ML20137E301

Request for OMB Review & Supporting Statement Re 10CFR73, Physical Protection of Plants & Matls

ML20137E301
Person / Time
Issue date:	06/06/1985
From:	Norry P NRC OFFICE OF ADMINISTRATION (ADM)
To:
Shared Package
ML20137E300	List: ML20137E296 ML20137E301
References
OMB-3150-0002, OMB-3150-2, NUDOCS 8508230236
Download: ML20137E301 (8)

Text

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s-rc m 83 Request for OMB Review s we .ferem w 19Sh important Read instructions before completing form. Do not use the same $r 83 Send three copies of this form, the material to be reviewed, anit I tu request both an Executive Order 12291 review and approvat under paperwork-three copies of the supportir'g statement, to.

the Paperwork Reduction Act.

Answer all questions in Part I. If this request is for review under E.O. Office of Information and Regulatory Affairs 12291, complete Part il and sign the regulatory certification. If this Office of Management and Budget request is for approval under the Paperwork Reduction Act and 5 CFR Attention: Docket Library, Room 3201 1320. skip Part II, comp!ete Part lil and sign the paperwork certification. Washington, DC 20503 PART l.-Complete This Part for All Requests.

E0epartment/ agency and Bureau /of fice originating request 2. Agency code U.S. Nuclear Regulatory Connission -

.3 _ _1_ __5_ IL 3.~f43e of person who can best Jnswer questions regarding this request Telephone number Priscilla Dwyer ( 301 )427-4773_

4. Title of information collection or rulemaking 10 CFR 73, Physical Protection of Plants and Materials

5. Lqat authority for information collection or tule (cate United Stares Code, Pubhc law. or Executne order) 47 Usc 220L(o) - or .

6. Affected pubhC(checli allfhatapply) s O rederaiagenciesorempioyees 1 O individua:sorhousenoids 3 L rarms s O Non-profitinstitutions 2 O stateorincargovernments 4 @ Businesses or other for profit 7 0 smari businesses or organizat,ons PART ll.-Complete This Part Only if the Request is for OMB Review Under Executive Order 12291

7. Regulation identifier Number (RIN)

_, _ _ _ ,__. _ , or, None assigned O W.~1ype cf submission (check one on each category) Type of review requested C!sssification Stage of development 1 O standard 1 O unjor 1 O proposedordraft 2 O eending

~ 2 O Nonma,or 2 O rinatorinterimfinal.withpriorproposai 3 0 Emergency 3 0 renai or intenm finai. without pnor proposai 4 0 s'atutoryorjudiciaideadhne t

9. CFR sectior, af fected CFR

_10. Oces this regulation contain reporting or recordkeeping requirements that 'equire OM8 approval under the Paperwork Reduction Act and 5 CFR 13207

. O ves f ! tt

11. If a mayor rute. is there a regulatory irnpact analysis attached? 1 O yes 2 F 1 r.

If"No." did OM8 waive the analysis? . 3 0 ves 4n.

Csetification for Regulatory submissions I in submitting this request for CM8 review, the authonted reguhtory contact and the program officialCertify that the requirements of E.O.12291 and any appt.cmr

[

pnhcy directives have been comphed with, signature of program official Date l S.;nati.re of autnoraed regulatory contact Date 12 LOY8 use only)

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C508230236 850821 l ,p PDR ORG EUSOMB sum,ero, n ,

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y PART lli.-Camplate This Part Only if the Request is fcr Approvalcf a Collectisn of Information Under the Paperwork Reduction Act and 5 CFR 1.420.

13. Abstract-Descnbe needs. uses and af fected public in 50 words or less

.NRC is proposing revisions to 10 CFR Section 73.71 to clarify the requirements for the reporting of safeguards events. Certain definitions of safeguards events would be eliminated or redefined. . Telephonic notification and followup reporting requirements for safeguards events would be revised.

14. Type of information collecteon (check only one)

Information collections not containedin rules 1 O Reguiar submission 2 O Emergency submission (certificationattached>

Information ceMeetions containedin rules 3 O Existing regulation (no change propcsed) 6 Final or intenm final without prior NPRM 7. Enter date of espected or actual Federal AO Reguiarsubmission Regist < pubiication at this stage of rutemai 4 @ Notice of proposed rulemaking(NPRM)

(month, day, year):

5 Final. NPRM was previously published B O Emergency submission (certificatson attached)

15. Type of review requested (check onlyo e) 4 O Reinstatement of a previousiy approved coiiect;on for wnich app,,,

1 New collection has empired 2 @ Revision of a currently approved collection 3 O E tension of the empiration date of a currently approved collection 5 0 Existing collection in use without an oML . rol number without any change in the substance or in the method of collection

22. Purpose of information conection (check as many as apply)

16. Agency report form number (s}(include standard /optionalform number (s))

1 O Appacation for benefits 2 O Progrrm evaiuntion

17. Annual reporting or disclosure burden 3 0 ceneraipurposestatistics 1 Number of resporidents . .... ... 4 G Regulatoryorcompliance 2 Number of responses per respondent . ...

5 O Pry, ram planningor management 3 Total annuai responses (line 1 times line 2) ... 6 O Research 4 Hours per response ...... .... 7 0 Audit 5 Total hours (line 3 times line 4)

18. Annual recordkeeping butden

23. Frequency of recordkeering or reporting (check allthatapply)

'l umherof recordkeepers . .. .,.

102.816 1 Q Recordkeeping 2 Annual hours per recordkeeper. .... ..

102.816 neporflos 3 Total recordkeeping hours (line i times line 2) .. 0 2 d onoccasion 4 Recordheeping retention period . .

years 3 0 weekiy I 19. Total annual burden 4I Monthly 1 Requested (line 17 5plus line 18 3) . .. .

5 0 Quarterty 2 in current oMB inventory .... .. .

6 0 semi.annuaiiy 7 0 Annuaisy

3 oifference (line l less line 2) . ... ...

Esplanation ef difference 8 O Biennially t

4 Program change . ...... .... 9 E Other(describc):

( - 5 Adjustment . .

24. Respondents

• obhgation to comply (c'eck the strongest obl#gation thatapp'

! 20. Current (most recent) oMB controi number > r comment number 3150-0002 1 O votuntary r

21. Requested espiration date - 2 O Required to obtain or retain a beneht 5/86 3 q uandato,y 1

25. Are the respondents pnmarily educational agencies or mstitutions or is the primary purpose of the collect.on related to F

26. Does the agency use samphng to select respondents or does the agency recommend or prescribe . . .

the use. of sampling or statist-cal

. O yes analysis E t by respondents? . . . .. .. . . . .

27. Regulatory authority for the mformation collection 73.71 rR _ - : or.other (spec,ff):

i 10 crR :or

Papsework Certification

! In subm.tting this request for oMB appeoval, tne agency head, the senior official or an authorized representative, certifies that the requ.r Pnvacy Act, statistical standards or directives. and any other apphcable information pol <y directives have t>een compfied with.

Date I, S g tature of program official i_ Date 5,gnatu e of agency t ead. tne senior officia or an autnur<2eo representative ,

Patricia G. Norry, Director Office of Administration --

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SUPPORTING STATEMENT FOR PROPOSED REVISIONS TO 10 CFR SECTION 73.71 NOTIFICATION REQUIREMENTS FOR SAFEGU_ARDS EVENTS AND NEW 10 CFR PART 73 APPENDlX G

1. Justification A. Need for the Information Collection .

The Commission proposes to amend 10 CFR 73.71, " Reporting Requirements for Safeguards Events," to clarify and improve the policy for the report-ing of safeguards events. Experience with the current rule indicates that the requir.ements are unclear and lead to inconsistent and unnecessary reports. The Commission requires the reports made pursuant to Section 73.71 so that the Commission may be aware of events in order to determine

' their significance, whether a change in a licensee's safeguards plan is needed, and to decide whether a report to Congress is necessary as re- -

quired by Section 208 of the Energy Reorganizatinn Act. The safeguards event reports are also needed for the development of a data base whereby generic problems can be identified and feedback given to licensees for improving their safeguards system.

Paragraphs (a) and (b) of Section 73.71 were first published in December of 1973. These requirenents solicit specific reports of unaccounted for shipments, incidents or attempts of theft or unlawful diversion Itofwa spe-s cial enclear naterial, and incidents or attempts of sabotage.

determined, however, at a later date, that the Commission required re-

orts of events which represent a loss of safeguards cacability or are indicative of an overall plan to commit an act of theft or sabotage.

The Commission was concerned that a substantial safety hazard could oc-In response cur as a result of a deficiency in the safeguards system.

to this concern, an amendment to Section 73.71 was proposed in October Ic79 requiring reports of events threatening or lessening the effec-tiveness of the safeguards system. This amendment was nublished in final form in January 1981 as a new paragraph (c) to Section 73.71.

The purpose of paragraph (c) was to provide information concerning se-curity systen f ailures whereby' the NRC could identify recurrent safe-The intention was to keep pertinent guards problems and generic issues.

AC Offices inforned of croblems at facilities,Since so that security de-the promulgation of ficiencies car. ne identified and eliminated.

Section 72.'1, licensees have commented that the reporting requirements are confusing. This ha s led to inconsister.cies in what is reDorted anc the level of detail provided. uithout some level of uniformity and de-tail, the ;sefulness of such reports is limited because an adequate data base cannot be established for generic analysis. To reduce this cen-fusion, the MRC is proposing revisions to Section 73.71. Certain defir.i-tions c' safeguards events have been' eliminated in the proposed rule such as mocerate and najor loss of safeguards systen ef fectiveness and expli-cit and cotential threats. These events have been redefined in less ab-esponding in .*6 recoiremens. The stract ter.s to aid the licensee in carrent twenty four hour telephonic notification and subsequent follow-up written recort requirsents for certain events have been eliminated.

Events that must be reported are described in a new Appendix G to Part

-73. The NRC will also issue a revised guide to assist licensees in determining what should be reported and to provide a format for do-ing so.

B. Practical Utility of the Information Collection -

Safeguards experience is a vehicic for providing licensees with feedback about the effectiveness of safeguards systems. Some safeguards events require immediate response by the NRC. Under the proposed Section 73.71, these events are required to be reported within one hour of detection of their occurrence to assure timely response by NRC Regional and Head-quarters staff. Other safeguards events, while of less significance, are necessary for determining trends in deficiencies in safeguards systems.

Within the NRC, a program has been established for the collection and analysis of all pertinent safeguards : event data. This data is immediately entered into the NRC data base and analysis is begun as soon as the data is entered. Upon completion of the analysis, appropriate action and response are initiated. In order to achieve the program's new emphasis, a standardized level of detail is required for the evaluation of safe-guards events. The results of the evaluation of safeguards data will provide the NRC with an improved understanding of the perfomance of safeguards systems allnwing for the early identification of potential safeguards problems.

C. Duolication of Other Collections of Information

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The Commission has made and continues to make a concerted effort to ensure consistent and coordinated re'p erting requirements. Revisions to Section 73.71 have been coordinated with amendments to Parts 20, 21 and 50, 70, and 74 to eliminate duplicatjve reporting and redundancy between safety and safeguards reports. i.

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D. Consultations Outside the NRC As yet, only informal consultations concerning the . cost of making reports have been made. However, the intended revision will be issued A for public petition comment, at which time outside concerns will be considered.

for rulemaking (RM 50-36) has been filed on behalf pf a group of 29 public utilities requesting the relaxation of the written reporting requirements in 10 CFR 73.71. The written reporting requirements have been extended in the proposed regulation from 5 or 15 days to 30 days in all cases.

2. Descriotion of Information Collection .

A. Number and Type of Respondents The proposed rule applies to each licensee who is authorized to operate a fuel reprocessing plant or nuclear power reactor, pos-sesses or uses special nuclear material or spent reactor fuel in ex-cess of 100 grams, is authorized to transport or deliver to a carrier

.s-for transportation or to take delivery of special nuclear material or spent reactor fuel in excess of 100 grams, or imports or exports special nuclear material . Currently, there are approximately 70 nuclear power licensees,10 Category I fuel facility licensees, 29 Category II licensees, 2 domestic transporters of SSNM, 5 exporters of spent fuel to the United States and 10 importer / exporters of SSNM. Approximately 126 licensees would therefore be subject to the reporting requirements of 10 CFR Section 73.71.

B. Reasonableness of the. Schedule for Collecting Information As proposed, written follow-up reports for one hour telephonic notifications must be submitted to the NRC within 30 days after the initial telephonic notification. Also for events of lesser signifi-cance a log is maintained that must be sent to the NRC every three months.

The existing requirements include two classes of written reports which must be submitted to the NRC within 5 and 15 days depending on the event.

Additionally, every event reported pursuant to Section 73.71 is currently recorded in a licensee log.

C. Method of Collecting the Information Within one hour of learning of the event, the licensee is to telephoni-cally report to the NRC Operations Center any theft or attempted theft of SNM, any physical damage to a licensed facility, any interruption of I normal operation of a licensed nuclear power reactor as a result of tampering, any unauthorized entries through a required barrier. The written follow-up reports are to be sent to the NRC Document Control Desk with a copy sent to the appropriate Regional Of fice, and if appli-cable to the appropriate NRC Resident Inspector. The safeguards event logs are to be sent to the NRC Document Control Desk with a copy sent to the appropriate NRC Resident Inspector, if applicable.

D. Record Retention Recuirements The licensee nust maintain copies of reports or logs of safeguards events submitted under 73.71 for a period of three years after the report or log is made. The licensee must also submit copies of these reports or logs to the NRC. It is necessary for both the licensee and the NRC to maintain these copies for the following reasons. The licensee must maintain his copies to perform the yearly security audit required by 10 CFR 73.45(g)(6) for fuel facilities and 10 CFR 73.55(g)(4) for power reactors. This audit evaluates the effectiveness of the security system at these facilities.

M so, in order u maintain the level of security deemea adequate by tne "RC, the licensee must observe and analyze the operational aspects of their security systens. This can only be done throup the maintenance and ana. lysis of such records as those for security events. The NPC maintains copies of security event records to conduct analysis to determine generic or long-term trends in security. These analyses are used to improve safeguards regulations for these f acilities.

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E. Reporting Period Reports-are to be submitted at irregular intervals as reportable events occur. Licensee logs are submitted to NRC every three months. The NRC requires copies of the licensee, safeguards event logs to perform its analysis function as a regulatory agency. The NRC Division of Safeguards makes these analyses on roughly a three month period.

F. Copies to be Submitted The safeguards reporting rule requires that the original. reports be submitted to the NRC Document Control Desk with a copy sent to the appropriate Regional Office, and to the appropriate NRC Regional Inspector, if applicable. Copies of the safeguards event-log are submitted to the NRC Document Control Desk and the appropriate Regional Inspector, if applicable.

3. Estimate of Burden A. Source of Burden Data and Method of Estimating Burden The following. data is based upon a review of SG reports submitted, consultation with licensee staff, and projections from the proposed revisions to 73.71.

1) There are approximately 600 SG events annually.

2) Licensee staff presently use 1.5 hours5.787037e-5 days <br />0.00139 hours <br />8.267196e-6 weeks <br />1.9025e-6 months <br /> per telephonic reports, 25 hours2.893519e-4 days <br />0.00694 hours <br />4.133598e-5 weeks <br />9.5125e-6 months <br /> per written report and .5 hours5.787037e-5 days <br />0.00139 hours <br />8.267196e-6 weeks <br />1.9025e-6 months <br />.per log entry.

3) It is projected, based upon the revisions to 73.71, licensee staff will use 1.5 hours5.787037e-5 days <br />0.00139 hours <br />8.267196e-6 weeks <br />1.9025e-6 months <br /> per telephonic report, 40 hours4.62963e-4 days <br />0.0111 hours <br />6.613757e-5 weeks <br />1.522e-5 months <br /> per written report and 1.5 hours5.787037e-5 days <br />0.00139 hours <br />8.267196e-6 weeks <br />1.9025e-6 months <br /> per log entry.

4) The proposed revisions to 73.71 will result in an 80% reduction in the number of telephonic and written repo.rts by the licensee, and a 20% decrease in the number of log entries.

B. Comparative Break-out of Events by Reporting Requirement

1) Present 73.71 a) Dart 73.71(a) establishes the requirements for the renorting of 1% of the events or approximately A reports, 6 log entries, b) Part 73.71(b) establishes the requirenent for the reporting of 25% of the events or 150 reports, 150 log entries.

c) Part 73.71(c) establ'ishes the requirement for the reporting of 74% of the events or 444 reports, 444 log entries.

2) Proposed Revisions to 73.71 a) Part 73.71(a) reports required by this section will remain consistent with present reporting requirements. -

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b) Part 73.1(b), this section represents the consolidation of the present 73,71(b) and (c), thereby revising the. reporting and eliminates the 24 hour2.777778e-4 days <br />0.00667 hours <br />3.968254e-5 weeks <br />9.132e-6 months <br /> telephonic, with written follow-up reporting burden to reduce the total burden by 80%.

c) Part 73.71(c) provides for the requirement for those telep'honic and written reports deleted in 73.71(b) to be log. entries.

C. Reporting Burden Proposed Revisions to 73.71 Number of Number of Submittals Licensee Staff Total Annual Cost at Section Licensees Telephonic Written Log Hours / Submittal Licensee Hours $60/Hou 73.71(a)(1) 126 6 - -

1.5 9 540 73.71(a)(4) 126 -

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40 240 14,400 73.71(a)(5) 126 - - - - - -

73.71(b)(1) 126 114 - -

1.5 171 10,260 73.71(b)(2) 126 -

114 -

40 4560 273,600 I

l 73.71(c)(1) -126 - -

480 .5 240 14,400 Total s 5220 $313,200' l

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O. Reduction in Reporting Recuirement Savings to Licensees Under the present requirements of 73.71 the reporting burden to the licensees is 16,190 hours0.0022 days <br />0.0528 hours <br />3.141534e-4 weeks <br />7.2295e-5 months <br /> annually. The proposed revisions to 73.71 would reduce the reporting burden to 5,220 hours0.00255 days <br />0.0611 hours <br />3.637566e-4 weeks <br />8.371e-5 months <br />. annually. Based on the cost of $60 per staff hour the proposed revisons will result in annual cost reductions to the licensees of $658,200.00.

E. Reasonableness of Burden Estimates The burden estimates were derived from consultation with licensee staff responsible for making safeguards reports and NRC staff experienced in documenting and analyzing reported safeguards events. The NRC staff ,

believes that the revised safeguards reporting requirements unll decrease the burden to the industry and the.NRC.

4 Estimate of the Burden to the Federal Government The burden to the government is associated with coding, tabulating, and assessing the generic implications of reported safeguards events. Presently the r. umber of NRC staff hours devoted to analyzing these reports is 1200 staff hours per year. NRC staff hours required for the review of telephonic and written reports will be reduced by 420 hours0.00486 days <br />0.117 hours <br />6.944444e-4 weeks <br />1.5981e-4 months <br /> annually based upon the nunber of telephonic and written reports received.

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