified procedures, in accordance with applicable codes, standards, specifications, criteria, and other special requirements.

Section 72.119 requires the' establishnent of a program for inspection of activities affectirg quality, includirg specification of any necessary mandatory hold points in appropriate documents. Section 72.121 requires written procedures for a test program to demonstrate that the structures, systems', and components will perfonn satisfactorily in service, and requires that the test results be documented and evaluated. Section 72.123 requires the establishment of measures to assure the proper control, calibration, and adjustment of tools, gages, instruments, and other measuring and testing devices. Section 72.125 requires the establishment of measures to control the handling, storage, shipping, cleaning and preservation of material s and equipment in accordance with instructions to prevent damage or deterioration. Section 72.127 requires establishment of measures to indicate, by the use of markings such as stamps, tags, l abel s, routi ng cards, or other suitable means, the status of inspections and tests performed on individual items of the ISFSI or MRS, and measures to indicate the operati ng status of structures, systems, and canponents, such as by taggi ng valves and switches, to prevent inadvertent operation. Section 72.129 requires establishment of measures to control material s, parts, or components that do not conform to the licensee's requirements in order to prevent their inadvertent use.

The measures must include, as appropriate, procedures for identification, documentation, segregation, disposition, and notification to affected organizations, as well as documented procedures for acceptance, rejection, repair or rework of nonconforming items. Section 72.131 requires establishment of measures for documenting the identification,.

cause, and correction of significant conditions adverse to quality.

Section 72.133 requires that the licensee maintain sufficient records to furnish evidence of activities affecting quality, including design records, records of use and the results of reviews, inspections, tests, audits, monitoring of work performance, and materials analyses, as well as closely rel ated data such as qualifications of personnel, procedures, and equipment.

Records must be identifiable and retrievable.

Records pertaining to the design, fabrication, erection, testing, maintenance, and use of structures, systems, and components important to safety must be retained until the Commission tenninates the license. Section 72.135 requires that a compre-hensive system of OA audits be carried out in accordance with written procedures or check lists, and that audit results be documented and reviewed by managenent.

The purpose of these requirements is to assure that structures, systems,.

and components of the ISFSI or MRS are designed, f abricated, tested, procured, used, maintained, repaired, and modified in accordance with the regul ations and license conditions.

Section 72.81 requires the establishment of a physical security pl an.

Part I must demonstrate how the applicant pl ans to comply with the applicable requirements of 10 CFR Part 73 at the site and during transportation to and fran the site, and must include the design for physical protection 'and the l

i

. safeguards contingency pl an and guard training pl an. Part II must list tests, inspections, audits, and other means to be used to demonstrate compliance with such requirements. The proposed rule will redesignate this as new Section 72.201 and will add the requirement that the physical security pl an be retained as a record until the Commission terminates the license and that superseded portions of the pl an be retained for three years after the. change.

This information will be reviewed by the NRC staff to detennine whether the physical security pl an is adequate to provide protection to the material at the facility and during transport.

Section 72.82 requires a design for physical protection that must show the site 1ayout and design features provided to protect the facility from sabot age.

It must include the design criteria, the design bases for those criteria, and infonnation on. materials of construction, equipment, general arrangement, and proposed quality assurance programs sufficient to provide reasonable assurance that the final security system will conform to those design bases.

This information will be reviewed by the NRC Safeguards licensing staff in order to ensure that the design for physical security will provide an adequate level of protection of the licensed material.

The proposed rule will redesignate this as new Section 72.202.

Section 72.83(a) requires the submission of a safeguards contingency pl an for dealing with threats and radiological sabotage, in confonnance with 10 CFR Section 73.40(b). Section 72.83(b) requires that the licensee prepare and maintain safeguards contingency pl an procedures in accordance with Appendix C to 10 CFR Part 73 for effecting the actions and decisions contained in the Responsibility Matrix of the licensee's safeguards contire gency plan.

The proposed rule will redesignate Section 72.83 as new Section 72.203 and will add a requirement that the safeguards contingency pl an procedures be retained as a record until the Commission terminates the license and that any superseded portions of the procedures be retained for three years after the change.

The safeguards contingency pl an and procedures will be reviewed by the NRC staff to ensure that they provide an adequate level of protection against-threats and industrial sabotage.

Section 72.84(a) specifies that a licensee desiring to make changes that would decrease the safeguards effectiveness of the physical security pl an or certain parts of the safeguards contingency pl an must first submit an application to the Commission for a license amendment. Section 72.84(b) requires that the licensee maintain records of changes to these pl ans which do not decrease their safeguards effectiveness and which therefore do not

. require prior Commission approval, and that the licensee notify NRC of each such change within two months after the change. The records of changes must be maintained for two years.

The proposed rule would redesignate Section 72.84 as new Section 72.204 The infonnation contained in the applications, records and notices will be reviewed by the NRC staff to ensure that the pl ans will continue to afford an adequate level of protection of licensed material with the proposed or

.compl eted changes.

Section 72.92 requires that an applicant establish a program for training, proficiency testing, and certification of personnel. This program must be submitted to the Commission for approval with the license application. The proposed rule will redesignate this. as new Section 72.302.

This program will be reviewed by the NRC licensing staff to ensure that licensee personnel will be adequately trained and proficient in use of the equipment at the facility to provide for safe operation.

Use of Improved Infonnation Management Technology NRC expects to install office information processing systems with communi-cations capabilities that will permit licensees and applicants to electron-ically transmit information directly from their own autanated infonnation processing systems.

Efforts to Avoid Duplication In general, infonnation required by NRC in applications, reports, or records concerning the transfer, receipt, possession, or storage of spent fuel or high level waste at an ISFSI or MRS does not duplicate other l

Federal infonnation collection requirements and is not avail able from any l

source other than applicants or licensees.

In some cases, small portions l

of the needed information might also be contained in other information submittals to NRC or other Federal agencies. However, duplication, if any, is slight, and the collection of this infonnation by use of specified forms and other required reports and records is the most effective and least burdensome means of obtaining the infonnation.

Use of Simil ar Infonnation Section 72.12 specifically provides an opportunity for the applicant to avoid repetition in filing licensing submittal s:

"72.12 Elimination of. repetition.

In any application under this part, the applicant may incorporate by reference information contained in previous app;ications, statements, or reports filed with the Canmission: Provided that such references i

are cl ear and speci fic."

l

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

Consequences of Less Frequent Collection Applications are only required to be submitted for the initial license, for amendments, and for renewal 'every 20 years (40 years for an MRS). The application process requires that applicants and licensees perform compre-hensive safety and environmental reviews to assure that all activities will be or are being conducted safely and in accordance with NRC regulations.

The review and submission of the information. required for the application is essential to.NRC's determination of whether the applicant has training, experience, equipment, facilities and procedures adequate to protect the public health and safety. Other reporting and recordkeeping requirements are occasioned by specific events such as tests and experiments, annual environmental reporting, and transfers and inventories of licensed material.

Conduct of these tests and other events and collection of information concerning them at the required frequency is essential to the assurance of protection of the health and safety of workers and the public.

Circumstances Which Justify Variation from OMB Guidelines Both the current rule and the proposed rule vary from OMB guidelines in the number of copies of application documents required. See the discussion of Section 72.21 on page 3, supra, for an explanation of the justification for this variance.

Consultations Outside NRC Comments from the public and affected industry were sought in connection with the current rule and will be sought for the proposed rule.

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

l l

Sensitive Questions None.

L

l I Estimate of Compliance Burden Reporting Requirements Section Licensee Current Proposed Number of Licensee Staff Hours Total Annual Part 72 Rul e Responses Annually Per Submittal Licensee Burden (Hrs) 72.11 1

12,617 12,617 72.14 72.15 72.16-72.17

- Included in 72.11 72.18 72.19.

)

72.20

- See OMB Clearance No. 3150-0021 72.21

\\

72.32 72.33(b)(3)

- Included in 72.11 72.33(b)(4) 72.33(d) y 72.33(e) 1 10 10 72.33( f) 1 10 10 72.35(b)(2) 1 10 10 72.35(c)

- Included i n 72.39 72.36 0

0 0

No license transfers either expected or, for all new federal and at-reactor-site ISFSIs, expected to be pennitted.

72.37(b) 72.37( c)

- Incl uded i n 72.36 72.38 0."05 600 30 72.39 1

120 120

- Estimate of Compliance Burden Reporting Requirements (cont'd)

Section Li censee Current Proposed Number of Licensee Staff Hours Total Annual Part 72 Rule Resdonses Annually Per Submittal Licensee Burden (Hrs) 72.42(b) 0 0

0 No backfitting requirements anticipated.

This is a contingency provision.

72.50(a) 2 120 240 72.50(b) 1 40 40 72.52 0

0 0

This is a contingency provision.

72.53

- Sce OMB Clearance No. 3150-0004 72.54

- See OMB Clearance No. 3150-0003 72.55(b) 1 1

1 72.56(e) 0.05 40 2

72.61 72.70 72.62 72.71 72.63 72.73 72.64 72.77 l

72.65 72.79 72.66 72.81

- Included in 72.11 or 72.39 above 72.67 72.83 72.70 72.89 72.71 72.91 72.74(d) 72.94(d) 72.80(a) 72.100 th ru 72.135 y

Reporting Requirements -(cont'd)

Section Licensee Current Proposed Number of Licensee Staff Hours Total Annual Part 72 Rul e Responses Annually Per Submittal Licensee Burden (Hrs) 72.81 72.201' 72.82 72.202 72.83( a) 72.203( a)

- Included in 72.11 above 72.83(b) 72.203(b) 72.84( a) 72.204( a) 72.84(b) 72.204(b) 1 10 10 72.92 72.302

- Incl uded i n 72.11 above Total 10.1 13,090 Recordkeeping Requirements Total Record No. of Annual Hrs per Recordkeepi ng Retention Recordkeepers Recordkeeper Hours Period 72.35(b)(1) 1 10 10 Duration of License 72.51( a) 1 40 40 Until 5 yrs after transfer 3

p 72.51(b) 1 75 75 Duration of l

Li cense i

I 72.51( c) 1 40 40 Duration of l

License 72.51(d)

- Included in 72.51(b) above until 5 yrs after transfer 72.55( a)

- Included in clearances for other specific requirements l-72.55(c)

- Included under specified requirements in other se:tions I

72.80(c) 72.133 1

5,000 5,000 Duration of l

Li cense Total Recordkeepers -

1 Total 5,16 5 Recordkeeping Hours TOTAL LICENSEE BURDEN HOURS - 18,255 L

o Estimate of Cost to the Federal Governnent Annual Cost - NRC Staff Review (Professional effort - 9,650 hours0.00752 days <br />0.181 hours <br />0.00107 weeks <br />2.47325e-4 months <br /> 0 $60/hr)

= $579,000 Anrual Cost - Clerical Processing (Clerical effort - 1,667 hours0.00772 days <br />0.185 hours <br />0.0011 weeks <br />2.537935e-4 months <br /> 0 $30/hr)

= $ 50,000 Annual Administrative Costs (Postage, handli ng, erwel opes, etc.)

=$

2,000 Annual Cost for Record Holding:

(478.5 cu. f t x $209/cu. ft.)

= $100,000-Anmjal Printing Costs

= See OMB Clearance Nos.

3150-0003 and 3150-0004 Annual Cost for Storage of Forms in NRC Supply

= See OMB Clearance Nos.

($2.10 per 1,000) 3150-0003 and 3150-0004 Annual ADP Cost

= $ 20,000 Total Annual Cost

= $625,000 Change in Burden Resultirm from Proposed Rule No ne.

Publication for Statistical Use No ne.

r-REDESIGNATION TABLE Old Section Redesignated as New Section

(

72.61' 72.70 72.62 72.71 72.63 72.73 72.75 72.64 72.77 72.65 72.79 72.66 72.81 72.67 72.83 72.68 72.85 72.69(Deleted) 72.70 72.87(Reserved) 72.89 72.71 72.91 72.72 72.92~

72.73 72.93 72.74 72.94 72.75 72.95 72.76 72.96 72.80 72.101-135 72.81 72.201 72.82 72.202 72.83 72.203 72.84 72.204

~72.91 72.301 72.92 72.302 72.93 72.303 L