[Federal Register Volume 74, Number 39 (Monday, March 2, 2009)]
[Proposed Rules]
[Pages 9130-9157]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E9-4229]
[[Page 9129]]
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Part II
Nuclear Regulatory Commission
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10 CFR Parts 170 and 171
Revision of Fee Schedules; Fee Recovery for FY 2009; Proposed Rule
Federal Register / Vol. 74, No. 39 / Monday, March 2, 2009 / Proposed
Rules
[[Page 9130]]
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NUCLEAR REGULATORY COMMISSION
10 CFR Parts 170 and 171
RIN 3150-AI52
[NRC-2008-0620]
Revision of Fee Schedules; Fee Recovery for FY 2009
AGENCY: Nuclear Regulatory Commission.
ACTION: Proposed rule.
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SUMMARY: The Nuclear Regulatory Commission (NRC) is proposing to amend
the licensing, inspection, and annual fees charged to its applicants
and licensees. The proposed amendments are necessary to implement the
Omnibus Budget Reconciliation Act of 1990 (OBRA-90), as amended, which
requires that the NRC recover through fees approximately 90 percent of
its budget authority in fiscal year (FY) 2009, less the amounts
appropriated from the Nuclear Waste Fund (NWF), amounts appropriated
for Waste Incidental to Reprocessing (WIR), and amounts appropriated
for generic homeland security activities. Based on the FY 2009 Energy
and Water Development Appropriations Bill, reported by the U.S. House
of Representatives Appropriations Committee, the NRC's required fee
recovery amount for the FY 2009 budget would be approximately $870.6
million. After accounting for billing adjustments, the total amount to
be billed as fees would be approximately $864.8 million.
DATES: The comment period expires April 1, 2009. Comments received
after this date will be considered if it is practical to do so, but the
NRC is able to ensure only that comments received on or before this
date will be considered. Because OBRA-90 requires that the NRC collect
the FY 2009 fees by September 30, 2009, requests for extensions of the
comment period will not be granted.
ADDRESSES: You may submit comments by any one of the following methods.
Please include number RIN 3150-AI52 in the subject line of your
comments. Comments submitted in writing or in electronic form will be
made available for public inspection. Because your comments will not be
edited to remove any identifying or contact information, the NRC
cautions you against including any information in your submission that
you do not want to be publicly disclosed.
Federal e-Rulemaking Portal: Go to http://www.regulations.gov and
search for documents filed under Docket ID NRC-2008-0620. Address
questions about NRC dockets to Carol Gallagher 301-492-3668; e-mail
[email protected].
Mail comments to: Secretary, U.S. Nuclear Regulatory Commission,
Washington, DC 20555-0001, ATTN: Rulemakings and Adjudications Staff.
E-mail comments to: [email protected]. If you do not
receive a reply e-mail confirming that we have received your comments,
contact us directly at 301-415-1677.
Hand deliver comments to: 11555 Rockville Pike, Rockville, Maryland
20852, between 7:30 a.m. and 4:15 p.m. Federal workdays. (Telephone
301-415-1677).
Fax comments to: Secretary, U.S. Nuclear Regulatory Commission at
301-415-1101.
You can access publicly available documents related to this
document using the following methods:
NRC's Public Document Room (PDR): The public may examine and have
copied for a fee publicly available documents at the NRC's PDR, Public
File Area O1 F21, One White Flint North, 11555 Rockville Pike,
Rockville, Maryland.
NRC's Agencywide Documents Access and Management System (ADAMS):
Publicly available documents created or received at the NRC after
November 1, 1999, are available electronically at the NRC's Electronic
Reading Room at http://www.nrc.gov/reading-rm/adams.html. From this
page, the public can gain entry into ADAMS, which provides text and
image files of NRC's public documents. If you do not have access to
ADAMS or if there are problems in accessing the documents located in
ADAMS, contact the NRC's PDR reference staff at 1-800-397-4209, 301-
415-4737, or by e-mail to [email protected].
To obtain additional information on the NRC's FY 2009 budget
request, commenters and others may review NUREG-1100, Volume 24,
``Performance Budget: Fiscal Year 2009'' (February 2008), which
describes the NRC's budget for FY 2009, including the activities to be
performed in each program. This document is available on the NRC's
public Web site at http://www.nrc.gov/reading-rm.html. Note, however,
that NUREG-1100, Volume 24, is based on the NRC's FY 2009 budget
request to Congress, and that the fees in this rulemaking are based on
the NRC appropriation in the H.R. 7324. The allocation of the H.R. 7324
budget to planned activities within each program, and to each fee class
and fee-relief activities category, is included in the publicly
available work papers supporting this rulemaking.
FOR FURTHER INFORMATION CONTACT: Rebecca I. Erickson, Office of the
Chief Financial Officer, U.S. Nuclear Regulatory Commission,
Washington, DC 20555-0001; telephone 301-415-7126, e-mail
[email protected].
SUPPLEMENTARY INFORMATION:
I. Background
II. Proposed Action
A. Amendments to 10 CFR Part 170: Fees for Facilities,
Materials, Import and Export Licenses, and Other Regulatory Services
Under the Atomic Energy Act of 1954, as Amended
B. Amendments to 10 CFR Part 171: Annual Fees for Reactor
Licenses and Fuel Cycle Licenses and Materials Licenses, Including
Holders of Certificates of Compliance, Registrations, and Quality
Assurance Program Approvals and Government Agencies Licensed by the
NRC
III. Plain Language
IV. Voluntary Consensus Standards
V. Environmental Impact: Categorical Exclusion
VI. Paperwork Reduction Act Statement
VII. Regulatory Analysis
VIII. Regulatory Flexibility Analysis
IX. Backfit Analysis
I. Background
The NRC is required each year, under OBRA-90 (42 U.S.C. 2214), as
amended, to recover approximately 90 percent of its budget authority,
less the amounts appropriated from the NWF, amounts appropriated for
WIR, and amounts appropriated for generic homeland security activities
(non-fee items), through fees to NRC licensees and applicants. The NRC
receives 10 percent of its budget authority (less non-fee items) from
the general fund each year to pay for the cost of agency activities
that do not provide a direct benefit to NRC licensees, such as
international assistance and Agreement State activities (as defined
under section 274 of the Atomic Energy Act of 1954, as amended).
The NRC assesses two types of fees to meet the requirements of
OBRA-90, as amended. First, license and inspection fees, established in
10 CFR part 170 under the authority of the Independent Offices
Appropriation Act of 1952 (IOAA) (31 U.S.C. 9701) recover the NRC's
cost of providing special benefits to identifiable applicants and
licensees. Examples of the services provided by the NRC for which these
fees are assessed include the review of applications for new licenses
and the review of renewal applications, the review of license amendment
requests, and inspections. Second, annual fees
[[Page 9131]]
established in 10 CFR part 171 under the authority of OBRA-90, as
amended, recover generic and other regulatory costs not otherwise
recovered through 10 CFR part 170 fees.
The NRC is currently operating under a continuing resolution (CR)
for FY 2009 (H.R. 2638) that is effective through March 6, 2009. This
means that the FY 2009 funds currently available are similar to the
NRC's funding in FY 2008. Although the NRC has not received a new
appropriation for FY 2009 at the time this proposed fee rule was
submitted for publication in the Federal Register, the NRC must proceed
with this rulemaking to collect the required fee amounts by September
30, 2009. Therefore, the NRC is establishing fees in this rulemaking
based on the FY 2009 Energy and Water Development Appropriations Bill
(H.R. 7324), reported by the U.S. House of Representatives
Appropriations Committee. Although, neither the House nor the Senate
Appropriations Committees' bills have been brought to the floor of the
chamber for approval, the NRC is proposing to use the House bill since
it has a higher NRC Appropriation amount. If the actual Appropriation
signed by the President is lower than this bill, the fee amounts in the
final rule will be lower than the proposed rule amounts.
If Congress enacts a different version of the NRC budget than that
included in H.R. 7324, the fees in the NRC's FY 2009 final fee rule
will be adjusted to reflect the enacted budget. Therefore, fees in the
FY 2009 final fee rule may differ from the fees in this proposed rule.
The NRC will adjust the FY 2009 final fees based on the enacted version
of the budget without seeking further public comment.
For example, if Congress enacts legislation that requires the NRC
to operate under a CR for the full FY 2009 and appropriates
significantly less to the NRC, the fees in the FY 2009 final fee rule
will be modified from the fees in this proposed fee rule, to reflect
the reductions in budgeted resources. The NRC's total required fee
recovery could be reduced by approximately $144 million under a full-
year CR, as compared to H.R. 7324, although the NRC's exact fee
recovery amount would depend on the specific provisions in such
legislation. A given licensee's part 171 annual fees under a full-year
CR would be either similar to, or less than, the fees included in this
proposed fee rule. Fees in the FY 2009 final fee rule may also change
from this proposed fee rule for other reasons, such as changes in the
amount expected to be received from part 170 fees in FY 2009. Under a
full-year CR, annual fees for some license fee classes may be affected
more than other license fee classes, based on which NRC activities are
subject to budget reductions. It is possible that some annual fees may
increase from this proposed rule under a full-year CR, because the
NRC's ten percent fee relief, which is used to reduce all annual fees
in this proposed rule (discussed more in Section II.B.1, Application of
``Fee Relief/Surcharge'' of this document), would be reduced. This may
occur if a particular license fee class is not subject to budget
reductions under a CR, and also receives a smaller annual fee reduction
than that included in this proposed fee rule from the NRC's fee relief.
Based on the H.R. 7324, the NRC's required fee recovery amount for
the FY 2009 budget is approximately $870.6 million, which is reduced by
approximately $5.8 million to account for billing adjustments (i.e.,
expected unpaid invoices, payments for prior year invoices), resulting
in a total of approximately $864.8 million to be billed as fees in FY
2009.
In accordance with OBRA-90, as amended, $27.1 million of the
budgeted resources associated with generic homeland security activities
are excluded from the NRC's fee base in FY 2009. These funds cover
generic activities that support an entire license fee class or classes
of licensees such as rulemakings and guidance development. Under the
authority of the IOAA, the NRC will continue to bill under part 170 for
all licensee-specific homeland security-related services provided,
including security inspections and security plan reviews.
The amount of the NRC's required fee collections is set by law, and
is, therefore, outside the scope of this rulemaking. In FY 2009, the
NRC's total fee recovery amount increases by $91.5 million from FY
2008, mostly in response to increased regulatory and infrastructure
support workload for reactor renewal activities, new uranium recovery
facility applications, new uranium enrichment facilities, and materials
licensing. The FY 2009 budget was allocated to the fee classes that the
budgeted activities support. As such, the proposed annual fees for
reactor, fuel facility, most uranium recovery, and small materials
licensees increases. Another factor affecting the amount of annual fees
for each fee class is the estimated collection under part 170,
discussed in the Proposed Action section of this document.
II. Proposed Action
The NRC is proposing to amend its licensing, inspection, and annual
fees to recover approximately 90 percent of its FY 2009 budget
authority (under H.R. 7324) less the appropriations for non-fee items.
The NRC's total budget authority for FY 2009 would be $1,069.8 million.
The non-fee items include $73.3 million appropriated from the NWF, $2
million for WIR activities, and $27.1 million for generic homeland
security activities. Based on the 90 percent fee-recovery requirement,
the NRC would have to recover approximately $870.6 million in FY 2009
through part 170 licensing and inspection fees and part 171 annual
fees. The amount required by law to be recovered through fees for FY
2009 would be $91.5 million more than the amount estimated for recovery
in FY 2008, an increase of approximately 12 percent.
The FY 2009 fee recovery amount is reduced by $5.8 million to
account for billing adjustments (i.e., for FY 2009 invoices that the
NRC estimates will not be paid during the fiscal year, less payments
received in FY 2009 for prior year invoices). This leaves approximately
$864.8 million to be billed as fees in FY 2009 through part 170
licensing and inspection fees and part 171 annual fees.
Table I summarizes the budget and fee recovery amounts for FY 2009.
(Individual values may not sum to totals due to rounding.)
Table I--Budget and Fee Recovery Amounts for FY 2009
[Dollars in millions]
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Total Budget Authority.................................. $1,069.8
Less Non-Fee Items.................................... -102.4
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Balance............................................. $967.4
Fee Recovery Rate for FY 2009......................... x90.0%
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Total Amount to be Recovered for FY 2009............ $870.6
Less Part 171 Billing Adjustments:
Unpaid FY 2009 Invoices (estimated)................... 1.9
Less Payments Received in FY 2009 for Prior Year -7.7
Invoices (estimated).................................
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Subtotal............................................ -5.8
Amount to be Recovered Through Parts 170 and 171 Fees... $864.8
Less Estimated Part 170 Fees.......................... -320.2
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Part 171 Fee Collections Required....................... $544.6
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[[Page 9132]]
The NRC estimates that $320.2 million would be recovered from part
170 fees in FY 2009. This represents an increase of approximately 15
percent as compared to the actual part 170 collections of $277.3
million for FY 2008. The NRC derived the FY 2009 estimate of part 170
fee collections based on the previous four quarters of billing data for
each license fee class, with adjustments to account for changes in the
NRC's FY 2009 budget, as appropriate. The remaining $544.6 million
would be recovered through the part 171 annual fees in FY 2009 which is
an increase of approximately 15 percent compared to actual part 171
collections of $472.9 million for FY 2008.
The NRC plans to publish the final fee rule no later than June
2009. The FY 2009 final fee rule will be a ``major rule'' as defined by
the Congressional Review Act of 1996 (5 U.S.C. 801-808). Therefore, the
NRC's fee schedules for FY 2009 will become effective 60 days after
publication of the final rule in the Federal Register. The NRC will
send an invoice for the amount of the annual fee to reactors, part 72
licensees, major fuel cycle facilities, and other licensees with annual
fees of $100,000 or more, upon publication of the FY 2009 final rule.
For these licensees, payment is due on the effective date of the FY
2009 final rule. Because these licensees are billed quarterly, the
payment due is the amount of the total FY 2009 annual fee, less
payments made in the first three quarters of the fiscal year.
Materials licensees with annual fees of less than $100,000 are
billed annually. Those materials licensees whose license anniversary
date during FY 2009 falls before the effective date of the FY 2009
final rule will be billed for the annual fee during the anniversary
month of the license at the FY 2008 annual fee rate. Those materials
licensees whose license anniversary date falls on or after the
effective date of the FY 2009 final rule will be billed for the annual
fee at the FY 2009 annual fee rate during the anniversary month of the
license, and payment will be due on the date of the invoice.
As a matter of courtesy, the NRC plans to continue mailing the
proposed fee rule to all licensees, although, as a cost saving measure,
in accordance with its FY 1998 announcement, the NRC has discontinued
mailing the final fee rule to all licensees. Accordingly, the NRC does
not plan to routinely mail the FY 2009 final fee rule or future final
fee rules to licensees.
The NRC will send the final rule to any licensee or other person
upon specific request. To request a copy, contact the License Fee Team,
Division of the Controller, Office of the Chief Financial Officer, at
301-415-7554, or e-mail [email protected]. In addition to
publication in the Federal Register, the final rule will be available
on the Internet at regulations.gov.
The NRC is proposing to amend 10 CFR parts 170 and 171 as discussed
in Sections II.A and II.B of this document.
A. Amendments to 10 CFR Part 170: Fees for Facilities, Materials,
Import and Export Licenses, and Other Regulatory Services Under the
Atomic Energy Act of 1954, As Amended
In FY 2009, the NRC is proposing to increase the hourly rate to
recover the full cost of activities under part 170, and using this rate
to calculate ``flat'' application fees. The NRC is also proposing to
revise descriptions of some fee categories.
The NRC is proposing the following changes:
1. Hourly Rate
The NRC's hourly rate is used in assessing full cost fees for
specific services provided, as well as flat fees for certain
application reviews. The NRC is proposing to change the FY 2009 hourly
rate to $257. This rate would be applicable to all activities for which
fees are assessed under Sec. Sec. 170.21 and 170.31. The FY 2009
proposed hourly rate is higher than the hourly rate of $238 in the FY
2008 final fee rule. The increase is primarily due to the higher FY
2009 budget supporting increased regulatory and infrastructure support
workload for reactor license renewals and applications from new uranium
recovery and enrichment facilities. The hourly rate calculation is
described in further detail in the following paragraphs.
The NRC's hourly rate is derived by dividing the sum of recoverable
budgeted resources for (1) mission direct program salaries and
benefits; (2) mission indirect salaries and benefits and contract
activity; and (3) agency management and support and Inspector General
(IG), by mission direct full-time equivalent (FTE) hours. The mission
direct FTE hours are the product of the mission direct FTE times the
hours per direct FTE. The only budgeted resources excluded from the
hourly rate are those for mission direct contract activities.
In FY 2009, the NRC is proposing to use 1,371 hours per direct FTE,
same as FY 2008, to calculate the hourly fees. The NRC has reviewed
data from its time and labor system to determine if the annual direct
hours worked per direct FTE estimate requires updating for the FY 2009
fee rule. Based on this review of the most recent data available, the
NRC determined that 1,371 hours is the best estimate of direct hours
worked annually per direct FTE. This estimate excludes all non-direct
activities, such as training, general administration, and leave.
Table II shows the results of the hourly rate calculation
methodology. (Individual values may not sum to totals due to rounding.)
Table II--FY 2009 Hourly Rate Calculation
------------------------------------------------------------------------
------------------------------------------------------------------------
Mission Direct Program Salaries & Benefits.............. $322.0M
Mission Indirect Salaries & Benefits, and Contract 129.2M
Activity...............................................
Agency Management and Support, and IG................... 316.5M
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Subtotal............................................ $767.7M
Less Offsetting Receipts................................ -0.1M
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Total Budget Included in Hourly Rate................ $767.6M
Mission Direct FTEs..................................... 2,180
Professional Hourly Rate (Total Budget Included in $257
Hourly Rate divided by Mission Direct FTE Hours).......
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As shown in Table II, dividing the $767.6 million budgeted amount
(rounded) included in the hourly rate by total mission direct FTE hours
(2,180 FTE times 1,371 hours) results in an hourly rate of $257. The
hourly rate is rounded to the nearest whole dollar.
2. ``Flat'' Application Fee Changes
The NRC is proposing to adjust the current flat application fees in
Sec. Sec. 170.21 and 170.31 to reflect the revised hourly rate of
$257. These flat fees are calculated by multiplying the average
professional staff hours needed to process the licensing actions by the
proposed professional hourly rate for FY 2009.
Biennially, the NRC evaluates historical professional staff hours
used to process a new license application for materials users fee
categories subject to flat application fees. This is in accordance with
the requirements of the Chief Financial Officer's Act. The NRC
conducted this biennial review for the FY 2009 fee rule which also
included license and amendment applications for import and export
licenses.
Evaluation of the historical data in FY 2009 shows that the average
number of professional staff hours required to complete licensing
actions in the materials program should be increased in some fee
categories and decreased in others to more accurately reflect current
data for completing these licensing
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actions. The average number of professional staff hours needed to
complete new licensing actions was last updated for the FY 2007 final
fee rule. Thus, the revised average professional staff hours in this
fee rule reflect the changes in the NRC licensing review program that
have occurred since that time.
The higher hourly rate of $257 is the main reason for the increases
in the application fees. Application fees for some fee categories
(2.B., 3.G., 3.O., 3.R.1., 4.B., 5.A., 8.A., 9.C., and 10 B. under
Sec. 170.31) also increase because of the results of the biennial
review, which showed an increase in average time to process these types
of license applications. The decrease in fees for 7 fee categories
(3.C., 3.H., 3.N., 3.S., 9.A., 9.B., and 10.B. under Sec. 170.31) is
due to a decrease in average time to process these types of
applications.
The amounts of the materials licensing flat fees are rounded so
that the fees would be convenient to the user and the effects of
rounding would be de minimis (minimal). Fees under $1,000 are rounded
to the nearest $10, fees that are greater than $1,000 but less than
$100,000 are rounded to the nearest $100, and fees that are greater
than $100,000 are rounded to the nearest $1,000.
The proposed licensing flat fees are applicable for fee categories
K.1. through K.5. of Sec. 170.21, and fee categories 1.C., 1.D., 2.B.,
2.C., 3.A. through 3.S., 4.B. through 9.D., 10.B, 15.A. through 15.R.,
16, and 17 of Sec. 170.31. Applications filed on or after the
effective date of the FY 2009 final fee rule would be subject to the
revised fees in the final rule.
3. Fee Category Changes
The NRC is proposing to revise the fee categories for uranium
recovery facilities in Sec. 170.31. The new fee categories will better
reflect the NRC's regulatory effort expended for the different types of
facilities, both existing and planned. A more detailed discussion
follows in II.B.3.b. `Uranium Recovery Facilities', below.
In addition, the NRC is proposing to revise the description for two
fee categories, 7.A. and 17 in Sec. 170.31. The NRC proposes to amend
fee category 7.A., related to medical licenses, to more precisely state
which medical devices it covers. Currently, the fee category applies to
teletherapy devices. The NRC has historically included gamma
stereotactic radiosurgery units (gamma knives) in this category per
NUREG 1556, Volume 20, Appendix G. This amendment explicitly provides
that fee category 7.A. include gamma knives and other similar beam
therapy devices. The fee category 17 for master materials license is
being expanded to include non-government entities with multi-site
licenses.
The new fee category descriptions do not represent any additions to
the types of licenses regulated by NRC. These changes will help clarify
the types of licenses covered under specific categories for NRC
licensees.
4. Administrative Amendments
In response to a number of questions on specific sub-sections
related to fee exemptions for special projects, the NRC is proposing to
simplify (170.11 for ease of reading. There is no change to the NRC's
fee exemption policy.
In summary, the NRC is proposing to make the following changes to
10 CFR part 170
1. Establish revised professional hourly rate to use in assessing
fees for specific services;
2. Revise the license application fees to reflect the proposed FY
2009 hourly rate;
3. Revise some fee categories to better reflect NRC's regulatory
effort, and
4. Make certain administrative changes for purposes of
clarification.
B. Amendments to 10 CFR Part 171: Annual Fees for Reactor Licenses and
Fuel Cycle Licenses and Materials Licenses, Including Holders of
Certificates of Compliance, Registrations, and Quality Assurance
Program Approvals and Government Agencies Licensed by the NRC
The FY 2009 proposed annual fees reflect NRC's use of its fee
relief to reduce all licensees' annual fees and changes in the number
of NRC licensees. This rulemaking also proposes to establish
rebaselined annual fees based on the H.R. 7324. The proposed amendments
are described as follows:
1. Application of ``Fee-Relief/Surcharge''
The NRC is proposing to use its fee relief to reduce all licensees'
annual fees, based on their percent of the budget.
The NRC applies the 10 percent of its budget that is excluded from
fee recovery under OBRA-90, as amended (fee relief), to offset the
total budget allocated for activities which do not directly benefit
current NRC licensees. The budget for these fee-relief activities are
totaled, and then reduced by the amount of the NRC's fee relief. Any
remaining fee-relief activities budget is allocated to all licensees'
annual fees, based on their percent of the budget (i.e., over 80
percent is allocated to power reactors each year).
In FY 2009, the NRC's 10 percent fee relief exceeds the total
budget for fee-relief activities by $2.9 million. In FY 2008, the 10
percent fee relief exceeded the total budget by $8.9 million. The
excess fee relief in FY 2009 is lower compared with FY 2008 primarily
due to higher FY 2009 budget resources for Agreement States support and
international activities.
As in FY 2008, the NRC is using the $2.9 million fee relief to
reduce all licensees' annual fees, based on their percent of the fee
recoverable budget authority. This is consistent with the existing fee
methodology, in that the benefits of the NRC's fee relief are allocated
to licensees in the same manner as deficit was allocated as surcharge
when the NRC did not receive enough fee relief to pay for fee-relief
activities. In FY 2009, the power reactors class of licensees will
receive approximately 88 percent of the fee relief based on their share
of the NRC fee recoverable budget authority.
The FY 2009 budgeted resources for NRC's fee-relief activities are
$93.8 million. The NRC's total fee relief in FY 2009 is $96.7 million,
leaving $2.9 million in fee relief to be used to reduce all licensees'
annual fees. These values are shown in Table III. (Individual values
may not sum to totals due to rounding.)
Table III--Fee-Relief Activities
[Dollars in millions]
------------------------------------------------------------------------
FY 2009
budgeted costs
------------------------------------------------------------------------
1. Activities not attributable to an existing NRC
licensee or class of licensee:
a. International activities......................... $17.6
b. Agreement State oversight........................ 11.2
[[Page 9134]]
c. Scholarships and Fellowships..................... 15.0
2. Activities not assessed part 170 licensing and
inspection fees or part 171 annual fees based on
existing law or Commission policy:
a. Fee exemption for nonprofit educational 11.5
institutions.......................................
b. Costs not recovered from small entities under 10 3.9
CFR 171.16(c)......................................
c. Regulatory support to Agreement States........... 17.5
d. Generic decommissioning/reclamation (not related 13.7
to the power reactor and spent fuel storage fee
classes)...........................................
e. In situ leach rulemaking and unregistered general 3.5
licensees..........................................
---------------
Total fee-relief activities..................... $93.8
Less 10 percent of NRC's FY 2009 total budget (less non- -96.7
fee items).............................................
---------------
Fee Relief to be Allocated to All Licensees' Annual $-2.9
Fees...............................................
------------------------------------------------------------------------
Table IV shows how the NRC is allocating the $2.9 million in fee
relief to each license fee class. As explained previously, the NRC is
allocating this fee relief to each license fee class based on the
percent of the budget for that fee class compared to the NRC's total
budget. The fee relief is used to partially offset the required annual
fee recovery from each fee class.
Separately, the NRC has continued to allocate the low-level waste
(LLW) surcharge based on the volume of LLW disposal of three classes of
licenses, operating reactors, fuel facilities, and materials users.
Table IV also shows the allocation of the LLW surcharge activity.
Because LLW activities support NRC licensees, the costs of these
activities are not offset by the NRC's fee relief. For FY 2009, the
total budget allocated for LLW activity is $2.3 million. (Individual
values may not sum to totals due to rounding.)
Table IV--Allocation of Fee-Relief Activities and LLW surcharge
----------------------------------------------------------------------------------------------------------------
LLW surcharge Fee relief Total
----------------------------------------------------------------
Percent $M Percent $M $M
----------------------------------------------------------------------------------------------------------------
Operating Power Reactors....................... 54.0 1.2 88 -2.6 -1.3
Spent Fuel Storage/Reactor Decommissioning..... ........... ........... 2.5 -0.1 -0.1
Test and Research Reactors..................... ........... ........... 0.1 0.0 0.0
Fuel Facilities................................ 15.0 0.3 5.2 -0.2 0.2
Materials Users................................ 31.0 0.7 3.0 -0.1 0.6
Transportation................................. ........... ........... 0.4 0.0 0.0
Uranium Recovery............................... ........... ........... 0.8 0.0 0.0
----------------------------------------------------------------
Total...................................... 100.0 2.3 100.0 -2.9 -0.6
----------------------------------------------------------------------------------------------------------------
In FY 2009, the LLW surcharge exceeded the fee relief for two fee
classes, fuel facilities and materials users. The net surcharge will be
included in the annual fee for fuel facility and materials users
licensees.
2. Agreement State Activities
By letter dated June 12, 2008, Governor Timothy Kaine of the
Commonwealth of Virginia requested that the NRC enter into an Agreement
with the State as authorized by Section 274 of the Atomic Energy Act of
1954, as amended. The final Agreement package is before the Commission
for approval and if approved, the Agreement is expected to take effect
by March 31, 2009. This will result in the transfer of approximately
380 licenses from the NRC to the Commonwealth of Virginia.
Note that the continuing costs of oversight and regulatory support
for the Commonwealth of Virginia, as for any other Agreement State, are
recovered as fee-relief activities consistent with existing policy. The
budgeted resources for the regulatory support of Agreement State
licensees are prorated to the fee-relief activity based on the percent
of total licensees in Agreement States. The NRC proposes to update the
proration percentage in its fee calculation to make sure that resources
are allocated equitably between the NRC materials users fee class and
the regulatory support to Agreement States fee-relief category.
Accordingly, in anticipation of the Commonwealth of Virginia becoming
an Agreement State, the NRC has increased the percentage of materials
users regulatory support costs prorated to the fee-relief activity from
82 percent in FY 2008 to 85 percent in FY 2009. The resources for
licensing and inspection activities supporting NRC licensees in the
materials users fee class are not prorated to the fee-relief activity.
The number of NRC materials users licensees has been updated to
reflect the transfer of licensees to the Commonwealth of Virginia.
Because of the effective date of March 31, 2009, the approximately 380
licensees transferring to the Commonwealth of Virginia will be subject
to one-half of their annual fee for FY 2009. The number of materials
users licensees are revised to reflect that the NRC will still collect
one-half of the annual fee from these licensees.
This is not a substantive policy change, but rather a calculation
change that will result in a more accurate estimate of the actual costs
of supporting Agreement State activities. If the Commonwealth of
Virginia does not become an Agreement State by the
[[Page 9135]]
publication of the final fee rule, the NRC will adjust the calculation
of the FY 2009 annual fees based on the latest information available at
that time. Any changes will be discussed in the final fee rule.
Also, Governor Jon Corizine of the State of New Jersey has by
letter dated October 16, 2008 formally requested that the NRC enter
into an Agreement with his state. If approved by the Commission, this
Agreement is expected to take effect by September 30, 2009.
Approximately 500 NRC licensees will be transferred to the State of New
Jersey. Because the expected effective date is September 30, 2009,
these licensees will be assessed annual fees by NRC for the full year
of FY 2009. Therefore, no changes to the FY 2009 fees or the number of
NRC licensees have been made for this potential event.
3. Revised Annual Fees
The NRC is proposing to revise its annual fees in Sec. Sec. 171.15
and 171.16 for FY 2009 to recover approximately 90 percent of the NRC's
FY 2009 budget authority after subtracting the non-fee amounts and the
estimated amount to be recovered through part 170 fees. The part 170
estimate for this proposed rule increased by $28.5 million from the FY
2008 fee rule based on the latest invoice data available. The total
amount to be recovered through annual fees for FY 2009 is $544.6
million. The required annual fee collection in FY 2008 was $468.9
million.
The Commission has determined (71 FR 30733; May 30, 2006) that the
agency should proceed with a presumption in favor of rebaselining when
calculating annual fees each year. Under this method, the NRC's budget
is analyzed in detail and budgeted resources are allocated to fee
classes and categories of licensees. The Commission expects that most
years there will be budget and other changes that warrant the use of
the rebaselining method.
As compared with FY 2008 annual fees, rebaselined fees are higher
for three classes of licensees (power reactors, non-power reactors, and
fuel facilities), and lower for two classes of licensees (spent fuel
storage/reactor decommissioning and transportation). Within the
materials users and uranium recovery fee classes, annual fees for most
licensees increase, while annual fees for some licensees decrease.
The NRC's total fee recoverable budget, as mandated by law, is
approximately $92 million larger in FY 2009 as compared with FY 2008.
Much of this increase is for reactor renewal activities, new uranium
recovery facility applications, new uranium enrichment facility
applications, and materials licensing. The FY 2009 budget was allocated
to the fee classes that the budgeted activities support. As such, the
proposed annual fees for operating reactor, non-power reactor, fuel
facility, most uranium recovery and small materials licensees
increases. Also in FY 2009, generic NRC resources supporting new
uranium recovery applications are included in the budget allocated to
operating power reactors and fuel facility fee classes because these
licensees will potentially benefit from increased production of uranium
milled by new uranium recovery facilities. The impact of this
allocation on the operating reactors and fuel facilities annual fees is
less than one percent.
The factors affecting all annual fees include the distribution of
budgeted costs to the different classes of licenses (based on the
specific activities NRC will perform in FY 2009), the estimated part
170 collections for the various classes of licenses, and allocation of
the fee relief to all fee classes. The percentage of the NRC's budget
not subject to fee recovery remained unchanged at 10 percent from FY
2008 to FY 2009.
Table V shows the rebaselined annual fees for FY 2009 for a
representative list of categories of licenses. The FY 2008 fee is also
shown for comparative purposes.
Table V--Rebaselined Annual Fees for FY 2009
------------------------------------------------------------------------
FY 2009
Class/category of licenses FY 2008 proposed
annual fee annual fee
------------------------------------------------------------------------
Operating Power Reactors (Including $4,167,000 $4,735,000
Spent Fuel Storage/Reactor
Decommissioning Annual Fee)............
Spent Fuel Storage/Reactor 135,000 127,000
Decommissioning........................
Test and Research Reactors (Non-power 76,500 124,500
Reactors)..............................
High Enriched Uranium Fuel Facility.... 3,007,000 4,721,000
Low Enriched Uranium Fuel Facility..... 899,000 1,659,000
UFCO6 Conversion Facility.............. 589,000 975,000
Conventional Mills..................... 10,300 32,200
Typical Materials Users:
Radiographers (Category 3O)........ 11,100 23,100
Well Loggers (Category 5A)......... 3,400 9,900
Gauge Users (Category 3P).......... 2,100 3,800
Broad Scope Medical (Category 7B).. 22,900 36,800
------------------------------------------------------------------------
The work papers which support this proposed rule show in detail the
allocation of NRC's budgeted resources for each class of licenses and
how the fees are calculated. The reports included in these work papers
summarize the FY 2009 budgeted FTE and contract dollars allocated to
each fee class and fee-relief activities category at the planned
activity and program level, and compare these allocations to those used
to develop final FY 2008 fees. The work papers are available
electronically at the NRC's Electronic Reading Room on the Internet at
Web site address http://www.nrc.gov/reading-rm/adams.html. The work
papers may also be examined at the NRC PDR located at One White Flint
North, Room O-1F22, 11555 Rockville Pike, Rockville, Maryland.
The budgeted costs allocated to each class of licenses and the
calculations of the rebaselined fees are described in paragraphs a.
through h. of this Section. Individual values in the Tables presented
in this Section may not sum to totals due to rounding.
a. Fuel Facilities
The FY 2009 budgeted cost to be recovered in the annual fees
assessment to the fuel facility class of licenses [which includes
licensees in fee categories 1.A.(1)(a), 1.A.(1)(b), 1.A.(2)(a),
1.A.(2)(b), 1.A.(2)(c), 1.E., and 2.A.(1), under Sec. 171.16] is
approximately $23.1 million. This value is based on the full cost of
budgeted resources associated with all activities that support this fee
class, which is reduced by estimated part 170
[[Page 9136]]
collections and adjusted for allocated generic transportation
resources, and fee relief. In FY 2009, the LLW surcharge for fuel
facilities exceeds the allocated fee-relief (see Table IV in Section
II.B.1., ``Application of ``Fee Relief/Surcharge'' of this document).
The summary calculations used to derive this value are presented in
Table VI for FY 2009, with FY 2008 values shown for comparison.
Table VI--Annual Fee Summary Calculations for Fuel Facilities
[Dollars in millions]
------------------------------------------------------------------------
FY 2008 FY 2009
Summary fee calculation final proposed
------------------------------------------------------------------------
Total budgeted resources..................... $31.5 $44.6
Less estimated part 170 receipts............. -17.2 -21.8
-------------------------
Net part 171 resources................... 14.3 22.8
Allocated generic transportation............. +0.5 +0.4
Allocated fee relief/surcharge............... -0.1 +0.2
Billing adjustments.......................... -0.8 -0.3
-------------------------
Total required annual fee recovery....... 13.9 23.1
------------------------------------------------------------------------
The increase in FY 2009 total budgeted resources allocated to this
fee class compared with FY 2008 is primarily due to increases in
resources for new uranium enrichment facility licensing activities
partially offset by a higher part 170 revenue estimate.
The total required annual fee recovery amount is allocated to the
individual fuel facility licensees based on the effort/fee
determination matrix developed for the FY 1999 final fee rule (64 FR
31447; June 10, 1999). In the matrix included in the NRC publicly
available work papers, licensees are grouped into categories according
to their licensed activities (i.e., nuclear material enrichment,
processing operations, and material form) and according to the level,
scope, depth of coverage, and rigor of generic regulatory programmatic
effort applicable to each category from a safety and safeguards
perspective. This methodology can be applied to determine fees for new
licensees, current licensees, licensees in unique license situations,
and certificate holders.
This methodology is adaptable to changes in the number of licensees
or certificate holders, licensed or certified material and/or
activities, and total programmatic resources to be recovered through
annual fees. When a license or certificate is modified, it may result
in a change of category for a particular fuel facility licensee as a
result of the methodology used in the fuel facility effort/fee matrix.
Consequently, this change may also have an effect on the fees assessed
to other fuel facility licensees and certificate holders. For example,
if a fuel facility licensee amends its license/certificate (e.g.,
decommissioning or license termination) that results in it not being
subject to part 171 costs applicable to the fee class, then the
budgeted costs for the safety and/or safeguards components will be
spread among the remaining fuel facility licensees/certificate holders.
The methodology is applied as follows. First, a fee category is
assigned based on the nuclear material and activity authorized by
license or certificate. Although a licensee/certificate holder may
elect not to fully use a license/certificate, the license/certificate
is still used as the source for determining authorized nuclear material
possession and use/activity. Second, the category and license/
certificate information are used to determine where the licensee/
certificate holder fits into the matrix. The matrix depicts the
categorization of licensees/certificate holders by authorized material
types and use/activities.
Each year, the NRC's fuel facility project managers and regulatory
analysts determine the level of effort associated with regulating each
of these facilities. This is done by assigning, for each fuel facility,
separate effort factors for the safety and safeguards activities
associated with each type of regulatory activity. The matrix includes
ten types of regulatory activities, including enrichment and scrap/
waste related activities (see the work papers for the complete list).
Effort factors are assigned as follows: One (low regulatory effort),
five (moderate regulatory effort), and ten (high regulatory effort).
These effort factors are then totaled for each fee category, so that
each fee category has a total effort factor for safety activities and a
total effort factor for safeguards activities.
The effort factors for the various fuel facility fee categories are
summarized in Table VII. The value of the effort factors shown, as well
as the percent of the total effort factor for all fuel facilities,
reflects the total regulatory effort for each fee category (not per
facility). Note that the effort factors for the High Enriched Uranium
Fuel (HEU) fee category have decreased from FY 2008. The safety and
safeguards factors decreased in FY 2009 to reflect process changes such
as HEU downblending and liquid UF6 workload. Taking into
account both of these changes, the total safety and safeguards effort
factor change is relatively small.
Table VII--Effort Factors for Fuel Facilities
----------------------------------------------------------------------------------------------------------------
Effort factors (percent of
Number of total)
Facility type (fee category) facilities -------------------------------
Safety Safeguards
----------------------------------------------------------------------------------------------------------------
High Enriched Uranium Fuel (1.A.(1)(a))........................ 2 87 (33.3) 97 (51.1)
Uranium Enrichment (1.E)....................................... 2 70 (26.8) 40 (21.1)
Low Enriched Uranium Fuel (1.A.(1)(b))......................... 3 71 (27.2) 26 (13.7)
UF6 Conversion (2.A.(1))....................................... 1 12 (4.6) 7 (3.7)
Limited Operations (1.A.(2)(a))................................ 1 12 (4.6) 3 (1.6)
[[Page 9137]]
Gas Centrifuge Enrichment Demonstration (1.A.(2)(b))........... 1 3 (1.1) 15 (7.9)
Hot Cell (1.A.(2)(c)).......................................... 1 6 (2.3) 2 (1.1)
----------------------------------------------------------------------------------------------------------------
The budgeted resources before the surcharge for safety activities
($13,283,085) are allocated to each fee category based on its percent
of the total regulatory effort for safety activities. For example, if
the total effort factor for safety activities for all fuel facilities
is 100, and the total effort factor for safety activities for a given
fee category is 10, that fee category will be allocated 10 percent of
the total budgeted resources for safety activities. Similarly, the
budgeted resources before the surcharge for safeguards activities
($9,669,679) are allocated to each fee category based on its percent of
the total regulatory effort for safeguards activities. The fuel
facility fee class' portion of the surcharge ($192,336) is allocated to
each fee category based on its percent of the total regulatory effort
for both safety and safeguards activities. The annual fee per licensee
is then calculated by dividing the total allocated budgeted resources
for the fee category by the number of licensees in that fee category as
summarized in Table VIII.
Table VIII--Annual Fees for Fuel Facilities
------------------------------------------------------------------------
FY 2009 annual
Facility type (fee category) fee
------------------------------------------------------------------------
High Enriched Uranium Fuel (1.A.(1)(a))................ $4,721,000
Uranium Enrichment (1.E.).............................. 2,823,000
Low Enriched Uranium (1.A.(1)(b))...................... 1,659,000
UF6 Conversion (2.A.(1))............................... 975,000
Gas Centrifuge Enrichment Demonstration (1.A.(2)(b))... 924,000
Limited Operations Facility (1.A.(2)(a))............... 770,000
Hot Cell (and others) (1.A.(2)(c))..................... 411,000
------------------------------------------------------------------------
The NRC does not expect to authorize operation of any new uranium
enrichment facility in FY 2009. The annual fee applicable to any type
of new uranium enrichment facility is the annual fee in Sec. 171.16,
fee category 1.E., Uranium Enrichment, unless the NRC establishes a new
fee category for the facility in a subsequent rulemaking.
b. Uranium Recovery Facilities
The total FY 2009 budgeted cost to be recovered through annual fees
assessed to the uranium recovery class [which includes licensees in fee
categories 2.A.(2)(a), 2.A.(2)(b), 2.A.(2)(c), 2.A.(2)(d), 2.A.(2)(e),
2.A.(3), 2.A.(4), 2.A.(5) and 18.B., under Sec. 171.16], is
approximately $0.52 million. The derivation of this value is shown in
Table IX, with FY 2008 values shown for comparison purposes.
Table IX--Annual Fee Summary Calculations for Uranium Recovery
Facilities
[Dollars in millions]
------------------------------------------------------------------------
FY 2008 FY 2009
Summary fee calculations final proposed
------------------------------------------------------------------------
Total budgeted resources..................... $2.56 $6.97
Less estimated part 170 receipts............. -2.02 -6.38
-------------------------
Net part 171 resources................... $0.54 $0.59
Allocated generic transportation............. +N/A +N/A
Allocated fee relief......................... -0.03 -0.02
Billing adjustments.......................... -0.06 -0.05
-------------------------
Total required annual fee recovery....... 0.46 0.52
------------------------------------------------------------------------
The increase in the total required annual fee recovery is mainly
due to an increase in uranium recovery licensing and inspection
resources for the existing licensees. In FY 2009, NRC is proposing to
exclude the generic budget resources supporting applications for new
uranium recovery facilities from the annual fee charged to current
uranium recovery licensees. Instead the budget resources would be
allocated to operating reactors and fuel facility licensees since these
fee classes would potentially benefit from increased production of the
uranium milled by the new facilities. The generic resources supporting
the new uranium recovery facilities do not benefit the existing uranium
recovery licensees.
Since FY 2002, the NRC has computed the annual fee for the uranium
recovery fee class by allocating the total annual fee amount for this
fee class, between DOE and the other licensees in this fee class. The
NRC regulates DOE's Title I and Title II activities under the Uranium
Mill Tailings Radiation Control Act (UMTRCA). The Congress established
the two programs, Title I and Title II under UMTRCA, to protect the
public and the environment from uranium milling. The UMTRCA Title I
program is for remedial action at abandoned mill tailings sites where
tailings resulted largely from production of uranium for the weapons
program. The NRC also regulates DOE's UMTRCA Title II program which is
directed toward uranium mill sites licensed by the NRC or Agreement
States in or after 1978.
In FY 2009, 35 percent of the total annual fee amount, less
$246,563 specifically budgeted for Title I activities, is allocated to
DOE's UMTRCA facilities. The remaining 65 percent of the total annual
fee (less the amounts specifically budgeted for Title I activities) is
allocated to other licensees. The reduction in resources for licensing
the DOE is based on the reduced effort expended for DOE UMTRCA. This is
a change from FY
[[Page 9138]]
2008 when the distribution of the annual fee was 40 percent to DOE and
60 percent to non-DOE licensees. The change reflects NRC's current
level of effort. This change in the distribution of uranium recovery
fee class resources between non-DOE uranium recovery facilities and DOE
results in a decrease in annual fee for the DOE compared to the
increase in annual fee for non-DOE facilities. Of the required annual
fee collections, $342,000 (rounded) would be assessed to DOE for
licensing its UMTRCA activities as fee category 18.B in Sec. 170.16.
The remaining $176,000 (rounded) would be recovered through annual
fees assessed to the other licensees in this fee class (i.e.,
conventional mills, in-situ recovery (ISR) facilities), 11e.(2) mill
tailings disposal facilities (incidental to existing tailings sites),
and a uranium water treatment facility. Beginning in FY 2009, NRC is
proposing to replace the existing single fee category, 2.A.(2)(b) for
uranium ISR facilities with four fee categories based on the type of
ISR facilities. The addition of the new fee categories is needed to
reflect the diverse types of uranium recovery facilities planned for
construction and operation in the near future. Additionally, the new
fee categories will better reflect the NRC's regulatory benefit
provided to the different types of facilities, both existing and
planned.
The revised fee category, 2.A.(2)(b), would be for an ISR
yellowcake facility with zero to three satellites. These facilities
include a central processing plant (CPP) that includes all the
equipment necessary to collect uranium on resin, strip uranium from the
resin, and process the uranium into a yellowcake slurry or dried
yellowcake powder. These facilities may also receive resins from up to
three satellite facilities operated by the same company for further
processing of the contained uranium into yellowcake.
The new 2.A.(2)(c) fee category would be for an ISR yellowcake
facility with more than three satellites. These facilities have a CPP
with the same equipment as the fee category as stated previously, but
have four or more satellite facilities, which necessitates a
correspondingly greater allocation of the staff's generic resources.
The new 2.A.(2)(d) fee category would be for a stand-alone ISR
Resin facility which performs ISR recovery operations and includes
equipment for the collection of dissolved uranium from onsite
underground ore bodies onto ion exchange resins. The resins are then
transported to another company's facility for further processing of the
collected uranium into yellowcake.
The new fee category, 2.A.(2)(e), would be for a Resin Toll Milling
Facility. These facilities do not conduct any onsite recovery of
uranium but consist of a CPP for the purpose of processing resins from
other ISR facilities into yellowcake. Allocation of generic resources
for these facilities would be less than that allocated for the other
categories of ISR facilities.
The annual fee being assessed to DOE includes recovery of the costs
specifically budgeted for NRC's Title I activities plus 35 percent of
the remaining annual fee amount, including the fee-relief and generic/
other costs, for the uranium recovery class. The remaining 65 percent
of the fee-relief and generic/other costs are assessed to the other NRC
licensees in this fee class that are subject to annual fees. The costs
to be recovered through annual fees assessed to the uranium recovery
class are shown in Table X.
Table X--Costs Recovered Through Annual Fees; Uranium Recovery Fee Class
------------------------------------------------------------------------
------------------------------------------------------------------------
DOE annual fee mount (UMTRCA title I and title II) general licenses:
------------------------------------------------------------------------
UMTRCA Title I budgeted costs.......................... $246,563
35 percent of generic/other uranium recovery budgeted 103,269
costs..................................................
35 percent of uranium recovery fee-relief.............. -8,241
---------------
Total Annual Fee Amount for DOE (rounded).......... 342,000
------------------------------------------------------------------------
Annual fee amount for other uranium recovery licenses:
------------------------------------------------------------------------
65 percent of generic/other uranium recovery budgeted 191,785
costs less the amounts specifically budgeted for Title
I activities...........................................
65 percent of uranium recovery fee-relief.............. -15,304
---------------
Total Annual Fee Amount for Other Uranium Recovery 176,481
Licenses...........................................
------------------------------------------------------------------------
The NRC will continue to use a matrix (which is included in the
supporting work papers) to determine the level of effort associated
with conducting the generic regulatory actions for the different (non-
DOE) licensees in this fee class. The weights derived in this matrix
are used to allocate the approximately $176,000, annual fee amount to
these licensees. The use of this uranium recovery annual fee matrix was
established in the FY 1995 final fee rule (60 FR 32217; June 20, 1995).
The FY 2009 matrix is described as follows.
First, the methodology identifies the categories of licenses
included in this fee class (besides DOE). In FY 2009, these categories
are conventional uranium mills and heap leach facilities, uranium
solution mining and resin ISR facilities mill tailings disposal
facilities (11e.(2) disposal facilities), and uranium water treatment
facilities.
Second, the matrix identifies the types of operating activities
that support and benefit these licensees. In FY 2009, the activities
related to generic decommissioning/reclamation are not included in the
matrix, because generic decommissioning/reclamation activities are
included in the surcharge, and therefore need not be a factor in
determining annual fees. The activities included in the FY 2009 matrix
are operations, waste operations, and groundwater protection. The
relative weight of each type of activity is then determined, based on
the regulatory resources associated with each activity. The operations,
waste operations, and groundwater protection activities have weights of
0, 5, and 10, respectively, in the FY 2009 matrix.
Each year, the NRC determines the level of benefit to each licensee
for generic uranium recovery program activities for each type of
generic activity in the matrix. This is done by assigning, for each fee
category, separate benefit factors for each type of regulatory activity
in the matrix. Benefit factors are assigned on a scale of 0 to 10 as
follows: zero (no regulatory benefit), five (moderate regulatory
benefit), and ten (high regulatory benefit). These benefit factors are
first multiplied by the relative weight assigned to each activity
(described previously). Total benefit factors by fee category, and per
licensee in each fee category, are then calculated. These benefit
factors thus reflect the relative regulatory benefit associated with
each licensee and fee category.
The benefit factors per licensee and per fee category, for each of
the non-DOE fee categories included in the uranium recovery fee class,
are as follows:
[[Page 9139]]
Table XI--Benefit Factors for Uranium Recovery Licenses
----------------------------------------------------------------------------------------------------------------
Number of Benefit factor Benefit factor
Fee category licensees per licensee Total value percent total
----------------------------------------------------------------------------------------------------------------
Conventional and Heap Leach mills............... 1 200 200 18
Basic In Situ Recovery facilities............... 3 190 570 52
Expanded In Situ Recovery facilities............ 1 215 215 20
11e.(2) disposal incidental to existing tailings 1 65 65 6
sites..........................................
Uranium water treatment......................... 1 45 45 4
----------------------------------------------------------------------------------------------------------------
The annual fee per licensee is calculated by dividing the total
allocated budgeted resources for the fee category by the number of
licensees in that fee category as summarized in Table XII. Applying
these factors to the approximately $176,000 in budgeted costs to be
recovered from non-DOE uranium recovery licensees results in the
following annual fees for FY 2009:
Table XII--Annual Fees for Uranium Recovery Licensees (Other Than DOE)
------------------------------------------------------------------------
FY 2009
Facility type (fee category) annual fee
------------------------------------------------------------------------
Conventional and Heap Leach mills (2.A.(2)(a)).......... $32,200
Basic In Situ Recovery facilities (2.A.(2)(b)).......... 30,600
Expanded In Situ Recovery facilities (2.A.(2)(c))....... 34,700
11e.(2) disposal incidental to existing tailings sites 10,500
(2.A.(4))..............................................
Uranium water treatment (2.A.(5))....................... 7,300
------------------------------------------------------------------------
c. Operating Power Reactors
The $479.2 million in budgeted costs to be recovered through FY
2009 annual fees assessed to the power reactor class was calculated as
shown in Table XIII. FY 2008 values are shown for comparison.
Table XIII--Annual Fee Summary Calculations for Operating Power Reactors
[Dollars in millions]
------------------------------------------------------------------------
FY 2009
Summary fee calculations FY 2008 final proposed
------------------------------------------------------------------------
Total budgeted resources................ $698.8 $761.4
Less estimated part 170 receipts........ -258.1 -276.6
-------------------------------
Net part 171 resources.............. $440.7 $484.8
Allocated generic transportation........ + 1.0 + 0.8
Allocated fee relief.................... -5.9 -1.3
Billing adjustments..................... -16.5 -5.1
-------------------------------
Total required annual fee recovery.. 419.3 479.2
------------------------------------------------------------------------
The budgeted costs to be recovered through annual fees to power
reactors are divided equally among the 104 power reactors licensed to
operate. This results in a FY 2009 annual fee of $4,608,000 per
reactor. Additionally, each power reactor licensed to operate would be
assessed the FY 2009 spent fuel storage/reactor decommissioning annual
fee of $127,000. This results in a total FY 2009 annual fee of
$4,735,000 for each power reactor licensed to operate.
The annual fee for power reactors increases in FY 2009 compared to
FY 2008 primarily due to an increase in budgeted resources for
licensing renewal activities and other licensing tasks. This increase
is partially offset by the higher estimated part 170 collections and
fee-relief adjustment. In FY 2009, the NRC estimates an increase in
part 170 collections of about 7 percent for this fee class. These
collections offset the required annual fee recovery amount by a total
of approximately $276.6 million. The amended annual fees for power
reactors are presented in Sec. 171.15.
d. Spent Fuel Storage/Reactor Decommissioning
For FY 2009, budgeted costs of approximately $15.6 million for
spent fuel storage/reactor decommissioning are to be recovered through
annual fees assessed to part 50 power reactors, and to part 72
licensees who do not hold a part 50 license. Those reactor licensees
that have ceased operations and have no fuel onsite are not subject to
these annual fees. Table XIV shows the calculation of this annual fee
amount. FY 2008 values are shown for comparison.
[[Page 9140]]
Table XIV--Annual Fee Summary Calculations for the Spent Fuel Storage/
Reactor Decommissioning Fee Class
[Dollars in millions]
------------------------------------------------------------------------
FY 2009
Summary fee calculations FY 2008 final proposed
------------------------------------------------------------------------
Total budgeted resources................ $22.4 $21.1
Less estimated part 170 receipts........ -5.3 -5.5
-------------------------------
Net part 171 resources.............. $17.1 $15.6
Allocated generic transportation........ + 0.2 + 0.2
Allocated fee relief.................... -0.3 -0.1
Billing adjustments..................... + 0.5 -0.1
-------------------------------
Total required annual fee recovery.. 16.6 15.6
------------------------------------------------------------------------
The required annual fee recovery amount is divided equally among
123 licensees, resulting in a FY 2009 annual fee of $127,000 per
licensee. The value of total budgeted resources for this fee class
decreases in FY 2009 compared to FY 2008 due to a decrease in the
budgeted resources for decommissioning and the fee-relief adjustment.
e. Test and Research Reactors (Non-power Reactors)
Approximately $500,000 in budgeted costs is to be recovered through
annual fees assessed to the test and research reactor class of licenses
for FY 2009. Table XV summarizes the annual fee calculation for test
and research reactors for FY 2009. FY 2008 values are shown for
comparison.
Table XV--Annual Fee Summary Calculations for Test and Research Reactors
[Dollars in millions]
------------------------------------------------------------------------
FY 2008 FY 2009
Summary fee calculations final proposed
------------------------------------------------------------------------
Total budgeted resources............................. $0.99 $1.22
Less estimated part 170 receipts..................... -0.66 -0.72
------------------
Net part 171 resources........................... $0.33 $0.50
Allocated generic transportation..................... + 0.01 + 0.01
Allocated fee relief................................. -0.01 0.00
Billing adjustments.................................. -0.02 -0.01
------------------
Total required annual fee recovery............... 0.31 0.50
------------------------------------------------------------------------
This required annual fee recovery amount is divided equally among
the four test and research reactors subject to annual fees, and results
in a FY 2009 annual fee of $124,500 for each licensee. The increase in
annual fees from FY 2008 to FY 2009 is due to an increase in budget
resources for license renewal activities partially offset by higher
part 170 revenue estimate for test and research reactors class.
f. Rare Earth Facilities
The one licensee who had an NRC specific license for receipt and
processing of source material under the Rare Earth fee class
transferred to the Agreement State, Commonwealth of Pennsylvania,
effective March 31, 2008.
Because the agency does not anticipate receiving an application for
a rare earth facility this fiscal year, no budget resources were
allocated to this fee class and no annual fee will be published in FY
2009. NRC has also revised the fee category for this fee class from
2.A.(2)(c) to 2.A.(2)(f) in FY 2009.
g. Materials Users
Table XVI shows the calculation of the FY 2009 annual fee amount
for materials users licensees. FY 2008 values are shown for comparison.
Note the following fee categories under Sec. 171.16 are included in
this fee class: 1.C., 1.D., 2.B., 2.C., 3.A. through 3.S., 4.A. through
4.C., 5.A., 5.B., 6.A., 7.A. through 7.C., 8.A., 9.A. through 9.D., 16,
and 17.
Table XVI--Annual Fee Summary Calculations for Materials Users
[Dollars in millions]
------------------------------------------------------------------------
FY 2008 FY 2009
Summary fee calculations final proposed
------------------------------------------------------------------------
Total budgeted resources............................. $22.8 $ 28.7
Less estimated part 170 receipts..................... -2.0 -1.2
------------------
Net part 171 resources........................... $20.8 $27.5
Allocated generic transportation..................... + 0.9 + 0.8
Allocated surcharge.................................. + 0.3 + 0.6
Billing adjustments.................................. -0.5 -0.1
------------------
Total required annual fee recovery............... 21.4 28.8
------------------------------------------------------------------------
The total required annual fees to be recovered from materials
licensees increases in FY 2009 mainly because of increases in the
budgeted resources allocated to this fee class for licensing
activities, and a lower part 170 estimate. Annual fees for most fee
categories within the materials users fee class increase. The number of
licensees also decreases because of the expected transfer of licensees
to the Commonwealth of Virginia. Because the agreement with the
Commonwealth of Virginia is expected to be effective March 31, 2009,
the licensees transferring to the Commonwealth of Virginia will be
subject to one-half of the annual fees.
To equitably and fairly allocate the $28.8 million in FY 2009
budgeted costs to be recovered in annual fees assessed to the
approximately 3,800 diverse materials users licensees, the NRC will
continue to base the annual fees for each fee category within this
class on the part 170 application fees and estimated inspection costs
for each fee category. Because the application fees and inspection
costs are indicative of the complexity of the license, this approach
continues to provide a proxy for allocating the generic and other
regulatory costs to the diverse categories of licenses based on NRC's
cost to regulate each category. This fee calculation also continues to
consider the inspection frequency (priority), which is indicative of
the safety risk and
[[Page 9141]]
resulting regulatory costs associated with the categories of licenses.
The annual fee for these categories of materials users licenses is
developed as follows:
Annual fee = Constant x [Application Fee + (Average Inspection Cost
divided by Inspection Priority)] + Inspection Multiplier x (Average
Inspection Cost divided by Inspection Priority) + Unique Category
Costs.
The constant is the multiple necessary to recover approximately
$20.9 million in general costs (including allocated generic
transportation costs) and is 1.3 for FY 2009. The average inspection
cost is the average inspection hours for each fee category multiplied
by the hourly rate of $257. The inspection priority is the interval
between routine inspections, expressed in years. The inspection
multiplier is the multiple necessary to recover approximately $7.2
million in inspection costs, and is 1.71 for FY 2009. The unique
category costs are any special costs that the NRC has budgeted for a
specific category of licenses. For FY 2009, no unique costs were
identified.
The annual fee to be assessed to each licensee also includes a net
surcharge of $625,000 (see Section II.B.1., ``Application of ``Fee
Relief/Surcharge,'' of this document). This surcharge is the result of
subtracting the $87,000 in fee relief (reduction to annual fee)
allocated to the materials users fee class from the approximately
$712,000 in LLW surcharge costs allocated to the fee class. The amended
annual fee for each fee category is shown in Sec. 171.16(d).
h. Transportation
Table XVII shows the calculation of the FY 2009 generic
transportation budgeted resources to be recovered through annual fees.
FY 2008 values are shown for comparison.
Table XVII--Annual Fee Summary Calculations for Transportation
[Dollars in millions]
------------------------------------------------------------------------
FY 2008 FY 2009
Summary fee calculations final proposed
------------------------------------------------------------------------
Total budgeted resources...................... $5.7 $6.1
Less estimated part 170 receipts.............. -2.3 -3.1
-------------------------
Net part 171 resources.................... 3.4 3.0
------------------------------------------------------------------------
The NRC must approve any package used for shipping nuclear material
before shipment. If the package meets NRC requirements, the NRC issues
a Radioactive Material Package Certificate of Compliance (CoC) to the
organization requesting approval of a package. Organizations are
authorized to ship radioactive material in a package approved for use
under the general licensing provisions of 10 CFR Part 71. The resources
associated with generic transportation activities are distributed to
the license fee classes based on the number of CoCs benefitting (used
by) that fee class, as a proxy for the generic transportation resources
expended for each fee class.
The total FY 2009 budgeted resources for generic transportation
activities, including those to support DOE CoCs, are $3.0 million. The
budgeted resources for these activities in FY 2009 decreased compared
with FY 2008, mostly due to higher part 170 revenue estimate partially
offset by increase in budget resources for licensing activities.
Generic transportation resources associated with fee-exempt entities
are not included in this total. These costs are included in the
appropriate fee-relief category (e.g., the fee-relief category for
nonprofit educational institutions).
Consistent with the policy established in the NRC's FY 2006 final
fee rule (71 FR 30734; May 30, 2006), the NRC will recover generic
transportation costs unrelated to DOE as part of existing annual fees
for license fee classes. NRC will continue to assess a separate annual
fee under Sec. 171.16, fee category 18.A., for DOE transportation
activities. The CoCs for DOE decreased in FY 2009 compared to FY 2008
resulting in a lower annual fee for DOE under fee category 18.A.
The amount of the generic resources allocated is calculated by
multiplying the percentage of total CoCs used by each fee class (and
DOE) by the total generic transportation resources to be recovered. In
FY 2009, the generic transportation cost allocated to the most fee
classes decreases compared to FY 2008 due to the decrease in total
budgeted resources allocated for transportation.
The distribution of these resources to the license fee classes and
DOE is shown in Table XVIII. The distribution is adjusted to account
for the licensees in each fee class that are fee exempt. For example,
if 3 CoCs benefit the entire test and research reactor class, but only
4 of 30 test and research reactors are subject to annual fees, the
number of CoCs used to determine the proportion of generic
transportation resources allocated to test and research reactor annual
fees equals ((4/30)*3), or 0.4 CoCs.
Table XVIII--Distribution of Generic Transportation Resources, FY 2009
[Dollars in millions]
----------------------------------------------------------------------------------------------------------------
Allocated
Number CoCs Percentage of generic
License fee class/DOE benefiting fee total CoCs transportation
class (or DOE) (percent) resources
----------------------------------------------------------------------------------------------------------------
Total........................................................... 121.5 100.0 $3.00
DOE............................................................. 29.0 23.9 0.72
Operating Power Reactors........................................ 34.0 28.0 0.84
Spent Fuel Storage/Reactor Decommissioning...................... 9.0 7.4 0.22
Test and Research Reactors...................................... 0.5 0.4 0.01
Fuel Facilities................................................. 17.0 14.0 0.42
Materials Users................................................. 32.0 26.3 0.79
----------------------------------------------------------------------------------------------------------------
The NRC is proposing to continue to assess DOE an annual fee based
on the part 71 CoCs it holds, and not allocate these DOE-related
resources to other licensees' annual fees, because these resources
specifically support DOE. Note that DOE's proposed annual fee includes
a reduction for the fee relief (see Section II.B.1, Application of
``Fee Relief/Surcharge,'' of this document), resulting in a total
annual fee of $679,000 for FY 2009. This fee decrease from last year is
primarily due to a decrease in the number of DOE CoCs.
4. Small Entity Fees
The small entity annual fee is charged to those licensees who
qualify as small entities and would otherwise be required to pay annual
fees as stipulated under Sec. 171.16(d). Based on an in-depth
[[Page 9142]]
analysis conducted in FY 2009, the NRC is proposing to reduce the
maximum small entity fee from $2,300 to $1,900 and the lower tier fee
from $500 to $400. This reduction reflects the decrease in annual fees
for the small materials licensees in the past two years.
In 2007, the NRC revised its receipts-based size standards (72 FR
44951, August 10, 2007) to conform to the Small Business Agency
standards. The maximum average gross annual receipts (upper tier) to
qualify as a small entity were changed to $6.5 million from $5 million.
The NRC is now proposing to revise the small entity lower tier
receipts-based threshold to $450,000 from $350,000. This change is
approximately the same percentage adjustment as the change in the upper
tier receipts-based standard.
5. Fee Category Changes
The NRC is proposing to revise the fee categories for uranium
recovery facilities in Sec. 171.16. The new fee categories will better
reflect the NRC's regulatory effort expended for the different types of
facilities, both existing and planned. A more detailed discussion is in
Section II.B.3.b., `Uranium Recovery Facilities'. The NRC is also
proposing to modify footnote 4 in Sec. 171.16 to remove references to
uranium milling. These references no longer apply since fee categories
2.A.(2) related to uranium recovery facilities have been revised.
The NRC is also proposing to revise the description for two fee
categories, 7.A. and 17 in Sec. 171.16. The NRC proposes to amend fee
category 7.A., related to medical licenses, to more precisely state
which medical devices it covers. Currently, the fee category applies to
teletherapy devices. The NRC has historically included gamma
stereotactic radiosurgery units (gamma knives) in this category per
NUREG 1556, Volume 20, Appendix G. This amendment explicitly provides
that fee category 7.A. include gamma knives and other similar beam
therapy devices. The fee category 17 for master materials license is
being expanded to include non-government entities with multi-site
licenses.
The new fee category descriptions do not represent any additions to
the types of licenses regulated by NRC. These changes will help clarify
the types of licenses covered under specific categories for NRC
licensees.
6. Administrative Amendments
The NRC applies the 10 percent of its budget that it receives as
fee relief under OBRA-90, as amended, to offset the budget resources
supporting activities which do not directly benefit current NRC
licensees (fee-relief activities). Any remaining amount is allocated to
all licensees' annual fees (see Section II.B.1., Application of ``Fee
Relief/Surcharge'' of this document). The NRC is proposing to replace
the term for this allocated amount in Sec. 171.15 and Sec. 171.16
from `surcharge' to `fee-relief adjustment'. The new term better
describes the allocated amount since the fee relief is a reduction in
annual fee for most fee classes in FY 2009. The allocation is an
adjustment to the annual fee.
In summary, the NRC is proposing to--
1. Use the NRC's fee relief to reduce all licensees' annual fees,
based on their percent of the NRC budget;
2. Revise the number of NRC licensees to reflect the expectation
that the Commonwealth of Virginia will become an Agreement State on
March 31, 2009;
3. Establish rebaselined annual fees for FY 2009; and
4. Reduce the maximum small entity fee from $2,300 to $1,900, and
the lower tier fee from $500 to $400.
5. Revise some fee categories to better reflect NRC's regulatory
effort.
6. Make certain administrative changes for purposes of
clarification.
III. Plain Language
The Presidential Memorandum dated June 1, 1998, entitled, ``Plain
Language in Government Writing'' directed that the Government's writing
be in plain language. This memorandum was published on June 10, 1998
(63 FR 31883). The NRC requests specific comments on the clarity and
effectiveness of the language in the proposed rule. Comments should be
sent to the address listed under the ADDRESSES heading.
IV. Voluntary Consensus Standards
The National Technology Transfer and Advancement Act of 1995, 15
U.S.C. 3701, requires that Federal agencies use technical standards
that are developed or adopted by voluntary consensus standards bodies
unless using these standards is inconsistent with applicable law or is
otherwise impractical. The NRC is proposing to amend the licensing,
inspection, and annual fees charged to its licensees and applicants as
necessary to recover approximately 90 percent of its budget authority
in FY 2009, as required by the Omnibus Budget Reconciliation Act of
1990, as amended. This action does not constitute the establishment of
a standard that contains generally applicable requirements.
V. Environmental Impact: Categorical Exclusion
The NRC has determined that this proposed rule is the type of
action described in categorical exclusion 10 CFR 51.22(c)(1).
Therefore, neither an environmental assessment nor an environmental
impact statement has been prepared for the proposed rule. By its very
nature, this regulatory action does not affect the environment and,
therefore, no environmental justice issues are raised.
VI. Paperwork Reduction Act Statement
This proposed rule does not contain information collection
requirements and, therefore, is not subject to the requirements of the
Paperwork Reduction Act of 1995 44 U.S.C. 3501 et seq.
VII. Regulatory Analysis
With respect to 10 CFR part 170, this proposed rule was developed
under Title V of the IOAA (31 U.S.C. 9701) and the Commission's fee
guidelines. When developing these guidelines the Commission took into
account guidance provided by the U.S. Supreme Court on March 4, 1974,
in National Cable Television Association, Inc. v. United States, 415
U.S. 36 (1974) and Federal Power Commission v. New England Power
Company, 415 U.S. 345 (1974). In these decisions, the Court held that
the IOAA authorizes an agency to charge fees for special benefits
rendered to identifiable persons measured by the ``value to the
recipient'' of the agency service. The meaning of the IOAA was further
clarified on December 16, 1976, by four decisions of the U.S. Court of
Appeals for the District of Columbia: National Cable Television
Association v. Federal Communications Commission, 554 F.2d 1094 (DC
Cir. 1976); National Association of Broadcasters v. Federal
Communications Commission, 554 F.2d 1118 (DC Cir. 1976); Electronic
Industries Association v. Federal Communications Commission, 554 F.2d
1109 (DC Cir. 1976); and Capital Cities Communication, Inc. v. Federal
Communications Commission, 554 F.2d 1135 (DC Cir. 1976). The
Commission's fee guidelines were developed based on these legal
decisions.
The Commission's fee guidelines were upheld on August 24, 1979, by
the U.S. Court of Appeals for the Fifth Circuit in Mississippi Power
and Light Co. v. U.S. Nuclear Regulatory Commission, 601 F.2d 223 (5th
Cir. 1979), cert. denied, 444 U.S. 1102 (1980). This court held that:
[[Page 9143]]
(1) The NRC had the authority to recover the full cost of providing
services to identifiable beneficiaries;
(2) The NRC could properly assess a fee for the costs of providing
routine inspections necessary to ensure a licensee's compliance with
the Atomic Energy Act of 1954, as amended, and with applicable
regulations;
(3) The NRC could charge for costs incurred in conducting
environmental reviews required by the National Environmental Policy
Act, 42 U.S.C. 4321;
(4) The NRC properly included the costs of uncontested hearings and
of administrative and technical support services in the fee schedule;
(5) The NRC could assess a fee for renewing a license to operate a
low-level radioactive waste burial site; and
(6) The NRC's fees were not arbitrary or capricious.
With respect to 10 CFR part 171, on November 5, 1990, the Congress
passed OBRA-90, which required that, for FYs 1991 through 1995,
approximately 100 percent of the NRC budget authority, less
appropriations from the NWF, be recovered through the assessment of
fees. OBRA-90 was subsequently amended to extend the 100 percent fee
recovery requirement through FY 2000. The FY 2001 Energy and Water
Development Appropriation Act (EWDAA) amended OBRA-90 to decrease the
NRC's fee recovery amount by 2 percent per year beginning in FY 2001,
until the fee recovery amount was 90 percent in FY 2005. The FY 2006
EWDAA extended this 90 percent fee recovery requirement for FY 2006.
Section 637 of the Energy Policy Act of 2005 made the 90 percent fee
recovery requirement permanent in FY 2007. As a result, the NRC is
required to recover approximately 90 percent of its FY 2009 budget
authority, less the amounts appropriated from the NWF, WIR, and generic
homeland security activities through fees. To comply with this
statutory requirement and in accordance with ( 171.13, the NRC is
publishing the amount of the FY 2009 annual fees for reactor licensees,
fuel cycle licensees, materials licensees, and holders of CoCs,
registrations of sealed source and devices, and Government agencies.
OBRA-90, consistent with the accompanying Conference Committee Report,
and the amendments to OBRA-90, provides that--
(1) The annual fees will be based on approximately 90 percent of
the Commission's FY 2009 budget of $1,069.8 million less the funds
directly appropriated from the NWF to cover the NRC's high-level waste
program, and for WIR, generic homeland security activities, and less
the amount of funds collected from part 170 fees;
(2) The annual fees shall, to the maximum extent practicable, have
a reasonable relationship to the cost of regulatory services provided
by the Commission; and
(3) The annual fees be assessed to those licensees the Commission,
in its discretion, determines can fairly, equitably, and practicably
contribute to their payment.
Part 171, which established annual fees for operating power
reactors effective October 20, 1986 (51 FR 33224; September 18, 1986),
was challenged and upheld in its entirety in Florida Power and Light
Company v. United States, 846 F.2d 765 (DC Cir. 1988), cert. denied,
490 U.S. 1045 (1989). Further, the NRC's FY 1991 annual fee rule
methodology was upheld by the D.C. Circuit Court of Appeals in Allied
Signal v. NRC, 988 F.2d 146 (DC Cir. 1993).
VIII. Regulatory Flexibility Analysis
The NRC is required by the OBRA-90, as amended, to recover
approximately 90 percent of its FY 2009 budget authority through the
assessment of user fees. This Act further requires that the NRC
establish a schedule of charges that fairly and equitably allocates the
aggregate amount of these charges among licensees.
This proposed rule would establish the schedules of fees that are
necessary to implement the Congressional mandate for FY 2009. This rule
would result in increases in the annual fees charged to certain
licensees and holders of certificates, registrations, and approvals,
and decreases in annual fees for others. Licensees affected by the
annual fee increases and decreases include those that qualify as a
small entity under NRC's size standards in 10 CFR 2.810. The Regulatory
Flexibility Analysis, prepared in accordance with 5 U.S.C. 604, is
included as Appendix A to this proposed rule.
The Small Business Regulatory Enforcement Act (SBREFA) requires all
Federal agencies to prepare a written compliance guide for each rule
for which the agency is required by 5 U.S.C. 604 to prepare a
regulatory flexibility analysis. Therefore, in compliance with the law,
Attachment 1 to the Regulatory Flexibility Analysis is the small entity
compliance guide for FY 2009.
IX. Backfit Analysis
The NRC has determined that the backfit rule, 10 CFR 50.109, does
not apply to this proposed rule and that a backfit analysis is not
required for this proposed rule. The backfit analysis is not required
because these amendments do not require the modification of, or
additions to systems, structures, components, or the design of a
facility, or the design approval or manufacturing license for a
facility, or the procedures or organization required to design,
construct, or operate a facility.
List of Subjects
10 CFR Part 170
Byproduct material, Import and export licenses, Intergovernmental
relations, Non-payment penalties, Nuclear materials, Nuclear power
plants and reactors, Source material, Special nuclear material.
10 CFR Part 171
Annual charges, Byproduct material, Holders of certificates,
Registrations, Approvals, Intergovernmental relations, Non-payment
penalties, Nuclear materials, Nuclear power plants and reactors, Source
material, Special nuclear material.
For the reasons set out in the preamble and under the authority of
the Atomic Energy Act of 1954, as amended; the Energy Reorganization
Act of 1974, as amended; and 5 U.S.C. 553, the NRC is proposing to
adopt the following amendments to 10 CFR parts 170 and 171.
PART 170--FEES FOR FACILITIES, MATERIALS, IMPORT AND EXPORT
LICENSES, AND OTHER REGULATORY SERVICES UNDER THE ATOMIC ENERGY ACT
OF 1954, AS AMENDED
1. The authority citation for part 170 continues to read as
follows:
Authority: Section 9701, Pub. L. 97-258, 96 Stat. 1051 (31
U.S.C. 9701); Sec. 301, Pub. L. 92-314, 86 Stat. 227 (42 U.S.C.
2201w); sec. 201, Pub. L. 93-438, 88 Stat. 1242, as amended (42
U.S.C. 5841); Sec. 205a, Pub. L. 101-576, 104 Stat. 2842, as amended
(31 U.S.C. 901, 902); Sec. 1704, 112 Stat. 2750 (44 U.S.C. 3504
note), sec. 623, Pub. L. 109-58, 119 Stat. 783 (42 U.S.C. 2201(w));
Sec. 651(e), Pub. L. 109-58, 119 Stat. 806-810 (42 U.S.C. 2014,
2021, 2021b, 2111).
2. Section 170.11 is revised to read as follows:
Sec. 170.11 Exemptions.
(a) No application fees, license fees, renewal fees, inspection
fees, or special project fees shall be required for:
(1) A request/report submitted to the NRC--
(i) In response to a Generic Letter or NRC Bulletin that does not
result in an amendment to the license, does not result in the review of
an alternate method or reanalysis to meet the
[[Page 9144]]
requirements of the Generic Letter, or does not involve an unreviewed
safety issue;
(ii) In response to an NRC request from the Associate Office
Director level or above to resolve an identified safety, safeguards, or
environmental issue, or to assist NRC in developing a rule, regulatory
guide, policy statement, generic letter, or bulletin; or
(iii) As a means of exchanging information between industry
organizations and the NRC. To receive this fee exemption,
(A) The report should be submitted for the specific purpose of
supporting ongoing NRC generic regulatory improvements or efforts
(e.g., rules, regulations, regulatory guides and policy statements) and
the agency, at the time the document is submitted, plans to use it for
that purpose. The exemption applies even if ultimately the NRC does not
use the document as planned;
(B) The NRC must be the primary beneficiary of the NRC's review and
approval of these documents. This exemption does not apply to a topical
report submitted for the purpose of obtaining NRC approval so that the
report can be used by the industry in the future to address licensing
or safety issues, even though the NRC may realize some benefits from
its review and approval of the document;
(C) The fee exemption is requested in writing to the Chief
Financial Officer in accordance with 10 CFR 170.5, and the Chief
Financial Officer grants this request in writing.
* * * * *
(b) The Commission may, upon application by an interested person,
or upon its own initiative, grant such exemptions from the requirements
of this part as it determines are authorized by law and are otherwise
in the public interest. Applications for exemption under this paragraph
may include activities such as, but not limited to, the use of licensed
materials for educational or noncommercial public displays or
scientific collections.
3. Section 170.20 is revised to read as follows:
Sec. 170.20 Average cost per professional staff-hour.
Fees for permits, licenses, amendments, renewals, special projects,
10 CFR part 55 requalification and replacement examinations and tests,
other required reviews, approvals, and inspections under Sec. Sec.
170.21 and 170.31 will be calculated using the professional staff-hour
rate of $257 per hour.
4. In Sec. 170.21, in the table, fee category K is revised to read
as follows:
Sec. 170.21 Schedule of fees for production and utilization
facilities, review of standard referenced design approvals, special
projects, inspections and import and export licenses.
* * * * *
Schedule of Facility Fees
[See footnotes at end of table]
------------------------------------------------------------------------
Fees \1\
Facility categories and type of fees \2\
------------------------------------------------------------------------
* * * * * * *
K. Import and export licenses:
Licenses for the import and export only of production and
utilization facilities or the export only of components
for production and utilization facilities issued under 10
CFR Part 110.
1. Application for import or export of production and
utilization facilities \4\ (including reactors and other
facilities) and exports of components requiring Commission
and Executive Branch review, for example, actions under 10
CFR 110.40(b).
Application--new license, or amendment; or license $16,700
exemption request.........................................
2. Application for export of reactor and other components
requiring Executive Branch review only, for example, those
actions under 10 CFR 110.41(a)(1)-(8).
Application--new license, or amendment; or license 9,800
exemption request.........................................
3. Application for export of components requiring the
assistance of the Executive Branch to obtain foreign
government assurances.
Application--new license, or amendment; or license 4,100
exemption request.........................................
4. Application for export of facility components and
equipment (examples provided in 10 CFR part 110, Appendix
A, Items (5) through (9)) not requiring Commission or
Executive Branch review, or obtaining foreign government
assurances.
Application--new license, or amendment; or license 2,600
exemption request.........................................
5. Minor amendment of any active export or import license,
for example, to extend the expiration date, change
domestic information, or make other revisions which do not
involve any substantive changes to license terms or
conditions or to the type of facility or component
authorized for export and therefore, do not require in-
depth analysis or review or consultation with the
Executive Branch, U.S. host state, or foreign government
authorities.
Minor amendment to license................................. 770
* * * * * * *
------------------------------------------------------------------------
\1\ Fees will not be charged for orders related to civil penalties or
other civil sanctions issued by the Commission under Sec. 2.202 of
this chapter or for amendments resulting specifically from the
requirements of these orders. For orders unrelated to civil penalties
or other civil sanctions, fees will be charged for any resulting
licensee-specific activities not otherwise exempted from fees under
this chapter. Fees will be charged for approvals issued under a
specific exemption provision of the Commission's regulations under
Title 10 of the Code of Federal Regulations (e.g., 10 CFR 50.12, 10
CFR 73.5) and any other sections in effect now or in the future,
regardless if the approval is in the form of a license amendment,
letter of approval, safety evaluation report, or other form.
\2\ Full cost fees will be determined based on the professional staff
time and appropriate contractual support services expended. For
applications currently on file and for which fees are determined based
on the full cost expended for the review, the professional staff hours
expended for the review of the application up to the effective date of
the final rule will be determined at the professional rates in effect
when the service was provided. For those applications currently on
file for which review costs have reached an applicable fee ceiling
established by the June 20, 1984, and July 2, 1990, rules, but are
still pending completion of the review, the cost incurred after any
applicable ceiling was reached through January 29, 1989, will not be
billed to the applicant. Any professional staff-hours expended above
those ceilings on or after January 30, 1989, will be assessed at the
applicable rates established by Sec. 170.20, as appropriate, except
for topical reports whose costs exceed $50,000. Costs which exceed
$50,000 for any topical report, amendment, revision or supplement to a
topical report completed or under review from January 30, 1989,
through August 8, 1991, will not be billed to the applicant. Any
professional hours expended on or after August 9, 1991, will be
assessed at the applicable rate established in Sec. 170.20.
* * * * * * *
\4\ Imports only of major components for end-use at NRC-licensed
reactors are now authorized under NRC general import license.
[[Page 9145]]
5. In Sec. 170.31, the table is revised to read as follows:
Sec. 170.31 Schedule of fees for materials licenses and other
regulatory services, including inspections, and import and export
licenses.
* * * * *
Schedule of Materials Fees
[See footnotes at end of table]
------------------------------------------------------------------------
Category of materials licenses and type of fees
\1\ Fee 2 3
------------------------------------------------------------------------
1. Special nuclear material:
A. (1) Licenses for possession and use of U-235
or plutonium for fuel fabrication activities.
(a) Strategic Special Nuclear Material (High Full Cost
Enriched Uranium) [Program Code(s): 21130].
(b) Low Enriched Uranium in Dispersible Form Used Full Cost
for Fabrication of Power Reactor Fuel [Program
Code(s): 21210.
(2) All other special nuclear materials licenses
not included in Category 1.A.(1) which are
licensed for fuel cycle activities.
(a) Facilities with limited operations [Program Full Cost
Code(s): 21310, 21320].
(b) Gas centrifuge enrichment demonstration Full Cost
facilities.
(c) Others, including hot cell facilities........ Full Cost
B. Licenses for receipt and storage of spent fuel Full Cost
and reactor-related Greater than Class C (GTCC)
waste at an independent spent fuel storage
installation (ISFSI) [Program Code(s): 23200].
C. Licenses for possession and use of special
nuclear material in sealed sources contained in
devices used in industrial measuring systems,
including x-ray fluorescence analyzers.\4\
Application [Program Code(s): 22140]............. $1,200
D. All other special nuclear material licenses,
except licenses authorizing special nuclear
material in unsealed form in combination that
would constitute a critical quantity, as defined
in Sec. 150.11 of this chapter, for which the
licensee shall pay the same fees as those under
Category 1.A.\4\
Application [Program Code(s): 22110, 22111, $2,400
22120, 22131, 22136, 22150, 22151, 22161, 22163,
22170, 23100, 23300, 23310].
E. Licenses or certificates for construction and Full Cost
operation of a uranium enrichment facility
[Program Code(s): 21200].
2. Source material:
A. (1) Licenses for possession and use of source Full Cost
material for refining uranium mill concentrates
to uranium hexafluoride [Program Code(s): 11400].
(2) Licenses for possession and use of source
material in recovery operations such as milling,
in-situ recovery, heap-leaching, ore buying
stations, ion exchange facilities and in
processing of ores containing source material
for extraction of metals other than uranium or
thorium, including licenses authorizing the
possession of byproduct waste material
(tailings) from source material recovery
operations, as well as licenses authorizing the
possession and maintenance of a facility in a
standby mode.
(a) Conventional and Heap Leach facilities Full Cost
[Program Code(s): 11100].
(b) Basic In Situ Recovery facilities [Program Full Cost
Code(s): 11500].
(c) Expanded In Situ Recovery facilities [Program Full Cost
Code(s): 11500].
(d) In Situ Recovery Resin facilities............ Full Cost
(e) Resin Toll Milling facilities................ Full Cost
(f) Other facilities [Program Code(s): 11700].... Full Cost
(3) Licenses that authorize the receipt of Full Cost
byproduct material, as defined in Section
11e.(2) of the Atomic Energy Act, from other
persons for possession and disposal, except
those licenses subject to the fees in Category
2.A.(2) or Category 2.A.(4) [Program Code(s):
11600].
(4) Licenses that authorize the receipt of Full Cost
byproduct material, as defined in Section
11e.(2) of the Atomic Energy Act, from other
persons for possession and disposal incidental
to the disposal of the uranium waste tailings
generated by the licensee's milling operations,
except those licenses subject to the fees in
Category 2.A.(2).
(5) Licenses that authorize the possession of Full Cost
source material related to removal of
contaminants (source material) from drinking
water.
B. Licenses which authorize the possession, use,
and/or installation of source material for
shielding.
Application [Program Code(s): 11210]............. $570
C. All other source material licenses.
Application [Program Code(s): 11200, 11220, $10,100
11221, 11230, 11300, 11800, 11810].
3. Byproduct material:
A. Licenses of broad scope for the possession and
use of byproduct material issued under parts 30
and 33 of this chapter for processing or
manufacturing of items containing byproduct
material for commercial distribution.
Application [Program Code(s): 03211, 03212, $12,000
03213].
B. Other licenses for possession and use of
byproduct material issued under part 30 of this
chapter for processing or manufacturing of items
containing byproduct material for commercial
distribution.
Application [Program Code(s): 03214, 03215, $4,500
22135, 22162].
C. Licenses issued under Sec. Sec. 32.72 and/
or 32.74 of this chapter that authorize the
processing or manufacturing and distribution or
redistribution of radiopharmaceuticals,
generators, reagent kits, and/or sources and
devices containing byproduct material. This
category does not apply to licenses issued to
nonprofit educational institutions whose
processing or manufacturing is exempt under Sec.
170.11(a)(4). These licenses are covered by
fee Category 3.D.
Application [Program Code(s): 02500, 02511, $6,500
02513].
D. Licenses and approvals issued under Sec. Sec.
32.72 and/or 32.74 of this chapter authorizing
distribution or redistribution of
radiopharmaceuticals, generators, reagent kits,
and/or sources or devices not involving
processing of byproduct material. This category
includes licenses issued under Sec. Sec.
32.72 and/or 32.74 of this chapter to nonprofit
educational institutions whose processing or
manufacturing is exempt under Sec.
170.11(a)(4).
Application [Program Code(s): 02512, 02514]...... $4,400
E. Licenses for possession and use of byproduct
material in sealed sources for irradiation of
materials in which the source is not removed
from its shield (self-shielded units).
Application [Program Code(s): 03510, 03520]...... $3,000
[[Page 9146]]
F. Licenses for possession and use of less than
10,000 curies of byproduct material in sealed
sources for irradiation of materials in which
the source is exposed for irradiation purposes.
This category also includes underwater
irradiators for irradiation of materials where
the source is not exposed for irradiation
purposes.
Application [Program Code(s): 03511]............. $6,000
G. Licenses for possession and use of 10,000
curies or more of byproduct material in sealed
sources for irradiation of materials in which
the source is exposed for irradiation purposes.
This category also includes underwater
irradiators for irradiation of materials where
the source is not exposed for irradiation
purposes.
Application [Program Code(s): 03521]............. $28,700
H. Licenses issued under Subpart A of part 32 of
this chapter to distribute items containing
byproduct material that require device review to
persons exempt from the licensing requirements
of part 30 of this chapter. The category does
not include specific licenses authorizing
redistribution of items that have been
authorized for distribution to persons exempt
from the licensing requirements of part 30 of
this chapter.
Application [Program Code(s): 03255]............. $5,500
I. Licenses issued under Subpart A of part 32 of
this chapter to distribute items containing
byproduct material or quantities of byproduct
material that do not require device evaluation
to persons exempt from the licensing
requirements of part 30 of this chapter. This
category does not include specific licenses
authorizing redistribution of items that have
been authorized for distribution to persons
exempt from the licensing requirements of part
30 of this chapter.
Application [Program Code(s): 03250, 03251, $10,000
03252, 03253, 03254, 03256].
J. Licenses issued under Subpart B of part 32 of
this chapter to distribute items containing
byproduct material that require sealed source
and/or device review to persons generally
licensed under part 31 of this chapter. This
category does not include specific licenses
authorizing redistribution of items that have
been authorized for distribution to persons
generally licensed under part 31 of this
chapter.
Application [Program Code(s): 03240, 03241, $1,800
03243].
K. Licenses issued under Subpart B of part 32 of
this chapter to distribute items containing
byproduct material or quantities of byproduct
material that do not require sealed source and/
or device review to persons generally licensed
under part 31 of this chapter. This category
does not include specific licenses authorizing
redistribution of items that have been
authorized for distribution to persons generally
licensed under part 31 of this chapter.
Application [Program Code(s): 03242, 03244]...... $1,100
L. Licenses of broad scope for possession and use
of byproduct material issued under parts 30 and
33 of this chapter for research and development
that do not authorize commercial distribution.
Application [Program Code(s): 01100, 01110, $10,100
01120, 03610, 03611, 03612, 03613].
M. Other licenses for possession and use of
byproduct material issued under part 30 of this
chapter for research and development that do not
authorize commercial distribution.
Application [Program Code(s): 03620]............. $3,500
N. Licenses that authorize services for other
licensees, except:
(1) Licenses that authorize only calibration and/
or leak testing services are subject to the fees
specified in fee Category 3P; and
(2) Licenses that authorize waste disposal
services are subject to the fees specified in
fee Categories 4.A., 4.B., and 4.C.
Application [Program Code(s): 03219, 03225, $6,100
03226].
O. Licenses for possession and use of byproduct
material issued under part 34 of this chapter
for industrial radiography operations.
Application [Program Code(s): 03310, 03320]...... $5,800
P. All other specific byproduct material
licenses, except those in Categories 4.A.
through 9.D.
Application [Program Code(s): 02400, 02410, $1,400
03120, 03121, 03122, 03123, 03124, 03220, 03221,
03222, 03800, 03810, 22130].
Q. Registration of a device(s) generally licensed
under part 31 of this chapter.
Registration..................................... $310
R. Possession of items or products containing
radium-226 identified in 10 CFR 31.12 which
exceed the number of items or limits specified
in that section.\6\
1. Possession of quantities exceeding the number
of items or limits in 10 CFR 31.12(a)(4), or (5)
but less than or equal to 10 times the number of
items or limits specified.
Application [Program Code(s): 02700]............. $1,180
2. Possession of quantities exceeding 10 times
the number of items or limits specified in 10
CFR 31.12(a)(4), or (5).C.
Application [Program Code(s): 02710]............. $1,400
S. Licenses for production of accelerator-
produced radionuclides.
Application [Program Code(s): 03210]............. $6,500
4. Waste disposal and processing:
A. Licenses specifically authorizing the receipt Full Cost
of waste byproduct material, source material, or
special nuclear material from other persons for
the purpose of contingency storage or commercial
land disposal by the licensee; or licenses
authorizing contingency storage of low-level
radioactive waste at the site of nuclear power
reactors; or licenses for receipt of waste from
other persons for incineration or other
treatment, packaging of resulting waste and
residues, and transfer of packages to another
person authorized to receive or dispose of waste
material. [Program Code(s): 03231, 03233, 03235,
03236, 06100, 06101].
B. Licenses specifically authorizing the receipt
of waste byproduct material, source material, or
special nuclear material from other persons for
the purpose of packaging or repackaging the
material. The licensee will dispose of the
material by transfer to another person
authorized to receive or dispose of the
material.
Application [Program Code(s): 03234]............. $4,400
C. Licenses specifically authorizing the receipt
of prepackaged waste byproduct material, source
material, or special nuclear material from other
persons. The licensee will dispose of the
material by transfer to another person
authorized to receive or dispose of the
material.
Application [Program Code(s): 03232]............. $4,600
5. Well logging:
A. Licenses for possession and use of byproduct
material, source material, and/or special
nuclear material for well logging, well surveys,
and tracer studies other than field flooding
tracer studies.
Application [Program Code(s): 03110, 03111, $3,400
03112].
[[Page 9147]]
B. Licenses for possession and use of byproduct
material for field flooding tracer studies.
Licensing [Program Code(s): 03113]............... Full Cost
6. Nuclear laundries:
A. Licenses for commercial collection and laundry
of items contaminated with byproduct material,
source material, or special nuclear material.
Application [Program Code(s): 03218]............. $20,500
7. Medical licenses:
A. Licenses issued under parts 30, 35, 40, and 70
of this chapter for human use of byproduct
material, source material, or special nuclear
material in sealed sources contained in gamma
stereotactic radiosurgery units, teletherapy
devices, or similar beam therapy devices.
Application [Program Code(s): 02300, 02310]...... $11,200
B. Licenses of broad scope issued to medical
institutions or two or more physicians under
parts 30, 33, 35, 40, and 70 of this chapter
authorizing research and development, including
human use of byproduct material, except licenses
for byproduct material, source material, or
special nuclear material in sealed sources
contained in teletherapy devices. This category
also includes the possession and use of source
material for shielding when authorized on the
same license.
Application [Program Code(s): 02110]............. $8,000
C. Other licenses issued under parts 30, 35, 40,
and 70 of this chapter for human use of
byproduct material, source material, and/or
special nuclear material, except licenses for
byproduct material, source material, or special
nuclear material in sealed sources contained in
teletherapy devices.
Application [Program Code(s): 02120, 02121, $2,300
02200, 02201, 02210, 02220, 02230, 02231, 02240,
22160].
8. Civil defense:
A. Licenses for possession and use of byproduct
material, source material, or special nuclear
material for civil defense activities.
Application [Program Code(s): 03710]............. $1,180
9. Device, product, or sealed source safety
evaluation:
A. Safety evaluation of devices or products
containing byproduct material, source material,
or special nuclear material, except reactor fuel
devices, for commercial distribution.
Application--each device......................... $8,300
B. Safety evaluation of devices or products
containing byproduct material, source material,
or special nuclear material manufactured in
accordance with the unique specifications of,
and for use by, a single applicant, except
reactor fuel devices.
Application--each device......................... $8,300
C. Safety evaluation of sealed sources containing
byproduct material, source material, or special
nuclear material, except reactor fuel, for
commercial distribution.
Application--each source......................... $5,800
D. Safety evaluation of sealed sources containing
byproduct material, source material, or special
nuclear material, manufactured in accordance
with the unique specifications of, and for use
by, a single applicant, except reactor fuel.
Application--each source......................... $980
10. Transportation of radioactive material:
A. Evaluation of casks, packages, and shipping
containers.
1. Spent Fuel, High-Level Waste, and plutonium Full Cost
air packages.
2. Other Casks................................... Full Cost
B. Quality assurance program approvals issued
under part 71 of this chapter.
1. Users and Fabricators.
Application...................................... $3,100
Inspections...................................... Full Cost
2. Users.
Application...................................... $3,100
Inspections...................................... Full Cost
C. Evaluation of security plans, route approvals, Full Cost
route surveys, and transportation security
devices (including immobilization devices).
11. Review of standardized spent fuel facilities. Full Cost
12. Special projects:
Including approvals, preapplication/licensing Full Cost
activities, and inspections.
13. A. Spent fuel storage cask Certificate of Full Cost
Compliance.
B. Inspections related to storage of spent fuel Full Cost
under Sec. 72.210 of this chapter.
14. A. Byproduct, source, or special nuclear Full Cost
material licenses and other approvals
authorizing decommissioning, decontamination,
reclamation, or site restoration activities
under parts 30, 40, 70, 72, and 76 of this
chapter.
B. Site-specific decommissioning activities Full Cost
associated with unlicensed sites, regardless of
whether or not the sites have been previously
licensed. Part 170 fees for these activities
will not be charged until July 25, 2007.
15. Import and Export licenses:
Licenses issued under part 110 of this chapter
for the import and export only of special
nuclear material, source material, tritium and
other byproduct material, and the export only of
heavy water, or nuclear grade graphite (fee
categories 15.A. through 15.E).
A. Application for export or import of nuclear
materials, including radioactive waste requiring
Commission and Executive Branch review, for
example, those actions under 10 CFR 110.40(b).
Application--new license, or amendment; or $16,700
license exemption request.
B. Application for export or import of nuclear
material, including radioactive waste, requiring
Executive Branch review, but not Commission
review. This category includes applications for
the export and import of radioactive waste and
requires NRC to consult with domestic host state
authorities, Low-Level Radioactive Waste Compact
Commission, the U.S. Environmental Protection
Agency, etc.
Application--new license, or amendment; or $9,800
license exemption request.
C. Application for export of nuclear material,
for example, routine reloads of low enriched
uranium reactor fuel and/or natural uranium
source material requiring the assistance of the
Executive Branch to obtain foreign government
assurances.
[[Page 9148]]
Application--new license, or amendment; or $4,100
license exemption request.
D. Application for export or import of nuclear
material, including radioactive waste, not
requiring Commission or Executive Branch review,
or obtaining foreign government assurances. This
category includes applications for export or
import of radioactive waste where the NRC has
previously authorized the export or import of
the same form of waste to or from the same or
similar parties located in the same country,
requiring only confirmation from the receiving
facility and licensing authorities that the
shipments may proceed according to previously
agreed understandings and procedures.
Application--new license, or amendment; or $2,600
license exemption request.
E. Minor amendment of any active export or import
license, for example, to extend the expiration
date, change domestic information, or make other
revisions which do not involve any substantive
changes to license terms and conditions or to
the type/quantity/chemical composition of the
material authorized for export and, therefore,
do not require in-depth analysis, review, or
consultations with other Executive Branch, U.S.
host state, or foreign government authorities.
Minor amendment.................................. $770
Licenses issued under part 110 of this chapter
for the import and export only of Category 1 and
Category 2 quantities of radioactive material
listed in Appendix P to part 110 of this chapter
(fee categories 15.F. through 15.R.).\5\
Category 1 Exports:
F. Application for export of Category 1 materials
involving an exceptional circumstances review
under 10 CFR 110.42(e)(4).
Application--new license, or amendment; or $16,700
license exemption request.
G. Application for export of Category 1 materials
requiring Executive Branch review, Commission
review, and/or government-to-government consent.
Application--new license, or amendment; or $9,800
license exemption request.
H. Application for export of Category 1 materials
requiring Commission review and government-to-
government consent.
Application--new license, or amendment; or $6,200
license exemption request.
I. Application for export of Category 1 material
requiring government-to-government consent.
Application--new license, or amendment; or $5,100
license exemption request.
Category 2 Exports:
J. Application for export of Category 2 materials
involving an exceptional circumstances review
under 10 CFR 110.42(e)(4).
Application--new license, or amendment; or $16,700
license exemption request.
K. Applications for export of Category 2
materials requiring Executive Branch review and/
or Commission review.
Application--new license, or amendment; or $9,800
license exemption request.
L. Application for the export of Category 2
materials.
Application--new license, or amendment; or $4,600
license exemption request.
Category 1 Imports:
M. Application for the import of Category 1
material requiring Commission review.
Application--new license, or amendment; or $4,900
license exemption request.
N. Application for the import of Category 1
material.
Application--new license, or amendment; or $4,100
license exemption request.
Category 2 Imports:
O. Application for the import of Category 2
material.
Application--new license, or amendment; or $3,600
license exemption request.
Category 1 Imports with Agent and Multiple
Licensees:
P. Application for the import of Category 1
material with agent and multiple licensees
requiring Commission review.
Application--new license, or amendment; or $5,700
license exemption request.
Q. Application for the import of Category 1
material with agent and multiple licensees.
Application--new license, or amendment; or $4,600
license exemption request.
Minor Amendments (Category 1 and 2 Export and
Imports):
R. Minor amendment of any active export or import
license, for example, to extend the expiration
date, change domestic information, or make other
revisions which do not involve any substantive
changes to license terms and conditions or to
the type/quantity/chemical composition of the
material authorized for export and, therefore,
do not require in-depth analysis, review, or
consultations with other Executive Branch, U.S.
host state, or foreign authorities.
Minor amendment.................................. $770
16. Reciprocity:
Agreement State licensees who conduct activities
under the reciprocity provisions of 10 CFR
150.20.
Application...................................... $1,800
17. Master materials licenses of broad scope
issued to Government agencies and other
entities:
Application...................................... $29,900
18. Department of Energy.
A. Certificates of Compliance. Evaluation of Full Cost
casks, packages, and shipping containers
(including spent fuel, high-level waste, and
other casks, and plutonium air packages).
B. Uranium Mill Tailings Radiation Control Act Full Cost
(UMTRCA) activities.
------------------------------------------------------------------------
\1\ Types of fees--Separate charges, as shown in the schedule, will be
assessed for pre-application consultations and reviews; applications
for new licenses, approvals, or license terminations; possession only
licenses; issuance of new licenses and approvals; certain amendments
and renewals to existing licenses and approvals; safety evaluations of
sealed sources and devices; generally licensed device registrations;
and certain inspections. The following guidelines apply to these
charges:
(a) Application and registration fees. Applications for new materials
licenses and export and import licenses; applications to reinstate
expired, terminated, or inactive licenses except those subject to fees
assessed at full costs; applications filed by Agreement State
licensees to register under the general license provisions of 10 CFR
150.20; and applications for amendments to materials licenses that
would place the license in a higher fee category or add a new fee
category must be accompanied by the prescribed application fee for
each category.
(1) Applications for licenses covering more than one fee category of
special nuclear material or source material must be accompanied by the
prescribed application fee for the highest fee category.
(2) Applications for new licenses that cover both byproduct material and
special nuclear material in sealed sources for use in gauging devices
will pay the appropriate application fee for fee Category 1.C. only.
[[Page 9149]]
(b) Licensing fees. Fees for reviews of applications for new licenses
and for renewals and amendments to existing licenses, pre-application
consultations and reviews of other documents submitted to NRC for
review, and project manager time for fee categories subject to full
cost fees, are due upon notification by the Commission in accordance
with Sec. 170.12(b).
(c) Amendment fees. Applications for amendments to export and import
licenses must be accompanied by the prescribed amendment fee for each
license affected. An application for an amendment to an export or
import license or approval classified in more than one fee category
must be accompanied by the prescribed amendment fee for the category
affected by the amendment unless the amendment is applicable to two or
more fee categories, in which case the amendment fee for the highest
fee category would apply.
(d) Inspection fees. Inspections resulting from investigations conducted
by the Office of Investigations and non-routine inspections that
result from third-party allegations are not subject to fees.
Inspection fees are due upon notification by the Commission in
accordance with Sec. 170.12(c).
(e) Generally licensed device registrations under 10 CFR 31.5.
Submittals of registration information must be accompanied by the
prescribed fee.
\2\ Fees will not be charged for orders related to civil penalties or
other civil sanctions issued by the Commission under 10 CFR 2.202 or
for amendments resulting specifically from the requirements of these
orders. For orders unrelated to civil penalties or other civil
sanctions, fees will be charged for any resulting licensee-specific
activities not otherwise exempted from fees under this chapter. Fees
will be charged for approvals issued under a specific exemption
provision of the Commission's regulations under Title 10 of the Code
of Federal Regulations (e.g., 10 CFR 30.11, 40.14, 70.14, 73.5, and
any other sections in effect now or in the future), regardless of
whether the approval is in the form of a license amendment, letter of
approval, safety evaluation report, or other form. In addition to the
fee shown, an applicant may be assessed an additional fee for sealed
source and device evaluations as shown in Categories 9.A. through 9.D.
\3\ Full cost fees will be determined based on the professional staff
time multiplied by the appropriate professional hourly rate
established in Sec. 170.20 in effect when the service is provided,
and the appropriate contractual support services expended. For
applications currently on file for which review costs have reached an
applicable fee ceiling established by the June 20, 1984, and July 2,
1990, rules, but are still pending completion of the review, the cost
incurred after any applicable ceiling was reached through January 29,
1989, will not be billed to the applicant. Any professional staff-
hours expended above those ceilings on or after January 30, 1989, will
be assessed at the applicable rates established by Sec. 170.20, as
appropriate, except for topical reports whose costs exceed $50,000.
Costs which exceed $50,000 for each topical report, amendment,
revision, or supplement to a topical report completed or under review
from January 30, 1989, through August 8, 1991, will not be billed to
the applicant. Any professional hours expended on or after August 9,
1991, will be assessed at the applicable rate established in Sec.
170.20.
\4\ Licensees paying fees under Categories 1.A., 1.B., and 1.E. are not
subject to fees under Categories 1.C. and 1.D. for sealed sources
authorized in the same license except for an application that deals
only with the sealed sources authorized by the license.
\5\ For a combined import and export license application for material
listed in Appendix P to part 110 of this chapter, only the higher of
the two applicable fee amounts must be paid.
\6\ Persons who possess radium sources that are used for operational
purposes in another fee category are not also subject to the fees in
this category. (This exception does not apply if the radium sources
are possessed for storage only.)
PART 171--ANNUAL FEES FOR REACTOR LICENSES AND FUEL CYCLE LICENSES
AND MATERIALS LICENSES, INCLUDING HOLDERS OF CERTIFICATES OF
COMPLIANCE, REGISTRATIONS, AND QUALITY ASSURANCE PROGRAM APPROVALS
AND GOVERNMENT AGENCIES LICENSED BY THE NRC.
6. The authority citation for part 171 continues to read as
follows:
Authority: Section 7601, Pub. L. 99-272, 100 Stat. 146, as
amended by Sec. 5601, Pub. L. 100-203, 101 Stat. 1330, as amended by
Sec. 3201, Pub. L. 101-239, 103 Stat. 2132, as amended by Sec. 6101,
Pub. L. 101-508, 104 Stat. 1388, as amended by Sec. 2903a, Pub. L.
102-486, 106 Stat. 3125 (42 U.S.C. 2213, 2214), and as amended by
Title IV, Pub. L. 109-103, 119 Stat. 2283 (42 U.S.C. 2214); Sec.
301, Pub. L. 92-314, 86 Stat. 227 (42 U.S.C. 2201w); Sec. 201, Pub.
L. 93-438, 88 Stat. 1242, as amended (42 U.S.C. 5841); Sec. 1704,
112 Stat. 2750 (44 U.S.C. 3504 note), Sec. 651(e), Pub. L.109-58,
119 Stat. 806-810 (42 U.S.C. 2014, 2021, 2021b, 2111).
7. In Sec. 171.15, paragraph (b)(1), the introductory text of
paragraph (b)(2), paragraph (c)(1), the introductory text of paragraph
(c)(2) and the introductory text of paragraph (d)(1), and paragraphs
(d)(2), (d)(3), and the introductory text of paragraph (e), are revised
to read as follows:
Sec. 171.15 Annual fees: Reactor licenses and independent spent fuel
storage licenses.
* * * * *
(b)(1) The FY 2009 annual fee for each operating power reactor
which must be collected by September 30, 2009, is $4,608,000.
(2) The FY 2009 annual fee is comprised of a base annual fee for
power reactors licensed to operate, a base spent fuel storage/reactor
decommissioning annual fee, and associated additional charges (fee-
relief adjustment). The activities comprising the FY 2009 spent
storage/reactor decommissioning base annual fee are shown in paragraphs
(c)(2)(i) and (ii) of this section. The activities comprising the FY
2009 fee-relief adjustment are shown in paragraph (d)(1) of this
section. The activities comprising the FY 2009 base annual fee for
operating power reactors are as follows:
* * * * *
(c)(1) The FY 2009 annual fee for each power reactor holding a 10
CFR part 50 license that is in a decommissioning or possession only
status and has spent fuel onsite, and each independent spent fuel
storage 10 CFR part 72 licensee who does not hold a 10 CFR part 50
license is $127,000.
(2) The FY 2009 annual fee is comprised of a base spent fuel
storage/reactor decommissioning annual fee (which is also included in
the operating power reactor annual fee shown in paragraph (b) of this
section), and an additional charge (fee-relief adjustment). The
activities comprising the FY 2009 fee-relief adjustment are shown in
paragraph (d)(1) of this section. The activities comprising the FY 2009
spent fuel storage/reactor decommissioning rebaselined annual fee are:
* * * * *
(d)(1) The fee-relief adjustment allocated to annual fees includes
a surcharge for the activities listed in paragraph (d)(1)(i) of this
section, plus the amount remaining after total budgeted resources for
the activities included in paragraphs (d)(1)(ii) and (d)(1)(iii) of
this section is reduced by the appropriations NRC receives for these
types of activities. If the NRC's appropriations for these types of
activities are greater than the budgeted resources for the activities
included in paragraphs (d)(1)(ii) and (d)(1)(iii) of this section for a
given FY, an annual fee reduction will be allocated to annual fees. The
activities comprising the FY 2009 fee-relief adjustment are as follows:
* * * * *
(2) The total FY 2009 fee-relief adjustment allocated to the
operating power reactor class of licenses is -$1.3 million, not
including the amount allocated to the spent fuel storage/reactor
decommissioning class. The FY 2009 operating power reactor fee-relief
adjustment to be assessed to each operating power reactor is
approximately -$12,900. This amount is calculated by dividing the total
operating power reactor fee-relief adjustment (-$1.3 million) by the
number of operating power reactors (104).
(3) The FY 2009 fee-relief adjustment allocated to the spent fuel
storage/reactor decommissioning class of licenses is -$72,000. The FY
2008 spent fuel storage/reactor decommissioning fee-relief adjustment
[[Page 9150]]
to be assessed to each operating power reactor, each power reactor in
decommissioning or possession only status that has spent fuel onsite,
and to each independent spent fuel storage 10 CFR part 72 licensee who
does not hold a 10 CFR part 50 license is approximately -$585. This
amount is calculated by dividing the total fee-relief adjustment costs
allocated to this class by the total number of power reactor licenses,
except those that permanently ceased operations and have no fuel
onsite, and 10 CFR part 72 licensees who do not hold a 10 CFR part 50
license.
(e) The FY 2009 annual fees for licensees authorized to operate a
test and research (non-power) reactor licensed under part 50 of this
chapter, unless the reactor is exempted from fees under Sec.
171.11(a), are as follows:
------------------------------------------------------------------------
------------------------------------------------------------------------
Research reactor............................................ $124,500
Test reactor................................................ $124,500
------------------------------------------------------------------------
8. In Sec. 171.16, paragraphs (b), (c), (d), and the introductory
text of paragraph (e) are revised to read as follows:
Sec. 171.16 Annual fees: Materials licensees, holders of certificates
of compliance, holders of sealed source and device registrations,
holders of quality assurance program approvals, and government agencies
licensed by the NRC.
* * * * *
(b) The annual fee is comprised of a base annual fee and an
allocation for fee-relief adjustment. The activities comprising the
fee-relief adjustment are shown in paragraph (e) of this section. The
base annual fee is the sum of budgeted costs for following activities:
* * * * *
(c) A licensee who is required to pay an annual fee under this
section may qualify as a small entity. If a licensee qualifies as a
small entity and provides the Commission with the proper certification
along with its annual fee payment, the licensee may pay reduced annual
fees as shown in the following table. Failure to file a small entity
certification in a timely manner could result in the denial of any
refund that might otherwise be due. The small entity fees are as
follows:
------------------------------------------------------------------------
Maximum
annual fee
per licensed
category
------------------------------------------------------------------------
Small Businesses Not Engaged in Manufacturing (Average
gross receipts over last 3 completed fiscal years):
$450,000 to $6.5 million............................ $1,900
Less than 450,000................................... 400
Small Not-For-Profit Organizations (Annual Gross
Receipts):
$450,000 to $6.5 million............................ 1,900
Less than $450,000.................................. 400
Manufacturing entities that have an average of 500
employees or fewer:
35 to 500 employees................................. 1,900
Fewer than 35 employees............................. 400
Small Governmental Jurisdictions (Including publicly
supported educational institutions) (Population):
20,000 to 50,000.................................... 1,900
Fewer than 20,000................................... 400
Educational Institutions that are not State or Publicly
Supported, and have 500 Employees or Fewer:
35 to 500 employees................................. 1,900
Fewer than 35 employees............................. 400
------------------------------------------------------------------------
(d) The FY 2009 annual fees are comprised of a base annual fee and
an allocation for fee-relief adjustment. The activities comprising the
FY 2009 fee-relief adjustment are shown for convenience in paragraph
(e) of this section. The FY 2009 annual fees for materials licensees
and holders of certificates, registrations or approvals subject to fees
under this section are shown in the following table:
Schedule of Materials Annual Fees and Fees for Government Agencies
Licensed by NRC
[See footnotes at end of table]
------------------------------------------------------------------------
Annual fees 1
Category of materials licenses 2 3
------------------------------------------------------------------------
1. Special nuclear material:
A. (1) Licenses for possession and use of U-235 or
plutonium for fuel fabrication activities.
(a) Strategic Special Nuclear Material (High Enriched $4,721,000
Uranium) [Program Code(s): 21130]......................
(b) Low Enriched Uranium in Dispersible Form Used for 1,659,000
Fabrication of Power Reactor Fuel [Program Code(s):
21210].................................................
(2) All other special nuclear materials licenses not
included in Category 1.A.(1) which are licensed for
fuel cycle activities.
(a) Facilities with limited operations [Program Code(s): 770,000
21310, 21320]..........................................
(b) Gas centrifuge enrichment demonstration facilities.. 924,000
(c) Others, including hot cell facilities............... 411,000
B. Licenses for receipt and storage of spent fuel and \11\ N/A
reactor-related Greater than Class C (GTCC) waste at an
independent spent fuel storage installation (ISFSI)
[Program Code(s): 23200]...............................
C. Licenses for possession and use of special nuclear 2,700
material in sealed sources contained in devices used in
industrial measuring systems, including x-ray
fluorescence analyzers [Program Code(s): 22140]........
D. All other special nuclear material licenses, except 7,700
licenses authorizing special nuclear material in
unsealed form in combination that would constitute a
critical quantity, as defined in ( 150.11 of this
chapter, for which the licensee shall pay the same fees
as those for Category 1.A.(2) [Program Code(s): 22110,
22111, 22120, 22131, 22136, 22150, 22151, 22161, 22163,
22170, 23100, 23300, 23310]............................
E. Licenses or certificates for the operation of a 2,823,000
uranium enrichment facility [Program Code(s): 21200]...
2. Source material:
[[Page 9151]]
A. (1) Licenses for possession and use of source 975,000
material for refining uranium mill concentrates to
uranium hexafluoride [Program Code(s): 11400]..........
(2) Licenses for possession and use of source material
in recovery operations such as milling, in-situ
recovery, heap-leaching, ore buying stations, ion
exchange facilities and in-processing of ores
containing source material for extraction of metals
other than uranium or thorium, including licenses
authorizing the possession of byproduct waste material
(tailings) from source material recovery operations, as
well as licenses authorizing the possession and
maintenance of a facility in a standby mode.
(a) Conventional and Heap Leach facilities [Program 32,200
Code(s): 11100]........................................
(b) Basic In Situ Recovery facilities [Program Code(s): 30,600
11500].................................................
(c) Expanded In Situ Recovery facilities [Program 34,700
Code(s): 11500]........................................
(d) In Situ Recovery Resin facilities................... \5\ N/A
(e) Resin Toll Milling facilities....................... \5\ N/A
(f) Other facilities \4\ [Program Code(s): 11700]....... \5\ N/A
(3) Licenses that authorize the receipt of byproduct \5\ N/A
material, as defined in Section 11e.(2) of the Atomic
Energy Act, from other persons for possession and
disposal, except those licenses subject to the fees in
Category 2.A.(2) or Category 2.A.(4) [Program Code(s):
11600].................................................
(4) Licenses that authorize the receipt of byproduct 10,500
material, as defined in Section 11e.(2) of the Atomic
Energy Act, from other persons for possession and
disposal incidental to the disposal of the uranium
waste tailings generated by the licensee's milling
operations, except those licenses subject to the fees
in Category 2.A.(2)....................................
(5) Licenses that authorize the possession of source 7,300
material related to removal of contaminants (source
material) from drinking water..........................
B. Licenses that authorize only the possession, use and/ 1,330
or installation of source material for shielding
[Program Code(s): 11210]...............................
C. All other source material licenses [Program Code(s): 17,700
11200, 11220, 11221, 11230, 11300, 11800, 11810].......
3. Byproduct material:
A. Licenses of broad scope for possession and use of 40,600
byproduct material issued under parts 30 and 33 of this
chapter for processing or manufacturing of items
containing byproduct material for commercial
distribution [Program Code(s): 03211, 03212, 03213]....
B. Other licenses for possession and use of byproduct 10,500
material issued under part 30 of this chapter for
processing or manufacturing of items containing
byproduct material for commercial distribution [Program
Code(s): 03214, 03215, 22135, 22162]...................
C. Licenses issued under Sec. Sec. 32.72 and/or 32.74 13,600
of this chapter authorizing the processing or
manufacturing and distribution or redistribution of
radiopharmaceuticals, generators, reagent kits and/or
sources and devices containing byproduct material. This
category also includes the possession and use of source
material for shielding authorized under part 40 of this
chapter when included on the same license. This
category does not apply to licenses issued to nonprofit
educational institutions whose processing or
manufacturing is exempt under ( 171.11(a)(1). These
licenses are covered by fee under Category 3.D.
[Program Code(s): 02500, 02511, 02513].................
D. Licenses and approvals issued under Sec. Sec. 8,900
32.72 and/or 32.74 of this chapter authorizing
distribution or redistribution of radiopharmaceuticals,
generators, reagent kits and/or sources or devices not
involving processing of byproduct material. This
category includes licenses issued under ((Sec. Sec.
32.72 and 32.74 of this chapter to nonprofit
educational institutions whose processing or
manufacturing is exempt under Sec. 171.11(a)(1). This
category also includes the possession and use of source
material for shielding authorized under part 40 of this
chapter when included on the same license [Program
Code(s): 02512, 02514].................................
E. Licenses for possession and use of byproduct material 6,800
in sealed sources for irradiation of materials in which
the source is not removed from its shield (self-
shielded units) [Program Code(s): 03510, 03520]........
F. Licenses for possession and use of less than 10,000 12,900
curies of byproduct material in sealed sources for
irradiation of materials in which the source is exposed
for irradiation purposes. This category also includes
underwater irradiators for irradiation of materials in
which the source is not exposed for irradiation
purposes [Program Code(s): 03511]......................
G. Licenses for possession and use of 10,000 curies or 64,000
more of byproduct material in sealed sources for
irradiation of materials in which the source is exposed
for irradiation purposes. This category also includes
underwater irradiators for irradiation of materials in
which the source is not exposed for irradiation
purposes [Program Code(s): 03521]......................
H. Licenses issued under Subpart A of part 32 of this 8,500
chapter to distribute items containing byproduct
material that require device review to persons exempt
from the licensing requirements of part 30 of this
chapter, except specific licenses authorizing
redistribution of items that have been authorized for
distribution to persons exempt from the licensing
requirements of part 30 of this chapter [Program
Code(s): 03255]........................................
I. Licenses issued under Subpart A of part 32 of this 15,200
chapter to distribute items containing byproduct
material or quantities of byproduct material that do
not require device evaluation to persons exempt from
the licensing requirements of part 30 of this chapter,
except for specific licenses authorizing redistribution
of items that have been authorized for distribution to
persons exempt from the licensing requirements of part
30 of this chapter [Program Code(s): 03250, 03251,
03252, 03253, 03254, 03256]............................
J. Licenses issued under Subpart B of part 32 of this 3,400
chapter to distribute items containing byproduct
material that require sealed source and/or device
review to persons generally licensed under part 31 of
this chapter, except specific licenses authorizing
redistribution of items that have been authorized for
distribution to persons generally licensed under part
31 of this chapter [Program Code(s): 03240, 03241,
03243].................................................
K. Licenses issued under Subpart B of part 32 of this 2,500
chapter to distribute items containing byproduct
material or quantities of byproduct material that do
not require sealed source and/or device review to
persons generally licensed under part 31 of this
chapter, except specific licenses authorizing
redistribution of items that have been authorized for
distribution to persons generally licensed under part
31 of this chapter [Program Code(s): 03242, 03244].....
L. Licenses of broad scope for possession and use of 20,200
byproduct material issued under parts 30 and 33 of this
chapter for research and development that do not
authorize commercial distribution [Program Code(s):
01100, 01110, 01120, 03610, 03611, 03612, 03613].......
[[Page 9152]]
M. Other licenses for possession and use of byproduct 7,600
material issued under part 30 of this chapter for
research and development that do not authorize
commercial distribution [Program Code(s): 03620].......
N. Licenses that authorize services for other licensees, 11,600
except: (1) Licenses that authorize only calibration
and/or leak testing services are subject to the fees
specified in fee Category 3.P.; and (2) Licenses that
authorize waste disposal services are subject to the
fees specified in fee categories 4.A., 4.B., and 4.C.
[Program Code(s): 03219, 03225, 03226].................
O. Licenses for possession and use of byproduct material 23,100
issued under part 34 of this chapter for industrial
radiography operations. This category also includes the
possession and use of source material for shielding
authorized under part 40 of this chapter when
authorized on the same license [Program Code(s): 03310,
03320].................................................
P. All other specific byproduct material licenses, 3,800
except those in Categories 4.A. through 9.D. [Program
Code(s): 02400, 02410, 03120, 03121, 03122, 03123,
03124, 03220, 03221, 03222, 03800, 03810, 22130].......
Q. Registration of devices generally licensed under part \13\ N/A
31 of this chapter.....................................
R. Possession of items or products containing radium-226
identified in 10 CFR 31.12 which exceed the number of
items or limits specified in that section:\14\
1. Possession of quantities exceeding the number of 3,400
items or limits in 10 CFR 31.12(a)(4), or (5) but less
than or equal to 10 times the number of items or limits
specified [Program Code(s): 02700].....................
2. Possession of quantities exceeding 10 times the 3,800
number of items or limits specified in 10 CFR
31.12(a)(4), or (5) [Program Code(s): 02710]...........
S. Licenses for production of accelerator-produced 12,300
radionuclides [Program Code(s): 03210].................
4. Waste disposal and processing:
A. Licenses specifically authorizing the receipt of \5\ N/A
waste byproduct material, source material, or special
nuclear material from other persons for the purpose of
contingency storage or commercial land disposal by the
licensee; or licenses authorizing contingency storage
of low-level radioactive waste at the site of nuclear
power reactors; or licenses for receipt of waste from
other persons for incineration or other treatment,
packaging of resulting waste and residues, and transfer
of packages to another person authorized to receive or
dispose of waste material [Program Code(s): 03231,
03233, 03235, 03236, 06100, 06101].....................
B. Licenses specifically authorizing the receipt of 19,000
waste byproduct material, source material, or special
nuclear material from other persons for the purpose of
packaging or repackaging the material. The licensee
will dispose of the material by transfer to another
person authorized to receive or dispose of the material
[Program Code(s): 03234]...............................
C. Licenses specifically authorizing the receipt of 12,000
prepackaged waste byproduct material, source material,
or special nuclear material from other persons. The
licensee will dispose of the material by transfer to
another person authorized to receive or dispose of the
material [Program Code(s): 03232]......................
5. Well logging:
A. Licenses for possession and use of byproduct 9,900
material, source material, and/or special nuclear
material for well logging, well surveys, and tracer
studies other than field flooding tracer studies
[Program Code(s): 03110, 03111, 03112].................
B. Licenses for possession and use of byproduct material \5\ N/A
for field flooding tracer studies [Program Code(s):
03113].................................................
6. Nuclear laundries:
A. Licenses for commercial collection and laundry of 36,100
items contaminated with byproduct material, source
material, or special nuclear material [Program Code(s):
03218].................................................
7. Medical licenses:
A. Licenses issued under parts 30, 35, 40, and 70 of 17,800
this chapter for human use of byproduct material,
source material, or special nuclear material in sealed
sources contained in gamma stereotactic radiosurgery
units, teletherapy devices, or similar beam therapy
devices. This category also includes the possession and
use of source material for shielding when authorized on
the same license [Program Code(s): 02300, 02310].......
B. Licenses of broad scope issued to medical 36,800
institutions or two or more physicians under parts 30,
33, 35, 40, and 70 of this chapter authorizing research
and development, including human use of byproduct
material except licenses for byproduct material, source
material, or special nuclear material in sealed sources
contained in teletherapy devices. This category also
includes the possession and use of source material for
shielding when authorized on the same license.\9\
[Program Code(s): 02110]...............................
C. Other licenses issued under parts 30, 35, 40, and 70 6,300
of this chapter for human use of byproduct material,
source material, and/or special nuclear material except
licenses for byproduct material, source material, or
special nuclear material in sealed sources contained in
teletherapy devices. This category also includes the
possession and use of source material for shielding
when authorized on the same license.\9\ [Program
Code(s): 02120, 02121, 02200, 02201, 02210, 02220,
02230, 02231, 02240, 22160]............................
8. Civil defense:
A. Licenses for possession and use of byproduct 3,400
material, source material, or special nuclear material
for civil defense activities [Program Code(s): 03710]..
9. Device, product, or sealed source safety evaluation:
A. Registrations issued for the safety evaluation of 10,700
devices or products containing byproduct material,
source material, or special nuclear material, except
reactor fuel devices, for commercial distribution......
B. Registrations issued for the safety evaluation of 10,700
devices or products containing byproduct material,
source material, or special nuclear material
manufactured in accordance with the unique
specifications of, and for use by, a single applicant,
except reactor fuel devices............................
C. Registrations issued for the safety evaluation of 7,500
sealed sources containing byproduct material, source
material, or special nuclear material, except reactor
fuel, for commercial distribution......................
D. Registrations issued for the safety evaluation of 1,300
sealed sources containing byproduct material, source
material, or special nuclear material, manufactured in
accordance with the unique specifications of, and for
use by, a single applicant, except reactor fuel........
10. Transportation of radioactive material:
A. Certificates of Compliance or other package approvals
issued for design of casks, packages, and shipping
containers.
[[Page 9153]]
1. Spent Fuel, High-Level Waste, and plutonium air \6\ N/A
packages...............................................
2. Other Casks.......................................... \6\ N/A
B. Quality assurance program approvals issued under part
71 of this chapter.
1. Users and Fabricators................................ \6\ N/A
2. Users................................................ \6\ N/A
C. Evaluation of security plans, route approvals, route \6\ N/A
surveys, and transportation security devices (including
immobilization devices)................................
11. Standardized spent fuel facilities.................. \6\ N/A
12. Special Projects.................................... \6\ N/A
13. A. Spent fuel storage cask Certificate of Compliance \6\ N/A
B. General licenses for storage of spent fuel under 10 \12\ N/A
CFR 72.210.............................................
14. Decommissioning/Reclamation:
A. Byproduct, source, or special nuclear material \7\ N/A
licenses and other approvals authorizing
decommissioning, decontamination, reclamation, or site
restoration activities under parts 30, 40, 70, 72, and
76 of this chapter.....................................
B. Site-specific decommissioning activities associated \7\ N/A
with unlicensed sites, whether or not the sites have
been previously licensed...............................
15. Import and Export licenses.......................... \8\ N/A
16. Reciprocity......................................... \8\ N/A
17. Master materials licenses of broad scope issued to 168,000
Government agencies and other entities.................
18. Department of Energy:
A. Certificates of Compliance........................... \10\ 679,000
B. Uranium Mill Tailings Radiation Control Act (UMTRCA) 342,000
activities.............................................
------------------------------------------------------------------------
\1\ Annual fees will be assessed based on whether a licensee held a
valid license with the NRC authorizing possession and use of
radioactive material during the current FY. The annual fee is waived
for those materials licenses and holders of certificates,
registrations, and approvals who either filed for termination of their
licenses or approvals or filed for possession only/storage licenses
before October 1, 2007, and permanently ceased licensed activities
entirely before this date. Annual fees for licensees who filed for
termination of a license, downgrade of a license, or for a possession
only license during the FY and for new licenses issued during the FY
will be prorated in accordance with the provisions of Sec. 171.17.
If a person holds more than one license, certificate, registration, or
approval, the annual fee(s) will be assessed for each license,
certificate, registration, or approval held by that person. For
licenses that authorize more than one activity on a single license
(e.g., human use and irradiator activities), annual fees will be
assessed for each category applicable to the license. Licensees paying
annual fees under Category 1.A.(1) are not subject to the annual fees
for Categories 1.C. and 1.D. for sealed sources authorized in the
license.
\2\ Payment of the prescribed annual fee does not automatically renew
the license, certificate, registration, or approval for which the fee
is paid. Renewal applications must be filed in accordance with the
requirements of parts 30, 40, 70, 71, 72, or 76 of this chapter.
\3\ Each FY, fees for these materials licenses will be calculated and
assessed in accordance with Sec. 171.13 and will be published in the
Federal Register for notice and comment.
\4\ An other license includes licenses for extraction of metals, heavy
metals, and rare earths.
\5\ There are no existing NRC licenses in these fee categories. If NRC
issues a license for these categories, the Commission will consider
establishing an annual fee for this type of license.
\6\ Standardized spent fuel facilities, 10 CFR parts 71 and 72
Certificates of Compliance and related Quality Assurance program
approvals, and special reviews, such as topical reports, are not
assessed an annual fee because the generic costs of regulating these
activities are primarily attributable to users of the designs,
certificates, and topical reports.
\7\ Licensees in this category are not assessed an annual fee because
they are charged an annual fee in other categories while they are
licensed to operate.
\8\ No annual fee is charged because it is not practical to administer
due to the relatively short life or temporary nature of the license.
\9\ Separate annual fees will not be assessed for pacemaker licenses
issued to medical institutions that also hold nuclear medicine
licenses under Categories 7.B. or 7.C.
\10\ This includes Certificates of Compliance issued to DOE that are not
funded from the Nuclear Waste Fund.
\11\ See (Sec. 171.15(c)).
\12\ See (Sec. 171.15(c)).
\13\ No annual fee is charged for this category because the cost of the
general license registration program applicable to licenses in this
category will be recovered through 10 CFR part 170 fees.
\14\ Persons who possess radium sources that are used for operational
purposes in another fee category are not also subject to the fees in
this category. (This exception does not apply if the radium sources
are possessed for storage only.)
(e) The fee-relief adjustment allocated to annual fees includes the
budgeted resources for the activities listed in paragraph (e)(1) of
this section, plus the total budgeted resources for the activities
included in paragraphs (e)(2) and (e)(3) of this section as reduced by
the appropriations NRC receives for these types of activities. If the
NRC's appropriations for these types of activities are greater than the
budgeted resources for the activities included in paragraphs (e)(2) and
(e)(3) of this section for a given FY, an annual fee reduction will be
allocated to annual fees. The activities comprising the FY 2009 fee-
relief adjustment are as follows:
* * * * *
Dated at Rockville, Maryland, this 20th day of February 2009.
For the Nuclear Regulatory Commission.
J.E. Dyer,
Chief Financial Officer.
Note: THIS APPENDIX WILL NOT APPEAR IN THE CODE OF FEDERAL
REGULATIONS.
APPENDIX A TO THIS PROPOSED RULE--REGULATORY FLEXIBILITY ANALYSIS FOR
THE PROPOSED AMENDMENTS TO 10 CFR PART 170 (LICENSE FEES) AND 10 CFR
PART 171 (ANNUAL FEES)
I. Background
The Regulatory Flexibility Act (RFA), as amended 5 U.S.C. 601 et
seq., requires that agencies consider the impact of their
rulemakings on small entities and, consistent with applicable
statutes, consider alternatives to minimize these impacts on the
businesses, organizations, and government jurisdictions to which
they apply.
The NRC has established standards for determining which NRC
licensees qualify as
[[Page 9154]]
small entities (10 CFR 2.810). These size standards were based on
the Small Business Administration's most common receipts-based size
standards and include a size standard for business concerns that are
manufacturing entities. The NRC uses the size standards to reduce
the impact of annual fees on small entities by establishing a
licensee's eligibility to qualify for a maximum small entity fee.
The small entity fee categories in ( 171.16(c) of this proposed rule
are based on the NRC's size standards.
The NRC is required each year, under OBRA-90, as amended, to
recover approximately 90 percent of its budget authority (less
amounts appropriated from the NWF and for other activities
specifically removed from the fee base), through fees to NRC
licensees and applicants. In total, the NRC is required to bill
approximately $864.8 million in fees for FY 2009.
OBRA-90 requires that the schedule of charges established by
rulemaking should fairly and equitably allocate the total amount to
be recovered from the NRC's licensees and be assessed under the
principle that licensees who require the greatest expenditure of
agency resources pay the greatest annual charges. Since FY 1991, the
NRC has complied with OBRA-90 by issuing a final rule that amends
its fee regulations. These final rules have established the
methodology used by the NRC in identifying and determining the fees
to be assessed and collected in any given FY.
The Commission is proposing to rebaseline its part 171 annual
fees in FY 2009. Rebaselining fees results in increased annual fees
for three classes of licensees (power reactors, non-power reactors,
and fuel facilities), and decreased annual fees for two classes of
licensees (spent fuel storage/reactor decommissioning and
transportation). Within the materials users and uranium recovery fee
classes, annual fees for most licensees increase, while annual fees
for some licensees decrease.
The Small Business Regulatory Enforcement Act (SBREFA) provides
Congress with the opportunity to review agency rules before they go
into effect. Under this legislation, the NRC annual fee rule is
considered a ``major'' rule and must be reviewed by Congress and the
Comptroller General before the rule becomes effective.
The Small Business Regulatory Enforcement Act also requires that
an agency prepare a guide to assist small entities in complying with
each rule for which a final RFA is prepared. This analysis and the
small entity compliance guide (Attachment 1) have been prepared for
the FY 2009 fee rule as required by law.
II. Impact on Small Entities
The fee rule results in substantial fees being charged to those
individuals, organizations, and companies licensed by the NRC,
including those licensed under the NRC materials program. The
comments received on previous proposed fee rules and the small
entity certifications received in response to previous final fee
rules indicate that NRC licensees qualifying as small entities under
the NRC's size standards are primarily materials licensees.
Therefore, this analysis will focus on the economic impact of the
fees on materials licensees. In FY 2008, about 26 percent of these
licensees (approximately 1,100 licensees) qualified as small
entities.
The commenters on previous fee rulemakings consistently
indicated that the following results would occur if the proposed
annual fees were not modified:
1. Large firms would gain an unfair competitive advantage over
small entities. Commenters noted that small and very small companies
(``Mom and Pop'' operations) would find it more difficult to absorb
the annual fee than a large corporation or a high-volume type of
operation. In competitive markets, such as soil testing, annual fees
would put small licensees at an extreme competitive disadvantage
with their much larger competitors because the proposed fees would
be the same for a two-person licensee as for a large firm with
thousands of employees.
2. Some firms would be forced to cancel their licenses. A
licensee with receipts of less than $500,000 per year stated that
the proposed rule would, in effect, force it to relinquish its soil
density gauge and license, thereby reducing its ability to do its
work effectively. Other licensees, especially well-loggers, noted
that the increased fees would force small businesses to get rid of
the materials license altogether. Commenters stated that the
proposed rule would result in about 10 percent of the well-logging
licensees terminating their licenses immediately and approximately
25 percent terminating their licenses before the next annual
assessment.
3. Some companies would go out of business.
4. Some companies would have budget problems. Many medical
licensees noted that, along with reduced reimbursements, the
proposed increase of the existing fees and the introduction of
additional fees would significantly affect their budgets. Others
noted that, in view of the cuts by Medicare and other third party
carriers, the fees would produce a hardship and some facilities
would experience a great deal of difficulty in meeting this
additional burden.
Over 3,000 licenses, approvals, and registration terminations
have been requested since the NRC first established annual fees for
materials licenses. Although some of these terminations were
requested because the license was no longer needed or licenses or
registrations could be combined, indications are that other
termination requests were due to the economic impact of the fees.
To alleviate the significant impact of the annual fees on a
substantial number of small entities, the NRC considered the
following alternatives in accordance with the RFA in developing each
of its fee rules since FY 1991.
1. Base fees on some measure of the amount of radioactivity
possessed by the licensee (e.g., number of sources).
2. Base fees on the frequency of use of the licensed radioactive
material (e.g., volume of patients).
3. Base fees on the NRC size standards for small entities.
The NRC has reexamined its previous evaluations of these
alternatives and continues to believe that establishment of a
maximum fee for small entities is the most appropriate and effective
option for reducing the impact of its fees on small entities.
III. Maximum Fee
The RFA and its implementing guidance do not provide specific
guidelines on what constitutes a significant economic impact on a
small entity; therefore, the NRC has no benchmark to assist it in
determining the amount or the percent of gross receipts that should
be charged to a small entity. In developing the maximum small entity
annual fee in FY 1991, the NRC examined its 10 CFR part 170
licensing and inspection fees and Agreement State fees for those fee
categories which were expected to have a substantial number of small
entities. Six Agreement States (Washington, Texas, Illinois,
Nebraska, New York, and Utah), were used as benchmarks in the
establishment of the maximum small entity annual fee in FY 1991.
The NRC maximum small entity fee was established as an annual
fee only. In addition to the annual fee, NRC small entity licensees
were required to pay amendment, renewal and inspection fees. In
setting the small entity annual fee, NRC ensured that the total
amount small entities paid annually would not exceed the maximum
paid in the six benchmark Agreement States.
Of the six benchmark states, the maximum Agreement State fee of
$3,800 in Washington was used as the ceiling for the total fees.
Thus the NRC's small entity fee was developed to ensure that the
total fees paid by NRC small entities would not exceed $3,800. Given
the NRC's FY 1991 fee structure for inspections, amendments, and
renewals, a small entity annual fee established at $1,800 allowed
the total fee (small entity annual fee plus yearly average for
inspections, amendments and renewal fees) for all categories to fall
under the $3,800 ceiling.
In FY 1992, the NRC introduced a second, lower tier to the small
entity fee in response to concerns that the $1,800 fee, when added
to the license and inspection fees, still imposed a significant
impact on small entities with relatively low gross annual receipts.
For purposes of the annual fee, each small entity size standard was
divided into an upper and lower tier. Small entity licensees in the
upper tier continued to pay an annual fee of $1,800 while those in
the lower tier paid an annual fee of $400.
Based on the changes that had occurred since FY 1991, the NRC
re-analyzed its maximum small entity annual fees in FY 2000, and
determined that the small entity fees should be increased by 25
percent to reflect the increase in the average fees paid by other
materials licensees since FY 1991, as well as changes in the fee
structure for materials licensees. The structure of the fees that
NRC charged to its materials licensees changed during the period
between 1991 and 1999. Costs for materials license inspections,
renewals, and amendments, which were previously recovered through
part 170 fees for services, are now included in the part 171 annual
fees assessed to materials licensees. As a result of the 25 percent
increase, the
[[Page 9155]]
maximum small entity annual fee increased from $1,800 to $2,300 in
FY 2000. Although the maximum annual fee for small entities
increased from $1,800 to $2,300, the total fee for many small
entities was reduced because they no longer paid part 170 fees for
services. The costs not recovered from small entities were allocated
to other materials licensees and to power reactors.
While reducing the impact on many small entities, the NRC
determined that the maximum annual fee of $2,300 for small entities
may continue to have a significant impact on materials licensees
with annual gross receipts in the thousands of dollars range.
Therefore, the NRC continued to provide a lower-tier small entity
annual fee for small entities with relatively low gross annual
receipts, and for manufacturing concerns and educational
institutions not State or publicly supported, with fewer than 35
employees. The NRC also increased the lower tier small entity fee by
the same percentage increase to the maximum small entity annual fee.
This 25 percent increase resulted in the lower tier small entity fee
increasing from $400 to $500 in FY 2000.
The NRC stated in the RFA for the FY 2001 final fee rule that it
would re-examine the small entity fees every two years, in the same
years in which it conducts the biennial review of fees as required
by the Chief Financial Officer's Act. Accordingly, the NRC examined
the small entity fees again in FY 2003 and FY 2005, and determined
that a change was not warranted to the small entity fees established
in FY 2001.
As part of the small entity review in FY 2007, the NRC also
considered whether it should establish reduced fees for small
entities under part 170. The NRC received one comment requesting
that such small entity fees be considered for certain export
licenses, particularly in light of the recent increases to part 170
fees for these licenses. Because the NRC's part 170 fees are not
assessed to a licensee or applicant on a regular basis (i.e., they
are only assessed when a licensee or applicant requests a specific
service from the NRC), the NRC does not believe that the impact of
its part 170 fees warrants a fee reduction for small entities under
part 170, in addition to the part 171 small entity fee reduction.
Regarding export licenses, in particular, the NRC notes that
interested parties can submit a single application for a broad
scope, multi-year license that permits exports to multiple
countries. Because the NRC's fees are charged per application, this
streamlining process minimizes the fees for export applicants.
Because a single NRC fee can cover numerous exports, and because
there are a limited number of entities who apply for these licenses,
the NRC does not anticipate that the part 170 export fees will have
a significant impact on a substantial number of small entities.
Therefore, the NRC retained the $2,300 small entity annual fee and
the $500 lower tier small entity annual fee for FY 2007, and FY
2008.
For the biennial review of the FY 2009 small entity fees, the
NRC conducted an in-depth review. The review noted the significant
changes between FY 2000 and FY 2008 in both the external and
internal environment which has impacted fees for NRC's small
materials users licensees. Since FY 2000 the number of small entity
licensees in the upper tier has increased approximately 53 percent.
In addition, due to changes in the law, NRC is now only required to
recover 90 percent of its budget authority compared to the 100
percent recovery requirement in FY 2000. This ten percent fee relief
has influenced the small materials users' annual fees. A decrease in
the NRC's budget allocation to the small materials users has also
influenced their annual fees in the last two years. Based on the
review, the NRC will change the small entity fee for FY 2009 and
establish a new methodology for reviewing the small entity fees
every other year. The NRC will now determine the maximum small
entity fee each biennial year using a fixed percentage of 39 percent
applied to the prior two-year weighted average of small materials
users fees for all fee categories which have small entity licensees.
For FY 2009, these changes result in a maximum small entity fee
of $1,900 and a lower tier annual fee of $400. The advantage of the
new methodology is that the NRC's small entity licensees will be
able to predict the change in their fee in the biennial year based
on the small materials fees for the previous two years. Using a two-
year weighted average will help smooth the fluctuations caused by
programmatic and budget variables and will reflect the importance of
the fee categories with the greater number of small entities. Since
the current small entity annual fee of $2,300 is 39 percent of the
two-year weighted average for all fee categories in FY 2005 and FY
2006 that have an upper tier small entity licensee, the agency will
retain the 39 percent as the percentage applied to the prior two-
year weighted average of small materials users fees. The lower tier
annual fee remains at 22 percent of the maximum small entity annual
fee.
IV. Summary
The NRC has determined that the 10 CFR part 171 annual fees
significantly impact a substantial number of small entities. A
maximum fee for small entities strikes a balance between the
requirement to recover 90 percent of the NRC budget and the
requirement to consider means of reducing the impact of the fee on
small entities. Based on its regulatory flexibility analysis, the
NRC concludes that a maximum annual fee of $1,900 for small entities
and a lower-tier small entity annual fee of $400 for small
businesses and not-for-profit organizations with gross annual
receipts of less than $450,000, small governmental jurisdictions
with a population of fewer than 20,000, small manufacturing entities
that have fewer than 35 employees, and educational institutions that
are not State or publicly supported and have fewer than 35 employees
reduces the impact on small entities. At the same time, these
reduced annual fees are consistent with the objectives of OBRA-90.
Thus, the fees for small entities maintain a balance between the
objectives of OBRA-90 and the RFA.
In 2007, the NRC revised its receipts-based size standards (72
FR 44951, August 10, 2007) to conform to the Small Business Agency
standards. The maximum average gross annual receipts (upper tier) to
qualify as a small entity were changed to $6.5 million from $5
million. The NRC is now proposing to revise the small entity lower
tier receipts-based threshold to $450,000 from $350,000. This change
is approximately the same percentage adjustment as the change in the
upper tier receipts-based standard.
ATTACHMENT 1 TO APPENDIX A--U.S. Nuclear Regulatory Commission Small
Entity Compliance Guide; Fiscal Year 2009
Contents
Introduction
NRC Definition of Small Entity
NRC Small Entity Fees
Instructions for Completing NRC Form 526
Introduction
The Congressional Review Act requires all Federal agencies to
prepare a written guide for each ``major'' final rule, as defined by
the Act. The NRC's fee rule, published annually to comply with the
Omnibus Budget Reconciliation Act of 1990 (OBRA-90), as amended, is
considered a ``major'' rule under the Congressional Review Act.
Therefore, in compliance with the law, this guide has been prepared
to assist NRC materials licensees in complying with the FY 2009 fee
rule.
Licensees may use this guide to determine whether they qualify
as a small entity under NRC regulations and are eligible to pay
reduced FY 2009 annual fees assessed under 10 CFR part 171. The NRC
has established two tiers of annual fees for those materials
licensees who qualify as small entities under the NRC's size
standards.
Licensees who meet the NRC's size standards for a small entity
(listed in 10 CFR 2.810) must submit a completed NRC Form 526
``Certification of Small Entity Status for the Purposes of Annual
Fees Imposed under 10 CFR Part 171'' to qualify for the reduced
annual fee. This form can be accessed on the NRC's Web site at
http://www.nrc.gov. The form can then be accessed by selecting
``Business with NRC,'' then ``NRC Forms,'' selecting NRC Form 526.
For licensees who cannot access the NRC's Web site, NRC Form 526 may
be obtained through the local point of contact listed in the NRC's
``Materials Annual Fee Billing Handbook,'' NUREG/BR-0238, which is
enclosed with each annual fee billing. Alternatively, the form may
be obtained by calling the fee staff at 301-415-7554, or by e-
mailing the fee staff at [email protected]. The completed form,
the appropriate small entity fee, and the payment copy of the
invoice should be mailed to the U.S. Nuclear Regulatory Commission,
License Fee Team, at the address indicated on the invoice. Failure
to file the NRC small entity certification Form 526 in a timely
manner may result in the denial of any refund that might otherwise
be due.
NRC Definition of Small Entity
For purposes of compliance with its regulations (10 CFR 2.810),
the NRC has defined a small entity as follows:
(1) Small business--a for-profit concern that provides a
service, or a concern that is not engaged in manufacturing, with
average
[[Page 9156]]
gross receipts of $6.5 million or less over its last 3 completed
fiscal years;
(2) Manufacturing industry--a manufacturing concern with an
average of 500 or fewer employees based on employment during each
pay period for the preceding 12 calendar months;
(3) Small organizations--a not-for-profit organization that is
independently owned and operated and has annual gross receipts of
$6.5 million or less;
(4) Small governmental jurisdiction--a government of a city,
county, town, township, village, school district or special
district, with a population of fewer than 50,000;
(5) Small educational institution--an educational institution
supported by a qualifying small governmental jurisdiction, or one
that is not State or publicly supported and has 500 or fewer
employees.\1\
---------------------------------------------------------------------------
\1\ An educational institution referred to in the size standards
is an entity whose primary function is education, whose programs are
accredited by a nationally recognized accrediting agency or
association, who is legally authorized to provide a program of
organized instruction or study, who provides an educational program
for which it awards academic degrees, and whose educational programs
are available to the public.
---------------------------------------------------------------------------
To further assist licensees in determining if they qualify as a
small entity, the following guidelines are provided, which are based
on the Small Business Administration's regulations (13 CFR part
121).
(1) A small business concern is an independently owned and
operated entity which is not considered dominant in its field of
operations.
(2) The number of employees means the total number of employees
in the parent company, any subsidiaries and/or affiliates, including
both foreign and domestic locations (i.e., not solely the number of
employees working for the licensee or conducting NRC licensed
activities for the company).
(3) Gross annual receipts includes all revenue received or
accrued from any source, including receipts of the parent company,
any subsidiaries and/or affiliates, and account for both foreign and
domestic locations. Receipts include all revenues from sales of
products and services, interest, rent, fees, and commissions, from
whatever sources derived (i.e., not solely receipts from NRC
licensed activities).
(4) A licensee who is a subsidiary of a large entity, including
a foreign entity, does not qualify as a small entity.
NRC Small Entity Fees
In 10 CFR 171.16(c), the NRC has established two tiers of fees
for licensees that qualify as a small entity under the NRC's size
standards. The fees are as follows:
------------------------------------------------------------------------
Maximum
annual fee per
licensed
category
------------------------------------------------------------------------
Small Businesses Not Engaged in Manufacturing (Average
gross receipts over last 3 completed fiscal years):
$450,000 to $6.5 million............................ $1,900
Less than $450,000.................................. 400
Small Not-For-Profit Organizations (Annual Gross
Receipts):
$450,000 to $6.5 million............................ 1,900
Less than $450,000.................................. 400
Manufacturing entities that have an average of 500
employees or fewer:
35 to 500 employees................................. 1,900
Fewer than 35 employees............................. 400
Small Governmental Jurisdictions (Including publicly
supported educational institutions) (Population):
20,000 to 50,000.................................... 1,900
Fewer than 20,000................................... 400
Educational Institutions that are not State or Publicly
Supported, and have 500 Employees or Fewer:
35 to 500 employees................................. 1,900
Fewer than 35 employees............................. 400
------------------------------------------------------------------------
Instructions for Completing NRC Small Entity Form 526
1. Complete all items on NRC Form 526 as follows:
(Note: Incomplete or improperly completed forms will be returned
as unacceptable.)
(a) Enter the license number and invoice number exactly as they
appear on the annual fee invoice.
(b) Enter the North American Industry Classification System
(NAICS).
(c) Enter the licensee's name and address exactly as they appear
on the invoice. Annotate name and/or address changes for billing
purposes on the payment copy of the invoice--include contact's name,
telephone number, e-mail address, and company Web site address.
Correcting the name and/or address on NRC Form 526 or on the invoice
does not constitute a request to amend the license.
(d) Check the appropriate size standard under which the licensee
qualifies as a small entity. Check one box only. Note the following:
(i) A licensee who is a subsidiary of a large entity, including
foreign entities, does not qualify as a small entity. The
calculation of a firm's size includes the employees or receipts of
all affiliates. Affiliation with another concern is based on the
power to control, whether exercised or not. Such factors as common
ownership, common management and identity of interest (often found
in members of the same family), among others, are indications of
affiliation. The affiliated business concerns need not be in the
same line of business.
(ii) Gross annual receipts, as used in the size standards,
include all revenue received or accrued by your company from all
sources, regardless of the form of the revenue and not solely
receipts from licensed activities.
(iii) NRC's size standards on small entity are based on the
Small Business Administration's regulations (13 CFR part 121).
(iv) The size standards apply to the licensee, not to the
individual authorized users who may be listed in the license.
2. If the invoice states the ``Amount Billed Represents 50%
Proration,'' the amount due is not the prorated amount shown on the
invoice but rather one-half of the maximum small entity annual fee
shown on NRC Form 526 for the size standard under which the licensee
qualifies (either $950 or $200) for each category billed.
3. If the invoice amount is less than the reduced small entity
annual fee shown on this form, pay the amount on the invoice; there
is no further reduction. In this case, do not file NRC Form 526.
However, if the invoice amount is greater than the reduced small
entity annual fee, file NRC Form 526 and pay the amount applicable
to the size standard you checked on the form.
4. The completed NRC Form 526 must be submitted with the
required annual fee payment and the ``Payment Copy'' of the invoice
to the address shown on the invoice.
5. 10 CFR 171.16(c)(3) states licensees shall submit a new
certification with its annual fee payment each year. Failure to
submit NRC Form 526 at the time the annual fee is paid will require
the licensee to pay the full amount of the invoice.
The NRC sends invoices to its licensees for the full annual fee,
even though some licensees qualify for reduced fees as small
entities. Licensees who qualify as small entities and file NRC Form
526, which certifies eligibility for small entity fees, may pay the
reduced fee, which is either $1,900 or $400 for a full year,
depending on the size of the entity, for each fee category shown on
the invoice. Licensees granted a license during the first 6 months
of the fiscal year,
[[Page 9157]]
and licensees who file for termination or for a ``possession only''
license and permanently cease licensed activities during the first 6
months of the fiscal year, pay only 50 percent of the annual fee for
that year. Such invoices state that the ``amount billed represents
50% proration.''
Licensees must file a new small entity form (NRC Form 526) with
the NRC each fiscal year to qualify for reduced fees in that year.
Because a licensee's ``size,'' or the size standards, may change
from year to year, the invoice reflects the full fee and licensees
must complete and return NRC Form 526 for the fee to be reduced to
the small entity fee amount. LICENSEES WILL NOT RECEIVE A NEW
INVOICE FOR THE REDUCED AMOUNT. The completed NRC Form 526, the
payment of the appropriate small entity fee, and the ``Payment
Copy'' of the invoice should be mailed to the U.S. Nuclear
Regulatory Commission, License Fee Team at the address indicated on
the invoice.
If you have questions regarding the NRC's annual fees, please
contact the license fee staff at 301-415-7554, e-mail the fee staff
at [email protected], or write to the U.S. Nuclear Regulatory
Commission, Washington, DC 20555-0001, Attention: Office of the
Chief Financial Officer.
False certification of small entity status could result in civil
sanctions being imposed by the NRC under the Program Fraud Civil
Remedies Act, 31 U.S.C. 3801 et seq. NRC's implementing regulations
are found at 10 CFR part 13.
[FR Doc. E9-4229 Filed 2-27-09; 8:45 am]
BILLING CODE 7590-01-P