ML19150A303

OMB 3150-0104, Draft 2020 Collection Renewal NRC Forms 366, 366A, 366B, Licensee Event Report - Supporting Statement

ML19150A303
Person / Time
Issue date:	05/23/2019
From:	Division of Inspection and Regional Support
To:	NRC/OCIO
Shared Package
M19150A230	List: ML19150A303
References
3150-0104, NRC-2019-0085
Download: ML19150A303 (8)

Text

DRAFT SUPPORTING STATEMENT FOR NRC FORMS 366, 366A, and 366B, "LICENSEE EVENT REPORT" 10 CFR Part 50.73 (3150-0104)

REVISION Description of the Information Collection The regulations in 10 CFR Part 50 require 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 10 CFR 50.73, Licensee event report system within 60 days after the discovery of the event.

NRC Forms 366, 366A, and 366B, "Licensee Event Report" is used to transmit detailed information to the NRC by a licensee to report specified events and problems 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 the environment.

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 the Collection of Information The information is needed for the NRC to carry out its responsibility to inform Congress of those events constituting abnormal occurrences and licensees compliance with10 CFR 50.73. Details of these requirements can be found at the end of this supporting statement in Description of Information Collection Requirements.

2.

Agency Use of Information NRC Forms 366, 366A, and 366B is 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 confirming licensing bases, studying potentially generic safety problems, assessing trends and patterns of operating experience, monitoring performance, identifying precursors of more significant events, and providing operating experience feedback to the industry. In addition, the NRC uses the information obtained to inform Congress of those events constituting abnormal occurrences.

The reported events are assessed both individually and collectively to determine their safety significance and their generic implications and to identify any safety concerns with the potential to seriously impact the public health and/or safety.

The evaluation of these events provides valuable insights on improving reactor safety.

The information required includes detailed event descriptions, plant conditions at the onset of the events, root cause(s) of the occurrences, an assessment of safety consequences and implications, data on operator actions and personnel errors, and the corrective actions taken by the licensee to prevent recurrences.

The assessment and feedback of operating experience is a vital and integral prerequisite to improving reactor safety. Within the NRC, a formal and systematic program has been established for the collection, assessment, and feedback of operating experience gained from the Licensee Event Reports (LERs). This program has proven effective and resulted in an improved understanding of reactor performance, identification of important safety issues, and initiation of appropriate actions such as the issuance of generic letters, bulletins and information notices.

In addition, formal and informal methods have been developed to efficiently compare and self-assess the NRCs evaluation of operating experience with the industry's Institute of Nuclear Power Operations (INPO) by exchanging information on events in accordance with a Memorandum of Agreement between the two organizations. Furthermore, the NRC cooperates with various other nations, the Nuclear Energy Agency (NEA) and the International Atomic Energy Agency (IAEA) Incident Reporting System (IRS) by exchanging information about operating events. The worldwide sharing of nuclear operating experience provides value, particularly in the interest of incorporation of lessons learned, event reduction and accident prevention.

Elimination of data collection would seriously degrade the NRCs ability to assess operating experience, feedback the lessons learned in a timely manner, including corrective actions to prevent recurrences and monitor industry performance.

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 approximately 99% of the potential responses are filed electronically.

4.

Efforts 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 The information collection does not affect small businesses.

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 ability to determine in a timely manner what actions, if any, may be needed to resolve potential threats to public health and safety or the environment and inform Congress of those events constituting abnormal occurrences.

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 was 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 at 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 350 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 number of licensees and potential future submissions.

The total annual estimated burden for submissions (64 hours7.407407e-4 days <br />0.0178 hours <br />1.058201e-4 weeks <br />2.4352e-5 months <br /> reporting + 16 hours1.851852e-4 days <br />0.00444 hours <br />2.645503e-5 weeks <br />6.088e-6 months <br /> recordkeeping = 80 hours9.259259e-4 days <br />0.0222 hours <br />1.322751e-4 weeks <br />3.044e-5 months <br /> per LER) for a total of 28,000 hours0 days <br />0 hours <br />0 weeks <br />0 months <br /> for all LERs that is calculated as follows:

Total Reporting Burden = 350 submissions x 64 hours7.407407e-4 days <br />0.0178 hours <br />1.058201e-4 weeks <br />2.4352e-5 months <br /> = 22,400 hours0.00463 days <br />0.111 hours <br />6.613757e-4 weeks <br />1.522e-4 months <br /> Total Recordkeeping Burden = 350 submissions x 16 hours1.851852e-4 days <br />0.00444 hours <br />2.645503e-5 weeks <br />6.088e-6 months <br /> = 5,600 hours0.00694 days <br />0.167 hours <br />9.920635e-4 weeks <br />2.283e-4 months <br /> Total Burden = 22,400 + 5,600 = 28,000 hours0 days <br />0 hours <br />0 weeks <br />0 months <br /> Total annual cost to industry = 28,000 x $275/hour = $7,700,000 NRC Form 366, 366A, 366B Burden Totals Responses Hours Cost at $275/hr Reporting 350 22,400

$6,160,000 Recordkeeping 350 5,600

$1,540,000 TOTAL 350 28,000

$7,700,000 The $275 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 2018 (83 FR 29622, June 25, 2018).

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 OMB clearance the records storage cost has been determined to be.0004 times the recordkeeping burden cost. Therefore, the storage cost for this OMB clearance is determined to be $616 (5,600 hours0.00694 days <br />0.167 hours <br />9.920635e-4 weeks <br />2.283e-4 months <br /> x

$275/hour x.0004).

14.

Estimated Annualized Cost to the Federal Government Information submitted by licensees in Form 366 is used by multiple offices within the NRC. The NRC spends on average about $900K per year 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 NRC also expends about 250 hours0.00289 days <br />0.0694 hours <br />4.133598e-4 weeks <br />9.5125e-5 months <br /> per year in managing the LER database and analysis contract.

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 hours of effort per LER and 350 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 350 LERs), it is estimated that 350 hours0.00405 days <br />0.0972 hours <br />5.787037e-4 weeks <br />1.33175e-4 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 350 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 350 LERs), it is estimated that the Regional Offices will expend approximately 2,800 hours0.00926 days <br />0.222 hours <br />0.00132 weeks <br />3.044e-4 months <br /> of effort on LER disposition per year.

The total NRC effort is therefore estimated to be 3,650 hours0.00752 days <br />0.181 hours <br />0.00107 weeks <br />2.47325e-4 months <br /> (2,800 regional inspection hours + 350 NRR hours + 200 NRC database contract hours + 50 RES ASP program staff hours+ 250 hours0.00289 days <br />0.0694 hours <br />4.133598e-4 weeks <br />9.5125e-5 months <br /> for PM/COR contract management).

The total estimated annual cost for the government is $ $1,903,750 ($275 x 3,650 hours0.00752 days <br />0.181 hours <br />0.00107 weeks <br />2.47325e-4 months <br /> + $900K for LER database and analysis contract).

15.

Reasons for Change in Burden or Cost Improvements have been made to the NRC Form 366 to aid the submitter and ensure accuracy of information. The form is being revised in Block 11 to provide two new reporting check blocks that the Code for Federal Regulations (CFR) references to allow the reporting via this form, namely for 10 CFR 21.2(c) and 10 CFR 50.69(g). A line item entry space is now provided for the Other at the bottom of Block 11.

Additionally, due to a data base name change by the Institute of Nuclear Power Operations (INPO) the form is being revised in Block Number 13 to now reference Reportable to IRIS - (instead of Reportable to ICES).

The NRC reviewed the number of LERs submitted over the past two clearance cycles and estimates the annual average will remain essentially constant for the licensees reporting using NRC Forms 366, 366A and 366B in the future; therefore, there is no change in per nuclear unit burden. There was a slight increase in the fee rate from $268/hr to $275/hr (currently) used for this OMB clearance cycle. As a result, there was an increase in costs of $196,000 associated with the increase in the NRC fee rate.

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.

Collection of Information Employing Statistical Methods The collection of information does not employ statistical methods.

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 licensees to 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.

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 Guidelines: 10 CFR 50.72 and 50.73 ML13032A220