ML20147H607

Request for OMB Review & Supporting Statement Re 10CFR110, Rules & Regulations for Export & Import of Nuclear Equipment & Matl.Estimated Respondent Burden 280 H

ML20147H607
Person / Time
Issue date:	04/02/1997
From:	Cranford G NRC
To:
Shared Package
ML20147H604	List: ML20147H597 ML20147H607
References
OMB-3150-0036, OMB-3150-36, NUDOCS 9704040046
Download: ML20147H607 (10)

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l PAPERWORK REDUCTION ACT SUBMISSION l Please read the instructions before completing this form. For additional forms or assistance in completing this form, contact your agency's Paperwork Clearance Officer. Send two copies of this form, the collection instrument to be reviewed, the Supporting Statement, and any additional documentation to: Office of Information and Regulatory Affairs, I Office of Management and Budget, Docket Library. Room 10102,72517th Street NW, Washington, DC 20503 l

1. Agency / Subagency originating request 2. OMB control number U.S. Nuclear Regulatory Commission X a. 3150-0036 b.None  !

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3. Type of information collection (check onel 4. Type of review requested (check one)

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a. New collection X a. Regular submission c. Delegated X b. Revision of a currently approved collection b. Emergency - Approval requested by (date

c. Extension of a currently approved collection 5. Will this information collection have a a.Yes significant economic impact on a

d. Heinstatement, without change, of a previously approved collection for which approval has expired substantial number of small entities? X b.No

e. Reinstatement, with change, of a previously approved collection for which approval has expired Requested X a. Three years from approval date

f. Existing collection in use without an OMB control number 6 expiration date

b. Other (Specifyh

7. Title 10 CFR 110, Rules and Regulations for the Export and import of Nuclear Equipment and Material

8. Agency form number (s) (if applicable /

N/A l

9. Keywords Export regulation, Nuclear equipment and material I

10. Abstract 10 CFR 110 provides application, reporting, and recordkeeping requirements for exports and imports of nuclear material and equipment and exports of incidental radioactive material.  ;

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11. Affected public IMuk orknary wtrh *PLanut an others ther awy with 'X*) 12. obligatnon to respond IMuk prbnuy with *P'arntas others that amtIr with x*l

a. Individuals or households d. Farms a. Voluntary P b. Business or other for-profit e. Federal Govemment F b. Required to obtain or retain benefits

c. Not.for-profit institutions f. State. Local. or Tribal Government c. Mandatory

13. Annual reporting and recordkeeping hour burden 14. Annual reporting and recordkeeping cost burden an thoussexta er do#ars/

a. Number of respondents 125 a. Total annualized capital /startup costs O

b. Total ennual responses 100 b. Total annual costs (o&M) o

1. Percentage of these responses c. Total annualized cost requested O collected electronically o  % d. Current OMB Inventory 0

c. Total annual hours requested 280 e. Difference o

d. Current OMB inventory 435 f. Explanation of difference

e. Difference (155) 1. Program change

f. Explanation of difference 2. Adjustment

1. Program change 81

2. Adjustment (236)

15. Purpose of information collection 16. Frequency of recordkeeping or reportin (Check aN that app 41 (Mart primary with *P* and ON others that app & wlth *X'l X a. Recordkeeping k. Third-party disclosure P e. Application for benefits e. Program planning or management X c. Reporting

b. Program evaluation f. Research x 1. on occasion 2. Weekly 3. Monthly

c. General purpose statistics g. Regulatory or compliance 4. Quarterly 5. Semi-annually X 6. Annually

d. Audit 7. Biennially 8. other Idesenbe)

17. Statistscal methods ,g* Agency contact (person who can best answer questions regarc%g the content of this submission)

Does this inftbrmation collection employ statistical methods?

Name: Elaine Hemby Yes X No Phone: 301-415-2341 l 1

9704040046 970402 10/95 PDR ORG EUSOMB "o"

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19. Certification for Paperwork Reduction Act Submissions On behalf of this Federal agency,I certify that the collection ofinformation encompassed by this request complies with 5 CFR 1320 9.

NOTE: The text of 5 CFR 1320.9, and the related provisions of 5 CFR 1320.8(b)(3), appear at the end of the instructions. The certification is to be made with reference to those regulatory provisions as setforth in the instructio!Lr.

'Ihe followingis a summary of the topics, regarding the proposed collection ofinformation, that the certification covers:

(a) It is necessary for the proper performance of agency functions; (b) It avoids unnecessary duplication; (c) It reduces burden on small entities; (d) It uses plain, coherent, and unambiguous terminology that is undentandable to respondents; (c) Its implementation willbe consistent and compatible with current reporting and recordkeeping practices; (f) It indicates the retention periods for recordkeeping requirements; (g) It informs respondents of the information called for under 5 CFR 1320.8(b)(3):

(i) Why the information is being collected; (ii) Use ofinformation; (iii) Burden estimate; (iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and (vi) Need to display currently valid OMB control number; (h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected (see note in Item 19 of the instructions).

(i) It uses effective and efficient statistical survey methodology; and (j) It makes appropriate use ofinformation technology.

i If you are unable to certify compliance with any of these provisions, identify the item below and explain the reason in  !

Item 18 of the Supporting Statement.

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OMB SUPPORTING STATEMENT FOR EXPORT AND IMPORT OF NUCLEAR EQUIPMENT AND MATERIAL 10 CFR PART 110 (3150-0036)

REVISION TO EXTENSION REQUEST

I DESCRIPTION OF THE INFORMATION COLLECTION 1 The Nuclear Regulatory Commission (NRC), under the Atomic Energy Act of 1954. I 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 1 collection elements to enable the NRC and the Executive Branch to make l required export and import licensing determinations. The collections )

.specified in the three rulemakings to 10 CFR 110. " Specific Licensing of i Certain Al)ha-Emitting Radionuclides and Byproduct Material:" " Import and Ex) ort of Radioactive Waste:" and " Uranium Conversion Facility, Restricted and Em]argoed Destinations, General License for Components," are incorporated.

These final rules were codified after o'ur 1994 submission for clearance. OMB i has already implemented the burden for them.

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 l public health and safety or common defense and security on a regulated activity. )

l Section 110.19(b). Types of Licenses, requires that a person using a general l 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. l OMB has approved the collection under control number 3150-0 27 Section 110.20(a)(1), Filing of Export of Incidental Radioactive Material, l requires that a person using a general license as authority to export i 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 thatta person using the general licenses in paragraphs (a),(b),(c) or (d) as authdrity to export source material as incidental radioactive material contained in or a contaminant of a shipment exceeding 100 kilograms in total ,

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

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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 3 material contained in or a contaminant of a shipment exceeding 100 kilograms l in total weight shall file a completed NRC Form 7 before the export takes l place. OMB has approved the collection under control number 3150-0027. l i

< Section 110.26(c). Annual Report of Exports of Components, requires that a l person using the general license to export nuclear components to certain l countries submit an annual report to NRC of all exports made in the arevious calendar year. The report requires a description of the components (eyed to the categories listed in Appendix A to Part 110: approximate shipment dates, j and a list of recipient countries and end users keyed to the items shipped. l 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 s)ecified in S 110.51, a license renewal must 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 equipment and material: shipment dates: and description of export and end use. Applications for import and export of radioactive waste and for export of incidental radioactive material require the volume, classification, physical and 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, wSicn 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 impoet licensees notify the NRC if they know or have reason to believe that

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i the Jackaging requirements for nuclear material covered by their licenses have l not Jeen met.  !

l l- Section 110.50(b)(3) Reporting of Exports of Australian- and Canadian-Origin, i 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).

9 Section 110.51(a), Amendment and Renewal of Licenses, specifies that a 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.

j 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 3

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

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2. Aaency 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.

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 improper 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 a)plications required by SS 110.31, 110.32, and 110.51 are used by tie Commission and the Executive Branch to make required export

, g nda import licensing determinations. If applicable statutory,

_ regulatory, and policy considerations are satisfied, the NRC will issue a-license authorizing the export or import.

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

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

The additional information that the Comission may require from licensees as specified in S 110.52(b) ir 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 used for NRC inspection to ensure compliance with regulations and 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 &:-s sre: however, no responses have been submitted electronicsHy.

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 The requirements s)ecified in 10 CFR Part 110 are the same for large and 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 Freauently 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 I other involved parties.

The general license in S 110.26 significantly reduces the regulatory burden on exporters of nuclear components. Therefore, the reporting requireheit is reasonable and less burdensome on exporters than submitting specific license applications.

The.information requested a SS 110.31-32 is the minimum amount

. g necessary for NRC to fulfiil 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

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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.

If the collection in S 110.50(a)(7) is less frequent, the licensee could  !

possibl ship improperly packaged nuclear materials which may endanger j the hea th and sa ety of he public.

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

Government might violate the provisions of the bilateral agreements with I 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, j The maintaining of records in S 110.53 does not contain any special requirements and probably coincides to a large extent with the i 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 import excgt for byproduct material, where records shall be retained  ;

for threa yoars, is that these exports or imports are relatively more l important with respect to nuclear nonproliferation.

Requiring the applicant or licensee to notify the Commission within two days of identifying information having a significant implication for public health and safety or common defense and security on a regulated activity enables the Commission to respond rapidly ano ::ffectively to a threat to the public health and safety or the common defense and security. This collection requirement is contained in other parts of NRC's regulations. No notifications are expected.

8. Consultations Outside the NRC Opportunity to comment on the collections was published in the Federal Reaister on January 10. 1997 (62 FR 1342). No comments were received.

9. Payment or Gift to Resoondents 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 specificall requests NRC to keep information confidential, NRC will treat it as " Company Proprietary." The confidentiality of information is not applicable for records referred to g ni S 110.53 as exporters and importers maintain their own records.

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

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12. Estimated Burden and Burden Hour Cost-There are approximately.125 exporters / importers of nuclear material and ,

, equipment. All licensees comply equally with the collections in SS t

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 l to-in S 110.20. For the collection in S 110.31. we estimate 70 l 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 i

l. notifications are anticipated during the next three years. Based upon l 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: 1 Annual Number Hours  !

, For Annual Number of Responses per Total  ;

Sections of Resoondents Der Resoondent Resoonse Hours o C_ost.

! 110.7a(b) 0 0- 0 0 0 110.19(b) -(approved under OMB 3150-0027) j- 110.20(a)(1) (approved under 0MB 3150-0027) l l 110.21(e) (approved under OliB 3150-0027) 110.22(f) (approved under OMB 3150-0027) l l 110.23(e). (approved under 0MB 3150-0027) 110.26(c) 15 1 2 30 3.600 l

110.27(d) (approved under 0MB 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 0MB 3150-0027) r 110.31(f) 1 1 1 1 120 p

1 110.50(a)(7) 0 0 0 0 0

! 110.50(b)(3) 10 1 0.5 5 600

{. 110.51(a) 70 1 1 70 8.400 I

110.52(b) D D' D D D 1 TOTALS 100 130 $15.600 j \

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7 Annual Recordkeeoina Burden:

For Annual Number Hours 3er Total Section of ResDordents Resoontent Hours Cost 110.53(b) 125 1.2 150 $18,000 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 ana 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 Chances in Burden or Cost The changes in burden reflect our_ ex)erience with 10 CFR 110 submissions over the past year and incorporate tie 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 Informati'n Change Worksheets were submitted and approved for these rulemakings. However, because the expected time per j response associated with the collection requirements for import and I export of radioactive waste' and specific licensing of alpha-emitting radionuclides were significantly overstated in our previous submission to 0MB, 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.

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 i applications covered under 3150-0027 lad been inc.luded. The estimated time per response for import applications has decreased because the impact of the waste 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 associeted with a revision transferring licensing authority l for uranium converGon facility exports from the Department of Commerce g to i

NRC and amending the embargoed and restricted country lists is not expected to change.

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16. Publication for Statistical Use Not applicable.

17. Reason for Not Disolavina the Exoiration Date The requirement is contained in a regulation. Amending the Code of Federal Reaulations 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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