ML23027A030
| ML23027A030 | |
| Person / Time | |
|---|---|
| Issue date: | 06/01/2023 |
| From: | Division of Operating Reactor Licensing |
| To: | NRC/OCIO |
| Shared Package | |
| ML23027A013 | List: |
| References | |
| OMB-3150-0136, NRC-2023-0033 | |
| Download: ML23027A030 (6) | |
Text
DRAFT SUPPORTING STATEMENT FOR NOTICE OF ENFORCEMENT DISCRETION FOR OPERATING POWER REACTORS AND GASEOUS DIFFUSION PLANTS (NRC ENFORCEMENT POLICY)
EXTENSION
(3150-0136)
Description of the Information Collection
The Nuclear Regulatory Commissions (NRC) enforcement program i s governed by its regulations. Title 10 of the Code of Federal Regulations (10 CFR) Part 2, Rules of Practice for Domestic Licensing Proceedings and Issuance of Orders, Subpart B, Procedure for Imposing Requirements by Order, or for Modification, Suspension, or Revo cation of a License, or for Imposing Civil Penalties, describes the formal procedures that the NRC uses to implement its enforcement authority.
It is NRC policy to hold licensees, certificate holders, and ap plicants responsible for the acts of their employees, contractors, or vendors and their employees, a nd the NRC may cite the licensee, certificate holder, or applicant for violations commi tted by its employees, contractors, or vendors and their employees.
When noncompliance with NRC requirements occurs, the NRC must e valuate the degree of risk posed by the noncompliance to determine whether immediate actio n is required. In these circumstances, a licensee or certificate holder may voluntarily request that the NRC exercise enforcement discretion and the NRC staff may choose to not enfo rce the applicable license or certificate condition. This enforcement discretion is designate d as a Notice of Enforcement Discretion (NOED).
A licensee or certificate holder seeking the issuance of a NOED must justify, in accordance with guidance provided in the NRC Enforcement Manual, the safety bas is for the request, including an evaluation of the safety significance and potential consequences of the proposed request, a description of proposed compensatory measures, a justification for the duration of the request, the basis for the licensee's or certificate holders conclusion that the request does not have a potential adverse impact on the public health and safety, and does not involve ad verse consequences to the environment, and any other information the NRC staff deems nece ssary before making a decision to exercise discretion.
The Enforcement Policy of the NRC includes the circumstances in which the NRC may grant a notice of enforcement discretion (NOED). On occasion, circumstances arise when a power plant licensee's compliance with a Technical Specification (TS) Limiting Condition for Operation or any other license condition would involve an unnecessary plant shutdown. Similarly, for a gaseous diffusion plant (GDP), circumstances may arise where compliance with a Technical Safety Requirement (TSR) or other condition would unnecessarily call for a total plant shutdown, or, compliance would unnecessarily place the plant in a condition where safety, safeguards, or security features were degraded or inoperable.
In these circumstances, a licensee or certificate holder may re quest that the NRC exercise enforcement discretion, and the NRC staff may choose to not enf orce the applicable TS, TSR, or other license or certificate condition. This enforcement discre tion is designated as a NOED.
A licensee or certificate holder seeking enforcement discretion must verbally request so, and then, subsequently document and submit to the NRC by letter in accordance with guidance in the NRCs Enforcement Manual. The request includes the safety basis for the request, including an evaluation of the safety significance and potential consequences of the proposed request, a description of proposed compensatory measures, a justification for the duration of the request, the basis for the licensee's or certificate holders conclusion that the request does not have a potential adverse impact on the public health and safety, and does not involve adverse consequences to the environment, and any other information the NRC staff deems necessary before making a decision to exercise discretion.
A. JUSTIFICATION
- 1. Need for and Practical Utility of the Collection of Information
The Commission believes that the NRC staff needs the informatio n to quickly exercise discretion in this area in order to avoid unnecessary plant shutdowns, to minimize both operational and shutdown risk, or to avoid unnecessary delays in plant startup where the course of action involves minimal or no safety impact on the public health and safety. Exercise of enforcement discretion may be appropriate only where the exercise of discretion is temporary and nonrecurring.
The NRC might approve a NOED where a license or certificate amendment is not appropriate for the expected noncompliance. It may also be appr opriate to approve a NOED for the brief period of time it requires for the NRC staff to process an exigent TS amendment under the provisions of 10 CFR 50.91(a)(6),
or to process an amendment to change a TSR or certificate condi tion under the provisions of 10 CFR Part 76.
- 2. Agency Use of Information
The agency will use the information voluntarily provided by a l icensee or certificate holder to determine if the exercise of enforcement discretion is clearly consistent with protecting the public health and safety, and th ere is no potential for adverse consequences to the environment as evaluated by App endix F.
- 3. Reduction of Burden Through Information Technology
There are no legal obstacles to reducing the burden associated with this information collection. The NRC encourages respondents to use i nformation technology when it would be beneficial to them. The NRC has iss ued 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 followin g avenues: the Electronic Information Exchange (EIE) process, which is availab le from the NRC's Electronic Submittals Web page, by Optical Storage Medi a (OSM) (e.g.
CD-ROM, DVD), by facsimile or by e-mail. It is estimated that a pproximately 65% of the potential responses are filed electronically as that is roughly the number of licensees who participate in the EIE process.
- 4. Efforts to Identify Duplication and Use Similar Information
No sources of similar information are available. There is no du plication of requirements.
This information is only necessary when a licensee or certifica te holder seeks the issuance of a NOED. There is no other time the relevant informa tion is required to be submitted, and there is no source for the information oth er than licensees or certificate holders.
- 5. Effort to Reduce Small Business Burden
No small businesses are impacted by this clearance.
- 6. Consequences to the Federal Program or Policy Activities if the Collection is Not Conducted or is Conducted Less Frequently
This action is strictly voluntary and information is required o nly upon the licensee's or certificate holders request for enforcement disc retion or a request for enforcement discretion.
The impact of this information collection on each licensee or c ertificate holder is inconsequential in comparison with the alternative: follow lice nse or certificate conditions, cease power operations, and either shut down the pl ant; perform testing, inspection, or system realignment that is inappropriat e for the specific plant conditions; or delay plant startup. Requesting that the N RC staff exercise enforcement discretion is strictly a voluntary option for all l icensees and certificate holders.
- 7. Circumstances Which Justify Variation From OMB Guidelines
This action does not vary from OMB guidelines.
- 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 Register.
- 9. Payment or Gift to Respondents
Not applicable.
- 10. Confidentiality of Information
Confidential and proprietary information is protected in accord ance with NRC regulations under 10 CFR 9.17(a) and 10 CFR 2.390(b).
- 11. Justification for Sensitive Questions
Not applicable.
- 12. Estimate of Industry Burden and Burden Hour Cost
Since requesting a NOED is voluntary, only an estimate can be m ade of the number of licensees and certificate holders choosing to impleme nt its requirements. Over the last three clearance cycles, the NRC has received on average 4 requests annually from power plant licensees and 0 re quests from GDP certificate holders; therefore, the NRC staff estimates that 4 power plant licensees and 0 GDP certificate holder will request 1 NOED annually. The burden estimate per request is 150 hours0.00174 days <br />0.0417 hours <br />2.480159e-4 weeks <br />5.7075e-5 months <br />; the annual burden is 600 hours0.00694 days <br />0.167 hours <br />9.920635e-4 weeks <br />2.283e-4 months <br /> (4 licensees/certificate holders x 150 hours0.00174 days <br />0.0417 hours <br />2.480159e-4 weeks <br />5.7075e-5 months <br />).
The total annual reporting burden is 600 hours0.00694 days <br />0.167 hours <br />9.920635e-4 weeks <br />2.283e-4 months <br /> (150 x 4 = 600).
As a result of requesting a NOED, there is an implied recordkee ping burden.
This recordkeeping burden is estimated at 80 hours9.259259e-4 days <br />0.0222 hours <br />1.322751e-4 weeks <br />3.044e-5 months <br /> (20 hours2.314815e-4 days <br />0.00556 hours <br />3.306878e-5 weeks <br />7.61e-6 months <br /> pe r recordkeeper) for maintaining a copy for the licensees records. It is also a nticipated that most licensees will maintain a copy for their records.
Cost at Responses Hours $290/hr Reporting 4 600 $174,000 Recordkeeping 4 80 $23,200 Total 8 680 $197,200
The $290 hourly rate used in the burden estimates is based on t he Nuclear Regulatory Commissions fee for hourly rates as noted in 10 CFR 170.20 Av erage 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 2018 (8 7 FR 37197, June 22, 2022).
- 13. Estimate of Other Additional Costs
NRC has determined that the records storage cost is roughly pro portional to the recordkeeping burden cost. Based on a typical clearance, the re cords storage cost has been determined to be equal to 0.0004 percent of the r ecordkeeping burden cost. Therefore, the records storage cost for this clear ance is $9 (80 x 0.0004 x $290/hour).
- 14. Estimated Annual Cost to the Federal Government
The staff has developed estimates of annualized costs to the Fe deral Government related to the conduct of this collection of informa tion. These estimates are based on staff experience and subject matter expe rtise and include the burden needed to review, analyze, and process the collected information and any relevant operational expenses.
The estimated annual burden to the government for reviewing lic ensee and certificate holder requests for enforcement discretion is 40 ho urs per request.
Approximately 4 licensees and 0 certificate holder are expected to request 1 enforcement discretion each year. Therefore, the burden is es timated at 160 hours0.00185 days <br />0.0444 hours <br />2.645503e-4 weeks <br />6.088e-5 months <br /> (4 licensees/certificate holders x 40 hours4.62963e-4 days <br />0.0111 hours <br />6.613757e-5 weeks <br />1.522e-5 months <br />). The cost at $290 an hour is
$46,400.
- 15. Reasons for Change in Burden or Cost
There is no change in the burden. The hourly rate has changed from $278 to
$290 per hour.
- 16. Publication for Statistical Use
None.
- 17. Reason for Not Displaying the Expiration Date
The requirement is contained in the NRC Enforcement Policy. Rev ising the Enforcement Policy to update the expiration date unnecessarily expends scarce agency resources.
- 18. Exceptions to the Certification Statement
Not applicable.
B. COLLECTIONS OF INFORMATION EMPLOYING STATISTICAL METHODS
Not applicable.
GUIDANCE DOCUMENTS FOR INFORMATION COLLECTION REQUIREMENTS CONTAINED IN NOTICE OF ENFORCEMENT DISCRETION FOR OPERATING POWER REACTORS AND GASEOUS DIFFUSION PLANTS (NRC ENFORCEMENT POLICY) 3150-0136
Title Accession number Nuclear Regulatory Commission ML19193A023 Enforcement Manual, Appendix F Nuclear Regulatory Commission ML22056A177 Enforcement Policy