View Information Collection Request (ICR) Package

OMB Control No: 3150-0035	ICR Reference No: 201910-3150-006
Status: Historical Active	Previous ICR Reference No: 201612-3150-007
Agency/Subagency: NRC	Agency Tracking No:
Title: 10 CFR Part 21, Reporting of Defects and Noncompliance
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR: No
Type of Review Request: Regular
OIRA Conclusion Action: Approved with change	Conclusion Date: 11/19/2020
	Date Received in OIRA: 11/12/2019
Terms of Clearance: In accordance with 5 CFR 1320, this information collection is approved for three years. When NRC submits this package for renewal, its submission should include an estimate for the burden of retaining records for any period longer than 3 years.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	11/30/2023	36 Months From Approved	11/30/2020
Responses	800	0	531
Time Burden (Hours)	32,083	0	43,565
Cost Burden (Dollars)	33,014	0	3,256

Abstract: Part 21 of title 10 of the Code of Federal Regulations (10 CFR), requires each individual, corporation, partnership, commercial grade dedicating entity, or other entity subject to the regulations in this part to adopt appropriate procedures to evaluate deviations and failures to comply to determine whether a defect exists that could result in a substantial safety hazard. Depending upon the outcome of the evaluation, a report of the defect must be submitted to the NRC. Reports submitted under 10 CFR part 21 are reviewed by the NRC staff to determine whether the reported defects or failures to comply in basic components at the NRC licensed facilities or activities are potentially generic safety problems. These reports have been the basis for the issuance of numerous NRC Generic Communications that have contributed to the improved safety of the nuclear industry. The records required to be maintained in accordance with 10 CFR part 21 are subject to inspection by the NRC to determine compliance with the subject regulation.

Authorizing Statute(s): PL: Pub.L. 83 - 703 68 Stat. 919 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:
	84 FR 31359	07/01/2019
30-day Notice:	Federal Register Citation:	Citation Date:
	84 FR 53478	10/07/2019
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 21, Reporting of Defects and Noncompliance

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to Adjustment in Estimate
Annual Number of Responses	800	531	269
Annual Time Burden (Hours)	32,083	43,565	-11,482
Annual Cost Burden (Dollars)	33,014	3,256	29,758

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 estimated burden decreased by 11,483 hours from 43,565 hours (18,023 reporting hours + 25,257 recordkeeping + 285 hours third party disclosure) to 32,083 hours (6,500 reporting hours + 25,215 hours recordkeeping + 368 hours third party disclosure). The estimate is based on a decrease in the actual number of reports received during the past three years (2016-2018). The decrease is due to the near completion of new reactor construction activities, and the decommissioning (no longer operating) of several nuclear power plant facilities. The NRC staff estimates that we will continue to receive similar numbers of reports in the next three years. Reporting. The estimated reporting burden decreased from 18,023 hours to 6,500 hours, a decrease of 11,523 hours. Reporting estimates are based on actual data from 2016-2018 and staff knowledge of industry trends. The decrease in burden is due to an decrease in the number of interim reports (from 95 to 22) and 30-day reports (from 140 to 31). There was an increase in the number of anticipated initial telephone or fax notifications (from 19 to 35). However, initial notifications require less time for respondents (2 hours) than the interim reports (95 hours) and 30-day reports (140 hours); therefore, the overall reporting burden decreased. The NRC staff anticipates that the agency will continue to receive similar numbers of reports in the next three years. Recordkeeping. For this submission, the NRC staff reviewed the recordkeeping requirements in Part 21 and updated the number of recordkeepers as follows: • The number of recordkeepers maintaining evaluations and notifications under 10 CFR 21.51(a)(1) and (2) decreased from 75 to 65, decreasing the burden by 25 hours. The change in the number of entities maintaining these records is attributed to a decrease in notifications received during the licensing phase of an application. • The number of recordkeepers maintaining notifications and purchase records under 10 CFR 21.51(a)(4) and (5) decreased from 10 to 5, decreasing the burden by 372.5 hours. The change in the number of recordkeepers for these requirements is due to changes in the number of licensees planning to construct new reactors and some licensees who asked for their applications to be rescinded. • Burden has been added for maintenance of procedures for Part 21.21(a). This is not a new requirement, but the previous submission did not include burden for these procedures. This correction added 355 hours of recordkeeping burden to the overall totals. Third-Party Disclosure An existing third-party disclosure requirement in 10 CFR Part 21 was identified and burden added to the table for this requirement. 10 CFR Part 21.6 requires the posting of procedures and the name of the individual to whom reports can be made. This increased the third-party disclosure burden by 177.5 hours and 355 responses. The number of responses for the collection increased from 531 responses (178 reporting responses + 350 recordkeepers + 3 disclosure response) to 800 responses ( 88 reporting responses + 355 recordkeepers + 357 third party disclosure responses). The decrease in reporting responses is due to the near completion of new reactor construction activities, and the decommissioning (no longer operating) of several nuclear power plant facilities. The increase in the number of third-party disclosure responses is due to the inclusion of responses for 10 CFR 21.6 posting requirements for all respondents.

Annual Cost to Federal Government: $831,040

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

Agency Contact: Leslie Hill 3014152158 lah1@nrc.gov

View ICR - OIRA Conclusion