10 CFR Part 140, Financial Protection Requirements and Indemnity Agreements

Forms and Documents

Document Name	Status
Burden Spreadsheet for 10 CFR Part 140 information collection 2024 version LH 5-20-24.xlsx Supplementary Document	2024-10-09
30-day FRN Part 140 2024.pdf Supplementary Document	2024-10-09
Final Supporting Statement for Part 140 3150-0039 2024 (7) (1) (1).docx Supporting Statement A	2024-10-09

IC Document Collections

IC ID	Document Title	Status
44210	10 CFR Part 140, "Financial Protection Requirements and Indemnity Agreements	Modified

ICR Details

OMB Control No: 3150-0039	ICR Reference No: 202410-3150-002
Status: Received in OIRA	Previous ICR Reference No: 202108-3150-001
Agency/Subagency: NRC	Agency Tracking No:
Title: 10 CFR Part 140, Financial Protection Requirements and Indemnity Agreements
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 10/10/2024

	Requested	Previously Approved
Expiration Date	36 Months From Approved	11/30/2024
Responses	110	208
Time Burden (Hours)	768	753
Cost Burden (Dollars)	0	3

---

Abstract: 10 CFR Part 140 specifies the information to be submitted by licensees that enables the NRC to assess (a) financial protection required by licensees and for the indemnification and limitation of liability of certain licensees and other persons pursuant to Section 170 of the Atomic Energy Act of 1954, as amended, and (b) the liability insurance required opinion.

---

Authorizing Statute(s): PL: Pub.L. 83 - 703 1-311 Name of Law: Atomic Energy Act
  

Citations for New Statutory Requirements: None

---

Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

---

Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	89 FR 51556	06/18/2024
30-day Notice:	Federal Register Citation:	Citation Date:
	89 FR 81953	10/09/2024
Did the Agency receive public comments on this ICR? No

---

Number of Information Collection (IC) in this ICR: 1

IC Title	Form No.	Form Name
10 CFR Part 140, "Financial Protection Requirements and Indemnity Agreements

---

ICR Summary of Burden

	Total Request	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	110	208	0	0	-98	0
Annual Time Burden (Hours)	768	753	0	0	15	0
Annual Cost Burden (Dollars)	0	3	0	0	-3	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: The overall burden hours for this collection increased from 753 hours in the previous cycle to 768 total hours in this cycle (an overall increase of 15 hours). The changes in burden result from an increase in the number of operating reactors subject to the requirements. Changes in burden include: Increase: Reporting: • Section 140.13a, Amount of financial protection required for plutonium processing and fuel fabrication plants, increased with the expectation of 2 responses; 2 hours during this clearance cycle. • Section 140.21, Licensee guarantees of payment of deferred premiums, increased by 5 respondents and 40 hours. Decrease: Reporting: • Section 140.13, Amount of financial protection required of certain holders of construction permits and combined licenses under 10 CFR Part 52, reduced by 1 respondent and 1 hour during this clearance cycle. Recordkeeping: • Section 140.6(b), Reports, decreased 104 recordkeepers and 26 hours; this decrease is due the NRC staff determining that no potential respondents are currently maintaining records of reports made under Section 140.6(a). No reports submissions are expected during this clearance cycle. Increase in cost is also due to the increase in fee rate, from $279/hour to $300/hour.

---

Annual Cost to Federal Government: $411,600

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? No

---

Common Form ICR:  No

---

On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 10/10/2024

---