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pdfFINAL SUPPORTING STATEMENT FOR
10 CFR PART 55, OPERATORS' LICENSES
(OMB CLEARANCE NO. 3150-0018)
Extension
DESCRIPTION OF THE INFORMATION COLLECTION
The Nuclear Regulatory Commission’s regulations in 10 CFR 55 establish: (1) procedures and
criteria for the issuance of licenses to operators and senior operators of utilization facilities
(which are licensed pursuant to the Atomic Energy Act of 1954, as amended, 10 CFR 50, and
10 CFR 52); (2) the terms and conditions upon which the Commission will issue or modify the
operators’ licenses; and (3) the terms and conditions to maintain and renew the operators’
licenses.
The majority of the information collection requirements related to 10 CFR 55 apply to the
holders of, and applicants for, utilization facility operating licenses (as defined in 10 CFR 50 and
52). Several of the information collections apply to the holders of, or applicants for, an
individual operator's license (i.e., operators and senior operators as defined in 10 CFR 55). The
information collections are necessary to permit the timely examination of applicants, operators,
and senior operators as well as the issuance and renewal of operator licenses.
This supporting statement provides a comprehensive overview of the information collection
requirements specified in 10 CFR 55. The burden hours associated with NRC Form 396,
“Certification of Medical Examination by Facility Licensee” (OMB Clearance No. 3150-0024),
NRC Form 398, “Personal Qualification Statement – Licensee” (OMB Clearance No. 31500090) and NRC Form 536, “Operator Licensing Examination Data” (OMB Clearance No. 31500131) are contained in the supporting statements for their associated OMB Clearances and are
not included.
In addition to the regulations, three NRC Regulatory Guides and two NUREG reports provide
guidance on acceptable methods of implementing the regulations. These Regulatory Guides
and NUREG reports are:
1.
Regulatory Guide 1.134 - Medical Evaluation of Licensed Personnel at Nuclear Power
Plants (Revision 4), September 2014 (facility licensees may continue to use the earlier
versions).
2.
Regulatory Guide 1.149 - Nuclear Power Plant Simulation Facilities for Use in Operator
Training and License Examinations (Revision 4), April 2011(facility licensees may
continue to use the earlier versions).
3.
Regulatory Guide 1.8 - Qualification and Training of Personnel for Nuclear Power Plants
(Revision 3), May 2000 (facility licensees may continue to use the earlier versions).
4.
NUREG-1021 - Operator Licensing Examination Standards for Power Reactors
(Revision 10), December 2014.
5.
2
NUREG-1478 – Operator Licensing Examiner Standards for Research and
Test Reactors (Rev.2), June 2007.
A.
JUSTIFICATION
1.
Need for and Practical Utility of the Collection of Information
Holders of facility operating licenses (67 nuclear power sites and 31 non power sites)
under 10 CFR Parts 50 and 52, and holders of, and applicants for individual operator
licenses (numbering approximately 4,700) under 10 CFR Part 55, shall submit the
following items in accordance with the following:
§55.11: Application for exemption from the requirements of the regulations in
10 CFR 55. Facility licensees are expected to comply with the regulations unless
they provide sufficient information for the Commission to determine that a
specific exemption is authorized by law, will not endanger life or property, and is
otherwise in the public interest.
§55.23, 55.31(a) (6), and 55.57(a) (6): NRC Form 396, "Certification of Medical
Examination by Facility Licensee" (currently approved under OMB Clearance No.
3150-0024).
§55.25: Notification to the Commission within 30 days of learning of the
diagnosis of a licensed operator's permanent physical or mental disability.
Submittal of NRC Form 396 is required if a license restriction is requested
(currently approved under OMB Clearance No. 3150-0024).
§55.27: Report medical qualifications data to Commission upon request
(currently approved under OMB Clearance No. 3150-0024).
§55.31(a) and (d): Application that a written examination and operating test be
administered and certification on NRC Form 398, "Personal Qualification
Statement - Licensee," that the applicant has completed the facility licensee's
requirements for licensing (currently approved under OMB Clearance No. 31500090). In practice, per NUREG-1021, power reactor facility licensees must also
submit a written request for the NRC to administer the generic fundamentals
examination (GFE) in advance of the formal license application.
§55.31(b): Additional information as necessary for the NRC to determine
whether to grant or deny the license application or revoke, modify or suspend the
license.
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§55.35: Certification on NRC Form 398 that the applicant is ready for
reexamination and a statement that describes the extent of the applicant's
retraining (currently approved under OMB Clearance No. 3150-0090).
§55.40(a) and (d): Information regarding exam content for operators. This
information is needed for the NRC to prepare the site-specific written and
operating tests that applicants must pass in order to obtain an operator’s license.
§55.40(b) (1) and (3): The written examinations required by §55.41 and §55.43
and the operating tests required by §55.45. In lieu of submitting information from
which the NRC will prepare the licensing examinations, power reactor facility
licensees may prepare the examinations themselves and submit them to the
NRC for review and approval.
§55.40(c): Written request for the NRC to prepare, proctor, and grade the
required licensing examinations. Preparing a site-specific power reactor
licensing examination requires significantly more resources than reviewing and
approving a facility-prepared examination; therefore, a written request provides
the basis to budget and schedule the resources. NRC Form 536 (currently
approved under OMB Clearance No. 3150-0131) can be used for this purpose.
§55.46(b): Power reactor facility licensees that propose to use a simulation
facility, other than a plant-referenced simulator, or the plant in the administration
of operating tests under §55.45(b) (1) or (3) shall request approval from the
Commission. This is necessary to ensure the consistency and validity of the
operating tests upon which licensing decisions are based.
§55.47: Request for waiver of examination and test requirements on NRC Form
398 (currently approved under OMB Clearance No. 3150-0090).
§55.57(a): Certification on NRC Form 398 that the renewal applicant has
competently and safely discharged the license responsibilities and satisfactorily
completed the requalification program during the effective term of the current
license (currently approved under OMB Clearance No. 3150-0090).
§55.59(a)(2)(iii): In lieu of the Commission accepting a certification by the facility
licensee that the licensee has passed written examinations and operating tests
administered by the facility licensee within its Commission-approved program
developed by using a systems approach to training under paragraph (c) of this
section, the Commission may administer a comprehensive requalification written
examination and an annual operating test.
§55.59(c): Have a requalification program and, upon request, submit to the
Commission a copy of comprehensive requalification written examinations or
annual operating tests. This improves efficiency by enabling the NRC staff to
review these materials before traveling to the site for a licensed operator
requalification program inspection.
b.
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Facility licensees are required to maintain the following documentation:
§55.27: Retain medical qualifications data (currently approved under OMB
Clearance No. 3150-0024).
§55.40(b)(2): Establish, implement and maintain procedures to control
examination security and integrity and have them available during facility
inspections.
§55.46(d)(1): The results of the simulation facility performance tests are required
to be retained for four years after completing the tests or until superseded by
updated test results. The NRC staff will review uncorrected performance
deficiencies to ensure that the operating tests administered per §55.45(b) are
valid.
§55.53(f): Certification that the qualifications and status of a licensee who has
not been actively performing the functions of an operator are current and valid.
This certification, which, in practice, is not submitted to the NRC but subject to
inspection on-site, ensures that licensed operators who have not maintained their
watch-standing proficiency are fully qualified before they are allowed to resume
licensed duties.
§55.59(b): Evidence of successful completion of additional training, if necessary.
Licensed operators are required to complete a requalification training and
examination program to maintain the knowledge, skills, and abilities needed to
safely perform licensed duties. Included with 55.59(c)(5)(I) reporting.
§55.59(c)(5)(I): Maintain records of operator participation in the requalification
program until the operator’s license is renewed. This enables the facility licensee
to certify, pursuant to §55.57(a) (4), that a license renewal applicant has
satisfactorily completed the requalification program during the 6-year term of the
license.
2.
Agency Use of Information
The NRC will use the reports and records required by 10 CFR 55 for one or more of the
following purposes:
•
preparation, review, and approval of the written examinations and operating tests
used to determine if the applicants for operator licenses have learned to operate
the facility competently and safely and, additionally, and to determine if
applicants for senior operator licenses have learned to safely and competently
direct the activities of licensed operators;
•
review and approval of operator license applications (initial, retake, upgrade and
renewal);
review and evaluation of the licensed operator requalification programs
conducted by facility licensees; and
•
•
review of facility licensees’ plans for, and performance testing of, simulators.
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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 90% of the potential responses for 10 CFR
Part 55 (not including NRC Form 396 and NRC Form 398) are filed electronically. 100%
of draft examinations and back-up information are submitted to the NRC and reviewed
by the NRC electronically.
4.
Effort to Identify Duplication and Use Similar Information
No sources of similar information are available. There is no duplication of requirements.
The NRC has in place an ongoing program to examine all information collections with
the goal of eliminating all duplication and/or unnecessary information collections.
5.
Effort to Reduce Small Business Burden
No small businesses are affected by these information collection requirements.
6.
Consequences to Federal Program or Policy Activities if the Collection Is Not
Conducted, or is Conducted Less Frequently
The information collections under 10 CFR 55, with the exceptions of the NRC Form 396,
the NRC Form 398 and the NRC Form 536, are conducted "one time only" or "as
required." No other frequency of collection is assigned. If the information collections
were not conducted, the NRC would not be able to fulfill its statutory responsibility to
determine the qualifications of applicants for operator licenses, including the preparation
and approval of initial operator licensing examinations, or to oversee simulator and
requalification training and examination programs.
7.
Circumstances Which Justify Variation from OMB Guidelines
Procedures must be retained for the life of the facility license. Operators are licensed for
6 years and facility licensees must retain certifications and other data associated with
operator licenses for inspection by the NRC to ensure operational safety at nuclear
reactor facilities.
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 October 1, 2015
(80 FR 59200). As part of the public consultation process, in October 2015, NRC staff
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contacted by email two research and test reactors licensees (Pennsylvania State
University and National Institute of Standards and Technology) three operating reactor
licensees (Florida Power & Light, Duke Energy and NextEra Energy) and a nuclear
vendor from Curtiss-Wright Corporation. 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
at 10 CFR 9.17(a) and 10 CFR 2.390(b).
11.
Justification for Sensitive Questions
The NRC uses the information from the NRC Form 396 for determining that the applicant
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 NRC Form 398 is used for determining that the applicants
or operator licensees meet the non-medical qualification requirements to become
licensed reactor operators or senior reactor operators. The Commission bases its
findings upon the certifications by facility licensees as detailed on these forms.
12.
Industry Burden and Burden Hour Cost
The annual reporting and recordkeeping burdens summarized below are detailed in
Tables 1 and 2.
Total burden hours are: 212,052 (188,647 reporting + 23,405 recordkeeping).
Total burden cost: $56,829,936 ($50,557,396 reporting + $6,272,540 recordkeeping)
Total respondents and recordkeepers: 98 (67 Power sites + 31 Non-power sites).
13.
Estimate of Additional Industry Costs
NRC has determined that the storage and equipment costs per square foot are
approximately $45. The quantity of records to be maintained is proportional to the
recordkeeping burden. Based on the number of pages maintained for a typical
clearance, the records storage cost has been determined to be equal to 0.04 percent of
the recordkeeping burden cost. The storage cost for this clearance is $2,509 (23,405
recordkeeping hours x $268 per hour x .0004).
The annual cost to reproduce the examinations for initial operator licensing is estimated
to be $5,000 (50 licensee sites x 1000 pages per examination x $.10 per page).
Total Other Additional Costs are $7,509 ($2,509 + $5,000).
14.
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Estimated Annualized Cost to the Federal Government
The annual burden and cost to the Federal Government is shown on Table 3. The total
annual Federal Government burden is 15,899 hours and the total annual Federal
Government cost is estimated to be $4,260,932. This cost is fully recovered through the
fee assessment to NRC licensees pursuant to 10 CFR 170 and/or 171.
15.
Reasons for Change in Industry Burden and Cost
The industry burden increased by 46,152 hours from 165,900 to 212,052 hours. These
changes are based on NRC and industry staff experiences and are specifically
addressed below.
In general, the number of respondents licensed under 10 CFR Parts 50 and 52
decreased by 3 from 101 to 98 (67 Power Sites + 31 Non-power Sites) due to the
decommissioning of 3 power sites in 2013.
Overall, the estimated reporting burden increased, while the estimated recordkeeping
burden decreased, as follows:
BURDEN HOURS
Reporting
Recordkeeping
TOTAL
Previously
approved
132,226
33,674
165,900
Current Request
188,647
23,405
212,052
Change
56,421
-10,269
46,152
Two requirements account for most of the burden increase for reporting:
•
The NRC staff increased the estimated burden for 55.40(b)(1) and (3), for written
examinations and operating test-implementation, based on program knowledge
and informal industry feedback. The estimated burden per response was
increased from 2,250 hours to 2,500 hours. With 45 estimated responses, the
overall burden estimate for this requirement increased by 11,250 hours, from
101,250 (45 responses x 2,250 hours) to 112,500 (45 responses x 2,500 hours).
•
The NRC staff increased the estimated burden for 55.59(a), for requalification of
licenses when the Commission may administer a comprehensive requalification
written examination and an annual operating test. Previously, this was estimated
to take 100 hours for one licensee. In this submission, NRC increased the
estimated burden for this requirement based on program knowledge and informal
industry feedback. The estimated burden for this renewal is 1,270 hours per
response for 67 power reactors, for a total burden of 85,090, an increase of
84,990 hours.
In addition to the increases noted, there was one notable decrease in estimated
reporting burden:
•
The burden estimate for reporting under 50.59(c) was adjusted for requalification
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of licenses for those who have a requalification program and, upon request, submit
to the Commission a copy of comprehensive requalification written examinations or
annual operating tests. The burden was adjusted from 262 hours per response for
70 power reactor sites (18,340 hours) to 6 hours per response at 67 sites (402
hours). The change in this estimate resulted in a decrease of 17,938 hours.
In addition, there were two major decreases in recordkeeping burden:
•
The burden estimate for 50.59(a)(2) for records associated with requalification of
licenses, decreased from 158 hours for 70 power reactor sites (11,060 hours) to 1
power reactor site at 160 hours (160 hours), a decrease of 10,900 hours.
•
The burden estimate for 55.59(c) decreased for maintaining records of operator
participation in the requalification program until the operator’s license is renewed.
The previous estimate was 260 hours for 70 power reactor sites for a total of 18,200
hours. The current estimate is 32 hours at 67 power reactor sites for a total of 2,144,
a decrease of 16,056 hours.
Other less significant changes, based on NRC staff experience include:
• 55.11 – The power site burden per response increased by 15 hours from 40 to 55
hours based on averaged actual sites’ experiences reported to the NRC.
o 55.31(b) – The power site burden increased by 20 hours from 4 to 24
hours.
• 55.11 – The burden decreased for power sites decreased by 10 hours from 55 to
45 hours.
• 55.40(a) – The estimated burden hours per response decreased for power sites
by 43 hours from 55 to 12 hours because of the increased use of electronic
transfer of examination information and materials.
• 55.40 (d) – The burden hours per response decreased for non-power sites by 3
hours from 5 to 2 hours.
• 55.59(a) (2) (ii) –The burden hours per response decreased for non-power sites
by 3 hours from 5 to 2 hours.
• 55.59(c) – The burden hours per response decreased for non-power sites by 8
hours from 16 to 8 hours.
• 55.40(b) (2) – The burden per response increased for power sites by 4 hours
from 16 to 20 hours.
• 55.46(d) (1) – The burden per response for power sites increased by 14 hours
from 30 to 44 hours.
• 55.59(c) (5) (I) – The burden per response for power sites increased by 15 hours
from 260 to 275 hours.
• 55.40(b) (2) does not apply to non-power sites. They were inadvertently included
in previous extensions are being removed beginning with this extension. The
burden decreased by a total of 341 hours from 341 to 0.
In addition, the hourly rate used to calculate licensee costs has decreased from $274/hr.
to $268/hr.
16.
Publication for Statistical Use
9
This information will not be published for statistical use.
17.
Reason for Not Displaying the Expiration Date
The recordkeeping and reporting requirements for this information collection are
associated with regulations and are not submitted on instruments such as forms or
surveys. For this reason, there are no data instruments on which to display an OMB
expiration date. Further, amending the regulatory text of the CFR to display information
that, in an annual publication, could become obsolete would be unduly burdensome and
too difficult to keep current.
18.
Exceptions to the Certification Statement
There are no exceptions.
B.
COLLECTIONS OF INFORMATION EMPLOYING STATISTICAL METHODS
Not applicable.
TABLE 1: ANNUAL INDUSTRY REPORTING REQUIREMENTS
Section
Descriptions
Number of
Respondents
Responses
Per
Respondent
Total
Number of
Responses
Burden
per
Response
Total Burden
Hours
Cost at $268/Hour
55.11
Specific Exemptions
2 Power Sites
1
2
45
90
$24,120
55.11
Specific Exemptions
1 Non-power Site
1
1
55
55
$14,740
55.31(b)
Applications- How to
Apply
35 Power Sites
1
35
24
840
$225,120
55.40(a)
Written Examinations and
Operating TestImplementation
45 Power Sites
1
45
12
540
$144,720
55.40(d)
Written Examinations and
Operating TestImplementation
25 Non-power Sites
1
25
2
50
$13,400
55.40(b)(1) and
(3)
Written Examinations and
Operating TestImplementation
45 Power Sites
1
45
2250
101,250
$27,135,000
55.53(g)
Conditions of licenses
4 Power Sites
1
4
4
16
$4,288
55.53(g)
Conditions of licenses
1 Non-power Site
1
1
4
4
$1,072
55.59 (a)
Requalification of licenses
67 Power Sites
1
67
1270
85,090
$22,804,120
55.59 (a)
Requalification of licenses
31 Non-power Site
1
31
2
62
$16,616
55.59(c)
Requalification of licenses
67 Power Sites
1
67
6
402
$107,736
55.59(c)
Requalification of licenses
31 Non-power Sites
1
31
8
248
$66,464
188,647
$50,557,396
TOTAL
REPORTING
98
354
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TABLE 2: ANNUAL INDUSTRY RECORDKEEPING REQUIREMENTS
Section
Descriptions
Number of
Recordkeepers
Burden Hours Per
Recordkeeper
Total Burden
Hours
Cost at
$268 / Hour
55.40(b)(2)
Written Examinations and
Operating TestImplementation
67 Power Sites
20
1340
$359,120
55.53(f)
Conditions of license
67 Power Sites
2
134
$35,912
55.53(f)
Conditions of license
31 Non-power Sites
2
62
$16,616
55.46(d)(1)
Simulation facilities
67 Power Sites
44
2,948
$790,064
55.59(c)(5)(i)
Requalification of licenses
67 Power Sites
275
18,425
$4,937,900
55.59(c)(5)(i)
Requalification of licenses
31 Non-power Sites
16
496
$132,928
23,405
$6,272,540
TOTAL
RECORDKEEPING
98
TOTAL BURDEN/COST FOR 10 CFR PART 55 (Tables 1 & 2)
Total Burden hours: 212,052 (188,647 reporting + 23,405 recordkeeping)
Total Cost: $56,829,936 ($50,557,396 reporting + $6,272,540 recordkeeping)
Total Respondents and Recordkeepers: 98 (67 Power Sites +31 Non-Power Sites)
Total Responses: 452 (354 reporting responses + 98 recordkeepers)
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TABLE 3: ESTIMATE OF ANNUAL COST TO THE FEDERAL GOVERNMENT
Actions
Number of
Reports/
Hours Per Burden
Cost at $268/ Hour
Reports/Records Per
Response
Hours
Records
Facility
Per
Response
Section
Descriptions
55.11
Specific Exemptions
2 Power Sites
1
2
40
80
$21,440
55.11
Specific Exemptions
1 Non-Power Site
1
1
40
40
$10,720
55.31(b)
Applications- How to
Apply
35 Power Sites
1
35
1
35
$9,380
55.40(b)
Written Examinations
and Operating TestImplementation
45 Power Sites
1
45
130
5,850
$1,567,800
55.40(c)
Written Examinations
and Operating TestImplementation
5 Power Sites
1
5
400
2,000
$536,000
55.40(d)
Written Examinations
and Operating TestImplementation
25 Non-power
Sites
1
25
200
5,000
$1,340,000
55.53(g)
Conditions of license
4 Power Sites
1
4
1
4
$1,072
55.53(g)
Conditions of license
1 Non-power Site
1
1
1
1
$268
55.59(a)(2)(iii)
Requalification of
licenses
1 Power Site
1
1
160
160
$42,880
55.59(a)(2)(iii)
Requalification of
licenses
1 Non-power Site
1
1
120
120
$32,160
55.59(c)
Requalification of
licenses
67 Power Sites
1
67
32
2,144
$574,592
55.59(c)
Requalification of
licenses
31 Non-Power
Sites
1
31
15
465
$124,620
15,899
$4,260,932
Total
Government
Burden and Cost
218
218
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| File Type | application/pdf |
| File Modified | 2016-02-25 |
| File Created | 2016-02-19 |