[Federal Register Volume 74, Number 110 (Wednesday, June 10, 2009)]
[Rules and Regulations]
[Pages 27642-27673]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E9-13425]
[[Page 27641]]
-----------------------------------------------------------------------
Part III
Nuclear Regulatory Commission
-----------------------------------------------------------------------
10 CFR Parts 170 and 171
Revision of Fee Schedules; Fee Recovery for FY 2009; Final Rule
Federal Register / Vol. 74, No. 110 / Wednesday, June 10, 2009 /
Rules and Regulations
[[Page 27642]]
-----------------------------------------------------------------------
NUCLEAR REGULATORY COMMISSION
10 CFR Parts 170 and 171
[NRC-2008-0620]
RIN 3150-AI52
Revision of Fee Schedules; Fee Recovery for FY 2009
AGENCY: Nuclear Regulatory Commission.
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: The Nuclear Regulatory Commission (NRC) is amending the
licensing, inspection, and annual fees charged to its applicants and
licensees. The amendments are necessary to implement the Omnibus Budget
Reconciliation Act of 1990 (OBRA-90), as amended, which requires the
NRC to recover through fees approximately 90 percent of its budget
authority in fiscal year (FY) 2009, not including amounts appropriated
from the Nuclear Waste Fund (NWF), amounts appropriated for Waste
Incidental to Reprocessing (WIR), and amounts appropriated for generic
homeland security activities. The NRC's required fee recovery amount
for the FY 2009 budget is approximately $870.6 million. After
accounting for billing adjustments, the total amount to be billed as
fees is approximately $866.5 million.
DATES: Effective Date: August 10, 2009.
ADDRESSES: The comments received on the proposed rule and the NRC's
work papers that support these final changes to 10 CFR parts 170 and
171 are available from the following locations:
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].
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].
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. Response to Comments
III. Final 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
IV. Voluntary Consensus Standards
V. Environmental Impact: Categorical Exclusion
VI. Paperwork Reduction Act Statement
VII. Regulatory Analysis
VIII. Regulatory Flexibility Analysis
IX. Backfit Analysis
X. Congressional Review Act
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,
not including 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 (not
including 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. First, user fees, set forth 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. For example, the NRC assesses
these fees to cover the cost of inspections, applications for new
licenses and license renewals, and requests for license amendments.
Second, annual fees, set forth in 10 CFR part 171 under the authority
of OBRA-90, recover generic regulatory costs not otherwise recovered
through 10 CFR part 170 fees.
In accordance with OBRA-90, $27.1 million of the agency's budgeted
resources for generic homeland security activities are excluded from
the NRC's fee base in FY 2009. These funds cover generic activities,
such as rulemakings and the development of guidance documents, that
support entire license fee classes or classes of licensees. Under its
IOAA authority, the NRC will continue to charge part 170 fees for all
licensee-specific homeland security-related services provided,
including security inspections and security plan reviews.
On March 11, 2009, the President signed the Omnibus Appropriations
Act, 2009 (Pub. L. 111-8). This Act appropriated $1,045,516,000 to the
NRC to carry out its mission in FY 2009. This amount is $24.3 million
lower than the estimate used to develop the FY 2009 proposed rule (74
FR 9129; March 2, 2009). The FY 2009 proposed rule was based on the FY
2009 Energy and Water Development Appropriations Bill (H.R. 7324),
reported by the U.S. House of Representatives Appropriations Committee.
As discussed in the Statement of Consideration of the FY 2009 proposed
rule, the NRC's FY 2009 final fee rule has been adjusted to reflect the
enacted budget. However, because the $24.3 million decrease only
affected the amount appropriated from the NWF, which is a non-fee item,
the NRC's required fee recovery amount for the FY 2009 budget has not
changed from the proposed fee rule.
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 has increased by $91.5 million from FY
2008, mostly in response to an 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 annual fees for reactor, fuel
facility, most uranium recovery, and small materials licensees have
increased. Another factor affecting the amount of annual fees for each
fee class is the estimated collection under part 170. The
[[Page 27643]]
annual fee amounts in the FY 2009 final fee rule are lower for most fee
categories than those in the proposed rule primarily due to the
increase in part 170 revenue estimates.
II. Response to Comments
The NRC published the FY 2009 proposed fee rule on March 2, 2009
(74 FR 9129) to solicit public comment on its proposed revisions to 10
CFR parts 170 and 171. The NRC received eight comments by the close of
the comment period (April 1, 2009) and two comments thereafter, for a
total of 10 comments that were considered in this fee rulemaking. The
comments have been grouped by issue and are addressed in a collective
response.
A. Specific Part 170 Issue
1. Hourly Rate Increase
Comment. Several commenters were concerned about the increase in
the NRC's hourly rate. These commenters requested a better explanation
for the 19 percent increase in the cost of agency administrative
overhead and the 10 percent increase in the cost of salaries and
benefits for mission direct full-time equivalents (FTE) from FY 2008 to
FY 2009. Some commenters also noted that NRC's hourly rates have always
exceeded those charged by private firms for similar work.
Response. The NRC's hourly rate is based on budgeted costs and must
be established each year to meet the NRC's fee recovery requirements.
As discussed in the proposed rule, the increase in the hourly rate is
due to the higher budget necessary for an increased regulatory and
infrastructure support workload for reactor license renewals and
applications from new uranium recovery and enrichment facilities. The
increase in the agency's regulatory activities requires a comparable
increase in agency administrative support (e.g., rent, supplies, and
information technology). The 10 percent increase in the cost of
salaries and benefits is primarily due to an increase of 101 mission
direct FTEs in FY 2009 as compared with FY 2008 along with Government-
wide pay raises. The FTE increase reflects additional support for new
facility applications.
In response to comments that the NRC hourly rate is significantly
higher than private industry rates, the NRC's rate is calculated to
recover all of the budgeted costs supporting the services provided
under part 170, including all programmatic and agency overhead, which
is consistent with the full cost recovery concept emphasized in the
Office of Management and Budget's Circular No. A-25, ``User Charges.''
The NRC did not receive any comments suggesting ways to revise its
hourly rate calculation methodology, and comments on this fee rule and
other rulemakings have consistently supported the NRC's efforts to
collect more of its budget through part 170 fees-for-services rather
than part 171 annual fees. Therefore, the NRC is retaining the hourly
rate formula as presented in the FY 2009 proposed rule.
2. Multiple Hourly Rates
Comment. One commenter requested that the NRC consider developing
different hourly rates to account for the more complex licensing tasks
of new licensed facilities as opposed to the routine work required for
well-established programs.
Response. From FY 1988 through FY 1994, the NRC used one agency-
wide professional hourly rate. In the FY 1995 fee rule (60 FR 32218;
June 20, 1995), the NRC replaced the single rate with two professional
hourly rates based on ``cost center concepts'' used for budgeting
purposes to separately, and more equitably, allocate the costs
associated with the reactor and materials programs. In the FY 2007 fee
rule (72 FR 31401; June 6, 2007), the NRC returned to the use of one
hourly rate. The NRC found that there was no longer a significant
difference in the two hourly rates. Also, the NRC incurs administrative
burden in calculating and billing two different hourly rates.
As stated in the previous response, the NRC's hourly rate is based
on budgeted costs and must be calculated each year to meet the agency's
fee recovery requirements. The NRC believes that the added burden from
requiring both mission direct and administrative staff to develop and
provide annual review and oversight of a multiple hourly rate schedule
would be counterproductive. In addition, there is not a significant
difference in the NRC budget for the various programs that would result
in different hourly rates. Therefore, the NRC is retaining the single
hourly rate as presented in the FY 2009 proposed rule.
3. Fee Category 17 Description Revisions
Comment. One commenter requested that NRC rescind the revision to
the description of fee category 17, ``master materials licenses of
broad scope issued to Government agencies and other entities,'' as
stated in the proposed rule. This commenter stated that it understands
and supports the NRC's need to meet its fee recovery responsibilities,
but believes adequate notice should be given to impacted licensees as
required under the Administrative Procedure Act. This commenter also
noted that the addition of the phrase ``and other entities'' to the
description of fee category 17 and further elaboration that this
category is being expanded to include non-governmental entities with
multi-site licenses did not clearly indicate that certain fee category
3.C. entities would now fall under fee category 17.
Response. The NRC's intent in revising the description of fee
category 17 was to enhance the fairness and equity of its fee schedule.
The data gathered for the FY 2009 biennial review of fees showed that
the NRC's review efforts for large non-Federal multi-site, multi-region
licenses under fee category 3.C. were similar to efforts for a Master
Materials License (MML) (fee category 17) and, thus, there should be
similar fees. However, NRC appreciates the concerns raised by this
commenter. To address these concerns, NRC will rescind the proposed
revision to the description for fee category 17 (MML). The NRC believes
it is necessary to perform additional studies of the best way to
equitably recover the costs of providing the regulatory oversight for
multi-site licenses and such review will be addressed in a future
rulemaking. The impact of removing the revised description from this
final rule on fee categories 3.C. and 17 is discussed in Sections
III.A.2, of this document, Flat Application Fee Changes, and III.B.3.g,
Materials Users.
B. Specific Part 171 Issues
1. Increase in Annual Fee Base
Comment. Some commenters requested a more detailed explanation for
the bases for the increase in annual fees as opposed to an increase in
the NRC hourly fee charges. The commenters recognized that additional
fees are necessary to support increases in NRC staffing levels and the
agency infrastructure required to license new facilities, but the
commenters expected a larger percentage of the increase to be recovered
through hourly fee charges.
Response. As a matter of policy, the NRC strives to maximize its
fee collections under part 170, and this has been addressed in previous
fee rules. The NRC is rebaselining its fees in FY 2009, as noted in the
proposed fee rule. Under this methodology, the agency's annual fee
amounts are calculated based on budgeted resources allocated to the fee
class and may fluctuate from one year to the next. In FY 2009 the NRC
budget amount to be recovered increased by 14 percent. This is
[[Page 27644]]
reflected in the increase in annual fees for most licensees.
Because NRC's annual fees must recover all fee class resources not
collected through part 170 fees, the annual fees are also affected by
the part 170 fees collected from that fee class. The NRC prepares its
budget using the best information available at the time, including
scheduled application and licensing activities. However, part 170
revenue from a fee class is particularly difficult to predict in
advance. Although the total part 170 revenue in FY 2009 is greater than
FY 2008, fact-of-life issues, such as delays in application activities
and restrictions in a six-month continuing resolution, resulted in
lower than expected part 170 estimated revenues for some classes of
licensees like fuel facilities. In addition, most of the FY 2009 part
170 revenue is billed at the lower FY 2008 professional hourly rate of
$238 because the higher FY 2009 rate of $257 is not effective until 60
days after the publication of this final rule in the Federal Register.
This has resulted in annual fee increases higher than the increase in
total budget to be recovered for some licensees.
2. Fuel Facilities Annual Fees
Comment. One commenter was concerned about the increase in annual
fees for fee category 1.A.(1)(a), High Enriched Uranium Fuel (HEU), and
requested that NRC re-evaluate the matrix used in determining the Fuel
Facilities annual fees. In particular, this commenter believes that the
annual fee for fee category 1.E., Uranium Enrichment, should have a
higher percentage increase because the NRC stated that the primary
reason for the Fuel Facilities budget increase was for new uranium
enrichment facility licensing activities. The commenter then asserted
that the proposed annual fee increase for an HEU facility was
unjustified because the NRC said that the effort factors for the HEU
fee category have decreased from FY 2008. Another commenter did not
believe that the annual fee increase for a Low-Enriched Uranium Fuel
Facility was justified and wanted the NRC to provide further
explanation.
Response. Annual fees fluctuate from year to year based on a number
of factors, including the budgeted resources for a license fee class.
The NRC acknowledges that the annual fees for fuel facilities increased
by a large percentage (between 56 percent and 124 percent) from FY 2008
to FY 2009. However, the annual fees decreased approximately 27 percent
from FY 2007 to FY 2008. The licensing activities for the new uranium
enrichment facility are not included in the annual fee for a specific
facility licensed by the NRC. The NRC bills the applicant for these
activities as part 170 hourly charges. The delay in the submission of
the license application impacted the part 170 fee estimate for fuel
facilities. Because annual fees must recover all budgeted resources for
a fee class not recovered through part 170 fees, annual fees for all
facilities in the fee class are impacted by the lower part 170 fee
estimate, as explained in the answer to the previous comment.
In response to the request to re-evaluate the matrix used for
calculating annual fees for individual fuel facilities, the NRC
established its methodology through public notice and comment
rulemaking (64 FR 31448; June 10, 1999). Under this methodology the
total budgeted resources for fuel facilities are allocated to
individual fuel facility fee categories based on the effort/fee
determination matrix, which was described in detail in the FY 2009
proposed fee rule. As stated in the FY 1999 rulemaking, 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.
The NRC continues to believe that an effort/fee determination matrix,
based on the commensurate level of regulatory effort related to the
various fuel facility categories from a safety and safeguards
perspective, results in annual fees that accurately reflect the current
costs of providing generic and other regulatory services to each fuel
facility type. In response to the comment on the decrease in effort
factors for HEU fee category, the 2.6 percent decrease in the total
safety and safeguards effort factor change is relatively small, as
noted in the proposed rule. The primary reason for the increase in
annual fees is the higher budget without a proportionate increase in
part 170 revenue. The decrease in total effort factors for HEU fee
category did not have a large impact on the annual fee. Therefore, the
NRC is retaining the effort/fee determination matrix as outlined in the
proposed rule.
3. Uranium Recovery Annual Fees
Comment: One commenter, representing various stakeholders, stated
that the proposed rule did not adequately explain the substantial
increase in FY 2009 annual fees for in-situ recovery (ISR) operations
and conventional mills from the $10,300 [corrected] annual fee in FY
2008. This commenter was also concerned that contrary to the uranium
recovery industry's expectations, the preparation of the Generic
Environmental Impact Statement (GEIS) for in-situ uranium recovery has
not decreased NRC staff effort. This commenter supported the creation
of three new classes of uranium recovery licenses as presented in the
proposed rule, but requested the addition of a statement in the final
rule to clarify that conventional mills will not be double-billed as a
resin toll milling facility under fee category 2.A.(2)(e) if their
license allows them to process uranium bearing resins from other sites
and sources. Another commenter stated that the proposed fee rule did
not adequately explain the basis for the Uranium Mill Tailings
Radiation Control Act (UMTRCA) Title I budgeted costs. This commenter
worried that reductions in generic fees would result in reduced NRC
support for UMTRCA license actions and requested site-specific budget
details in the final rule and supporting documents.
Response. The NRC acknowledges that the FY 2009 uranium recovery
annual fees for in-situ recovery operations and conventional mills fee
classes of $29,700 and $31,200, respectively, are significantly higher
than the FY 2008 annual fee of $10,300 charged to these facilities.
However, the annual fees charged to these facilities have decreased
substantially since FY 2006 when the annual fee was $65,900. Annual
fees fluctuate from year to year based on a number of factors,
including the budgeted resources for a license fee class. The increase
in the total required annual fee recovery is mainly due to an increase
in uranium recovery licensing and inspection budget resources for the
existing licensees, as stated in the proposed rule. The NRC's annual
fees reflect the budgeted cost of its regulatory services to the class.
In response to the request for clarification in the fee schedule to
avoid the possibility of double-billing, most NRC materials licenses
that authorize more than one activity on a single license will be
assessed annual fees for each category applicable to the license (see
Sec. 171.16, footnote 1, of this document). Thus, if an NRC license
authorizes the operation of both a conventional mill and a resin toll
milling facility then annual fees will be assessed for both fee
category 2.A.(2)(a), Conventional Mills, and 2.A.(2)(e), Resin Toll
Milling Facilities. As described in the proposed rule, each fee
category for uranium recovery facilities reflects the NRC's regulatory
effort expended for the different types of facilities, both existing
and planned. Consistent with requirements under OBRA-90, the NRC
believes the annual
[[Page 27645]]
fees have a reasonable relationship to the cost of its regulatory
services to each fee category. Therefore, the final rule provides no
exceptions.
In response to comments on budgeted resources for specific uranium
recovery activities, the NRC determines the budgeted costs to be
allocated to each class of licensee through a comprehensive review of
every planned activity in each of the agency's major program areas. The
NRC's Performance Budget submitted to the Congress for review provides
the objectives of the budget and how it supports the agency's Strategic
Plan goals and strategies. Nonetheless, the NRC's budget and the manner
in which the NRC carries out its activities are not within the scope of
this rulemaking. Therefore, this final rule does not address the
commenters' concerns regarding the NRC's budget and the use of NRC
resources for specific activities, such as the GEIS and UMTRCA.
4. Agreement State Activities
Comment. Some commenters requested more discussion of the fee
impact on NRC licensees once additional states beyond the Commonwealth
of Virginia and the State of New Jersey become Agreement States. One
commenter worried that they would be required to pay fees to both the
NRC and the Commonwealth of Virginia. This commenter also suggested
that NRC consider implementing monthly billing for seasonal usage
whereby the licensee would only be charged for the months during which
the equipment was used.
Response. In response to concerns about decreasing numbers of NRC
licensees as more states become Agreement States, the NRC notes that
the fee calculation methodology considers the percentage of licensees
in Agreement States in establishing fees for the materials users fee
class. As explained in the proposed fee rule, the budgeted resources
providing support to Agreement States or their licensees are included
in total fee-relief costs, which are offset by non-fee recovery funding
provided by Congress. For example, if the NRC develops a rule, guidance
document, or a tracking system that is associated with or otherwise
benefits Agreement State licensees, the costs of these activities are
prorated to the fee-relief activities according to the percentage of
licensees in that fee class in Agreement States (e.g., if 85 percent of
materials users licensees are in Agreement States, 85 percent of these
regulatory infrastructure costs are included in the fee-relief
category). To address fairness and equity concerns associated with
licensees paying for the cost of activities that do not directly
benefit them, the FY 2001 Energy and Water Development Appropriations
Act amended OBRA-90 to decrease the NRC's fee recovery amount to 90
percent beginning in FY 2005. To the extent that the 10 percent of
NRC's budget authority which is not fee recoverable is insufficient to
cover the total cost of all fee-relief activities, these remaining
costs are spread to all licensees based on their percentage of the
budget. In FY 2009, the NRC's fee relief exceeds the total fee-relief
activities cost. This excess fee relief is used to reduce licensees'
annual fees, based on their percentage of the fee recoverable budget
authority.
In response to the comment about paying fees to both NRC and the
Commonwealth of Virginia, the proposed fee rule explained that, because
of Virginia's effective Agreement date of March 31, 2009, the licensees
transferring to Virginia are subject to one-half of their NRC annual
fee for FY 2009. In response to the comment suggesting a monthly charge
to account for seasonal usage, the NRC recognizes the assessment of
fees to recover the agency's costs may result in a financial hardship
for some licensees. However, the annual fees are based on the budgeted
resources for activities such as licensing and inspection and the level
of effort to perform these activities. The NRC does not believe that
seasonal usage of equipment should be a factor in determining annual
fees. Therefore, the NRC will continue to charge an annual fee to its
licensees.
C. Other Issues
1. The NRC Budget and Explanation of Increases
Comment. Several commenters stated that the proposed rule did not
adequately explain the increase in NRC's total fee recovery for FY 2009
and they felt that the NRC should provide a plan for controlling and
limiting the rate of future budget increases. While the commenters
recognized and supported NRC's hiring effort in the past five years in
response to an increase of new licensees in several fee categories,
they believe the proposed rule should have provided a more detailed
explanation and justification for the fee increases.
Response. The NRC appreciates the importance of developing cost-
efficient budgets. NRC offices conduct process reviews every year and
rely on risk-informed practices to develop cost-efficient budgets that
allow them to achieve the NRC's Strategic Plan mission objectives. As
discussed previously, the NRC's budget is submitted to OMB and Congress
for review and approval. The Congressionally-approved budget resulting
from this process reflects the resources deemed necessary for the NRC
to carry out its statutory obligations. In compliance with OBRA-90,
NRC's fees are calculated to recover the required percentage of its
approved budget. The NRC will continue efforts to ensure that the NRC
carries out its statutory obligations in an efficient manner.
2. Need for Timely Budget Estimate
Comment. Some commenters raised concerns that the timing of the fee
rule makes it difficult for licensees to plan for regulatory expenses
within the framework of their normal budget cycles. To address this
issue, these commenters suggested that the NRC hold an annual public
meeting for the purpose of sharing fee projection information. The
commenters recognized NRC's efforts in providing information to the
industry through an October 2008 public meeting but requested that an
annual public meeting be held earlier in the year to align with their
budget planning cycle. In addition, some commenters worried about the
unpredictability of estimating proposed fee increases. One commenter
recommended NRC publish advance notice of the NRC's next fiscal year
budget during the first half of the current calendar year. Another
commenter did not believe the NRC adequately communicated the impact of
its budget increases to NRC licensees when the proposed FY 2009 budget
was released to Congress. Some commenters recommended that the NRC
improve its methods of communicating monthly inspection costs.
Response. The NRC appreciates the concerns about fee predictability
and stability, and strives to notify licensees of proposed fee changes
as early as possible. The Commission also makes every effort to issue
the proposed fee rule as soon as possible. Unfortunately, the NRC
cannot precisely estimate its budget in advance, as much of the process
is out of the agency's direct control. The NRC's proposed budget is
submitted to the Office of Management and Budget for executive review
before the President submits a budget to Congress, which often makes
changes before approving the final budget for the President's
signature. As was noted at the October 2008 public meeting, the NRC is
committed to open communication within the confines of the rulemaking
process, but the agency cannot provide predecisional policies or
certain administrative fee-related
[[Page 27646]]
information until the proposed fee rule is published. However, the NRC
agrees to hold an annual public meeting with interested licensees to
share projected fee information as the commenters suggested. The date
of the meeting will be determined annually, taking into consideration
the timing of the budget process and NRC staff availability.
In response to suggestions that the agency improve its methods of
communicating monthly inspection costs, the NRC appreciates the
concerns regarding invoice predictability. Nonetheless, providing
estimated monthly inspection costs before invoicing is not within the
scope of this rulemaking and will not be addressed in this final rule.
III. Final Action
The NRC is amending its licensing, inspection, and annual fees to
recover approximately 90 percent of its FY 2009 budget authority minus
the appropriations for non-fee items. The NRC's total budget authority
for FY 2009 is $1,045.5 million. The non-fee items include $49 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 must 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 is $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 of $870.6 million is reduced by
$4.1 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 $866.5 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]
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Budget Authority................................ $1,045.5
Less Non-Fee Items................................ -78.1
-----------------
Balance....................................... $967.4
Fee Recovery Rate for FY 2009..................... x 90.0%
-----------------
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 -6.0
Year Invoices (estimated)....................
-----------------
Subtotal.................................. -4.1
Amount to be Recovered Through Parts 170 and 171 Fees. $866.5
Less Estimated Part 170 Fees...................... -333.9
-----------------
Part 171 Fee Collections Required..................... $532.6
------------------------------------------------------------------------
The NRC added six updates to the FY 2009 fee calculations since the
proposed rule. First, the agency updated the Part 171 Billing
Adjustments based on the latest information available. The estimated
payments received in FY 2009 for prior year invoices decreased by
approximately $1.7 million, resulting in a greater amount to be
recovered through fees. Second, the NRC updated the part 170 estimates
based on the latest billing data available, adding adjustments to
account for changes in the budget, as appropriate. In total, the part
170 estimates increased by approximately $13.7 million. The NRC
estimates that $333.9 million will be recovered from part 170 fees in
FY 2009, which represents an increase of approximately 20 percent
compared to the $277.3 million in part 170 collections during FY 2008.
Part 171 annual fees account for the remaining $532.6 million to be
recovered in FY 2009, an increase of approximately 13 percent compared
to the $472.9 million in part 171 collections during FY 2008. Third,
the NRC lowered the amount of resources for generic decommissioning
(fee-relief) and correspondingly increased resources for the uranium
recovery fee class. These changes more accurately allocate budgeted
resources. Fourth, in response to a commenter's concerns, the NRC has
not changed the definition for fee category 17. Fifth, the NRC
corrected the ``Flat'' application fee for fee category 17, Master
Materials License (MML). The proposed rule listed an application fee of
$29,900, which was incorrect. The correct amount is $60,100, as shown
in the proposed rule work papers. Sixth, the NRC adjusted the average
number of professional staff hours needed to complete inspection
actions for fee categories 3C and 17, and to complete licensing actions
for fee category 17. This adjustment takes into account the unchanged
definition for fee category 17.
The impact of these updates on the FY 2009 fees is minimal. Fees
for most licensees decreased between the FY 2009 proposed and final fee
rules. The two most significant changes were: (1) A 30 percent decrease
in the test and research reactor annual fee, which resulted from an
increase in estimated part 170 fee collections for this fee class; and
(2) a 144 percent increase in the ``Flat'' application fee for fee
category 17, which resulted from a correction to the proposed fee
amount and an adjustment to the average number of professional staff
hours. Other fees decreased or increased by small amounts as a result
of the changes listed in the preceding paragraph.
The FY 2009 final fee rule is 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
[[Page 27647]]
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.
The NRC will not routinely mail the FY 2009 final fee rule or
future final fee rules to applicants or 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 http://www.regulations.gov [NRC Docket ID NRC-2008-0620].
The NRC is amending 10 CFR parts 170 and 171 as discussed in
Sections III.A and III.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
The NRC is establishing a single hourly rate of $257 to recover the
full cost of activities under part 170, and using this rate to
calculate ``flat'' application fees. The rule also makes revisions to
descriptions of some fee categories.
The NRC is making 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 increasing the FY 2009 hourly rate to
$257. This rate is applicable to all activities for which fees are
assessed under Sec. Sec. 170.21 and 170.31. The FY 2009 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, which accounts
for an 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 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 using 1,371 hours per direct FTE, the same
as in 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 updates for the FY 2009 fee
rule. Based on its review of the most recent data, 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............ $322.0
Mission Indirect Salaries & Benefits, and Contract 129.2M
Activity.............................................
Agency Management and Support, and IG................. 316.5M
-----------------
Subtotal.......................................... 767.7M
Less Offsetting Receipts.............................. -0.1M
-----------------
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).....
------------------------------------------------------------------------
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
As noted above, the NRC is adjusting 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
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 Officers Act of 1990. 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 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 17 under Sec.
170.31) also increase because of the results of the biennial review,
which
[[Page 27648]]
showed an increase in average time to process these types of license
applications. The decrease in fees for six fee categories (3.C., 3.H.,
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. As noted earlier,
the application fee for fee category 17, Master Materials License (MML)
was incorrect in the proposed rule. The correct proposed rule amount is
$60,100, as shown in the proposed rule work papers.
In light of concerns raised by a commenter, the proposed change to
the definition for fee category 17 is rescinded in this final rule (see
Section II.A.3., Response to Comments, of this document). Therefore,
the NRC revised the biennial review resulting in a higher average
number of professional staff hours needed to complete new MML licensing
actions. This increased the MML application fee by approximately 22
percent compared to the proposed rule corrected fee amount. Additional
discussion is provided in Section III.B.3.g, Materials Users, of this
document.
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 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 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 will be subject to the
revised fees in the final rule.
3. Fee Category Changes
The NRC is revising the fee categories for uranium recovery
facilities in Sec. 170.31. The new fee categories better reflect the
NRC's regulatory effort expended for the different types of facilities,
both existing and planned. A more detailed discussion follows in
Section III.B.3.b. Uranium Recovery Facilities, of this document.
In addition, the NRC is revising the description for fee category
7.A. in Sec. 170.31. The NRC is amending 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 in accordance with 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
new fee category description does not represent any additions to the
types of licenses regulated by NRC. The change clarifies the types of
licenses covered under specific categories for NRC licensees.
In light of concerns raised by a commenter, the NRC is not revising
the description for fee category 17 in Sec. 170.31.
4. Administrative Amendments
In response to a number of questions on specific sub-sections
related to fee exemptions for special projects, the NRC is simplifying
Sec. 170.11 for ease of reading. There is no change to the NRC's fee
exemption policy.
In summary, the NRC is making 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 NRC is using its fee relief to reduce all licensees' annual
fees and changes in the number of NRC licensees. This rulemaking also
establishes rebaselined annual fees based on the NRC's FY 2009 budget
authority. The final amendments are described as follows:
1. Application of ``Fee-Relief/Surcharge''
The NRC is using 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 (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 $3.2 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.
The excess fee relief for the FY 2009 final rule increased by
approximately $0.3 million compared with the proposed rule primarily
due to a change in the costs not recovered from the small entities
under 10 CFR 171.16(c) and generic decommissioning/reclamation fee-
relief costs. The amounts in these fee-relief categories decreased from
the proposed rule due to an increase in part 170 revenue estimate for
the materials users fee class and a change resulting in a smaller
budget resource allocation for generic decommissioning activities
related to uranium recovery sites.
As in FY 2008, the NRC is using the $3.2 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
$93.5 million. The NRC's total fee relief in FY 2009 is $96.7 million,
leaving $3.2 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.)
[[Page 27649]]
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
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 3.7
10 CFR 171.16(c).................................
c. Regulatory support to Agreement States......... 17.5
d. Generic decommissioning/reclamation (not 13.6
related to the power reactor and spent fuel
storage fee classes).............................
e. In situ leach rulemaking and unregistered 3.5
general licensees................................
-----------------
Total fee-relief activities................... 93.5
Less 10 percent of NRC's FY 2009 total budget (non -96.7
including non-fee items).............................
-----------------
Fee Relief to be Allocated to All Licensees' $-3.2
Annual Fees..................................
------------------------------------------------------------------------
Table IV shows how the NRC is allocating the $3.2 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 -2.8 -1.6
Spent Fuel Storage/Reactor .............. .............. 2.5 -0.1 -0.1
Decommissioning...............
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 -3.2 -0.9
----------------------------------------------------------------------------------------------------------------
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. The NRC approved the request. This resulted in the transfer of
approximately 386 licenses from the NRC to the Commonwealth of Virginia
effective March 31, 2009.
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 has updated 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, as a result 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 386
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 is 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.
[[Page 27650]]
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 revising 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 final rule increased by approximately $13.7 million
from the proposed fee rule based on the latest available invoice data.
The total amount to be recovered through annual fees for FY 2009 is
decreased to $532.6 million compared with $544.6 million in the
proposed fee rule primarily due to the increase in the part 170
estimate. 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 to FY 2008 annual fees, rebaselined fees are higher for
three classes of licensees (power reactors, non-power reactors, and
fuel facilities) and lower for spent fuel storage/reactor
decommissioning licensees. There is no change in rebaselined fees for
the transportation fee class. 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, has
increased by approximately $92 million in FY 2009 as compared to 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
final annual fees for operating reactor, non-power reactor, fuel
facility, most uranium recovery and small materials licensees increase.
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. This is 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 2008 annual FY 2009 final
Class/category of licenses fee annual fee
------------------------------------------------------------------------
Operating Power Reactors (Including $4,167,000 $4,625,000
Spent Fuel Storage/Reactor
Decommissioning Annual Fee)........
Spent Fuel Storage/Reactor 135,000 122,000
Decommissioning....................
Test and Research Reactors (Non- 76,500 87,600
power Reactors)....................
High Enriched Uranium Fuel Facility. 3,007,000 4,691,000
Low Enriched Uranium Fuel Facility.. 899,000 1,649,000
UF6 Conversion Facility............. 589,000 969,000
Conventional Mills.................. 10,300 31,200
Typical Materials Users:
Radiographers (Category 3O)..... 11,100 22,700
Well Loggers (Category 5A)...... 3,400 9,700
Gauge Users (Category 3P)....... 2,100 3,700
Broad Scope Medical (Category 22,900 36,300
7B)............................
------------------------------------------------------------------------
The work papers which support this final 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 category at the planned activity and
program level, and compare these allocations to those used to develop
the final FY 2008 fees. The work papers are available electronically as
stated in the ADDRESSES section of this document.
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 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 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 III.B.1., Application of Fee Relief/
Surcharge, of this document). The summary calculations used to derive
[[Page 27651]]
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]
------------------------------------------------------------------------
Summary fee calculations FY 2008 Final FY 2009 Final
------------------------------------------------------------------------
Total budgeted resources............ $31.5 $44.6
Less estimated part 170 receipts.... -17.2 -22.0
-----------------------------------
Net part 171 resources.......... $14.3 $22.6
Allocated generic transportation.... +0.5 +0.4
Allocated fee relief................ -0.1 +0.2
Billing adjustments................. -0.8 -0.2
-----------------------------------
Total required annual fee $13.9 $23.0
recovery.......................
------------------------------------------------------------------------
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 part 170
revenue estimate for the FY 2009 final rule increased by approximately
one percent compared with the proposed rule due to increased billing
for fuel facilities. This results in lower FY 2009 annual fees for fuel
facilities in this final fee rule.
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 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 27652]]
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 fee relief adjustment, for
safety activities ($13,206,181) 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 fee relief
adjustment, for safeguards activities ($9,613,695) 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
fee relief adjustment ($176,668) 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))............... $4,691,000
Uranium Enrichment (1.E.)............................. 2,804,000
Low Enriched Uranium (1.A.(1)(b))..................... 1,649,000
UF6 Conversion (2.A.(1)).............................. 969,000
Gas Centrifuge Enrichment Demonstration (1.A.(2)(b)).. 918,000
Limited Operations Facility (1.A.(2)(a)).............. 765,000
Hot Cell (and others) (1.A.(2)(c)).................... 408,000
------------------------------------------------------------------------
The NRC does not expect to authorize operation of any new uranium
enrichment facilities 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 $0.51 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]
------------------------------------------------------------------------
Summary fee calculations FY 2008 Final FY 2009 Final
------------------------------------------------------------------------
Total budgeted resources................ $2.56 $7.21
Less estimated part 170 receipts........ -2.02 -6.64
-------------------------------
Net part 171 resources.............. $0.54 $0.57
Allocated generic transportation........ + N/A + N/A
Allocated fee relief.................... -0.03 -0.03
Billing adjustments..................... -0.06 -0.03
-------------------------------
Total required annual fee recovery.. 0.46 0.51
------------------------------------------------------------------------
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 excluding 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 have been allocated
to operating reactors and fuel facility licensees because 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. The budgeted resources for the final rule increased
by approximately $0.2 million compared with the proposed rule due to a
correction in allocations to the uranium recovery fee class. These
budget resources were incorrectly allocated to generic decommissioning
activities related to uranium recovery sites. Therefore, resources from
the fee-relief category, generic decommissioning/reclamation, were
shifted to the uranium recovery fee class
[[Page 27653]]
for the final rule. This increase in the uranium recovery budget
allocation was offset by the higher part 170 revenue estimate compared
with the proposed rule. The annual fee in the final rule decreased
compared with the proposed primarily due to the $0.3 million increase
in part 170 revenue estimate.
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 the Department of Energy (DOE) and the other
licensees in this fee class. The NRC regulates DOE's Title I and Title
II activities under the 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 the
amount specifically budgeted for Title I activities ($246,563), is
allocated to DOE's UMTRCA facilities. The remaining 65 percent of the
total annual fee (less the amount 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 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 the annual
fee for the DOE compared to the increase in the annual fee for most of
the non-DOE facilities. Of the required annual fee collections,
$339,000 (rounded) will be assessed to DOE for licensing its UMTRCA
activities as fee category 18.B in Sec. 170.16.
The remaining $171,000 (rounded) will be recovered through annual
fees assessed to the other licensees in this fee class (i.e.,
conventional mills, 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 replacing 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 reflects the diverse types of
uranium recovery facilities planned for construction and operation in
the near future. Additionally, the new fee categories 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), is 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 is 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 is 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), is 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 is 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. Table X
shows the costs to be recovered through annual fees assessed to the
uranium recovery class.
Table X--Costs Recovered Through Annual Fees; Uranium Recovery Fee Class
------------------------------------------------------------------------
------------------------------------------------------------------------
DOE Annual Fee Amount (UMTRCA Title I and Title II)
general licenses:
UMTRCA Title I budgeted costs..................... $246,563
35 percent of generic/other uranium recovery 101,425
budgeted costs...................................
35 percent of uranium recovery fee-relief......... - 9,400
-----------------
Total Annual Fee Amount for DOE (rounded)..... 339,000
Annual Fee Amount for Other Uranium Recovery Licenses:
65 percent of generic/other uranium recovery 188,361
budgeted costs less the amounts specifically
budgeted for Title I activities..................
65 percent of uranium recovery fee-relief......... -17,457
-----------------
Total Annual Fee Amount for Other Uranium 170,904
Recovery 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 $171,000, annual fee amount to
these licensees. 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.
[[Page 27654]]
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 they are included in the fee-relief activities.
Therefore they are not 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:
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 $171,000 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 annual
Facility type (Fee category) fee
------------------------------------------------------------------------
Conventional and Heap Leach mills (2.A.(2)(a))........ $31,200
Basic In Situ Recovery facilities (2.A.(2)(b))........ 29,700
Expanded In Situ Recovery facilities (2.A.(2)(c))..... 33,600
11e.(2) disposal incidental to existing tailings sites 10,100
(2.A.(4))............................................
Uranium water treatment (2.A.(5))..................... 7,000
------------------------------------------------------------------------
c. Operating Power Reactors
The $468.3 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]
------------------------------------------------------------------------
Summary fee calculations FY 2008 final FY 2009 final
------------------------------------------------------------------------
Total budgeted resources................ $698.8 $761.5
Less estimated part 170 receipts........ -258.1 -288.8
-------------------------------
Net part 171 resources.............. 440.7 472.7
Allocated generic transportation........ + 1.0 + 0.9
Allocated fee relief.................... -5.9 -1.6
Billing adjustments..................... -16.5 -3.6
-------------------------------
Total required annual fee recovery.. 419.3 468.3
------------------------------------------------------------------------
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 $4,503,000 per
reactor. Additionally, each power reactor licensed to operate will be
assessed the FY 2009 spent fuel storage/reactor decommissioning annual
fee of $122,000. This results in a total FY 2009 annual fee of
$4,625,000 for each power reactor licensed to operate. The part 170
revenue estimate for the final rule increased by approximately $12.1
million compared with the
[[Page 27655]]
proposed rule primarily due to increased billings for work related to
new applications and a correction to previous estimates. As a result,
the annual fee for each power reactor decreased by approximately two
percent in the final rule.
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 12 percent for this fee class. These
collections offset the required annual fee recovery amount by a total
of approximately $288.8 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 $15.1 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.
Table XIV--Annual Fee Summary Calculations for the Spent Fuel Storage/
Reactor Decommissioning Fee Class
[Dollars in millions]
------------------------------------------------------------------------
Summary fee calculations FY 2008 final FY 2009 final
------------------------------------------------------------------------
Total budgeted resources................ $22.4 $21.1
Less estimated part 170 receipts........ -5.3 -6.1
-------------------------------
Net part 171 resources.............. $17.1 $15.0
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 15.1
------------------------------------------------------------------------
The required annual fee recovery amount is divided equally among
123 licensees, resulting in a FY 2009 annual fee of $122,000 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.
The part 170 revenue estimate for the final rule increased by
approximately 11 percent due to increased billings for spent fuel
storage and a correction to prior estimate, which resulted in a lower
annual fee compared with the proposed rule.
e. Test and Research Reactors (Non-power Reactors)
Approximately $350,000 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]
------------------------------------------------------------------------
Summary fee calculations FY 2008 final FY 2009 final
------------------------------------------------------------------------
Total budgeted resources................ $0.99 $1.22
Less estimated part 170 receipts........ -0.66 -0.87
-------------------------------
Net part 171 resources.............. 0.33 0.35
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 0.35
------------------------------------------------------------------------
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 $87,600 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. The
part 170 revenue estimate for the final rule increased by approximately
21 percent due to increased billings, which resulted in a lower annual
fee compared to the proposed rule. The part 170 revenue estimates for
FY 2009 increased by approximately 32 percent compared with FY 2008 due
to increased billing for test and research reactors, including Federal
facilities. The Energy Policy Act of 2005 authorizes the NRC to bill
Federal facilities for part 170 services.
f. Rare Earth Facilities
The one licensee who had an NRC specific license for receipt and
[[Page 27656]]
processing of source material under the Rare Earth fee class
transferred to the Agreement State, Commonwealth of Pennsylvania,
effective March 31, 2008.
Because the NRC 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]
------------------------------------------------------------------------
Summary fee calculations FY 2008 final FY 2009 final
------------------------------------------------------------------------
Total budgeted resources................ 22.8 28.7
Less estimated part 170 receipts........ -2.0 -1.7
-------------------------------
Net part 171 resources.............. 20.8 27.0
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 28.4
------------------------------------------------------------------------
The annual fee for most material users decreased in the final rule
compared with the proposed rule due to an increase in the part 170
revenue estimate. However, the annual fee for fee category 17 increases
in the final rule compared with the proposed rule due to the NRC's
revision of the average professional staff hours for this fee category.
The total required annual fees to be recovered from materials licensees
increased 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 increased. The number of licensees decreased
because of the transfer of licensees to the Commonwealth of Virginia.
Because the agreement with the Commonwealth of Virginia became
effective March 31, 2009, the licensees that transferred to the
Commonwealth of Virginia are subject to one-half of the annual fees in
FY 2009.
To equitably and fairly allocate the $28.4 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
approximately allocates 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 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
$20.5 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. No unique costs were identified for FY
2009.
The annual fee to be assessed to each licensee also includes a fee
relief adjustment of $616,000 (see Section III.B.1., Application of Fee
Relief/Surcharge, of this document). This adjustment is the result of
subtracting the $96,000 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 annual fee for each fee category is shown in Sec. 171.16(d).
Annual fees for most fee categories within the materials users fee
class increase, while some decrease. As indicated previously, changes
in the FY 2009 annual fees for categories of licensees within the
materials users fee class reflect not only change in the budgeted
resources supporting this fee class, but also changes in the estimates
of average professional staff time for materials users license
applications and inspections. This is derived from the biennial review
performed for the FY 2009 fee rule (see discussion of the biennial
review under Section III.A.2., Flat Application Fee Changes, of this
document). Accordingly, the relatively large percentage increase in the
annual fee for many of the fee categories under Sec. 171.16 is the
result of a significant increase to the average professional staff time
estimates.
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.
[[Page 27657]]
Table XVII--Annual Fee Summary Calculations for Transportation
[Dollars in millions]
------------------------------------------------------------------------
Summary fee calculations FY 2008 Final FY 2009 Final
------------------------------------------------------------------------
Total budgeted resources................ $5.7 $6.1
Less estimated part 170 receipts........ -2.3 -2.9
-------------------------------
Net part 171 resources.............. 3.4 3.1
------------------------------------------------------------------------
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 $3.1 million. The
net part 171 resources for these activities in the FY 2009 final rule
increased by $0.1 million compared with the proposed rule. This
increase in the final rule is primarily due to approximately five
percent decrease in the part 170 revenue estimate as a result of
decreased billings for transportation-related reviews. 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 number of CoCs for DOE decreased in FY 2009 resulting
in a slightly lower percent of the total CoCs compared with FY 2008.
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 a higher part 170
estimate.
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 $3.14
DOE....................................................... 29.0 23.9 0.75
Operating Power Reactors.................................. 34.0 28.0 0.88
Spent Fuel Storage/Reactor Decommissioning................ 9.0 7.4 0.23
Test and Research Reactors................................ 0.5 0.4 0.01
Fuel Facilities........................................... 17.0 14.0 0.44
Materials Users........................................... 32.0 26.3 0.83
----------------------------------------------------------------------------------------------------------------
The NRC will continue to charge DOE an annual fee based on the part
71 CoCs it holds, and will not allocate these DOE-related resources to
other licensees' annual fees, because these resources specifically
support DOE. Note that DOE's annual fee includes a reduction for the
fee relief (see Section III.B.1, Application of Fee Relief/Surcharge,
of this document), resulting in a total annual fee of $719,000 for FY
2009. This fee is the same as last year primarily due to a decrease in
the generic transportation resources offset by a lower reduction for
fee-relief and billing adjustments. The annual fee for DOE in the final
rule increased by approximately six percent compared with the proposed
rule due to a lower part 170 estimate.
4. Small Entity Fees
The small entity annual fee is charged to those licensees who
qualify as small entities and who would otherwise be required to pay
annual fees as stipulated under Sec. 171.16(d). Based on an in-depth
analysis conducted in FY 2009, the NRC is reducing 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 revising 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 revising the fee categories for uranium recovery
facilities in
[[Page 27658]]
Sec. 171.16. The new fee categories 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
III.B.3.b., Uranium Recovery Facilities, of this document. The NRC is
also modifying footnote 4 in Sec. 171.16 to remove references to
uranium milling. These references no longer apply because fee
categories under 2.A.(2) related to uranium recovery facilities have
been revised.
The NRC is also revising the description for fee category 7.A. in
Sec. 171.16. The NRC is amending 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 in accordance with 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 new fee category description does not represent any additions
to the types of licenses regulated by NRC. The change clarifies 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 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 III.B.1., Application of Fee Relief/Surcharge,
of this document). The NRC is replacing 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 because
the fee relief is a reduction in the annual fee for most fee classes in
FY 2009. The allocation is an adjustment to the annual fee.
In summary, the NRC is--
1. Using the NRC's fee relief to reduce all licensees' annual fees,
based on their percent of the NRC budget;
2. Revising the number of NRC licensees due to the Commonwealth of
Virginia becoming an Agreement State effective March 31, 2009;
3. Establishing rebaselined annual fees for FY 2009;
4. Reducing the maximum small entity fee from $2,300 to $1,900, and
the lower tier fee from $500 to $400;
5. Revising some fee categories to better reflect NRC's regulatory
effort; and
6. Making certain administrative changes for purposes of
clarification.
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. In this final rule, the NRC is amending 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 final 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 final 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 final 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.).
Public Protection Notification
The NRC may not conduct or sponsor, and a person is not required to
respond to, a request for information or an information collection
requirement unless the requesting document displays a currently valid
OMB control number.
VII. Regulatory Analysis
With respect to 10 CFR part 170, this final 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--
(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
[[Page 27659]]
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 Sec. 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 $1,045.5 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 DC 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 final rule establishes the schedules of fees that are
necessary to implement the Congressional mandate for FY 2009. This
final rule results 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 final 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 final rule and that a backfit analysis is not
required for this final 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.
X. Congressional Review Act
In accordance with the Congressional Review Act of 1996 (5 U.S.C.
801-808), the NRC has determined that this action is a major rule and
has verified the determination with the Office of Information and
Regulatory Affairs of the Office of Management and Budget.
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.
0
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. 552 and 553, the NRC is adopting 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
0
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).
0
2. In Sec. 170.11, the introduction text of paragraph (a)(1),
paragraphs (a)(1)(ii), (a)(1)(iii) introductory text, (a)(1)(iii)(A),
(B), and (C), and paragraph (b) are revised to read as follows:
Sec. 170.11 Exemptions.
(a) * * *
(1) A request/report submitted to the NRC--
* * * * *
(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 rulemaking,
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
[[Page 27660]]
obtaining NRC approval for future use of the report by the industry 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.
0
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 re-qualification 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.
0
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]
------------------------------------------------------------------------
Facility categories and type of fees Fees\1, 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 $16,700
license 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 9,800
license 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 4,100
license 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 2,600
license 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.
0
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.
* * * * *
[[Page 27661]]
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 Full Cost
(High Enriched Uranium) [Program
Code(s): 21130].
(b) Low Enriched Uranium in Dispersible Full Cost
Form Used 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 Full Cost
[Program Code(s): 21310, 21320].
(b) Gas centrifuge enrichment Full Cost
demonstration facilities.
(c) Others, including hot cell Full Cost
facilities.
B. Licenses for receipt and storage of Full Cost
spent fuel 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): $1,200
22140].
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): $2,400
22110, 22111, 22120, 22131, 22136,
22150, 22151, 22161, 22163, 22170,
23100, 23300, 23310].
E. Licenses or certificates for Full Cost
construction and operation of a uranium
enrichment facility [Program Code(s):
21200].
2. Source material:
A. (1) Licenses for possession and use of Full Cost
source 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 Full Cost
facilities [Program Code(s): 11100].
(b) Basic In Situ Recovery facilities Full Cost
[Program Code(s): ].
(c) Expanded In Situ Recovery Full Cost
facilities [Program Code(s): ].
(d) In Situ Recovery Resin facilities.. Full Cost
(e) Resin Toll Milling facilities...... Full Cost
(f) Other facilities [Program Code(s): Full Cost
11700].
(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 Full Cost
of 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): $570
11210].
C. All other source material licenses.
Application [Program Code(s): $10,100
11200, 11220, 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): $12,000
03211, 03212, 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): $4,500
03214, 03215, 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): $6,500
02500, 02511, 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): $4,400
02512, 02514].
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): $3,000
03510, 03520].
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): $6,000
03511].
[[Page 27662]]
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): $28,700
03521].
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): $5,500
03255].
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): $10,000
03250, 03251, 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): $1,800
03240, 03241, 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): $1,100
03242, 03244].
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): $10,100
01100, 01110, 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): $3,500
03620].
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): $6,100
03219, 03225, 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): $5,800
03310, 03320].
P. All other specific byproduct material
licenses, except those in Categories 4.A.
through 9.D.
Application [Program Code(s): $1,400
02400, 02410, 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): $1,180
02700].
2. Possession of quantities exceeding
10 times the number of items or limits
specified in 10 CFR 31.12(a)(4), or
fee category (5).C.
Application [Program Code(s): $1,400
02710].
S. Licenses for production of accelerator-
produced radionuclides.
Application [Program Code(s): $6,500
03210].
4. Waste disposal and processing:
A. Licenses specifically authorizing the
receipt 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, Full Cost
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): $4,400
03234].
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): $4,600
03232].
5. Well logging:
[[Page 27663]]
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): $3,400
03110, 03111, 03112].
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): $20,500
03218].
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): $11,200
02300, 02310].
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): $8,000
02110].
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): $2,300
02120, 02121, 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): $1,180
03710].
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 Full Cost
plutonium 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 Full Cost
approvals, route surveys, and
transportation security devices (including
immobilization devices).
11. Review of standardized spent fuel Full Cost
facilities.
12. Special projects:
Including approvals, preapplication/ Full Cost
licensing activities, and inspections.
13. A. Spent fuel storage cask Certificate of Full Cost
Compliance.
B. Inspections related to storage of spent Full Cost
fuel 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.
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 $16,700
amendment; or license exemption
request.
[[Page 27664]]
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 $9,800
amendment; or 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.
Application--new license, or $4,100
amendment; or 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 $2,600
amendment; or 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 $16,700
amendment; or 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 $9,800
amendment; or license exemption
request.
H. Application for export of Category 1
materials requiring Commission review and
government-to-government consent.
Application--new license, or $6,200
amendment; or license exemption
request.
I. Application for export of Category 1
material requiring government-to-
government consent.
Application--new license, or $5,100
amendment; or 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 $16,700
amendment; or license exemption
request.
K. Applications for export of Category 2
materials requiring Executive Branch
review and/or Commission review.
Application--new license, or $9,800
amendment; or license exemption
request.
L. Application for the export of Category 2
materials.
Application--new license, or $4,600
amendment; or license exemption
request.
Category 1 Imports:
M. Application for the import of Category 1
material requiring Commission review.
Application--new license, or $4,900
amendment; or license exemption
request.
N. Application for the import of Category 1
material.
Application--new license, or $4,100
amendment; or license exemption
request.
Category 2 Imports:
O. Application for the import of Category 2
material.
Application--new license, or $3,600
amendment; or 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 $5,700
amendment; or license exemption
request.
Q. Application for the import of Category 1
material with agent and multiple
licensees.
Application B new license, or $4,600
amendment; or 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:
Application........................ $73,100
18. Department of Energy.
A. Certificates of Compliance. Evaluation Full Cost
of casks, packages, and shipping
containers (including spent fuel, high-
level waste, and other casks, and
plutonium air packages).
B. Uranium Mill Tailings Radiation Control Full Cost
Act (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:
[[Page 27665]]
(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.
(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
0
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).
0
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 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 $4,503,000.
(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 $122,000.
(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:
* * * * *
[[Page 27666]]
(2) The total FY 2009 fee-relief adjustment allocated to the
operating power reactor class of licenses is -$1.6 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 -$15,400. This amount is calculated by dividing the total
operating power reactor fee-relief adjustment (-$1.6 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 -$79,500. The FY
2009 spent fuel storage/reactor decommissioning fee-relief adjustment
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 -$646. 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............................................. $87,600
Test reactor................................................. $87,600
0
8. In Sec. 171.16, the introductory text of paragraph (b), paragraphs
(c) and (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 the 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]
------------------------------------------------------------------------
Category of materials licenses Annual fees\1,2,3\
------------------------------------------------------------------------
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 $4,691,000
(High Enriched Uranium) [Program Code(s):
21130]...................................
(b) Low Enriched Uranium in Dispersible 1,649,000
Form Used 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 765,000
[Program Code(s): 21310, 21320]......
(b) Gas centrifuge enrichment 918,000
demonstration facilities.............
(c) Others, including hot cell 408,000
facilities...........................
[[Page 27667]]
B. Licenses for receipt and storage of spent \11\N/A
fuel 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 2,700
nuclear 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 7,600
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 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 2,804,000
of a uranium enrichment facility [Program
Code(s): 21200]..............................
2. Source material:
A. (1) Licenses for possession and use of 969,000
source 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 31,200
[Program Code(s): 11100].................
(b) Basic In Situ Recovery facilities 29,700
[Program Code(s):].......................
(c) Expanded In Situ Recovery facilities 33,600
[Program Code(s):].......................
(d) In Situ Recovery Resin facilities..... \5\ N/A
(e) Resin Toll Milling facilities......... \5\ N/A
(f) Other facilities\4\ [Program Code(s): \5\ N/A
11700]...................................
(3) Licenses that authorize the receipt of \5\ N/A
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 10,100
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 7,000
source material related to removal of
contaminants (source material) from drinking
water........................................
B. Licenses that authorize only the 1,310
possession, use and/or installation of source
material for shielding [Program Code(s):
11210].......................................
C. All other source material licenses [Program 17,400
Code(s): 11200, 11220, 11221, 11230, 11300,
11800, 11810]................................
3. Byproduct material:
A. Licenses of broad scope for possession and 40,000
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 [Program
Code(s): 03211, 03212, 03213]................
B. Other licenses for possession and use of 10,300
byproduct 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 13,500
and/or 32.74 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 Sec.
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. 8,700
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 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 6,600
byproduct material 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 12,700
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 in which the source
is not exposed for irradiation purposes
[Program Code(s): 03511].....................
G. Licenses for possession and use of 10,000 62,800
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 in which the source
is not exposed for irradiation purposes
[Program Code(s): 03521].....................
H. Licenses issued under Subpart A of part 32 8,300
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, 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]........
[[Page 27668]]
I. Licenses issued under Subpart A of part 32 14,900
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, 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 3,300
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, 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 2,500
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, 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 19,800
use of 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]...........
M. Other licenses for possession and use of 7,500
byproduct 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 11,400
licensees, 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 22,700
byproduct material 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 3,700
licenses, 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 \13\ N/A
under part 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 3,300
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 [Program Code(s): 02700]
2. Possession of quantities exceeding 10 3,700
times the 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- 12,200
produced radionuclides [Program Code(s):
03210].......................................
4. Waste disposal and processing:
A. Licenses specifically authorizing the \5\ N/A
receipt 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 18,700
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 [Program Code(s):
03234].......................................
C. Licenses specifically authorizing the 11,800
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 [Program Code(s):
03232].......................................
5. Well logging:
A. Licenses for possession and use of 9,700
byproduct 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 \5\ N/A
byproduct material for field flooding tracer
studies [Program Code(s): 03113].............
6. Nuclear laundries:
A. Licenses for commercial collection and 35,400
laundry of 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 17,500
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.
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 36,300
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].........
[[Page 27669]]
C. Other licenses issued under parts 30, 35, 6,200
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. 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 3,300
byproduct 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 10,400
evaluation of 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 10,400
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.........................
C. Registrations issued for the safety 7,300
evaluation of sealed sources containing
byproduct material, source material, or
special nuclear material, except reactor
fuel, for commercial distribution............
D. Registrations issued for the safety 1,200
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.................................
10. Transportation of radioactive material:
A. Certificates of Compliance or other package
approvals issued for design of casks,
packages, and shipping containers............
1. Spent Fuel, High-Level Waste, and \6\ N/A
plutonium air 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 \6\ N/A
approvals, route 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 \6\ N/A
Compliance.......................................
B. General licenses for storage of spent fuel \12\ N/A
under 10 CFR 72.210..........................
14. Decommissioning/Reclamation:
A. Byproduct, source, or special nuclear \7\ N/A
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 \7\ N/A
associated 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 187,000
issued to Government agencies....................
18. Department of Energy:
A. Certificates of Compliance................. \10\ 719,000
B. Uranium Mill Tailings Radiation Control Act 339,000
(UMTRCA) 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\ Another 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.
[[Page 27670]]
\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, a negative fee-relief adjustment
(or 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 26th day of May 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 FINAL RULE--REGULATORY FLEXIBILITY ANALYSIS FOR THE
FINAL 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 small entities (10 CFR 2.810). These standards
were based on the Small Business Administration's most common
receipts-based size standards and provides 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 Sec. 171.16(c) of this final
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 $866.5 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 rebaselining 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. As required by law,
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 charged to those
individuals, organizations, and companies licensed by the NRC,
including those licensed under the NRC materials program. Comments
received on previous proposed fee rules and the small entity
certifications in response to previous final fee rules indicate that
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 fees on materials
licensees. In FY 2008, about 26 percent of these licensees
(approximately 1,100 licensees) qualified as small entities.
Commenters on previous fee rulemakings consistently indicated
that the following 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 identical for both small and large firms.
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 abandon the
materials license altogether. Commenters estimated that the proposed
rule would cause roughly 10 percent of the well-logging licensees to
terminate their licenses immediately and approximately 25 percent to
terminate 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 difficult for some
facilities to meet.
Over 3,000 licenses, approvals, and registration terminations
have been requested since the NRC first established annual fees for
materials licenses. Although some terminations were requested
because the license was no longer needed or could be combined with
registrations, indications are that the economic impact of the fees
caused other terminations.
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 frequency of use of 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 a maximum fee for small
entities is the most appropriate and effective option for reducing
the impact of 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 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 10 CFR part 170 licensing
and inspection fees and Agreement State fees for fee categories
which were expected to have a substantial number
[[Page 27671]]
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 would not exceed the maximum paid in the
six benchmark Agreement States.
Of the six benchmark states, the NRC used Washington's maximum
Agreement State fee of $3,800 as the ceiling for total fees. Thus
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 fees NRC charged
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. Because of the 25 percent increase, in FY
2000 the maximum small entity annual fee increased from $1,800 to
$2,300. However, despite the increase, total fees for many small
entities were reduced because they no longer paid part 170 fees.
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
could continue to have a significant impact on materials licensees
with relatively low annual gross receipts. Therefore, the NRC
continued to provide the lower-tier small entity annual fee for
small entities with relatively low gross annual receipts,
manufacturing concerns and for educational institutions not State or
publicly supported with fewer than 35 employees. The NRC also
increased the lower tier small entity fee by 25 percent, the same
percentage increase to the maximum small entity annual fee,
resulting 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 Officers Act. Accordingly, the NRC examined
the small entity fees again in FY 2003 and FY 2005, determining that
a change was not warranted to those 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 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, in addition to
the part 171 small entity fee reduction. Regarding export licenses,
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 charges fees per
application, this 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.
The NRC conducted an in-depth biennial review of the FY 2009
small entity fees. The review noted significant changes between FY
2000 and FY 2008 in both the external and internal environment which
impacted fees for NRC's small materials users licensees. Since FY
2000 small entity licensees in the upper tier have 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 100 percent recovery required 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 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 small
entity fees. 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. This new methodology
allows small entity licensees to be able to predict changes 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 smooth
the fluctuations caused by programmatic and budget variables and
will reflect the importance of the fee categories with the majority
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 with 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
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
[[Page 27672]]
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 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 education institution--an educations 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 education 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,
[[Page 27673]]
regardless of the form of the revenue and not solely receipts from
licensed activities.
(iii) NRC's size standards on a 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, 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. E9-13425 Filed 6-9-09; 8:45 am]
BILLING CODE 7590-01-P