ML22269A457

OMB 3150-0104, Draft 2023 Collection Renewal NRC Forms 366, 366A, 366B, Licensee Event Report Supporting Statement

ML22269A457
Person / Time
Issue date:	03/30/2023
From:	NRC/NRR/DRO
To:	NRC/OCIO
Shared Package
ML22230C805	List: ML22269A457 ML22269A458 ML22269A459 ML22269A460 ML23107A140 ML23115A477 ML23115A478 ML23115A481 ML23122A199
References
NRC-2022-0169, OMB-3150-0104
Download: ML22269A457 (8)

Text

DRAFT SUPPORTING STATEMENT FOR NRC FORMS 366, 366A, and 366B "LICENSEE EVENT REPORT" (3150-0104)

EXTENSION Description of the Information Collection Part of the U.S. Nuclear Regulatory Commissions (NRC) function is to license and regulate the operation of commercial nuclear power plants to ensure protection of public health and safety and the environment in accordance with the Atomic Energy Act of 1954, as amended (AEA) for the holder of an operating license under Title 10 of the Code of Federal Regulations (10 CFR)

Part 50 or a combined license under part 52 of this chapter (licensee) a Licensee Event Report (LER) to report specific events specified in 10 CFR Parts 20, 21 and 50.

NRC Forms 366, 366A, and 366B, "Licensee Event Report" are used by licensees to transmit the detailed information to those specified events that are believed to be significant for the NRC to determine what actions, if any, are warranted to ensure protection of public health and safety and protection of the environment. The NRC Headquarters Operations Officers receive the reports and enter them into an event database that is used by several NRC Offices for various programs discussed below.

The information requested includes the facility identifying information, date of the event and report, other facilities involved, plant conditions at the onset of the events, applicable regulation(s) for the submission, root cause(s) of the occurrences, data on operator actions and corrective actions taken, licensee contact information, and an abstract of the event.

A. JUSTIFICATION

1. Need for and Practical Utility of the Collection of Information The information is needed for the NRC to carry out its statutory responsibility to inform Congress of those events constituting abnormal occurrences and for licensees compliance with the 10 CFR 50.73 rule. Section 208 of the Energy Reorganization Act of 1974, as amended (Public Law 93-438), defines an abnormal occurrence (AO) as an unscheduled incident or event that the U.S.

Nuclear Regulatory Commission (NRC) determines to be significant from the standpoint of public health or safety. Specifically, the NRC reviews all LERs reported under 10 CFR 50.73 for consideration for AO reporting. Details of these LER requirements can be found at the end of this supporting statement in Description of Information Collection Requirements.

2. Agency Use of the Information NRC Forms 366, 366A, and 366B are the mechanism by which NRC determines whether action is needed to resolve a potential threat to public health and safety or the environment. This includes assessing whether follow-up actions are needed such as reactive inspections, trending of operating experience or safety

issues, performance monitoring, identifying precursors of more significant events, generic communications, or corrective actions to prevent recurrence; and may also be forwarded to other Federal agencies, as needed. In addition, the NRC uses the information obtained to inform Congress of those events constituting abnormal occurrences.

In addition, formal and informal methods have been developed to efficiently share operating experience with the Institute of Nuclear Power Operations (INPO). Information on events is shared in accordance with a Memorandum of Agreement between the two organizations. The NRC also cooperates with international organizations, such as the Nuclear Energy Agency (NEA) and the International Atomic Energy Agency (IAEA) Incident Reporting System (IRS) by exchanging information about operating events. Sharing of domestic nuclear operating experience provides valuable lessons learned and results in event reduction for international stakeholders.

Elimination of this data collection would seriously degrade the NRCs ability to assess operating experience, identify negative trends, monitor industry performance, and provide information to stakeholders in a timely manner including corrective actions to prevent recurrences. Additionally, LERs are available to the public and provide more detailed information concerning relatively significant events, thereby increasing public confidence in the regulatory process.

3. Reduction of Burden through Information Technology The NRC has issued Guidance for Electronic Submissions to the NRC which provides direction for the electronic transmission and submittal of documents to the NRC. Electronic transmission and submittal of documents can be accomplished via the following avenues: the Electronic Information Exchange (EIE) process, which is available from the NRC's Electronic Submittals Web page, by Optical Storage Media (OSM) (e.g. CD-ROM, DVD), by facsimile or by e-mail. It is estimated that 99 percent of the potential responses are filed electronically. The remaining are security-related submissions that contain Safeguards Information and may be submitted in paper format.

4. Effort to Identify Duplication and Use Similar Information No sources of similar information are available. There is no duplication of requirements. Some of the information included by a licensee on NRC Form 366 is not available at the time of the licensees initial telephonic notification of a significant event (e.g., the root cause and corrective actions to prevent recurrence).

5. Effort to Reduce Small Business Burden The NRC has determined that the companies that own the sites affected by 10 CFR 50.73 reporting requirements do not fall within the scope of the definition of small entities set forth in the Regulatory Flexibility Act or the size standards established by the NRC (10 CFR 2.810).

6. Consequences to Federal Program or Policy Activities if the Collection is Not Conducted or is Conducted Less Frequently Not collecting the information, or collecting it less frequently, would degrade the NRCs situational awareness and its ability to take appropriate actions in a timely manner to resolve potential threats to public health and safety or the environment. Licensee Event Reports inform many NRC licensing and oversight programs, such as the Reactor Oversight Process and event response, Operating Experience Program, Generic Communication Program, Defects and Nonconformances process, NRCs independent probabilistic risk assessments for operating reactors, Standardized Plant Analysis of Risk models, and Accident Sequence Precursor program. These reports also help the NRC to inform Congress of those events constituting abnormal occurrences, which is required under Section 208 of the Energy Reorganization Act of 1974, as amended (Public Law 93-438). The frequency of collection is dependent on the frequency of reportable event occurrences at a nuclear unit or site. If a reportable event occurs, regulations require it to be reported within 60 days. From 2019 through 2021, there were 612 LERs reported for 94 power reactor units (approximately 2.2 LERs per unit per year).

In addition, as stated in Section 2 Agency Use of the Information, the NRC shares this information, if appropriate, with Federal partners, INPO, and international organizations to prevent recurrence of significant events.

7. Circumstances Which Justify Variation from OMB Guidelines Not applicable.

8. Consultations Outside the NRC Opportunity for public comment on the information collection requirements for this clearance package has been published in the Federal Register.

9. Payment or Gift to Respondents Not applicable.

10. Confidentiality of Information Confidential and proprietary information is protected in accordance with NRC regulations in 10 CFR 9.17(a) and 10 CFR 2.390(b). However, no information normally considered confidential or proprietary is requested.

11. Justification for Sensitive Questions No sensitive information is requested. If sensitive information is provided by licensees within these submittals there are processes for appropriate marking them non-public for security reasons or marking sections as proprietary per 10 CFR 2.390(b).

12. Estimated Burden and Burden Hour Cost Approximately 250 NRC Forms 366, 366A and 366B are expected to be submitted annually during the next three years, based on data from recent LER submittals and trends, as well as NRC staff knowledge about the changing number of licensees and potential future submissions.

The total annual estimated burden for submissions is 16,000 hours0 days <br />0 hours <br />0 weeks <br />0 months <br /> calculated as follows:

Total Reporting Burden = 250 submissions x 64 hours7.407407e-4 days <br />0.0178 hours <br />1.058201e-4 weeks <br />2.4352e-5 months <br /> = 16,000 hours0 days <br />0 hours <br />0 weeks <br />0 months <br /> Total Recordkeeping = 250 submissions x 16 hours1.851852e-4 days <br />0.00444 hours <br />2.645503e-5 weeks <br />6.088e-6 months <br /> = 4,000 hours0 days <br />0 hours <br />0 weeks <br />0 months <br /> Total Burden = 16,000 + 4,000 = 20,000 hours0 days <br />0 hours <br />0 weeks <br />0 months <br /> Responses = 344 (250 reporting responses (submissions) + 94 recordkeepers)

Total Respondents = 94 (92 operating license under 10 CFR part 50 + 2 combined license holders under 10 CFR part 52).

Total annual cost to industry = 20,000 hours0 days <br />0 hours <br />0 weeks <br />0 months <br /> x $290/hour = $ 5,800,000 NOTE: The $290 hourly rate used in the burden estimates is based on the Nuclear Regulatory Commissions fee for hourly rates as noted in 10 CFR 170.20 Average cost per professional staff-hour. For more information on the basis of this rate, see the Revision of Fee Schedules; Fee Recovery for Fiscal Year 2022 (87 FR 37214, June 22, 2022).

13. Estimate of Other Additional Costs The NRC has determined that the quantity of records to be maintained is roughly proportional to the recordkeeping burden. Based on the number of pages maintained for a typical clearance the records storage cost has been determined to be .0004 times the recordkeeping burden cost. Therefore, the storage cost for this clearance is determined to be $464 (4,000 hours0 days <br />0 hours <br />0 weeks <br />0 months <br /> x $290/hour x .0004).

14. Estimated Annualized Cost to Federal Government Information submitted by licensees in Form 366 is used by multiple offices within the NRC. The NRC spends on average about $1 million in contract costs for coding LERs, inputting event data into a LER database, and maintaining the LER database and search capabilities. The contractor also provides input into NRC programs, including:

• Accident Sequence Precursor Program

• Operating Experience Program The Office of Nuclear Reactor Regulation (NRR) reviews LERs for specific issues pertaining to reactor operating experience related to safety and generic concerns. It is estimated that the resources expended in the operating experience review of LERs are about one hour per LER. Therefore, with one hour of effort per LER and 250 LERs per year (1 hours1.157407e-5 days <br />2.777778e-4 hours <br />1.653439e-6 weeks <br />3.805e-7 months <br /> per LER X 250 LERs), it is estimated that 250 hours0.00289 days <br />0.0694 hours <br />4.133598e-4 weeks <br />9.5125e-5 months <br /> of effort is needed per year for NRR.

The Office of Nuclear Regulatory Research (RES) reviews LERs for the Accident

Sequencer Precursor (ASP) Program. The RES ASP program staff reviews approximately 50 of the most significant LERs per year for about one hour per LER (50 LERs X 1 hour1.157407e-5 days <br />2.777778e-4 hours <br />1.653439e-6 weeks <br />3.805e-7 months <br />). It is estimated that 50 hours5.787037e-4 days <br />0.0139 hours <br />8.267196e-5 weeks <br />1.9025e-5 months <br /> of RES effort is needed per year for the ASP program.

Finally, the NRC Regional Offices are responsible for implementing NRCs inspection program. It is estimated that LER reviews called out by Inspection Procedure (IP) IP 71153, Event Follow-up will take a maximum of 8 hours9.259259e-5 days <br />0.00222 hours <br />1.322751e-5 weeks <br />3.044e-6 months <br /> per LER. Therefore, with 8 hours9.259259e-5 days <br />0.00222 hours <br />1.322751e-5 weeks <br />3.044e-6 months <br /> of effort per LER, and 250 LERs submitted per year (8 hours9.259259e-5 days <br />0.00222 hours <br />1.322751e-5 weeks <br />3.044e-6 months <br /> per LER X 250 LERs), it is estimated that the Regional Offices will expend approximately 2,000 hours0 days <br />0 hours <br />0 weeks <br />0 months <br /> of effort on LER disposition per year.

The total NRC effort is therefore estimated to be 2,550 hours0.00637 days <br />0.153 hours <br />9.093915e-4 weeks <br />2.09275e-4 months <br /> (2,000 regional inspection hours + 250 NRR staff hours + 50 RES ASP program staff hours).

The total estimated annual cost for the government is $1,667,000 ($290 x 2300 hours0.0266 days <br />0.639 hours <br />0.0038 weeks <br />8.7515e-4 months <br /> + $1MM for LER database contracts).

15. Reasons for Change in Burden or Cost The NRC reviewed the number of LERs submitted over the past two clearance cycles and estimates the annual average has decreased and will remain consistently lower than previous clearance periods for the licensees reporting using NRC Forms 366, 366A and 366B in the future. It is expected that a new lower threshold has been established. Additionally, the number of total licensees has decreased from prior clearance cycles; therefore, lower estimates for total number of units and reports per nuclear unit were used.

There was an increase in the fee rate from $275/hr to $290/hr used for this OMB clearance cycle.

16. Publication for Statistical Use Not Applicable.

17. Reason for Not Displaying the Expiration Date The expiration date is displayed.

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

B. COLLECTIONS OF INFORMATION EMPLOYING STATISTICAL METHODS Not Applicable.

DESCRIPTION OF INFORMATION COLLECTION REQUIREMENTS CONTAINED IN NRC FORMS 366, 366A, and 366B, "LICENSEE EVENT REPORT" 10 CFR Part 50.73 10 CFR 50.73 requires the holder of an operating license under this part or a combined license under part 52 of this chapter (after the Commission has made the finding under § 52.103(g) of this chapter) for a nuclear power plant (licensee) shall submit a Licensee Event Report (LER) for any event of the type described in this paragraph within 60 days after the discovery of the event.

Licensees use NRC Form 366, Licensee Event Report to report specified events and problems that are believed to be significant and useful to the NRC in its effort to identify and resolve threats to public safety. Form 366A, Licensee Event Report, Continuation provides a continuation page for licensees to provide a narrative of the event. Form 366B, Licensee Event Report, Failure Continuation is a continuation page used to document the specific component failures involved in the event. The forms are designed to provide the information necessary for engineering studies of operational anomalies and trends and patterns analysis of operational occurrences. The same information can be used for other analytic procedures that will aid in identifying accident precursors.

On October 25, 2000, the NRC published a final rule in the Federal Register which modified the event reporting requirements in 10 CFR 50.73 (65 FR 63769). The final rule better aligned event reporting requirements with the types of information the NRC needs to carry out its safety mission, including revising reporting requirements based on importance to risk and extending the required reporting times consistent with the time that information is needed for prompt NRC action. NRC Forms 366, 366A, and 366B reflect requirements contained in 10 CFR 50.73.

73.71(d) requires each licensee subject to Sec. 50.73 to submit safeguards event reports about the loss of any shipment of SNM or spent fuel within 60 days of the event on NRC Form 366.

Section 73.77(d) requires licensees making an initial telephonic notification of cyber security events to the NRC according to the provisions of 10 CFR 73.77(a)(1), (a)(2)(i), and (a)(2)(iii) to also submit a written security follow-up report to the NRC within 60 days of the telephonic notification using NRC Form 366, Licensee Event Report. Under section 73.77(d)(12), licensees also must maintain a copy of the written security follow-up report of an event submitted under section 73.77 as a record for a period of three years from the date of the report or until the Commission terminates the license for which the records were developed, whichever comes first.

On February 3, 2011, the NRC published in the Federal Register a proposed rule, Enhanced Weapons, Firearms Background Checks and Security Event Notifications (76 FR 6200). Part of the 2011 proposed rule would make several changes to the security event notification requirements in 10 CFR Part 73. In addition, on January 10, 2013, the NRC published a supplemental proposed rule (78 FR 2214) to add at-reactor Independent Spent Fuel Storage Installations as a class of designated facilities under 10 CFR 73.15(c).

September 22, 2015, the NRC published a second supplemental proposed rule (80 FR 57106) to incorporate changes related to the frequency of performing firearms background checks.

• Comments were received on the written follow-up reports from licensees subject to 10 CFR 50.73 (power reactor licensees). Proposed 10 CFR 73.71(m)(5) required such licensees to use NRC Form 366 to submit a written follow-up report. However, the proposed rule did not specify the content of the abstract, if NRC Form 366 is used. The commenter recommended that the requirement be clarified or left to the licensees discretion. The NRC added a new 10 CFR 73.1205(c), which describes the contents of these follow-up reports and added new language in paragraph (c) which specifies the content requirements for written follow-up reports under 10 CFR 73.1205.

GUIDANCE DOCUMENTS FOR INFORMATION COLLECTION REQUIREMENTS CONTAINED IN NRC FORMS 366, 366A, and 366B, "LICENSEE EVENT REPORT" 10 CFR Part 50.73 Title Accession number NUREG-1022 Rev. 3 "Event Report ML13032A220 Guidelines: 10 CFR 50.72 and 50.73