ML20153E220

Request for OMB Review & Supporting Statement Re 10CFR70 Domestic Licensing of Snm.Estimated Respondent Burden Is 54,706 H

ML20153E220
Person / Time
Issue date:	08/01/1988
From:	Mcdonald W NRC OFFICE OF ADMINISTRATION & RESOURCES MANAGEMENT (ARM)
To:
References
OMB-3150-0009, OMB-3150-9, NUDOCS 8809060247
Download: ML20153E220 (20)

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1 SUPPORTING STATEMENT FOR 10 CF7 PART 70 DOMESTIC LICENSING OF SPECIAL NUCLEAR MATERIAL l

l Justificatinn_

Need for and Practical Utility of the Information Collection NRC regulations in 10 CFR Part 70 establish procedures and criteria for the issuance of licenses to receive title to, own, acquire, deliver, receive, possess, use, or transfer special nuclear material.

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.

The information included in the applications, reports and records is reviewed by the NRC staff to assess the adequacy of the applicant's physical plant, equipment, organization, training, experience, procedures and plans for pro-tection of public health and safety and the common defense and security.

The NRC review and the findings derived therefrom form the basis for NRC licensing decisions related to special nuclea! iaterial.

Information concerning the requirements imposed by specific sec. ions is provided below.

Section 70.9(b) requires that an applicant or licensee notify the Commission of information which the licensee recognizes as having significant implications for the public health arc safety or the common defense and security.

This requirement applies only to information which O_ not.::"ered by other reporting or updating requirements.

The information must be provierd within two working days.

This requirement is necessary because there may be some circumstances in which i

a licensee possesses some information which could be important to the protection of public health and safaty or the common defense and security but which is not otherwise required to be reported.

The codification of this full disclosure requirement should not result in significant additional burdens on j

1 applicants or licensees.

No formal program is required.

What is expected is f

y that licensees will maintain a professional attitude toward safety and that if l

some potential safety information is identified by the licensee, the information will be provided freely and promptly to the NRC so that the agency can evaluate it and act on it if necessary.

Section 70.14(a) provides that the Commission may grant exemptions from the i

requirements of the regulations in Part 70 under specified conditions, upon the application of any interested person or on its own initiative.

Applications under this section are examined by the NRC staff to determine whether the reque'.ted exemption is authorized by law and whether it will not endanger life or property or the common defense and security, and to determine if it is othorwise in the public interest.

1 Section 70.19(c)(2) requires that a calibration or reference source, cr the storage container, bear a label containing the model number, serial number, name of manufacturer or initial trinsferor, and a statement that the source is subject to a general license and the regulations of NRC or an Agreement State, t

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as well as a caution statement warning of the radioactive contents.

This information needs to be available on the device so that in the event it is lost or there is an accident, the appropriate party may be contacted for vital information to determine the degree of possible hazard.

Section 70.20a(d) requires that any person who possesses formula quantities of strategic special nuclear material under the general license established in Section 70.20a submit and receive NRC approval of a transportation security plan.

The plan must outline the procedures that will be used to meet the requirements of specified sections of Part 73, including a plan for the selection, qualification, and training of armed escorts, or the specification and design of a specially designed truck or trailer as appropriate.

This information will be reviewed by the NRC Safeguards staff to ensure that the t-'a~..?tation plan is sufficient to protect the material being transported.

Section 70.20a(e) requires that any person who possesses irradiated reactor fuel under the general license of Section 70.20a m t comply with the reporting requirements of Section 73.71.

The reports will be used by the staff in the Regional Office to ensure appropriate physical protection of irradiated reactor fuel in transport.

In addition, in the event of an unaccounted-for shipment, suspected theft, unlawful diversion, adiological sabotage or event which significantly threatens or lessens the effectiveness of the physical protection of irradiated reactor fuel in transport, the NRC Operations Center must be notified so that appropriate contingency plans can be put into operation.

The reporting requirements of 10 CFR Sr-tion 73.71 have been previously cleared under OMB No. 3150-0002, which should be referred to for burden, cost, and further supporting data.

Section 70.20b(f) requires that persons generally licensed under Section 70.20b who plan to carry transient shipments with scheduled stops at U.S. ports must notify the NRC in writing, 10 days in advance of chipment, of all scheduled stops in U.S. territory, arrival and departure times, the type of transport vehicle, the special nuclear material contained in the shipment, the number and types of containers, the name and telephone number of the carrier's represent-ative at each stopover location in U.S. territory, assurance of protection for shipments between countries that are not party to the Convention on Physical Protection of Nuclear Material, and a physical protection plan for imple-menting the requirements of Section 70.20b(c), including use of armed personnel to protect the shipment while in a U.S. port.

Licensees must also notify NRC by telephone that such a i,3tification has been sent, and must provide any changes to shipment itinerary.

This information will be reviewed by the Safeguards staff to ensure that the transportation plan is sufficient to protect the material being transported.

Section 70.20b(g) requires that persons generally licensed under Section 70.20b making unscheduled stops at U.S. ports must immediately provide to NRC the informatiun required under Section 70.20b(f).

This information will be reviewed by the Safeguards staff to ensure that the transportation pl3n for transient shipments of formula quantities of special nuclear material with unscheduled stop at U.S. ports is sufficient to protect the mt'.erial being transported.

Sections 70.21(a), 70.22, 70.33, and 70.34 Section 70.21(a) specifies the number of copies of applications required, the methods of filing applications, and the places where applications may be filed.

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Section 70.22 specifies the information that each license application must contain.

Sections 70.33 and 70.34 state the requirements for renewals and amendments.

Because Part 70 licenses cover a very broad range of uses, fic a applications vary from simple to complex.

The information collection requirements in Section 70.22 reflect the differences in needed informaten for the various types of licenses.

Section 70.22(a) applies to all licenses and requires that applicants submit basic information such as their organizationa<1 structure, the quantity of special nuclear material to be used, the use of the material, and a description of the equipment, facilities and procedures to be used to protect the public health and safety.

Sections 70.22(b) and 70.22(f) through (k) require additional information from applicants for major licenses related to control and accounting for special nuclear material, design for natural phenomena, quality assurance, physical protection for the plant and during transportation of material, and emergency plan.

Section 70.22(d) provides that NRC may require further statements after the filing of the application and before expiration of the license to enable NRC to determine whether the application should be granted or denied or whether a license should be modified or revoked.

Such additional information is sometimes needed to clarify information submitted in the applicttio9, or to rectify deficiencies in proposed or existing programs for protection d the public health and safety, the common defense and security, or the environment.

The information submitted is reviewed by various NRC organizational units to assess the adequacy of the applicant's physical plant, equipment, organization, training, experience, procedures and plans for protection of the public health dnd 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 licenses for special nuclear material.

Section 70.21(f) requires that an application for a license to possess and use special nuclear material for processing and fuel fabrication, scrap recovery, or conversion of uranium hexaflouride, or for the conduct of any other activity which the Commission determines will significantly affect the quality of the human environment, must be accompanied by an Environmental Report required under 10 CFR Part 51.

The Environmental 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 facility 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 cleared by OM8 under 10 CFR Part 51, OMB No. 3150-0021, which should be referred to for further supporting information, burden and cost data.

Section 70.21(g) requires that, in response to a written request from the Commission, an applicant for a license to possess and use more than one effective kilogram of special nuclear material shall file with the Commission the installation information described in 10 CFR Section 75.11.

This i

information is required by NRC in order for the United States to comply with the US/IAEA Safeguards Agreement.

IAEA Form N-71, "Design Information 3

Questionnaire," is used to collect this information.

Section 75.11 has been previously cleared under OM8 No. 3150-0055.

IAEA Form N-71 has been previously-cleared under OMB No. 3150-0056.

Those clearances should be referred to for further supporting information, burden and cost data.

Section 70.22 sets forth the requirements for the contents of applications.

Section 70.22(g) requires that the licensee retain the description of the plan for physical protection of special nuclear material in transit and the safeguards contingency plan or safeguards response procedures, and each change to the plan or procedures, as a record for three years.

Section 70.22(h) requires that the licensee retain a copy of the physical security plan and each change to it as a record for three years after the licensee last possessed the material.

Section 70.22(i) requires that the licensee retain a copy of the plans for coping with emergencies as a record until the Commission terminates the license, and retain each change for three years.

Section 70.22(j) requires that the licensee retain a copy of the safeguards contingency plan as a record until the Commission terminates the license, and retain each change for three years.

Section 70.22(k) requires that the licensee retain a copy of the physical security plan as a record as long as the licensee possesses the material, and retain each change for three years.

Section 70.24(a)(3) requires that licensees maintain emergency procedures for those areas subject to the criticality monitoring requirements of 70.24(a).

These procedures are designed to assure that all personnel will withdraw to an area of sa fety upon the sounding of a criticality alarm.

Further, the procedures Mcluue requirements for periodic drills to familiarize personnel with the evacuation plans, designation of responsible individuals for determining the cause of the alarm and placement of radiation survey instruments in accessible locations for use in an emergency.

Section 70 24(d) provides that any licensee may, for good cause, apply to the Commission for an exemption in whole or in part from the requirements of Section 70.24, Criticality Accident Requirements, specifying the reason for the relief requested.

Upon receipt of the application.

7 may grant an exemption if it is determined that good cause exists and tha.

exemption is authorized by law and will not result in undue hazard to life

...J property.

Section 70.32(a)(9) requires each licensee to notify the NRC by mail immed-iately following the commencement of a bankruptcy proceeding by or against the licensee.

No action is required of a licensee unless and until a bankruptcy petition is filed.

Notification of the NRC in cases of bankruptcy would alert the Commission so that it may deal with potential hazards to the public health and safety posed by a licensee that does not have the resources to properly secure the licensed material or clean up possible contamination.

The information provided by the required notification would be used by the Regional inspection and licensing staff, in consultation with headquarters legal and program staff, to initiate a determination of the need for prompt NRC response or regulatory action.

In addition, prompt notification would allow NRC to take timely and appropriate action in a bankruptcy procr.,u.ng to seek to have available assets of the licensee applied to cover costs of site cleanup before funds are disbursed and become unavailable for cleanup.

Sections 70.32(c), (d), (e), (g), and (i)

The application, recordkeeping, and reporting requirements in Section_70.32 permit the NRC regulatory staff to evaluate changes which a licensee has made, or proposes to make, in the material control and accounting and measurement control programs, the plan for physical protection of special nuclear material in transit, and the physical security plan at a fixed site.

They also provide I

a means of determining whether such changes involve a significant decrease in the effectiveness of the program or plan.

Section 70.32(c) requires that each licensee authorized at any one time and location to possess and use a quantity exceeding one effective kilogram of special nuclear material maintain and follow: (1) a program for the control of and accounting for special nuclear material meeting the requirements in specified Sections of Parts 70 and 74; (2) a measurement control program meeting the requirements contained in specific sections of Parts 70 and 74; and (3) such other material control procedures as the Commission determines to be essential for the safeguarding of special nuclear material.

This section also provides that a licensee shall make no change to these plans which would decrease the effectiveness of the material control and accounting program or the measurement control program without the prior approval of the Commission.

A licensee desiring to make such changes is required to submit an application for amendment to the license.

A licensee is required to maintain records of changes to these programs made without prior Commission approval and to inform the Commission of each change within a specified period of time after the change is made.

Section 70.32(d) provides that a licensee making shipments of more than 5,000 formula grams of special nuclear material shall make no change which would decrease the effectiveness of the plan for physical protection of the material without prior approval of the Commission.

A licensee desiring to make such changes is required to submit an application to the Commission.

A licensee is required to inform the Commission of each change within a specified period of time after the change is made.

The licensee must retain a copy of the plan as a record as long as the licensee possesses the material and must retain changes to the plan for three years.

Section 70.32(e) provides that a licensee who possesses or uses 5,000 formula grc.ms or more of special nuclear material at any given site shall make no

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change which would decrease the effectiveness of its physical security plan without prior approval of the Commission.

A licensee desiring to make such a change is required to submit an application to the Commission.

A licensee is required to maintain records of changes to the plan made without prior Commission approval and to inform the Commission of each change within a specified period of time after the change is made.

Section 70.32(g) requires a licensee to prepare and maintain safeguards contin-gency plan procedures in order to effect the actions and decisions contained in 1

the safeguards contingency plan and to make no changes which decrease the l

effectiveness of the plan without prior approval of the Commission.

A licensee desiring to make such changes is required to submit an application to the Commission. A licensee is required to maintain records of changes to the plan made without prior Commission approval and to inform the Commission of each change within a specified period of time after the change is made.

5

Section 70.32(i) requires those licensees engaged in fuel processing and fabrication, scrap recovery, or conversion of uranium hexaflouride, to follow and maintain in effect an emergency plan approved by the Commission.

Licensees may make changes to the approved plan without prior Commission approval only if such changes do not decrease the effectiveness of the plan and the plan as changed continues to meet specified requirements.

Licensees are required to submit a report to the Commission which describes each change made to the plan with six months after the change is made.

Licensees desiring to make changes that would decrease the effectiveness of the approved emergency plan are required to submit an application to the Commission for approval.

Section 70.38 requires each licensee who does not apply for license renewal to notify the Commission immediately in writing of its decision not to renow its license and to request termination of the license.

The licensee is required to submit appropriate information concerning the disposal of licensed nuclear materials.

NRC Form 314 is used to collect this information.

NRC Form 314 has been previously cleared under OM8 No. 3150-0028, which should be referred to for additional supporting information, burden and cost data.

The licensee may also be required to submit a radiation survey report to confirm the absence of radioactive materials or to establish the level of residual radioactive contamination.

The licensee must either submit a certification that no detectable radiation was found, or if any was found, must submit a plan for decontamination and a final radiation survey report.

This information is reviewed by the NRC staff to permit the Commission to determine that there is no significant risk to public health and safety before a licensee's responsibility for nuclear materials is terminated and a facility is released for unrestricted use.

Section 70.39(a) requires that an applicant for a specific license to manufacture or initially transfer calibration or reference sources containing plutonium, for distribution to general licensees, must submit information concerning the form and quantity of the plutonium, detalis of construction and design, method of incorporation and binding of the plutonium in the source, procedures for and results of prototype testing of sources, quality control procedures for manufacture of sources, description of labelling of sources or storage containers, and any additional information, including experimental studies and tests conducted.

The information will be used by NRC to determine the safety of the source.

Section 70.39(b) requires that licensees affix a label to each source or storage container which must provide information as to safe use and storage, a statement that the source contains radioactive material and is subject to a general license and regulations of NRC or an Agreement State, and the model

number, serial number, and name of the manufacturer or initial transferor of the source.

This information is necessary to put persons nandling the device on notice that it contains radioactive material and is subject to regulation, and so that if the source is lost or there is an accident, the appropriate party may be contacted for vital information to determine the degree of possible hazard.

Section 70.42(c) requires that, before transferring special nuclear material to a special licensee or a general licensee who is required to register prior to receipt, the transferor must verify that the transferee's license authorizes 6

receipt of the type, form, and quantity of special nuclear material to be transferred.

Section 70.42(d) specifies methods acceptable to the Commission for accomplishing the required verification, includirg:

(1) The transferor may have in his possession, and read, a copy of the trans-feree's specific license or registration certificate.

(2) The transferor may have a written certification by the transferee that the transferee is authorized by license or registration certificate to receive the type, form, and quantity of special nuclear material to be transferred, specifying the license or registration number, issuing agency, and expiration date.

(3) For ettergency shipments, the transferor may accept oral certification from the transferee, provided it is confirmed in writing within 10 days.

(4) The transleror may obtain other sources of information compiled by a reporting service from official records of the Commission or Agreement State licensing agency.

(5) When other methods are not available, the transferor may obtain and record confirmation from the Commission or Agreement State licensing agency.

The information required by Sections 70.42(c) and (d) is used by transferring licensees to provide acsurance that the licensed special nur. lear material is being transferred to a person who is authorized to receive it.

This verification serves at an additional check to prevent transfer of special nuclear material to persons who may not have the facilities, training, experience, equipment or procedures necessary for the safe handling of the material.

Records of these certifications will be reviewed by NRC inspectors during periodic inspections to ensure that licensees have been complying with verification requirements.

Section 70.51(b) requires each licensee to maintain records showing the receipt, inventory (including location), disposal, acquisition, and transfer of all special nuclear material in the licensee's possession.

These records are reviewed by NRC inspectors to detect diversion of special nuclear material and t

to implement prompt action in the event of a diversion.

I i

Section 70.51(c) requires each licensee who is authorized to possess at any one time more than one effective kilogram of special nuclear material to establish, maintain, and follow written mr.terial control and accounting procedures sufficient to enable the licensee to account for the special nuclear material 1

1 in its possession under license. The procedures will be reviewed by the NRC licensing and inspection staff in order to determine whether the procedures are adequate to prevent diversion of the nuclear material and to implement prompt action in the event of a diversion.

Section 70.51(d) requires each licensee who is authorized to possess at any one time and location more than 350 grams of specified special nuclear material to at least annually conduct a physical inventory of all special nuclear material po'tessed.

This information is used by the licensee and the NRC staff to 7

4

i 4

detect diversion of the special nuclear material and to initiate prompt action in the event of a diversion.

Section 70.51(e) requires each licensee who is authorized to possess at any one time special nuclear material in a quantity exceeding one effective kilogram with certain exceptions to maintain procedures for the safeguarding of the material, conduct physical inventories, and maintain a cystes of material control and accountability records.

These records are used by the licensee and the NRC staff to detect diversion of the nuclear material and to implement prompt action in the event of a diversion.

Section 70.51(f) requires each licensee covered under Section 70.51(e) to establish physical inventory procedures.

The records of these procedures are reviewed by the NRC licensing and inspection staff to determine whether the procedures are adequate to prevent diversion of the nuclear material and to impelement prompt action in the event of a diversion.

Section 70.52(a) requires that a licensee report an accidental criticality or any loss of special nuclear material to the NRC Operations Center within one hour of discovery.

This information is necessary to promptly inform NRC of particularly serious malooerations or accidents in licensed facilities or activities.

The information is evaluated by NRC to determine whether any immediate response or corrective action may be necessary.

Section 70.52(b) requires that any theft or attempted theft or other unlawful diversion of significant amounts of special nuclear material must be reported to the NRC Operations Center within one hour of discovery.

This information is used by the NRC staff to implement prompt action to determine whether there has been a diversion or other loss of material and to initiate prompt action in the event of such diversion or loss.

Section 70.53(a) requires completion and submission of material balance reports and material status reports in accordance with the provisions of Section 74.13.

Section 74.13 has been previously cleared under 0MB Clearance No. 3150-0123, which should be referred to for further supporting information, burden and cost data.

Section 70.53(b) requires each licensee covered t.nder Section 70.51(e) to follow the requirements of Sections 74.13 (Material Status Report) and 74.17 (Special Nuclear Material Physical Inventory Summary Report).

Sections 74.13 and 74.17 have been previously cleared under OMB Clearance No. 3150-0123, which should be referred to for further supporting information, burden and cost data.

Section 70.54 requires each licensee who transfers and each licensee who receives special nuclear material to follow the requirements of Section 74.15, which requires completion and distribution of Nuclear Material Transaction Reports, DOE /NRC Form 741.

The information will be used by the NRC Safeguards staff to determine whether there is loss or diversion of special nuclear material and to implement action in the event of such loss or diversion.

Section 74.15 has been previously cleared under OMB Clearance No. 3150-0123 and 00E/NRC Form 741 has been previously cleared under OMB Clearance Number 3150-0003.

Those clearances should be referred to for further supporting information, burden and cost data.

8

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Section 70.57(b) requires that each licensee authorized to possess, at any one i

IJme and location, strategic special nuclear material in irradiated fuel reprocessing operations, or special nuclear material of moderate strategic l

significance in a quantity in excess of one effective kilogram, with the exception of sealed sources and reactor or waste disposal. operations, establish and maintain a measurement control program in accordance with specified criteria, including provisions for recording and reporting data and results of audits, analyses and studies to management.

The program is needed to assure the quality of material control and accounting measurements.

The.information is used by the licensee to carry out its measurement control and accounting operations and is reviewed by NRC inspectors to ensure the adequacy of the licensee's measurement control and accounting programs and compliance with NRC regulations.

Section 70.57(c) requires that applicants and licensees subject to the p.ovisions of Section 70.57(b) submit for Commission approval a detailed plan describing the program for compliance with those provisions.

The submittal would be used by the NRC staff to ensure the adequacy of the licensee's measurement control program for special nuclear material.

All current licensees have submitted such plans.

There have been no new applicants subject to this requirement for several years and none are anticipated in the next several years.

Tt;e submittal would be required, however, for any new facility that were to come en line in the future.

Section 70.58 establishes fundamental nuclear material control requirements Uplicable to each licensee who is authorized to possess, at any one time and location, strategic special nuclear material in irradiated fuel reprocessing operations, or special nuclear material of moderate strategic significance in a quantity in excess of one effective kilogram, with the exception of sealed sources and reactor or waste disposal operations.

The written procedures and l

records required to be maintained provide for (1) documentation of qualifi-cations, authorities, responsibilities, and functional and organizational relationships of material control and accounting personnel, (2) records of reviews and audits of the nuclear material control system (3) records of the shipper-receiver dif ference evaluations, investigations and corrective actions, and (4) documentation of the location of special nuclear material within the plant.

These procedures and records provide a basis for licensee and NRC personnel to determine that the nuclear material control and accounting system is operating as required and to reconcile material accounting balances.

Section 70.59 requires that each licensee authorized to possess and use special nuclear material for processing and fuel fabrication, scrap recovery or conversion of uranium hexaflouride, must submit semiannual reports to NRC specifying the quantity of each of the principal radionuclides released to unrestricted areas in liquid and gaseous effluents during the previous six 4

months of operation, and such other information as the Commission may require to estimate maximum potential annual radiation doses to the public resulting from effluent releases.

The reports will be reviewed by NRC and, if releases are significantly above design objectives, a determination will be made as to whether it may be necessary to direct the licensee to take action to reduce such effluents to protect public health and safety.

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i Reduction of Burden Throuah Information Technology

[

There are no legal obstacles to reducing the burden associated with this information collection.

Certain reports, such as transaction reports and inventory reports, are produced by some licensees using automated information technology.

However, because of the types of information and the infrequency of submission, the applications and other reports do not lend themselves 3

readily to the use of automated information technology for submission.

Duplication of Other Collections of Information The Federal Information Locator System was searched to_ determine _NRC. and other:

Federal Agency. duplication.

None was found.

In general, information' required' by NRC in reports or records concerning the transfer receipt, possession, or-use of special nuclear material does not duplicate'other Federal information l

collection requirements and is not'available from any other source.

In~an 4

j effort to minimize duplication and licensee burden, NRC and the Department of i

Energy (00E) jointly utilize a Nuclear Materials Management and Safeguards I

System (N>HSS).

Common reporting forms are used to minimize the reporting burden on industry members required to provide nuclear materials data to one or both agencies in accordance with prevailing regulations or contractual obligations.

The licensee is thus able to file one report to meet the I

requirements of both agencies.

There is a small amount of duplication in that, upon termination of licensed operations by a licensee, NRC requires the licensee to file NRC Form 314, reporting the transfer or other disposition of any remaining licensed material, and the date of transfer.

This transfer must also be reported on DOE /NRC Form 741.

This small duplication imposes a minimal burden on licensees, and'is necessary to maintain accountability of licensed material in NPNSS and to permit NRC to make a determination whether the facility has been cleared of radioactive material and is suitable for release for unrestricted use or whether additional decontamination measures may be required.

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

Effort to Reduce Small Business Burden Some of the licensees who use special nuclear material are small businesses.

However, since the health and safety consequences of improper handling or use of special nuclear material are the same for large and small entities, it is-not possible to reduce the burden on small businesses by less frequent nr less complete reporting, recordkeeping, or accounting and control procedures.

Consequences of Less Frequent Collection Required reports are collected and evaluated on a continuing basis as events i

l occur.

Applications for new licenses and amendments are submitted only once..

l Applications for renewal of licenses are submitted every five years.

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Information submitted in previous applications may be referenced without being resubmitted.

The schedule for collecting the information is the minimum frequency necessary to assure that licensees will continue to conduct programs 3

in a manner that will assure adequate protection of the public health and safety.

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Circumstances Which Justify Variation from OMB Guidelines Contrary to the OMB Guidelines in 5 CFR 1320.6(f), Section 70.9(b) requires that licensees submit a notification to NRC in less than thirty days from the date of identifying information having significant implications for the public health and safety or the common defense and security and which is not covered by other reporting requirements.

The requirement to provide notification within two working days following the identification of the information is necessary to ensure that NRC is made aware of the significant safety infor-mation so as to take prompt effective action to protect the public health and safety.

Section 70.20b(f) requires that licensees notify NRC by telephone that written notification has been sent concerning transient shipments with scheduled stops at U.S. ports.

This prompt notification is needed to enable NRC to ensure that sufficient protection will be provided for the material being transported.

Section 70.20b(g) requires that persons generally licensed under Section 70.20b making unscheduled stops at U.S. ports must immediately provide to NRC the information required under Section 70.20b(f).

This immediate notification is needed to permit the Safeguards staff to ensure that the transportation plan for transient shipments of formula quantities of special nuclear material with unscheduled stops at U.S. ports is sufficient to protect the material being transported.

Contrary to the OMB Guidelines in 5 CFR 1320.6(f), Section 70.32(a)(9) requires that licensees submit a notification to NRC in less than thirty days from the date of filing of a petition in bankruptcy.

The requirement to provide notification promptly following the filing of the petition is necessary to ensure that NRC is made aware of the bankruptcy so as to take effective action to protect the public health and safety.

Allowing a period of thirty or more days to elapse might preclude NRC from becoming aware of the licensee's distressed financial circumstances in time to prevent the development or aggravation of a potential hazard to the public.

Moreover, the United States Code contains requirements regarding notification of creditors in bankruptcy.

Section 70.32(a)(9) would require one additional notification.

Notifying NRC promptly after the filing of the petition would in fact be less of a burden on the bankrupt than a separate notification later in the proceedings.

Section 70.52(a) requires that a licensee report an accidental criticality or any loss of special nuclear material to the NRC Operations Center within one hour of discovery.

This immediate notification is necessary to promptly inform NRC of particularly serious maloperations or accidents in licensed facilities or activities.

The information is evaluated by NRC to determine whether any immediate resp Mse or corrective action may be necessary.

Section 70.52(b) requires that any thef t or attempted thef t or other unlawful diversion of significant amounts of special nuclear material must be reported to the NRC Operations Center within one hour of discovery.

This immediate notification necessary to permit the NRC staff to implement prompt action to determine whether there has been a diversion or other loss of material and to initiate prompt action in the event of such diversion or loss.

s 11

Contrary to the OMB Guidelines in 5 CFR 1320.6(c), Section 70.21 requires that licensees submit more than an original and two copies of certain documents.

For most reporting requirements, only one copy need be submitted.

However, for applications for a special nuclear material license, Section 70.21 requires that six copies be filed, except that for an application for a plutonium processing and fuel fabrication plant, 25 copies must be filed.

The complexity of NRC's review and decisionmaking process necessitates the filing of mu.1tiple copies by applicants.

The application may be extremely complex, consisting of multiple foldouts, engineering drawings, and other printed atterial of various sizes that is difficult for NRC to reproduce properly or quickly.

The NRC reviews typically involve 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 proceeding.

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

Delays resulting from an insufficient number of copies would have a much more deleterious impact on applicants than the requirement for multiple copies.

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

Confidentiality of Information Rohe, except for proprietary information.

Sensitive Questions None.

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L l-6 Estimate of Compliance Burden i

Submittals Respondent Hrs Total Annual Section Annually Per Submittal Respondent Burden 70.9(b) 43 1

43 I

70.14(a) 1 40 40

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70.19(c)(2)

- Included in 70.39(b) 70.20a(d) 6 40 240 70.20a(e)

- See OMB Clearance No. 3150-0002 i

70.20b(f) 1 4

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l 70.20b(g) 1 4

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70.21(a) 270 180' 48,600 1

70,21(f)

- See OMB Clearance No. 3150-0021 70.21(g)

- See OH8 Clearance No. 3150-0056 I

70.22(a)

- Included in 70.21(a) thru (k) l 70.24(d) 8 2

16 i

i 70.32(a)(9) 1 0.5 0.5 70.32(c)(1)

- Included in 70.21(a) 70.32(c)(2) 30 13.3 400 l

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j 70.32(d) 1 16 16 l

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70.32(e) 30 80 2,400 1

70.32(g) 5 80 400 I

70.32(i) 1 16 16 l

70.33(a)

- Included in 70.21(a) 70.34

- Included in 70.21(a) j

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Estimate of Compliance Burden (cont'd)

Submittals Respondent Hrs Total Annual Section Annually Per Submittal Respondent Burden 70.38 NRC Form 314

- See OMB Clearance No. 3150-0028 Certification 5

1 5

Survey 5

2 10 Decontamination Plan 2 30 60 70.39(a)

- Included in 70.21(a) 70.39(b) 600 0.1 60 70.52(a) 1 16 16 70.52(b) 1 16 16 70.53(a)

- See OM8 Clearance Nos. 3150-0004 and 3150-0058 70.53(b) 5 400 2,000 70.54

- See OM8 Clearance No. 3150-0003 70.57(c) 0 N/A 0

70.59 72 5

360 TOTAL 1089 54,706.5 14

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e Recordkeeping Requirements Annual Hrs Per Record Retention i

Section Recordkeepers Recordkeeper Total Hrs Period 70.22(g)-(k) 2 200 400 Varies - 3 yrs to duration of i

license 70.24(a)(3) 100

7. 6 760 Varies - 3 yrs to duration of license 70.32(c)(2)

- Included in 70.58 3 yrs l

70.32(d) 2

0. 5 1

Duration of I

possession of matl 1

70.32(e) 55

0. 2 11 3 yrs j

q 70.32(g) 5

0. 2 1

Duration of license 70.42(c) & (d) 100 10 1,000 3 yrs 70.51(b)

- Included in 70.58 Varies - 3 yrs l

to duration of license r

70.51(c)

- Included in 70.58 Duration of license -

3 yrs for changes i

70.51(d) 200 8

1,600 Duration of l

possession of l

mati plus 3 yrs

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70.51(e)

- Included in 70.58 3 yrs 70.51(f)

- Included in 70.58 3 yrs 70.57(b) 16 180

~2,880 Varies - 3 yrs to duration of i

j license

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70.58 16 1,857 29,712 Varien - 3 yrs to duration of 1

license I

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Total number of recordkeepers:

250 4

l Total recordkeeping hours annually:

36,365

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l TOTAL BURDEN HOURS:

91,071.5 14

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15 e

i Cost to Respondents to Comply Section Cost f

70.9(b)

$2,580 70.14(a) 2,400 70.19(c)(2)

- Included in 70.39(b) 4:

70.20a(d) 14,400 i

70.20a(e)

- See OM8 Clearance No. 3150-0002 70.20b(f) 240 70.20b(g) 240 70.21(a) 2,916,000 70.21(f)

- See OMB Clearance No. 3150-0021 70.21(g)

- See OM8 Clearance No. 3150-0056-70.22(a)

- Reporting included in 70.21(a) thru (k)

- Recordkeeping:

24-000 70.24(a)(3) 45,600 70.24(d) 960 3

l 70.32(a)(9) 30 70.32(c)(1)

- Included in 70.21(a) 70.32(c)(2) 24,000 j

6 70.32(d) 1,020 l

70.32(e) 144,660 70.32(g) 24,060 70.32(1) 960 70.33(a)

- Included in 70.21(a) 70.34

- Included in 70.21(a) 0

, 4 16 4b

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Cost to Respondents to Comply (cont'd)

Section Cost 70.38 See OM8 Clearance No. 3150-0028 NRC Form 314 I

Certification 300 j

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Survey 600

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Decontamination Plan 3,600 Included in 70.21(a) 70.39(a) l 70.39(b) 3,600 i

l 70.42(c) & (d) 60,000 70.51(b)

Incluried in 70.58 j

70.51(c)

Included in 70.58

]

70.51(d) 96,000 1

70.51(e)

Included in 70.58 70.51(f)

Included in 70.58 70.52(a) 960 70.52(b) 960 70.53(a)

See OM8 Clearance Nos. 3150-0004 and 3150-0058 70.53(b) 120,000 See OM8 Clearance No. 3150-0003

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70.54 70.57(b) 172,800 i

70.57(c) 0 ll1 i

70.58 1,782,720 i

1 70.59 21,600 3

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i TOTAL-5,459,790 j

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Source of Burden Data and Method for Estimating Costs The estimates are based on submittals to NRC in past years and on the Caseload Forecast, which is a projection of applications expected to be received based i

on licensee responses to the Caseload Planning Survey, an annual questionnaire to licensees (cleared under OM8 No. 3150-0072).

Cost to applicants and licensees is calculated at a rate of $60 per hour, which includes everhead.

Estimate of Cost to the Federal Government Part of the cost incurred under 10 CFR Part 70 is attributable to activities i

under other regulations or to the review and handling of the following l

reporting forms, and has been reported to OM8 in connection with the clearance of those forms and regulations:

l t

NRC Form 314 OMB Clearance No. 3150-0028 f

l DOE /NRC form 741 OMB Clearance No. 3150-0003 DOE /NRC Form 742 OH8 Clearance No. 3150-0004 j

j DOE /NRC Form 742C OMB Clearance No. 3150-0058 6

IAEA Form N-71 OM8 Clearance No. 3150-0056 i

10 CFR Part 51 OM8 Clearance No. 3150-0021 i

10 CFR Part 73 OMB Clearance No. 3150-0002 10 CFR Part 74 OMB Clearance No. 3150-0123 i

l The estimated cost of NRC professional review and other efforts other than those attributable to the above items is 16.6 staff years, at a rate of $60 per hour, for a total of $ 1,992,000.

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