FINAL SUPPORTING STATEMENT
FOR
NRC FORM 396, “CERTIFICATION OF MEDICAL EXAMINATION BY FACILITY LICENSEE”
10 CFR PART 55, SECTIONS 55.23, 55.25, 55.27, 55.31, AND 55.57
(3150-0024)
---
EXTENSION
Description of the Information Collection
NRC Form 396, “Certification of Medical Examination by Facility Licensee” is used by an authorized facility licensee and applicant/operator to certify the medical condition of the applicant in accordance with 10 CFR Part 55, “Operators' Licenses.”
The regulations in 10 CFR Part 55, requires facility licensees to certify the medical fitness of the applicant/operator. NRC Form 396 is the mechanism by which NRC is advised of the applicant/operator general health and physical condition.
The information requested includes the applicant/operator identifying information, medical examination information, applicant/operator signature, signature of the certifying representative at the facility and informing the NRC within 30 days of learning of the diagnosis if a licensee develops a permanent physical or mental condition.
A. JUSTIFICATION
Need for the Collection of Information
The information is needed in order to determine facility licensee’s compliance with the regulations in 10 CFR Part 55. Details of these regulations can be found at the end of this supporting statement in “Description of Information Collection Requirements.”
Agency Use and Practical Utility of Information
NRC Form 396 is the mechanism by which NRC is advised of the information for determining that the applicant’s or operator licensee’s medical condition and general health will not adversely affect the performance of assigned operator job duties or cause operational errors endangering public health and safety. The information assists the Commission in basing its finding upon the certification by facility licensees as detailed on NRC Form 396.
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 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 40% of the potential responses are filed electronically.
Effort to Identify Duplication and Use Similar Information
No sources of similar information are available. There is no duplication of requirements.
Effort to Reduce Small Business Burden
Not applicable.
Consequences to Federal Program or Policy Activities if the Collection Is Not
Conducted or Is Conducted Less Frequently
Frequency of reporting cannot be discontinued or reduced without violating the NRC licensing requirements as described in 10 CFR 55.31 and 10 CFR 55.57 which would increase the potential for endangering public health and safety.
Circumstances which Justify Variation from OMB Guidelines
Not applicable.
Consultations Outside the NRC
Opportunity for public comment on the information collection requirements for this clearance package was published in the Federal Register on October 10, 2018 (83 FR 50963). Additionally, we contacted via email nine potential respondents in the areas of operating and non-power reactor owner/operator licensee’s representatives from Duke Energy Power Company, LLC, Dominion Generation, Exelon Generation Co., LLC, Florida Power & Light Co, Southern Nuclear Operating Co., Tennessee Valley Authority and the University of Missouri-Columbia. Of the nine potential respondents contacted, no respondent replied. Further, no comments were received from the published Federal Register Notice.
Payment or Gift to Respondents
Not applicable.
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). The NRC Form 396 does not include a Privacy Act statement because it is completed by a third party, not the individual. However, once the NRC receives the information on the Form 396, it is covered by NRC System of Records, “NRC 16: Facility Operator Licensee Records” published November 17, 2016 (81 FR 81320).
Justification for Sensitive Questions
The information is required to determine the applicant’s or operator's medical condition and general health. Without the information the Commission would have no bases for its findings upon the certification by facility licensees.
Estimated Industry Burden and Burden Hour Cost
Reporting Requirements Burden
Approximately 1,757 NRC Form 396s are expected to be submitted annually (557 applicants plus 670 renewals plus 530 notices of disability). The estimated reporting burden is 1.0 hour per submittal for a total of
1,757 hours. At the hourly cost of $275, the total burden cost is $483,175 (See Table 1).
(b) Recordkeeping Requirements Burden
There are 125 facilities that retain the medical documentation for approximately 4800 applicants, reactor operators and senior reactor operators while they are employed in this capacity (10 CFR 55.27). Approximately 1,757 facility records require annual NRC Form 396 maintenance. The estimated recordkeeping burden is .25 hour per record for a total of 439.25 hours. At the hourly cost of $275, the total burden cost is $120,793.75 (See Table 2).
(c) Total Industry Burden and Cost
Total Annual Burden: 2,196.25 hours (1,757 Reporting hours plus
439.25 Recordkeeping hours)
Total Burden Hour Cost: $603,968.75 (2,196.25 hours x $275/hour)
The $275 hourly rate used in the burden estimates is based on the Nuclear Regulatory Commission’s 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).
Estimate of Other Additional Costs
NRC has determined that the records storage cost is approximately proportional to the recordkeeping burden cost. Based on a typical clearance, the recordkeeping storage cost has been estimated to be equal to 0.0004 of the recordkeeping burden. Therefore, the recordkeeping storage cost for this collection is estimated to be $48.32 (439.25 recordkeeping hours x $275 x 0.0004).
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. It is estimated that 1,757 NRC Form 396s will be submitted annually during the clearance period. It is also estimated that 700 of these forms will be required to be reviewed by the NRC Contractor Licensed Physician. NRC staff processing per submission is estimated at 0.25 hours. Total Federal Government cost includes the following:
NRC Contractor Licensed Physician:
700 NRC Forms 396 reviewed annually x $48.45 per form = $33,915. Mailing/shipping: Approximately $7,500 annually.
NRC Staff (Headquarters & Regional) processing: 1,757 forms annually submitted x 0.25 hour per submittal = 439.25 hours
439.25 hours x $275/hour. = $120,793.75.
Total annual cost to the Federal Government is $162,208.75 ($33,915 + $7,500 + $120,793.75).
Reasons for Change in Burden or Cost
The number of total responses has decreased from 2131 to 1882 due to operating reactor plants decommissioning. Once a plant has entered decommissioning, there are fewer applicants submitting NRC Form 396.
The overall annual industry costs decreased by $89,886 from $667,500 to $557,614 due to the expected decrease in application submissions.
Publication for Statistical Use
None.
Reason for Not Displaying the Expiration Date
The expiration date is displayed.
Exceptions to the Certification Statement
Not applicable.
COLLECTIONS OF INFORMATION EMPLOYING STATISTICAL METHODS
Not applicable.
TABLE 1
Annual Reporting Burden
|
No. of Respondents |
Responses per Respondent |
Total Responses |
Burden Hours per Response |
Total Annual Burden Hours |
Cost at $275/hour |
NRC Form 396 |
125 |
14.06 |
1,757 |
1.0 |
1,757 |
$483,175 |
TABLE 2
Annual Recordkeeping Burden
|
Annual Records Requiring Maintenance |
Hours per Recordkeeping |
Total Annual Burden Hours |
Cost at $275/hour |
NRC Form 396 |
1,757
|
.25 |
439.25 |
$120,793.75 |
Total Annual Burden: 2,196.25 hours (1,757 Reporting hours. + 439.25 Recordkeeping hours.)
Total Burden Hour Cost: $603,968.75 (2,196.25 hours x $275/hour)
Total Responses: 1,882 (1,757 Responses + 125 Recordkeepers)
DESCRIPTION OF INFORMATION COLLECTION REQUIREMENTS
CONTAINED IN
NRC FORM 396, “CERTIFICATION OF MEDICAL EXAMINATION BY FACILITY LICENSEE”
10 CFR PART 55, SECTIONS 55.23, 55.25, 55.27, 55.31, AND 55.57
(3150-0024)
10 CFR 55.23 requires that the facility licensee certify the medical fitness of an applicant or licensee by completing and signing NRC Form 396.
10 CFR 55.25 requires the facility licensee to notify the NRC within 30 days of learning of the diagnosis if a licensee develops a permanent physical or mental condition that causes the licensee to fail to meet the requirements of 10 CFR 55.21. For conditions where a conditional license is requested, the facility licensee must provide medical certification on NRC Form 396.
10 CFR 55.27 requires that the facility licensee document and maintain the results of medical qualification data, test results, and each operator's or senior operator's medical history for the duration of the operator's or senior operator's tenure, and to provide the documentation to the Commission upon request.
10 CFR 55.31(a) (6) requires applicants for a license to provide certification by the facility licensee of medical condition and general health on NRC Form 396 to comply with 10 CFR 55.21, 55.23 and 55.33(a) (1).
10 CFR 55.57(a) (6) requires applicants for renewal of a license to provide certification by the facility licensee of medical condition and general health of the applicant on NRC Form 396.
The regulations in 10 CFR Part 55, as described above, require a license applicant (initial, upgrade, reapplication and renewal) to be examined by a licensed physician. In general, the licensed physician uses the guidance provided by the American National Standard for Medical Certification and Monitoring of Personnel Requiring Operator Licenses for Nuclear Power Plants - ANSI/ANS 3.4 (1983,1996 or 2013) and American National Standard for the Selection and Training of Personnel for Research Reactors (Non-Power) - ANSI/ANS 15.4 (1988 or 2007). The licensed physician then submits the diagnostic report to the facility licensee. Subsequently, the applicant/operator signs the NRC Form 396 giving permissions to the facility licensee and the NRC, the facility licensee certifies on NRC Form 396 as to the applicant’s or operators general health and physical condition, and then submits NRC Form 396 to the NRC.
In cases where the applicant for an operator’s license or renewal does not meet the minimum ANSI/ANS medical requirements, the facility licensee submits recommendations for license conditions, removal of license conditions, or revocation of the license with supporting medical evidence for review by the NRC Contractor Medical Review Officer.
In cases where the holder of an operator's license develops a permanent mental or physical condition that causes the individual to fail to meet the requirements of 10 CFR 55.21, the facility licensee is required to notify the NRC, within 30 days of learning of the diagnosis, with their conditional license or revocation recommendations and supporting medical evidence for review by the NRC Contractor Medical Review Officer.
Records required by 10 CFR 55.27 are retained by the facility licensee and provided to the NRC upon request to provide documentation that the applicants and licensed operators are physically and mentally fit.
GUIDANCE DOCUMENTS FOR INFORMATION COLLECTION REQUIREMENTS
CONTAINED IN
NRC FORM 396, “CERTIFICATION OF MEDICAL EXAMINATION BY FACILITY LICENSEE”
10 CFR PART 55, SECTIONS 55.23, 55.25, 55.27, 55.31, AND 55.57
(3150-0024)
Title |
Accession number |
NUREG-1021 “Operator Licensing Examination Standards for Power Reactors” |
ML17038A432 |
NUREG-1478 “Operator Licensing Examiner Standards for Research and Test Reactors” |
ML072000059 |
3
| File Type | application/vnd.openxmlformats-officedocument.wordprocessingml.document |
| File Modified | 0000-00-00 |
| File Created | 2021-01-15 |