ML20206U786
| ML20206U786 | |
| Person / Time | |
|---|---|
| Issue date: | 02/17/1999 |
| From: | Shelton B NRC |
| To: | |
| References | |
| FRN-64FR19868 AF62-2-056, AF62-2-56, OMB-3150-0101, OMB-3150-101, NUDOCS 9902220079 | |
| Download: ML20206U786 (14) | |
Text
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, gj ggg glisse read the instructions befora completing this form. For cdditionIl forms or assistince in corrigleting this form contsc't your rgency's P:perwork Clxrtnca Officer. Srnd two copirs of thin form, ths coll 3ction instrumsnt to be reviewed, the
. Supporting St:timent, cnd tiny cddition;l documsntition to: Offics cf Inf7rmiti:n and R guist ry Afftirs. Offica of Management End Budget. Docket Library, Room 10102, 72517th Street NW, Wxhingt:n, DC 20503.
- 1. Agency / Subagency onginating request
- 2. OMB control number U.S. Nuclear Regulatory Commission y
a.
3150-0101 b.None
- 3. Type of mformaton collection (check one)
- 4. Type of review requested (check one)
- s. New colisction y
- a. Regular
- c. Delegated g 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. Reinstatement, without change, of a previcusly approved substantial number of small entities?
?
collecbon for which approval has expired g
b.No
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- Requested
- f. Existing collection in use without an OMB control number h b. Other (Specify): 9/30/2000 j
- 7. Tstle Reactor Operator and Senior Reactor Operator Licensing, Training, and Requalification Programs
- 8. Agency form number (s) (if appicabas)
NA
- 9. Kiywords l
l Nuclear Power Plant, Reactor, Reporting, Recordkeeping
- 10. Abstract NRC is amending its previously published (62 FR 42426) proposed rule,10 CFR 55, Initial Licensed Operator Ex:mination Requirements," to add additionalinformation collection requirements and is publishing the revised document as a final rule.
l I
- 11. Affacted pubic (Mark pnmary mth *P* amt aN otners that apply eth 'X")
- 12. ObhgatCn to respond (Mart pnmary eth ?* nmt aN others that apply enth 'X")
- a. Individuals or households
- d. Farms
- a. Voluntary T
- b. Business or other for-profit
- e. Federal Government
- b. Required to obtain or retain benefits
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- c. Not-for-profit institutions
- f. State. Local or Tribal GovernmentT c. Mandatoty
- 13. Annual reporting and recordkeeping hour burden
- 14. Annual reporting and recordkeeping cost burden tm tnousamrs otmar >
109
- a. Total annualized capital /startup costs i
- a. Number of respondents 165
- b. Total annual costs (o&M)
- b., Total annual responses
- 1. Percentage of these responses
- c. Total annualized cost tequested coHected electronicany 0.0
- d. Current OMB inventory
- c. Total annual hours requested 30,379
. p,tference
- d. Current OMB inventory 28,006
- f. Explanation of difference i
- 1. Program change
- f. Explanation of difference 2,373
- 2. Adjustment
- 1. Program change
- 2. Adjustment fl
- 15. Purpose of informaton collecten
- 16. Frequency of recordkeeping or reporting (check allthat apply)
(Mark pnmary with "P' and OR others that apply with 'X*)
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- a. Recordkeeping
- b. Thirc-party dssclosure
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. Program planning or management 7
- c. Reporting f
- a. Application for benefits e
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b, Program evaluation
- f. Research
- 71. On occasion
- 2. Weekly
- 3. Monthly
- c. General purpose statistics T g Regulatory or compliance
- 4. Quarterly S. Semi-annually
- 6. Annually
- d. Audit
- 7. Biennially 7
- 8. Other (describe) C Etime i
- 17. Stat tcal methods
- 18. Agency contact (person who can best answer questens regarding the Does this information collecten employ statistical rnethods?
Name:
Roberta Ingram I
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Yes oo 301-415-1219 u-pnone; one es-i w. son.
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10/95 l
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19.C rtifica.ti:n frr Paperwark Reducti:n Act Submiri:na O
i 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 regulatoryprovisions as setforth in the instructions.
The following is a summary of the topics, regarding the propo>ed collection ofinformation, that the certification covers:
(a) It is necessary for the proper performance of agency functions; (b) It avoids unnecessary duplication; f
(c) It reduces burden on small entities; (d) It uses plain, coherent, and unambiguous terminology that is understandable to respondents; j
(c) Its implementation will be 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 of extent orconfidentiality; and (vi) Need to display currently valid OMB control number; (h) It was developed by an oflice 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 eflicient statistical survey methodology; and (j) It makes appropriate use ofinformation technology.
Ifyou 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.
Sgnature of Authonzed Agency Offcal Date Sqniture of Seruor Offcal or desgnee *..
Date I
Brooda~f hel$t n fir Off the Chief information Officer
/-
/Z/M9 OM8 83-1
/
' 10/95
_ _ _. _ ___..__-.__ _.___._.._ _.- --m.-- _ _..- _ _
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FINAL SUPPORTING STATEMENT FOR COLLECTION OF INFORMATION ON REACTOR OPERATOR AND SENIOR REACTOR OPERATOR LICENSING TRAINING AND REQUALIFICATION PROGRAMS (OMB Clearance No. 3150-0101)
AMENDED FINAL RULE -
REQUIREMENTS FOR INITIAL OPERATOR LICENSING EXAMINATIONS 4
DESCRIPTION OF INFORMATION COI I FCTION On August 7,1997, the Nuclear Regulatory Commission (NRC) published in the Federal Register (62 FR 42426) a proposed rule,10 CFR 55, " Initial Licensed Operator Examination Requirements," that would require all nuclear power plant facility licensees to: (1) prepare the written examinations and operating tests that the NRC uses to determine the competence of individuals who apply for a license to operate those facilities, (2) submit the examinations and tests for the NRC's review and approval, and (3) proctor and grade the written examinations. Because of the effect that the rule would have on the facility licensees' reporting and recordkeeping requirements, the NRC concurrently sought OMB review of the revised information collection and published a notice (62 FR 42607) soliciting public comment. The OMB approved the information collection on September 29,1997.
The NRC now intends to revise the final rule to allow, rather than require, nuclear power plant facility licensees to prepare their own licensing examinations. This change does not affect the
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upper limit on the estimated industry burden to prepare the licensing examinations as described in the supporting statement for the proposed rule. However, the actual industry burden to prepare the licensing examinations may decrease somewhat as a result of this change if fewer facility licensees elect to prepare their own examinations (thereby increasing the number of NRC-prepared examinations, which impose a smaller burden on facility licensees). For example, in fiscal year (FY) 1998, the NRC prepared 6 of the 56 examinations that were given, which is slightly more than the 4/60 examinations predicted in the original supportrg statement.
This final supporting statement describes an additional information collection requirement that the NRC intends to add to the final rule so that facility licensees that elect to prepare their own licensing examinations will establish, implement, and maintain procedures to control the security and integrity of those examinations.
i A.
JUSTIFICATION 1.
Need For and Practical Utility of the Collection of Information.
Before beginning the voluntary pilot program under which power reactor facility licensees are allowed to prepare the operator licensing examinations, the NRC evaluated a number of vulnerabilities associated with the revised process, including the possible effects on examination security. The NRC realized that more facility employees would have knowledge of the examination content and access to the examination materials than when the NRC prepared the examinations, but believed that $55.49, " Integrity of examinations and tests," provided adequate assurance that facility licensees would maintain examination security and integrity.
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However, since beginning the voluntary pilot examination program in October 1995, there have been a number of instances in which facility licensees have: (1) failed to exercise positive control of the examinations by not locking the room or container in which the examinations were being prepared or stored; (2) failed to control the activities of personnel involved in preparing or reviewing the examinations, as required by the signed security agreements, or to restrict unauthorized personnel from gaining access to the examinations; and (3) lost control of the examinations while printing or making copies. These instances have led the NRC to conclude l
that applicants, licensees, and facility licensees may not understand that the provisions of $55.49 pertain to more than just those activities involving the physical administration of an examination.
Concems regarding the possibility that the revised examination process would pose an increased threat to examination security were also documented in four of the thirteer oublic comment letters that responded to the proposed rule.
Consequenth, ine NRC has determined that it would be beneficial to amend $55.40 in the final rule to require power reactor facility licensees that elect to prepare their own licensing examinations to establish, implement, and maintain procedures to control examination security and integrity.
2.
Aaency Use of Information.
This additional recordkeeping requirement may avert future examination compromises that could result in significant inconvenience and expense for the affected facility licensees and the NRC If the NRC determines while preparing for an examination that the examination may have been compromised, the NRC will delay the examination until the scope of the potential compromise is determined and measures can be taken to restore the integrity and validity of the examination.
If the compromise is discovered after the examination has been administered, the NRC will delay the licensing action for the affected applicants until the staff can make a determination regarding the validity of the examination. If the compromise is not discovered until after the licensing action is complete, the NRC will reevaluate the validity of those licensing decisions.
3.
Reduction of Burden Throuch Information Technoloov.
There is no legal obstacle to the use of information technology. Moreover, the NRC encourages its use. This change does not require any additional reports or submittals to the NRC.
4.
Effort to identify Duolication and Use Similar Information.
This requirement does not duplicate or overlap other recordkeeping requirements made by the NRC or other govemment agencies. The record to be prepared is unique to the organization and is of importance only to the NRC. The Information Requirements Control Automated System (IRCAS) was searched for duplication, and none was found.
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5.
Effort to Reduce Small Business Burden.
This proposed information collection change does not affect any small businesses.
6.
Conseauences to Federal Prooram or Policy Activities if the Collection is Not Conducted or is Conducted Less Freauentiv.
The requirement for facility licensees that elect to prepare their own licensing examinations to establish, implement, and maintain examination security procedures will ensure that those facility licensees document and promulgate their local security policies and practices, thereby sensitizing their employees to this issue and reducing the potential for future examination compromises.
If this requirement is not implemented, some potential examination compromises may not be averted, thereby resulting in higher costs for the affected facility licensee and the NRC if the examination has to be revised or replaced.
7.
Circumstances Which Justifv Variations From OMB Guidelines.
This request does not vary from OMB guidelines.
8.
Consultations Outside the NRC.
The requirement to establish, implement, and maintain examination security procedures was added to the subject rulemaking after the proposed rule was published in the Federa/ Register (62 FR 42426) on August 7,1997. The change was made in response to examination security incidents and public comments on the proposed rule. There have been no formal consultations regarding this additionalinformation collection outside the NRC. However, when the NRC staff briefed the Advisory Committse on Reactor Safeguards (ACRS) regarding the final rule change, it noted that the rule would be revised to require facility licensees to establish, implement, and maintain examination security procedures. A representative from the Nuclear Energy institute (NEI) was present at the ACRS briefing and, when questioned regarding the industry's possible response to such a change, indicated that facility licensees are complying with the existing requirements of $55.49 by safeguarding the integrity of applications, tests, and examinations and that requiring licensees to document their policies and practices would not pose a significant burden.
g.
Egyment or Gift to Resoondents.
Not applicable.
- 10. Confidentiality of Information.
4 i
The NRC provides no pledge of confidentiality for the information that is contained in the facility 'icensees' security procedures developed pursuant to the proposed regulation. The procedures that facility licensees will develop to control 3
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examination security and integrity are internal documents that would generally not be available for public inspection. However, NRC examiners are expected to review the facility licensee's examination security proctices as part of the l
examination development process and may address notable deficiencies in the examination report, particularly if those deficiencies resulted in an examination compromise.
- 11. Justification for Sensitive Questions.
No sensitive information is requested.
- 12. Estimated Industrv Burden and Burden Hour Cost.
)
In accordance with the final revision of @55.40, all 66 power reactor facilities operated by 50 facility licensees will be eligible to prepare their own licensing examinations. If they all elect to prepare the examinations, they will all be required to establish and maintain procedures to control the security and integrity of those examinations. However, the NRC does not expect that all facility licensees will elect to prepare their own examinations. During the two full years in which facility licensees have been allowed to prepare their examinations under a voluntary pilot program, the level of industry participation has ranged from about 75 percent (41 of the 55 examinations administered) in FY 1997 to about 90 percent (50/56) in FY 1998.
Feedback from NEl and the NRC examiners who have worked with facility employees in preparing the pilot examinations indicates that, while most facility licensees have not developed formal, written security procedures for initial licensing examinations conducted under the revised examination process, they have implemented policies and practices to maintain examination security. Facility licensees have been required to prepare and administer licensed operator requalification examinations for many years, and a number of facility licensees have incorporated examination security measures in their requalification programs.
The existing policies, practices, and procedures will mitigate the burden of compliance with this new requirement.
As an upper limit, the NRC estimates that it will take approximately 100 hours0.00116 days <br />0.0278 hours <br />1.653439e-4 weeks <br />3.805e-5 months <br /> for each of the 50 facility licensees to establish the required procedures, including time to write, review, and approve the document (s) at one facility (site). Those facility licensees having additional facilities (sites) should be able to adapt the procedures for their other facilities in approximately half the time that it would take to establish the procedures at the first facility (i.e., approximately 50 hours5.787037e-4 days <br />0.0139 hours <br />8.267196e-5 weeks <br />1.9025e-5 months <br />).
4
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i The total estimated Nrden for all power reactor facility licensees to establish the procedures required by the proposed change in $55.40 is summarized as follows:
Facilities Affected Hous per Total Licensee Cost Facility Burden at $124/Hr Single facility:
50 100 5,000
$620,000 Additional facilities:
16 50 800
$ 99,200 TOTAL:
66 5,800
$719,200 After having established the required procedures, facility licensees will be expected to maintain the procedures by conducting periodic reviews and making any revisions that might be necessary based on lessons teamed or changes in local policies. The NRC estimates that the maintenance activities will take approximately 20 hours2.314815e-4 days <br />0.00556 hours <br />3.306878e-5 weeks <br />7.61e-6 months <br /> per facility for approximately half of the facilities per year. This additional annual burden is summarized as follows:
Facilities Affected Hours per Total Licensee Cost Facility Burden at $124/Hr 33 20 660
$81,840 Annualized over the 3-year clearance period, the total burden is 2,373 hours0.00432 days <br />0.104 hours <br />6.167328e-4 weeks <br />1.419265e-4 months <br /> (3/5,800 one-time burden + 660 second year annual burden + 660 third year annual burden).
- 13. Estimate of Other Additional Costs.
None.
- 14. Estimated Annualized Cost to the Federal Government.
The proposed change in 655.40 is not expected to increase the cost or burden to the Federal Government. The NRC's examination procedures in NUREG-1021,
" Operator Licensing Examination Standards for Power Reactors," already require NRC license examiners to review and monitor the facility licensee's security practices as part of the examination development process. This change does not increase those requ!rements and may facilitate their performance.
- 15. Reasons for Chanaes in Burden or Cost.
This change in burden is being implemented in an effort to ensure the security and integrity of the initial operator licensing examinations that facility licensees will be allowed to prepare in accordance with $55.40. The NRC believes that requiring l,
facility licensees to formalize and document their examination security practices if they elect to prepare their own licensing examinations will raise the level of awareness in this area and reduce the possibility of future examination l
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compromises that could increase the cost of examination development and lead to invalid licensing actions.
The final rulemaking will require facility licensees that elect to prepare their r>wn r
operator licensing written examinations and operating tests to establish and maintain procedures to control the security and integrity of those examinations and tests. The burden will increase 2,373 hours0.00432 days <br />0.104 hours <br />6.167328e-4 weeks <br />1.419265e-4 months <br /> annually over three years.
l
- 16. Publication for Statistical Use.
l This information is not published for statistical use.
- 17. Reason for Not Disolavina the Exoiration Date.
i The requirement will be contained in a regulation. Amending the Code of Federal Regulations to display information that could become obsolete would be unduly burdensome and too difficult to keep current.
- 18. Exceotions to the Certification Statement.
None.
B.
COLLECTIONS OF INFORMATION EMPLOYIN" STATISTICAL METHODS Not applicable.
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1 Comments and questions should be directed to the OMB reviewer by (insert date 30 days after publication in the Federal Reaister):
Erik Godwin Office of Information and Regulatory Affairs (3150-0101)
NEOB-10202 Office of Management and Budget Washington DC 20503 Comments can also be submitted by telephone at (202) 395-3084.
The NRC Clearance Officer is Brenda Jo. Shelton, 301-415-7233.
Dated at Rockville, Maryland, this day of 1998.
For the Nuclear Regulatory Commission.
Brenda Jo. Shelton, NRC Clearance Officer Office of the Chief information Officer DISTRIBUTION:
HOHB R/F File Center T.
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Washington DC 20503 Comments can also be submitied by telephone at (202) 395-3084.
The NRC Clearance Officer is Bren Jo. Shelton, 301-415-7233.
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1 Dated at Rockville, Maryland, this day of 1998.
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For the Nuclear Regulatory Commission.
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Brenda Jo. Shelton, NRC Clearance Officer Office of the Chief Information Officer
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Comments can also be submitted by telephone at (202) 395-3084[
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The NRC Clearance Officer is Brenda Jo. Shelton,3,01-415-7233.
Dated at Rockville, Maryland, this day'of 1998.
For the Nuclear Regulatory Commission.
Brenda Jo. Shelton, NRC Clearance Officer Office of the Chief Information Officer DISTRIBUTION:
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U. S. NUCLEAR REGULATORY COMMISSION Documents Containing Reporting or Recordkeeping Requirements: Office of Management and Budget (OMB) Review AGENCY:
U. S. Nuclear Regulatory Commission (NRC)
ACTION:
Notice of the OMB review ofinformation collection and solicitation of public comment.
SUMMARY
- The NRC has recently submitted to OMB for review the following proposal for the collection ofinformation under the provisions of the Paperwork Reduction Act of 1995 (44 U.S.C. Chapter 35).
1.
Type of submission, new, revision, or extension: Revision (OMB Clearance No. 3150-0101) 2.
The title of the information collection: Amended Final Rule - Requirements for initial Operator Licensing Examinations 3.
The form number if applicable: Not applicable 4.
How often the collection is required: No additional information submittals are required. Each facility that elects to prepare its own licensing examinations will be required to establish (a one-time activity) and periodically maintain (approximately biennially) procedures to control examination security.
5.
Who will be required or asked to report: Power reactor facility licensees 6.
An estimate of the number of responses: 66 7.
The estimated number of annual respondents: 33 8.
An estimate of the total number of hours needed annually to complete the requirement or request: 5,800 during the first year and 660 hours0.00764 days <br />0.183 hours <br />0.00109 weeks <br />2.5113e-4 months <br /> per year thereafter (2,373 hours0.00432 days <br />0.104 hours <br />6.167328e-4 weeks <br />1.419265e-4 months <br /> annualized over 3 years) 9.
An indication of whether Section 3507(d), Pub. L.104-13 applies: Not i
applicable
- 10. Abstract: NRC is amending its previously published (62 FR 42426) proposed rule,10 CFR 55, " Initial Licensed Operator Examination Requirements," to add additional information collection requirements and is
publishing the revised document as a final rule. The new information collection requirements will require power reactor facility licensees to establich, implement, and maintain procedures to control examination security and integrity if they elect to prepare their own licensing examinations.
Submit, by (insert date 30 days after publication in the Federal Register), comments that address the following questions:
1.
Is the proposed collection of information necessary for the NRC to properly perform its functions? Does the information have practical utility?
4 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 minimized, including the use of automated collection techniques or other forms of information technology?
A copy of the supporting statement may be viewed free of charge at the NRC Public Document Room,2120 L Street, NW (lower level), V!ashington, DC. OMB clearan"ce packages are available at the NRC worldwide web site (http://www.nrc. gov /NRC/PUBLIC/OMB/index.html).
The document will be available on the NRC home page site for 60 days after the signature date of this notice.
Comments and questions should be directed to the OMB reviewer Isy (insert date 30 days after publication in the Federal Register):
Erik Godwin Office of Information and Regulatory Affairs (3150-0101)
NEOB-10202 Office of Management and Budget Washington DC 20503
i Comments can also be submitted by telephone at (202) 395-3084.
The NRC Clearance Officer is Brenda Jo. Shelton, 301-415-7233.
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Dated at Rockville, Maryland, this
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day of - hu -
1999.
For the Nuclear Regulatory Commission.
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Bfenda Jo. Shotton,-NRC D1earance Officer Office of the Chief Information Officer