ML20138H517

Notice of Pending NRC Action to Submit Info Collection Request to OMB & Solicitation of Public Comment Re 10CFR110, Rules & Regulations for Export & Import of Nuclear Equipment & Matl

ML20138H517
Person / Time
Issue date:	01/02/1996
From:	Cranford G NRC OFFICE OF INFORMATION RESOURCES MANAGEMENT (IRM)
To:
References
OMB-3150-0036, OMB-3150-36, NUDOCS 9701060091
Download: ML20138H517 (13)

Text

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l U.S. NUCLEAR REGULATORY COMMISSION l

l Documents.Containing Reporting or Recordkeeping Requirements: Notice of j i

Pending Submittal to the Office of Management and Budget (0MB) for Review

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AGENCY: U.S. Nuclear Regulatory Commission (NRC)  !

ACTION: Notice of pending NRC action to submit an information collection request to OMB and solicitation of public comment.

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SUMMARY

The NRC is preparing a submittal to OMB for review of continued approval of information collections under the provisions of the  ;

i Paperwork Reduction Act of 1995 (44 U.S.C. Chapter 35).

t laformation pertaining to the requirement to be submitted:

l l 1. The title of the information collection: 10 CFR Part 110 -  ;

Rules and Regulations for the Export and Import of Nuclear ,

Equipment and Material  ;

2. Current OMB approval number: 3150-0036

! 3. How often the collection is required: On occasion  !

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4. Who is required or asked to report: Any person in the U.S.

who wishes to export or import nuclear material and equipment subject to the requirements of 10 CFR 110 or to export incidental radioactive material that is a contaminant of shipments of more than 100 kilogrdms of non-waste material using existing NRC general licenses.

5. The number of annual reporting respondents: 100 The number of annual recordkeeping respondents: 125

6. The number of hours needed annually to complete the i requirement or request: reporting, 130 hours0.0015 days <br />0.0361 hours <br />2.149471e-4 weeks <br />4.9465e-5 months <br /> (1.3 hours3.472222e-5 days <br />8.333333e-4 hours <br />4.960317e-6 weeks <br />1.1415e-6 months <br /> per response): recordkeeping, 150 hours0.00174 days <br />0.0417 hours <br />2.480159e-4 weeks <br />5.7075e-5 months <br /> (1.2 hours2.314815e-5 days <br />5.555556e-4 hours <br />3.306878e-6 weeks <br />7.61e-7 months <br /> per respondent)

7. Abstract: l l

10 CFR 110 provides application, reporting, and l

recordkeeping requirements for exports and imports of l nuclear material and equipment subject to the requirements of a specific license or a general license and exports of incidental radioactive material. The information collected i

and maintained pursuant to 10 CFR 110 enables the NRC to l

authorize only imports and exports which are not inimical to U.S. common defense and security and which meet applicable  ;

i statutory, regulatory, and policy requirenients.

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Submit, by (insert date 60 days after publication in the Federal Reaister), l comments that address the following questions:

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1. Is the proposed collection of information necessary for the NRC to properly perform its functions? Does the information have practical utility?

2. Is the burden estimate accurate?

3. Is there a way to enhance the quality, utility, and clarity of the information to be collected?

4. How can the burden of the information collection be i minimized, including the use of automated collection j techniques or other forms of information technology?

A copy of the draft supporting statement may be viewed free of charge at the NRC Public Document Room. 2120 L Street NW, (lower level), Washington, DC.

Members of the public who are in the Washington, DC area can access this document via modem on the Public Document Room Bulletin Board (NRC's Advanced Copy Document Library). NRC subsystem at FedWorld, 703-321-3339. Members of the public who are located outside of the Washington, DC area can dial FedWorld, 1-800-303-9672, or use the FedWorld Internet address: fedworld. gov (Telnet). The document will be available on the bulletin board for 30 days after the signature date of this notice. If assistance is needed in accessing the document, please contact the FedWorld help desk at 703-487-4608.

Comments and questions may be directed to the NRC Clearance Officer, Brenda 1

Jo. Shelton, U.S. Nuclear Regulatory Commission, T-6 F33, Washington, DC 20555-0001, or by telephone at 301-415-7233, or by Internet electronic mail at BJSl@NRC. GOV.

O Dated at Rockville, Maryland, this b-. . J day of N'"'

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./ 'l For the Nuclear Regulatory Commission.

1 j f I 1 ^^- t' % -p, wk Gerald F. Cranford, Designatedgenior OffRTab for Information Resources Management i

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Comments and questions may be directed to the NRC Clearance Officer, Brenda Jo. Shelton, U.S. Nuclear Regulatory Commission, T-6 F33, Washington, DC 20555-0001, or by telephone at 301-415-7233, or by Internet electronic mail at BJSl@NRC. GOV.

7 Dated at Rockville, Maryland, this second day of January , 1996'.

For the Nuclear Regulatory Commission.

Cf.chaiQ d b'!

G tid F. C r ford ,

i Gerald F. Cranford, Designated Senior Official  !

for Information Resources Management i s

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~ FILE NAME: A:\FRN-0036.E0H r 0FFICE NEMR NEMR:DIR ()(k IRM .

0GC IRM bk NAMEfMehy RHauber bN BShelton M h GFWhi' GCr[nlb DATE 12/18/96 12/h/96 12/,33/96 12/31/96 t/v/% 97 4 0FFICIAL RECORD COPY l

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I OMB SUPPORTING STATEMENT FOR EXPORT AND IMPORT OF NUCLEAR EQUIPMENT AND MATERIAL 10 CFR PART 110 ,

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REVISION TO EXTENSION REQUEST  !

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i DESCRIPTION OF THE INFORMATION COLLECTION

! The Nuclear Regulatory Commission (NRC). under the Atomic Energy Act of 1954.

as amended,' and Title.II of the Energy Reorganization Act of 1974, as amended, ,

! has authority for exercising export and import controls over nuclear ecuipment

' ' and material as .specified in 10 CFR Part 110 Sections 110.8. 110.9. - anc 110.9a. Any person who wishes to export or import nuclear equipment and

! material under the provisions in 10 CFR 110 must provide certain information i- collection elements to enable the NRC and the Executive Branch to make-required export and import licensing determinations. The collections

specified in the three rulemakings to 10 CFR 110. " Specific Licensing of Certain Al]ha-Emitting Radionuclides and Byproduct Material

" " Import and l

! Ex) ort of Radioactive Waste:" and " Uranium Conversion Facility Restricted end 4

Em)argoed Destinations, General License for Components, are incorporated.

4 These final rules were codified after our 1994 submission for clearance. OMB L has already implemented the burden for them.

1 Section 110.7a(b). Notice of Information of Significant Implication, requires that each applicant or licensee notify the Regional Administrator NRC.'within two days of identifying any information that has a significant. implication for public health and safety or common defense and security on a regulated activity.

Section 110.19(b). Types of Licenses, requires that a' person using a general license under this part as authority to export incidental radioactive material that is contained in or a contaminant of a shipment that exceeds 100 kilograms in total weight shall file a completed NRC Form 7 before export takes place.

OMB has approved the collection under control number 3150-0027.

Section 110.20(a)(1), Filing of Export of Incidental Radioactive Material, requires that a person using a general license as authority to export incidental radioactive material contained in or a contaminant of a shipment exceeding 100 kilograms in total weight file an NRC Form 7 before the export takes place. OMB has approved the collection under control number 3150-0027.

Section 110.21(e), General License for the Export of Special Nuclear Material, requires that a person using the general licenses in paragraphs (a). (b), or (c) as authority to export _special nuclear material as incidental radioactive material contained in or a contaminant of a shipment exceeding 100 kilograms in total weight shall file a completed NRC Form 7 before the export takes place. OMB has approved the collection under control number 3150-0027.

Section 110.22(f), General License for the Export of Source Material, requires that a person using the general licenses in paragraphs (a).(b) (c) or (d) as authority to export source material as incidental radioactive material contained in or a contaminant of a shipment exceeding 100 kilograms in total i

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weight shall file an NRC Form 7 before the export takes place. OMB has approved the collection under control number 3150-0027.

Section 110.23(e). General License for the Export of Byproduct Material, requires that a person using the general licenses in paragraphs (a), (b), and (c) as authority to export byproduct material as incidental radioactive material contained in or a contaminant of a shipment exceeding 100 kilograms in total weight shall file a completed NRC Form 7 before the export takes place. OMB has approved the collection under control number 3150-0027.

Section 110.26(c). Annual Report of Exports of Components, requires that a person using the general license to export nuclear components to certain countries submit an annual report to NRC of all exports made in the 3revious calendar year. The report requires a description of the components (eyed to the categories listed in Appendix A to Part 110: approximate shipment dates:

-and a list of recipient countries and end users keyed to the items shipped.

Section 110.27(d), Notice of Import, requires that an importer of formula quantities of strategic special nuclear material under general license provide the notifications required by SS 73.27 and 73.72. OMB has approved the collection under control number 3150-0002.

Section 110.31, Filing of Applications for Export and Import Licenses (Original shipments. Amendments, Renewals), requires that a person file an application for a license to export or import nuclear material or equipment requiring specific authorization, with appropriate fee in accordance with 10 CFR 170. Applications should be filed on NRC Form 7 (OMB has approved the collection under 3150-0027), except that applications for import of material or for export of a facility should be filed by letter. A person is required to provide the information specified in S 110.32. The Commission may require more information. An application shall be withdrawn when not needed.

Ordinarily, an application for license renewal or amendment is filed by letter. As saecified in S 110.51, a license renewal ,aust be filed 30 days or more before t1e license expires for it to remain valid while the NRC acts on the application. The NRC uses the same procedures and criteria to review a renewal and an amendment as used for the original license application.

Section 110.32, Information Required in an Application, specifies that the following information is required on an application: name and address of applicant, supplier, intermediate and ultimate consignees; country of origin of equip *n; and material; shipment dates: and description of export and end use. Appncations for import and export of radioactive waste and for export of incidental radioactive material require the volume, classification.

physical anu chemical characteristics, route of transit, and ultimate disposition. Applications for radioactive waste import also require name of waste generator and status of disposition. For license renewal and license amendment, the collections are generally less because NRC already has the original license ap)lication, which contains most of the required information to enable NRC to mace the necessary determinations for approval.

Section 110.50(a)(7). Notice of Defective Packaging, requires that export and import licensees notify the NRC if they know or have reason to believe that the Jackaging requirements for nuclear material covered by their licenses have not aeen met.

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! Section 110.50(b)(3), Reporting of Exports of Australian- and Canadian-Origin, requires that licensees notify NRC 40 days prior to export of Australian or Canadian-origin nuclear material or equipment (unless license specifically authorizes such export).

Section 110.51(a) Amendment and Renewal of Licenses, specifies that a j licensee may submit an application to renew a license or to amend a license.

Section 110.52(b), Revocation, Suspension, Modification of Licenses, allows NRC to request additional information from licensees to determine whether a license should be revoked, suspended, or modified.

Section 110.53(b), Record Retention, requires that licensees maintain records concerning their exports or imports for five years, except that byproduct material records must be retained for three years.

A. JUSTIFICATION

1. Need for and Practical Utility of the Collection of Information All persons who wish to export or import nuclear equipment and material as specified in 10 CFR 110 Sections 110.8. 110.9 and 110.9a must 2

provide certain information collection elements to enable the NRC and the Executive Branch to make required export and import licensing determinations to ensure compliance with NRC regulations and to satisfy statutory requirements of the Atomic Energy Act of 1954, as amended.

2. Agency Use of Information The notification requirement in S 110.7a(b) enhances the capability of the Commission to respond rapidly and effectively if such a threat were to materialize on a regulated activity.

4 The filing of an NRC Form 7 required by S 110.20(a)(1) before export of incidental radioactive material helps to ensure that an exporter will not ship radioactive waste for disposal in another country under the guise of shipping usable materials for recycling or resource recovery.

Annual reports of components exported under general license required by S 110.26(c) provide NRC with additional assurance against the inproper accumulation of sensitive components in the country of import.

The notice of import of a formula quantity of strategic s)ecial nuclear material required by S 110.27(d) is used to assure that t1e material is adequately protected at all times within the geographical limits of the U.S.

License applications required by SS 110.31, 110.32, and 110.51 are used i by the Commission and the Executive Branch to make required export and import licensing determinations. If applicable statutory, regulatory, 4

and policy considerations are satisfied, the NRC will issue a license

authorizing the export or import.

Notices of defective packaging required by S 110.50(a)(7) facilitate NRC's ability to enforce the packaging requirements of 10 CFR Part 71

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and to take possible enforcement action against licensees for packaging violations.

Reports of exports of Australian- and Canadian-origin nuclear material l and equipment required by S 110.50(b)(3) are required to implement the i provisions of the U.S. bilateral agreements with the Governments of Australia and Canada.

The additional information that the Commission may require from licensees as specified in S 110.52(b) is used by the NRC to make ,

necessary statutory, regulatory, and policy determinations in connection  !

with prospective actions to revoke, suspend or modify an export or import license.

Shipment records required by S 110.53(b) are u ed for NRC inspection to ensure compliance with regulations ad are necessary in connection with prospective enforcement actions against possible violators of Part 110.

3. Reduction of Burden Throuah Information Technoloav There are no legal obstacles to reducing the burden associated with this collection. Licensees and applicants may utilize information technology if they so desire; however, no responses have been submitted  !

electronically.

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4. Effort to Identify Duolication and Use Similar Information The Information Requirements Control Automated System (IRCAS) was searched to determine agency duplication. None was found.

5. Effort to Reduce Small Business Burden i The requirements s)ecified in 10 CFR Part 110 are the same for large and i small businesses ]ecause the proliferation and policy concerns are the same: thus, all businesses must provide the same data.

6. Conseauences to Federal Proaram or Policy Activities if the Collection is Not Conducted or is Conducted Less Freouently The information requested in S 110.20 cannot be collected less frequently because it reflects the International Atomic Energy Agency (IAEA) Code of Practice on the International Transboundary Movement of Radioactive Waste to help ensure that radioactive waste coming into or leaving the U.S. is subject to U.S. Government approval and consent of ,

other involved parties.

The general license in S 110.26 significantly reduces the regulatory burden on exrorters of nuclear components. Therefore, the reporting requirement is reasonable and less burdensome on exporters than submitting specific license applications. The information requested in SS 110.31-32 is the minimum amount necessary for NRC to fulfill the statutory and regulatory requirements governing exports and imports of nuclear material and equipment. The information is submitted only when deemed necessary and is keyed to the decision criteria that guides the NRC in approving or denying applications. Schedules are not imposed.

If the collection is less frequent, a person who wishes to export or import under 10 CFR 110 would be unable to do so as NRC would not be able to make the necessary determinations to approve applications.

4 If the collection in S 110.50(a)(7) is less frequent, the licensee could possibly ship improperly packaged nuclear materials which may endanger the health and safety of the public.

If the collection in S 110.50(b)(3) is less frequent, the U.S.

, Government might violate the provisions of the bilateral agreements with 4

the Governments of Australia and Canada. The report is not frequently required because the origin of the material is normally identified before the export license is issued, and, accordingly, is authorized for export on the face of the license.

The maintaining of records in S 110.53 does not contain any special requirements and probably coincides to a large extent with the

licensees

• records holdings: thus. the regulatory impact is minimal. If the information is not retained, the NRC would be unable to determine possible violators.

7. Circumstances Which Justify Variation From OMB Guidelines

The reason for retaining records for five years for each export or i import except for byproduct material, where records shall be retained for three years, is that these exports or imports are relatively more important with respect to nuclear nonproliferation. i i Requiring the applicant or licensee to notify the Commission within two l i days of identifying information having a significant implication for j public health and safety or common defense and security on a regulated

activity enables the Commission to respond rapidly and effectively to a ,

threat to the public health and safety or the common defense and I security. This collection requirement is contained in other parts of i NRC's regulations. No notifications are expected.

8. Consultations Outside the NRC Opportunity to comment on the collections has been published in the Federal Reaister,

9. Payment or Gift to Respondents Not applicable.

10. Confidentiality of the Information The NRC provides no pledge of confidentiality for the collections referred to in SS 110.26 and 110.50. Normally the information required by SS 110.31 and 110 32 is not considered confidential or proprietary.

However, when the exporter specifically requests NRC to keep information confidential, NRC will treat it as " Company Proprietary." The confidentiality of information is not applicable for records referred to in S 110.53 as exporters and importers maintain their own records.

11. Justification for Sensitive Questions There are no sensitive questions.

. 12. Estimated Burden and Burden Hour Cost C There are approximately 125 exporters / importers of nuclear material and equipment. All licensees comply equally with the collections in SS 110.20. 110.26, 110.31, 110.32. 110.50(b)(3), 110.51, and 110.53. OMB has approved use of NRC Form 7 under 3150-0027 for the burden referred ,

to in S 110.20. For the collection in S 110.31, we estimate 70

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applications will be filed annually by letter and another 60 will be filed annually on NRC Form 7. approved under control number 3150-0027.

For the collections in SS 110.7a(b). 110.50(a)(7) and 110.52(b) no

notifications are anticipated during the next three years. Based upon information from exporters and importers and using a cost of $120 per hour, a reasonable estimate of the annual burden of Part 110 requirements on industry is as follows:

Annual Number Hours For Annual Number of Responses per Total Sections of Resoondents. Der Resoondent Resoonse Hours .C_ost 110.7a(b) 0 0 0 0 0 110.19(b) (approved under OMB 3150-0027) 110.20(a)(1) (approved under OMB 3150-0027) 110.21(e) (approved under OMB 3150-0027) 110.22(f) (approved under OMB 3150-0027) 110.23(e) (approved under OMB 3150-0027) a 110.26(c) 15 1 2 30 3,600 j 110.27(d) (approved under OMB 3150-0002) 110.31(a)-(e) 2(import appl. 1 2 4 480 and 110.32 except waste; and facility export appls) 2(waste imports)-1 10 20 2,400

(Note

Burden approved for 60 other applications under OMB 3150-0027)

I 110.31(f) 1 1 1 1 120 >

! 110.50(a)(7) 0 0 0 0 0 l 110.50(b)(3) 10 1 0.5 5 600

110.51(a) 70 1 1 70 8,400 110.52(b) 0 0 0 0 0 TOTALS 100 130 $15,600 Annual Recordkeepina Burden:

For Annual Number Hours per Total Section of Resoondents Responcent Hours Cost 110.53(b) 125 1.2 150 $18,000 4 Total annual burden is estimated at 280 hours0.00324 days <br />0.0778 hours <br />4.62963e-4 weeks <br />1.0654e-4 months <br /> at a cost of $33.600 (280 x $120).

13. Estimate of Other Additional Costs None.

14. Estimated Annualized Cost to the Federal Government The collection of information under 10 CFR Part 110 requires approximately 300 NRC professional staff hours per year to investigate, review. and take action on the license applications and to process subsequent actions with regard to issued licenses. Annual labor cost to the Federal Government at $120 staff hour is $36.000 (300 hours0.00347 days <br />0.0833 hours <br />4.960317e-4 weeks <br />1.1415e-4 months <br /> x $120).

(See OMB approval number 3150-0027 for additional costs associated with the collections referred to in SS 110.21, 110.22, 110.23 and 110.31.)

15. Reasons for Chanaes in Burden or Cost The changes in burden reflect our ex)erience with 10 CFR 110 submissions over the past year and incorporate t1e impact of the final rules to 10 CFR 110. " Specific Licensing of Certain Alpha-Emitting Radionuclides and Byproduct Material:" " Import and Export of Radioactive Waste:" and

" Uranium Conversion Facility. Restricted and Embargoed Destinations.

Component General License." codified after our 1994 submission for clearance. OMB Information Change Worksheets were submitted and approved for these rulemakings. However, because the expected time per response associated with the collection requirements for import and export of radioactive waste and specific licensing of alpha-emitting radionuclides were significantly overstated in our previous submission to OMB we expect a substantial decrease in the total burden hours associated with these collections. Also, an error in the collection associated with S 110.31 has been corrected.1 A revision to S 110.26 adding three countries to receive components under general license has increased the number of respondents and the total hours. The estimated time per response associated with S 110.51(a) has been increased to more accurately reflect the burden.

Applications for radioactive waste im) orts have decreased because export  !

applications covered under 3150-0027 1ad been included. The estimated time per response for import applications has decreased because the impact of the wr.ste rule has been less than expected. The estimated time per response. for facility export applications has increased to more accurately reflect the burden. Because of the changes an estimate of the total number of respondents has decreased slightly from 103 to 100.

The burden associated with a revision transferring licensing authority for uranium conversion facility exports from the Department of Commerce to NRC and amending the embargoed and restricted country lists is not expected to change, l

'OMB has approved use of Form NRC-7 for the collections in SS 110.19, 110.20. 110.21. 110.22, 110.23 and 110.31 under control number 3150-0027, currentiv out for public comment for proposed extension. The proposed I extenuun estimates 150 responses for the collection in S 110.31. However. I the burden is overstated because it includes license renewals and amendments, which are covered in this clearance package. Therefore the collection in S 110.31 under 3150-0027 will be decreased to 60 responses and corresponding changes will be made before the clear ance package is submitted to OMB. l

16. Pubi1 cation for Statistical Use Not applicable.

17. Reason for Not DisplaYinQ the Exoiration Date The requirement is contained in a regulation. Amending the Code of Federal ReQulations to display information that. in an annual publication, could become obsolete would be unduly burdensome and too difficult to keep current.

18. Exceotions to the Certification Statement There are no exceptions.

- B. COLLECTIONS OF INFORMATION EMPLOYING STATISTICAL METHODS Not applicable.

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