ML22074A231

OMB 3150-0018, Final 2022 Collection Renewal 10 CFR Part 55, Operators' Licenses - Supporting Statement

ML22074A231
Person / Time
Issue date:	05/20/2022
From:	NRC/NRR/DRO
To:	NRC/OCIO
Shared Package
ML22074A090	List: ML22074A231
References
NRC-2021-0149, OMB 3150-0018
Download: ML22074A231 (14)

Text

FINAL OMB SUPPORTING STATEMENT FOR 10 CFR PART 55, OPERATORS' LICENSES (3150-0018)

EXTENSION Description of the Information Collection The Nuclear Regulatory Commissions (NRC) regulations in 10 CFR Part 55 establish:

(1) procedures and criteria for the issuance of licenses to operators and senior operators of utilization facilities (which are licensed pursuant to the Atomic Energy Act of 1954, as amended, 10 CFR Part 50, and 10 CFR Part 52); (2) the terms and conditions upon which the Commission will issue or modify the operators licenses; and (3) the terms and conditions to maintain and renew the operators licenses.

The majority of the information collection requirements related to this Part apply to the holders of and applicants for a utilization facility operating licenses (as defined in 10 CFR Part 50 and Part 52). The remaining information collections apply to the holders of, or applicants for, an individual operator's license (i.e., operators and senior operators as defined in 10 CFR Part 55).

This supporting statement provides a comprehensive overview of the information collection requirements specified in 10 CFR Part 55. There are additional information collections in 10 CFR Part 55 that are covered by other OMB clearances and are not addressed in this supporting statement. These are NRC Form 396, Certification of Medical Examination by Facility Licensee (OMB Clearance No. 3150-0024), NRC Form 398, Personal Qualification Statement - Licensee (OMB Clearance No. 3150- 0090) and NRC Form 536, Operator Licensing Examination Data (OMB Clearance No. 3150- 0131).

Specific information collection requirements include filing applications for an exemption, which include general license information as well as information specific to the request, written examinations and operating tests prepared by facility licenses, request to use a simulation facility, request to certify a Commission approved simulator, copies of requalification written examinations and/or annual operating tests.

In addition, the information collection includes two online forms for requesting exemptions from requirements for Part 55 Exemption Request and Part 55 Research and Test Reactor Exemption Request related to the COVID-19 Public Health Emergency (PHE).

A. JUSTIFICATION

1. Need for and Practical Utility of the Collection of Information The information is needed in order to determine licensee compliance with the regulations set forth in 10 CFR Part 55. Title 10 CFR Part 55 was developed to comply with Section 107 of the Atomic Energy Act of 1954, as amended (42 U.S.C. 2137),

which requires the Commission to determine the qualifications of individuals licensed as operators of utilization facilities and to establish uniform conditions for the licensing of operators. The information is used for NRC-developed initial licensed operator examinations, and to evaluate exemptions from the 10 CFR Part 55 regulations for operator license applicants, changes in licensed operator medical conditions, the quality of facility-developed initial licensed operator examinations, requests to waive examination requirements, compliance with operator license conditions, operator license renewal, and the licensed operator requalification program. All of these items are used to determine whether individuals are qualified to be licensed operators at utilization facilities as required by the Atomic Energy Act of 1954, as amended.

Additionally, requirements in 10 CFR Part 55 related to review of simulation facilities is based on Section 306 of the Nuclear Waste Policy Act of 1982 (42 U.S.C. 10226) which requires the Commission to establish simulator training requirements for applicants for civilian power plant operator licenses as well as operator requalification.

The information collected by the online form is the minimum needed by NRC to make a determination on the acceptability of the licensees request for an exemption. In addition to the online form, licensees can submit their exemption requests through the NRCs Electronic Information Exchange or by email in accordance with NRCs OMB-approved information collections regarding such exemptions.

Details of these regulations can be found at the end of this supporting statement in Description of Requirements.

2. Agency Use of Information The NRC will use the reports and records required by 10 CFR Part 55 for one or more of the following purposes:

• Facility records, including procedures, plant diagrams, system descriptions, and other related records are used for the NRC to prepare, administer, and grade written examinations and operating tests per 10 CFR 55.40 (c). Facility developed examinations are provided to the NRC for review and approval prior to administration. These tests are necessary to ensure the qualifications of every applicant for an initial operator license and are used to determine if the applicants for operator licenses have learned to operate the facility competently and safely and, additionally, to determine if applicants for senior operator licenses have learned to safely and competently direct the activities of licensed operators. The NRC develops at least four initial examinations for applicants at commercial facilities every year with the remaining examinations prepared by the facility themselves. The NRC must review the facility developed examinations to ensure that the requirements of 10 CFR Part 55.40 and NUREG-1021, Operator Licensing Examination Standards for Power Reactors, are met to assure that the provisions of the Atomic Energy Act of 1954, as amended, are met. For research and test reactors, the NRC develops all of the examinations, and therefore require the facility records in order to be able to develop these examinations;

• Facility records related to requalification include training procedures, lesson plans, examinations, remediation, and maintenance of license conditions. Access to the training procedures, lesson plans, examinations and remediation are necessary for the NRC to ensure that the requirements of 10 CFR Part 55.59 are being met.

The NRC uses these records to ensure that the facility is implementing its approved training program for the development, administration, and grading of the requalification examinations and that any failures are properly remediated and retested satisfactorily prior to allowing that individual to return to licensed duties.

Additionally, the NRC reviews medical records, shift records, and other related records to ensure that license conditions under 10 CFR Part 55.53 and any specific medical condition for that individual are met. The NRC reviews the records to determine if the licensed operator maintains an active status under 10 CFR Part 55.53(e),

and if not, if the operator was properly re-activated under the provisions of 10 CFR Part 55.53(f). The NRC also reviews records to ensure that individuals had a satisfactory medical examination within the biennial requirement as stated in 10 CFR Part 55.53(i);

• Documents related to the qualification of the commercial facility simulator include performance tests, scenario-based testing, modifications, and deficiencies, including corrective actions. The NRC reviews this information to ensure that the simulator has maintained sufficient fidelity to the reference plant such that initial and requalification examinations can still be administered on it.

Additionally, for those facilities that use the simulator to take credit for reactivity manipulations, required to apply for a license under 10 CFR part 55.31(a)(5),

the NRC reviews these documents to make sure the additional simulator requirements for this are met; and

• Records related to any exemption requests are reviewed by the NRC to determine if the request meets the three criteria in 10 CFR Part 55.11; that the exemption is authorized by law, will not endanger life or property, or are otherwise in the public interest. Without this information, the NRC would not have a basis to make that determination.

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 approximately 95% of the potential responses are filed electronically.

4. Effort to Identify Duplication and Use Similar Information No sources of similar information are available. There is no duplication of requirements.

5. Effort to Reduce Small Business Burden No small businesses are affected by these information collection requirements.

6. Consequences to Federal Program or Policy Activities if the Collection Is Not Conducted, or is Conducted Less Frequently The information collections under 10 CFR Part 55 are conducted "one time only" or "as required." No other frequency of collection is assigned. If the information collections were not conducted, the NRC would not be able to fulfill its statutory responsibility to determine the qualifications of applicants for operator licenses, including the preparation and approval of initial operator licensing examinations, or to oversee simulator and requalification training and examination programs.

7. Circumstances Which Justify Variation from OMB Guidelines Procedures must be retained for the life of the facility license. Operators are licensed for six years and facility licensees must retain certifications and other data associated with operator licenses for inspection by the NRC to ensure operational safety at nuclear reactor facilities.

8. Consultations Outside the NRC Opportunity for public comment on the information collection requirements for this clearance package was published in the Federal Register on February 1, 2022, (87 FR 5519). Additionally, NRC staff contacted seven stakeholders via email. The stakeholders were new, operating and Licensed Non-Power Production and Utilization Facilities owner licensee representatives and interested stakeholders from Constellation Energy, Duke Energy Progress, LLC, Energy Harbor, PSEG Nuclear, LLC, The Pennsylvania State University, Reed College and Southern Nuclear Operating Co., Inc.

No responses or comments were received as a result of the FRN or the staffs direct solicitation of comments.

9. Payment or Gift to Respondents Not applicable.

10. Confidentiality of Information Confidential and proprietary information is protected in accordance with NRC regulations at 10 CFR 9.17(a) and 10 CFR 2.390(b).

11. Justification for Sensitive Questions The NRC uses the medical information collected to ensure that facility licensees meet the requirements of the requalification program and maintain operator license conditions such that licensed operators continue to meet the requirements for licensing as set forth in 10 CFR Part 55. The NRC Privacy Officer has determined there are no Privacy Act implications because the information is collected by a third party.

12. Industry Burden and Burden Hour Cost In some cases, there may be only one training program at facilities that consist of one or more units. Using the number of facilities could result in under-estimating the number of respondents and using individual units would over-estimate the number of respondents. Therefore, although the terms units and/or sites are referenced, training programs are counted for purposes of this review.

The annual reporting and recordkeeping burdens summarized below are detailed in Tables 1 and 2.

Total burden hours are 170,928 (149,619 reporting + 21,309 recordkeeping). Total burden cost is $49,227,264 ($43,090,272 reporting + $6,136,992 recordkeeping).

Total respondents and recordkeepers: 92 (61 power sites + 31 non-power sites).

Although the total number of sites is 128 (89 power reactors + 31 non-power reactors +

8 combined license holders), the number of respondents reflects the fact that some power reactor sites with multiple operating reactors have only one training and qualification program for all the reactors and therefore are only considered as one respondent, while some facility sites with multiple operating reactors have different training and qualification programs for each reactor and therefore are considered as more than one respondent (one for each separate program). Also, no respondents from the 8 combined license holders are expected for this period.

The $288 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 2019 (86 FR 32146, June 16, 2021)

13. Estimate of Additional Industry Costs The quantity of records to be maintained is 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 equal to 0.04 percent of the recordkeeping burden cost. The storage cost for this clearance is $2,455 (recordkeeping hours x

$288 per hour x .0004).

The annual cost to reproduce the examinations for initial operator licensing is estimated to be $6,750 (45 licensee sites x 1500 pages per examination x $.10 per page).

Total Other Additional Costs are $9,205 ($2,455 + $6,750).

14. Estimated Annualized Cost to the Federal Government The staff has developed estimates of annualized costs to the Federal Government related to the conduct of this collection of information. These estimates are based on staff experience and subject matter expertise and include the burden needed to review, analyze, and process the collected information and any relevant operational expenses The annual burden and cost to the Federal Government is shown on Table 3. The total annual Federal Government burden is 28,827 hours0.00957 days <br />0.23 hours <br />0.00137 weeks <br />3.146735e-4 months <br /> and the total annual Federal Government cost is estimated to be $8,302,176.

15. Reasons for Change in Industry Burden and Cost The industry burden decreased by 1987 hours0.023 days <br />0.552 hours <br />0.00329 weeks <br />7.560535e-4 months <br /> from 172,915 hours0.0106 days <br />0.254 hours <br />0.00151 weeks <br />3.481575e-4 months <br /> to 170,928 hours0.0107 days <br />0.258 hours <br />0.00153 weeks <br />3.53104e-4 months <br />.

These changes are based on NRC and industry staff experiences and are specifically addressed below.

Overall, the burden decreased because the number of respondents licensed under 10 CFR Parts 50 and 52 decreased by 4 from 96 to 92 (61 power sites + 31 non-power sites) due to the decommissioning of four power sites and therefore are no longer required to report under Part 55. An increase in NRC licensee reporting burden compared to the prior reporting period is due to the NRC receiving an increased number of exemptions and the two NRC online forms, requesting exemptions from requirements for Part 55 Exemption Request and Part 55 Research and Test Reactor Exemption Request related to the COVID-19 Public Health Emergency (PHE). In addition, the hourly rate used to calculate licensee costs has increased from $275/hr to

$288/hr.

As a result, the overall estimated reporting burden and estimated recordkeeping burden decreased, as follows:

BURDEN HOURS Previously approved Current Request Change Reporting 150,869 149,619 -1,250 Recordkeeping 22,046 21,309 -737 TOTAL 172,915 170,928 -1,987

16. Publication for Statistical Use This information will not be published for statistical use.

17. Reason for Not Displaying the Expiration Date The recordkeeping and reporting requirements for this information collection are associated with regulations and are not submitted on instruments such as forms or surveys. For this reason, there are no data instruments on which to display an OMB expiration date. Further, amending the regulatory text of the CFR to display information that, in an annual publication, could become obsolete would be unduly burdensome and too difficult to keep current.

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 10 CFR PART 55 OPERATORS LICENSES 3150-0018 The following CFR references specify the type of information that is collected under this OMB clearance.

§55.11: Application for exemption from the requirements of the regulations in 10 CFR 55. Facility licensees are expected to comply with the regulations unless they provide sufficient information for the Commission to determine that a specific exemption is authorized by law, will not endanger life or property, and is otherwise in the public interest.

§55.31(a) and (d): Application that a written examination and operating test be administered and certification on NRC Form 398, "Personal Qualification Statement - Licensee," that the applicant has completed the facility licensee's requirements for licensing (currently approved under OMB Clearance No. 3150- 0090).

§55.31(b): Additional information as necessary for the NRC to determine whether to grant or deny the license application or revoke, modify or suspend the license.

§55.40(a) and (d): Information regarding exam content for operators. This information is needed for the NRC to prepare the site-specific written and operating tests that applicants must pass in order to obtain an operators license.

§55.40(b) (1) and (3): The written examinations required by §55.41 and §55.43 and the operating tests required by §55.45. In lieu of submitting information from which the NRC will prepare the licensing examinations, power reactor facility licensees may prepare the examinations themselves and submit them to the NRC for review and approval.

§55.40(c): Written request for the NRC to prepare, proctor, and grade the required licensing examinations. Preparing a site-specific power reactor licensing examination requires significantly more resources than reviewing and approving a facility-prepared examination; therefore, a written request provides the basis to budget and schedule the resources. NRC Form 536 (currently approved under OMB Clearance No. 3150-0131) can be used for this purpose.

§55.46(b): Power reactor facility licensees that propose to use a simulation facility, other than a plant-referenced simulator, or the plant in the administration of operating tests under

§55.45(b) (1) or (3) shall request approval from the Commission. This is necessary to ensure the consistency and validity of the operating tests upon which licensing decisions are based.

§55.47: Request for waiver of examination and test requirements on NRC Form 398 (currently approved under OMB Clearance No. 3150-0090).

§55.59(a)(2)(iii): In lieu of the Commission accepting a certification by the facility licensee that the licensee has passed written examinations and operating tests administered by the facility licensee within its Commission-approved program developed by using a systems approach to training under paragraph (c) of this section, the Commission may administer a comprehensive requalification written examination and an annual operating test.

§55.59(c): Have a requalification program and, upon request, submit to the Commission a copy of comprehensive requalification written examinations or annual operating tests. This improves efficiency by enabling the NRC staff to review these materials before traveling to the site for a licensed operator requalification program inspection.

Facility licensees are required to maintain the following documentation:

§55.40(b)(2): Establish, implement and maintain procedures to control examination security and integrity and have them available during facility inspections.

§55.46(d)(1): The results of the simulation facility performance tests are required to be retained for four years after completing the tests or until superseded by updated test results.

The NRC staff will review uncorrected performance deficiencies to ensure that the operating tests administered per §55.45(b) are valid.

§55.53(f): Certification that the qualifications and status of a licensee who has not been actively performing the functions of an operator are current and valid. This certification, which, in practice, is not submitted to the NRC but subject to inspection on-site, ensures that licensed operators who have not maintained their watch-standing proficiency are fully qualified before they are allowed to resume licensed duties.

§55.59(b): Evidence of successful completion of additional training, if necessary. Licensed operators are required to complete a requalification training and examination program to maintain the knowledge, skills, and abilities needed to safely perform licensed duties. This is included with 55.59(c)(5)(i) reporting.

§55.59(c)(5)(i): Maintain records of operator participation in the requalification program until the operators license is renewed. This enables the facility licensee to certify, pursuant to

§55.57(a)(4), that a license renewal applicant has satisfactorily completed the requalification program during the 6-year term of the license.

GUIDANCE DOCUMENTS FOR INFORMATION COLLECTION REQUIREMENTS CONTAINED IN 10 CFR PART 55 REQUIREMENTS FOR RENEWAL OF OPERATORS LICENSES 3150-0018 Title Accession number Regulatory Guide 1.134 - Medical Evaluation ML14189A385 of Licensed Personnel at Nuclear Power Plants (Revision 4), September 2014 Regulatory Guide 1.149 - Nuclear Power ML110420119 Plant Simulation Facilities for Use in Operator Training and License Examinations (Revision 4), April 2011 Regulatory Guide 1.8 - Qualification and ML19101A395 Training of Personnel for Nuclear Power Plants (Revision 4), June 2019 NUREG-1021 - Operator Licensing ML21256A276 Examination Standards for Power Reactors (Revision 12), September 2021 NUREG-1478 - Operator Licensing Examiner ML072000059 Standards for Research and Test Reactors (Revision 2), June 2007 TABLE 1: ANNUAL INDUSTRY REPORTING REQUIREMENTS Responses Section Descriptions Number of Total Burden per Total Cost at $288/Hour Per Respondents Number of Response Burden Respondent Responses Hours 55.11 Specific Exemptions 2 Power Sites 1 2 45 90 $25,920 55.11 Specific Exemptions 1 Non-power Site 1 1 55 55 $15,840 55.31(b) Applications- How to 35 Power Sites 1 35 24 840 $241,920 Apply 55.31(b) Applications- How to 5 Non-power Sites 1 5 24 120 $31,560 Apply 55.40(a) Written Examinations and 45 Power Sites 1 45 12 540 $155,520 Operating Test-Implementation 55.40(c) Written examinations and 4 Power Sites 1 4 1250 5,000 $1,440,000 Operating Test Implementation 55.40(d) Written Examinations and 25 Non-power Sites 1 25 2 50 $14,400 Operating Test-Implementation 55.40(b)(1) and Written Examinations and 41 Power Sites 1 41 2500 102,500 $29,520,000 (3) Operating Test-Implementation 55.46(b) Request to use simulation 0 0 0 800 0 $0 facility 55.53(g) Conditions of licenses 4 Power Sites 1 4 4 16 $4,608 55.53(g) Conditions of licenses 1 Non-power Site 1 1 4 4 $1,152 55.59(a)(2) Requalification of licenses -- 30 Power Sites 1 30 10 300 $86,400 Annual Review 55.59 (a) Requalification of licenses 31 Non-power Site 1 31 2 62 $17,856 55.59 (c) Requalification of licenses -- 31 Power Sites 1 31 1270 39,370 $11,338,560 Biennial Review 11

Responses Section Descriptions Number of Total Burden per Total Cost at $288/Hour Per Respondents Number of Response Burden Respondent Responses Hours 55.59(c) Requalification of licenses 31 Non-power Sites 1 31 8 248 $71,424 55.59(c)(5) Requalification of licenses - 61 Power Sites 1 61 6 366 $105,408 Records Part 55 Exemption Request 1 2 NRC Online 40 40 80 $23,040 for Power Reactor Licensees Form Part 55 Exemption Request 1 2 NRC Online 20 20 40 $11,520 for Non-Power Reactor Form Licensees (RTRs or NPUFs)

TOTAL 92 347 149,619 $43,090,272 REPORTING 12

TABLE 2: ANNUAL INDUSTRY RECORDKEEPING REQUIREMENTS Number of Section Burden Hours Per Total Burden Cost at Descriptions Recordkeepers Recordkeeper Hours $288 / Hour 55.40(b)(2) Written Examinations 45 Power Sites 20 900 $259,200 and Operating Test-Implementation 55.53(f) Conditions of license 61 Power Sites 2 122 $35,136 55.53(f) Conditions of license 31 Non-power Sites 2 62 $17,856 55.46(d)(1) Simulation facilities 61 Power Sites 44 2,684 $772,992 (Operating) 55.46(d)(1) Simulation facilities (Under 0 44 0 $0 construction) 55.59(c) Requalification of licenses 61 Power Sites 275 16,775 $4,831,200 55.59(c)(5) Requalification of licenses 31 Non-power Sites 16 496 $142,848 Request to use a simulation 0 55.46(b) 0 0 $0.00 facility TOTAL 92 21,309 $6,136,992 RECORDKEEPING TOTAL BURDEN/COST FOR 10 CFR PART 55 (Tables 1 & 2)

Total Burden hours: 170,928 (149,619 reporting + 21,309 recordkeeping)

Total Cost: $49,227,264 ($43,090,272 reporting + $6,136,992 recordkeeping)

Total Respondents and Recordkeepers: 92 (61 Power Sites +31 Non-Power Sites)

Total Responses: 439 (347 reporting responses + 92 recordkeepers) 13

TABLE 3: ESTIMATE OF ANNUAL COST TO THE FEDERAL GOVERNMENT Section Descriptions Number of Hours Per Burden Cost at $288/ Hour Reports/Records Response Hours 55.11 Specific Exemptions 2 Power Sites 80 160 $46,080 55.11 Specific Exemptions 1 Non-Power Site 40 40 $11,520 55.31(b) Applications- How to 35 Power Sites 1 35 $10,080 Apply 55.40(b) Written Examinations and 41 Power Sites 400 16,400 $4,723,200 Operating Test-Implementation 55.40(c) Written Examinations and 5 Power Sites 700 3,500 $1,008,000 Operating Test-Implementation 55.40(d) Written Examinations and 25 Non-power Sites 200 5,000 $1,440,000 Operating Test-Implementation 55.53(g) Conditions of license 4 Power Sites 1 4 $1,152 55.53(g) Conditions of license 1 Non-power Site 1 1 $288 55.59(a)(2)(iii) Requalification of 1 Power Site 250 250 $72,000 licenses 55.59(a)(2)(iii) Requalification of 1 Non-power Site 120 120 $34,560 licenses 55.59(c) Requalification of 31 Power Sites 92 2,852 $821,376 licenses 55.59(c) Requalification of 31 Non-Power Sites 15 465 $133,920 licenses Total Government 177 28,827 $8,302,176 Burden and Cost 14