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 protecti on 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 (li censee) a Licensee Event Report (LER) to report specific events specified in 10 CFR Parts 20, 2 1 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 bel ieved to be significant for the NRC to determine what actions, if any, are warranted to ensure prot ection of public health and safety and protection of the environment. The NRC Headquarters Operat ions Officers receive the reports and enter them into an event database that is used by s everal NRC Offices for various programs discussed below.

The information requested includes the facility identifying inf ormation, date of the event and report, other facilities involved, plant conditions at the onse t of the events, applicable regulation(s) for the submission, root cause(s) of the occurren ces, 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 Informat ion

The information is needed for the NRC to carry out its statutor y responsibility to inform Congress of those events constituting abnormal occurren ces and for licensees compliance with the 10 CFR 50.73 rule. Section 208 o f the Energy Reorganization Act of 1974, as amended (Public Law 93-438), def ines an abnormal occurrence (AO) as an unscheduled incident or event th at the U.S.

Nuclear Regulatory Commission (NRC) determines to be significan t from the standpoint of public health or s afety. 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 sta tement in Description of Information Collection Requirements.

2. Agency Use of the Information

NRC Forms 366, 366A, and 366B are the mechanism by which NRC de termines whether action is needed to resolve a potential threat to publi c health and safety or the environment. This includes assessing whether follow-up actions are needed such as reactive inspections, trending of operating expe rience or safety issues, performance monitoring, identifying precursors of more significant events, generic communications, or corrective actions to prevent recurr ence; and may also be forwarded to other Federal agencies, as needed. In add ition, the NRC uses the information obtained to inform Congress of those event s 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 Me morandum of Agreement between the two organizations. The NRC also cooperate s with international organizations, such as the Nuclear Energy Agency (NEA) and the International Atomic Energy Agency (IAEA) Incident Reporting Sy stem (IRS) by exchanging information about operating events. Sharing of domes tic nuclear operating experience provides valuable lessons learned and resu lts 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 timel y manner including corrective actions to prevent recurrences. Additional ly, LERs are available to the public and provide more detailed information c oncerning relatively significant events, thereby increasing public confid ence 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 submitta l of documents to the NRC. Electronic transmission and submittal of documents can be accomplished via the following avenues: the Electronic Informat ion Exchange (EIE) process, which is available from the NRC's Electronic Su bmittals Web page, by Optical Storage Media (OSM) (e.g. CD-ROM, DVD), by fac simile or by e-mail. It is estimated that 99 percent of the potential respon ses 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 du plication of requirements. Some of the information included by a licensee on NRC Form 366 is not available at the time of the licensees initial telephon ic 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 af fected by 10 CFR 50.73 reporting requirements do not fall within the scope o f 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 frequentl y, 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 a nd oversight programs, such as the Reactor Oversight Process and event respo nse, Operating Experience Program, Ge neric Communication Program, De fects and Nonconformances process, NRC s independent probabilistic risk a ssessments for operating reactors, Standardized Plant Analysis of Risk mod els, and Accident Sequence Precursor program. These reports also help the NRC to inform Congress of those events constituting abnormal occurrences, w hich is required under Section 208 of the Energy Reorganization Act of 1974, as amended (Public Law 93-438). The frequency of collection is dependent o n 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. F rom 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 significan t events.

7. Circumstances Which Justify Variation from OMB Guidelines

Not applicable.

8. Consultations Outside the NRC

Opportunity for public comment on the information collection re quirements for this clearance package has been published in the Federal Regist er.

9. Payment or Gift to Respondents

Not applicable.

10. Confidentiality of Information

Confidential and proprietary information is protected in accord ance 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 appro priate marking them non-public for security reasons or marking sections as pr oprietary 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 f rom 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 hou rs 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 ho urs 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 rec ordkeepers)

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 base d on the Nuclear Regulatory Commissions fee for hourly rates as noted i n 10 CFR 170.20 Average cost per professional staff-hour. For more informati on 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 maint ained is roughly proportional to the recordkeeping burden. Based on the number o f 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/hou r x.0004).

14. Estimated Annualized Cost to Federal Government

Information submitted by licensees in Form 366 is used by multi ple 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 main taining 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 an d generic concerns. It is estimated that the resources expended in the op erating 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 NR R.

The Office of Nuclear Regulatory Research (RES) reviews LERs fo r the Accident Sequencer Precursor (ASP) Program. The RES ASP program staff re views approximately 50 of the most significant LERs per year for abou t 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 RE S 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 su bmitted 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 p er 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 sta ff hours).

The total estimated annual cost for the government is $1,667,00 0 ($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 lice nsees reporting using NRC Forms 366, 366A and 366B in the future. It is expecte d that a new lower threshold has been established. Additionally, the number of total licensees has decreased from prior clearance cycles; therefore, lower est imates 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 u sed 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 Re port, Continuation provides a continuation page for licensees to provide a narrative of the e vent. Form 366B, Licensee Event Report, Failure Continuation is a continuation page used to do cument the specific component failures involved in the event. The forms are designed to prov ide the information necessary for engineering studies of operational anomalies and trends and pat terns analysis of operational occurrences. The same information can be used for other analyt ic procedures that will aid in identifying accident precursors.

On October 25, 2000, the NRC published a final rule in the Fede ral Register which modified the event reporting requirements in 10 CFR 50.73 (65 FR 63769). Th e 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 imp ortance to risk and extending the required reporting times consistent with the time that info rmation is needed for prompt NRC action. NRC Forms 366, 366A, and 366B reflect requirements con tained 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 telephoni c 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 with in 60 days of the telephonic notification using NRC Form 366, Licensee Event Report. Under s ection 73.77(d)(12), licensees also must maintain a copy of the written security follow-up rep ort of an event submitted under section 73.77 as a record for a period of three years fro m the date of the report or until the Commission terminates the license for which the records wer e 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 Notifica tions (76 FR 6200). Part of the 2011 proposed rule would make several changes to the sec urity event notification requirements in 10 CFR Part 73. In addition, on January 10, 20 13, the NRC published a supplemental proposed rule (78 FR 2214) to add at-reactor Indep endent 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 pro posed rule (80 FR 57106) to incorporate changes related to the frequency of performing f irearms background checks.

• Comments were received on the written follow-up reports from l icensees 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 requi rement 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