3150-0136 (NOEDs) Final SS

FINAL 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 Enforcement Policy of the U.S. Nuclear Regulatory Commission (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 request that the NRC exercise enforcement discretion and the NRC staff may choose to not enforce the applicable TS, TSR, or other license or certificate condition. This enforcement discretion is designated as a NOED.

A licensee or certificate holder seeking the issuance of a NOED must document 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 holder’s 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.

In addition, the NRC’s Enforcement Policy includes a provision allowing licensees to voluntarily adopt fire protection requirements contained in the National Fire Protection Association Standard 805, “Performance Based Standard for Fire Protection for Light Water Reactor Electric Generating Plants, 2001 Edition” (NFPA 805). Licensees who wish to implement the risk-informed process in NFPA-805 must submit a letter of intent to the NRC and submit a letter of retraction if they change their minds about implementing NFPA-805. These information collections were approved at the proposed rule stage by the Office of Management and Budget (OMB) on February 13, 2003, and the final rule (Title 10 of the Code of Federal Regulations (10 CFR) Section 50.48(c)) and was published in the Federal Register on June 16, 2004 (69 FR 33536).

A. JUSTIFICATION

1. Need for and Practical Utility of the Collection of Information

The Commission believes that the NRC staff needs the authority 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 appropriate 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 condition under the provisions of 10 CFR Part 76.

Finally, the decision to exercise enforcement discretion is one that the NRC staff is under no obligation to make. When it is exercised, it is to be exercised only if the staff is clearly satisfied that the action is warranted from a health and safety perspective.

The impact of this information collection on each licensee or certificate holder is inconsequential in comparison with the alternative: follow license or certificate conditions, cease power operations, and either shut down the plant; perform testing, inspection, or system realignment that is inappropriate for the specific plant conditions; or delay plant startup. Requesting that the NRC staff exercise enforcement discretion is strictly a voluntary option for all licensees and certificate holders.

Licensees continue submitting license amendment requests to transition to NFPA 805 in accordance with 10 CFR 50.48(c) and 10 CFR 50.90 and the NRC continues to issue requests for information to specific licensees pertaining to their specific NFPA 805 license amendment request. Sections 10 CFR 50.48 and 10 CFR 50.90 are listed under 10 CFR 50.8. As is the case for the NOED process, the impact of this information collection through requests for information on each licensee is inconsequential and licensee amendment requests to transition to NFPA 805 is strictly a voluntary option.

2. Agency Use of Information

The agency will use the information voluntarily provided by a licensee or certificate holder to determine if the exercise of enforcement discretion is clearly consistent with protecting the public health and safety, and there is no potential for adverse consequences to the environment.

For an operating nuclear power plant, this exercise of enforcement discretion is intended to minimize the potential safety consequences of unnecessary plant shutdowns. For plants in a shutdown condition, exercising enforcement discretion is intended to reduce shutdown risk by avoiding testing, inspection or system realignment, which is inappropriate for the particular plant condition. Exercising enforcement discretion for plants attempting to start up is less likely than exercising it for an operating plant, as delaying startup does not usually leave the plant in a condition in which it could experience undesirable conditions. In such cases, the NRC would expect that discretion would be exercised with respect to equipment or systems only when it has concluded that: (1) the equipment or system does not perform a safety function in the mode in which operation is to occur; or (2) remaining in the current mode increases the likelihood of an unnecessary plant condition; or (3) the TS or license condition requires a test, inspection, or system realignment that is inappropriate for the particular plant condition.

For a GDP, this exercise of enforcement discretion is expected to be extremely rare, but is intended to minimize the potential safety, safeguards, or security consequences of unnecessary plant conditions with the accompanying operational risks and impacts or to eliminate testing, inspection, or system realignment, which is inappropriate for the particular plant conditions. In such cases, the NRC would expect that discretion would be exercised with respect to equipment or systems when it has concluded that: (1) the equipment or system does not perform a safety function in the mode in which operation is to occur; or (2) the safety function performed by the equipment or system is of only marginal safety benefit, and remaining in the current mode increases the likelihood of an unnecessary plant condition; or (3) the TSR or certificate condition requires a test, inspection or system realignment that is inappropriate for the particular plant condition.

The agency will use the information provided by a licensee to determine if the licensee satisfies the requirements in 10 CFR concerning NFPA 805. The agency will determine from the original amendment submittal and any responses required through requests for information that the license is clearly consistent with protecting the public health and safety, and there is no potential for adverse consequences to the environment.

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 information technology when it would be beneficial to them. The NRC issued a regulation on October 10, 2003 (68 FR 58791), consistent with the Government Paperwork Elimination Act, which allows its licensees, vendors, applicants, and members of the public the option to make submissions electronically via CD‑ROM, e‑mail, special Web‑based interface, or other means. It is estimated that approximately 100 percent 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. NRC has in place an ongoing program to examine all information collections with the goal of eliminating all duplication and/or unnecessary information collections.

This information is only necessary when a licensee or certificate holder seeks the issuance of a NOED. There is no other time the relevant information is required to be submitted, and there is no source for the information other than licensees or certificate holders.

5. Effort to Reduce Small Business Burden

Not applicable.

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 only upon the licensee's or certificate holder’s request for enforcement discretion or a request to transition to NFPA 805.

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 requirements for this clearance package was published in the Federal Register on April 14, 2014 (79 FR 20923). No comments were received.

9. Payment or Gift to Respondents

Not applicable.

10. Confidentiality of Information

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

No confidential information is required, except for proprietary information, which would be handled in accordance with 10 CFR 2.390.

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 made of the number of licensees and certificate holders choosing to implement its requirements. The NRC staff estimates that 7 power plant licensees and 1 GDP certificate holder will request 1 NOED annually. The burden estimate per request is 150 hours; the annual burden is 1,200 hours (8 licensees/certificate holders x 150 hours).

In addition, the NRC expects to receive four requests to transition to NFPA-805 annually. The burden estimate per request is 40 hours; the annual burden is 160 hours (4 letters of intent x 40 hours per request = 160). The NRC does not expect to receive any letters of retraction.

The total annual reporting burden is 1,360 hours (1,200 + 160 = 1,360).

As a result of requesting a NOED, there is an implied recordkeeping burden. This recordkeeping burden is estimated at 131.6 hours (16.45 hours per recordkeeper) for maintaining a copy for the licensees’ records. It is also anticipated that most licensees will maintain a copy for their records.

The total annual burden is 1,491.6 hours, rounded up to 1,492 hours. The total cost at $272 an hour is $405,824 (1,492 hours x $272/hr).

Total Burden/Cost: 1,492 hours (1,360 hrs reporting + approximately 132 hrs recordkeeping)/$405,824

Total Respondents: 12 (8 licensees requesting NOEDs and 4 licensees submitting NFPA-805 letters of intent)

Total Responses: 20 (12 responses and 8 recordkeepers)

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 and, therefore, can be used to calculate approximate records storage costs. Based on the number of pages maintained for typical clearance, the records storage cost has been determined to be equal to 0.0004 times the recordkeeping burden cost. Because the recordkeeping burden is estimated to be 132 hours, the storage cost for this clearance is $14 (132 hours x 0.0004 x $272/hour).

14. Estimated Annual Cost to the Federal Government

The estimated annual burden to the government for reviewing licensee and certificate holder requests for enforcement discretion is 40 hours per request. Approximately 7 licensees and 1 certificate holder are expected to request 1 enforcement discretion each year. Therefore, the total burden is estimated at 320 hours (8 licensees/certificate holders x 40 hours). The total cost at $272 an hour is $87,040.

This cost is fully recovered through license and certificate fees assessed to NRC licensees and certificate holders pursuant to 10 CFR Part 170 and/or 10 CFR Part 171.

15. Reasons for Change in Burden or Cost

The burden has decreased from 1,705 hours to 1,492 hours, a decrease of 213 hours for the following reasons:

• Based on the number of NOEDs received annually during the last clearance period, staff is reducing its estimate of expected NOEDs from nine to seven, resulting in a decrease in burden of 333 hours.

• The number of anticipated NFPA-805 letters has increased from one to four, resulting in an increase in burden of 120 hours.

In addition, the fee rate has changed from $258 to $272 per hour for this clearance cycle.

16. Publication for Statistical Use

None.

17. Reason for Not Displaying the Expiration Date

The requirement is contained in the NRC Enforcement Policy. Revising 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.

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