ML20125C744
| ML20125C744 | |
| Person / Time | |
|---|---|
| Issue date: | 11/27/1981 |
| From: | Dircks W NRC OFFICE OF THE EXECUTIVE DIRECTOR FOR OPERATIONS (EDO) |
| To: | Bradford, Gilinsky, Palladino NRC COMMISSION (OCM) |
| Shared Package | |
| ML20125C731 | List: |
| References | |
| FOIA-84-564 M811102B, NUDOCS 8506120138 | |
| Download: ML20125C744 (18) | |
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3 HEMORANDUM FOR: Chairman Palladino
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i Commissioner Gilinsky Commissioner Bradford Cosadssioner Ahearne coueissioner Roberts FRON:
William J. Dircks. Executive Director for Operations
SUBJECT:
PART 170 LICENSE FEES.- REQUEST FOR ADDITIONAL INFORMATION
(
REFERENCE:
NB111028)
This responds. ta the Commission.'s request dated November 4,1981 for the following-information regarding tan proposed Ticense fee schedule in SECT 81-615.
ITEM 2:. "the professional rate be recalculated based on actual R 1981 costs I
rather than on R 1977 costs modified by inflation factors and salary-increases".
RESPONSE: The p.J.ssional rates have been recalculated based on actuoi M 1981
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costs. The fbilowing are the revised rates.
Professional Professional 0 Mice.
StaM-Year Rate Staff'-Hour Rate NRR
$111,792
$62.
.l It Se,se3 52 IIM55 104,80T Er ACRS'-
111,487 62' ASLBP 110.765 62 ASLAP T18.385 66 Based on-the revised rates, the cost of a CP would range fres $2.2.mf111on. to $3.3 stilion while an OL would reage from $2.7 millian to $3.2 million.. This is about.
155, more than the amount shown for the CP and OL ranges in SECT 81.615. Cost ranges for fuel cycle facilities would also increase by about 151.
The range fbr.
Inspectica fees would increase about 135.
It is anticipated that collections would increase in R 82 from $50 million to
$59 million and in R 83 from $40 alllion to $58 million.
ITDt 3: ' staff provide a summary of the total IE manpower involv'ed in inspections.
and otner major actions fbr which the costs are recovered and a summary of:
the actions that involve the remainder of IE professional manpower expended" l RESPONSE: The R 1982 budget contains 985 positions'for IE.
Of this amount, about.
620 or 635 of the total are considend professional / technical staff and t
the remainder. 365 positions or 37% of the total, are management i
direction (supervisory) and clerical positions ~.
8506120138 850130 b
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2 F:r fee purposes it is estimated that about 300 of the 620 professional / technical staff years wi.11 be recovered through license and inspection fees since these positions are directly" involved in
-preparing for, eaaMing. and documenting the routine and non-routine inspections. Under current license fee guidelines the remain-ing 320 professional direct positions are not recoverable through fees because they are perforndng inspection act directly chargeable to specific licensees; e.g.ivities which are not
, reviewing generic safety natters. NRC Operations Center Management. specific study groups, task force participation, program development. hulletin coordination, event evaluation, uobile lab management, technical travel and attendance at training courses. support to HQ/
For cost recovery purposes the costs of the 365 supervisory and cleric support personnel have been distributed to the 620 IE professionals.
Thus each professional bears a proportionate share of these costs.
Assuming that approximately 300 professional staff years am charg to dockets he recovere,d.then 48% of the costs of the support personnel should-1 l
Based on the above IE allocation of staff msources, we can expect to recover about $18 m1TTion in FY 1982 and $27 million in F it inspection fines. The FY 1982 estimata assumes the adoption of the revised'achadste os April 1.,1982.
ITDI4:
- staff explain the bests for the policy decision whereby licenses. issued'r to Phdorei state and local governments and ta non-profit educatiew fastftettons are exem to to be thcTuded% pted from fees. An estiasta of the funds tavolved, -
RESPON5E:
SECY 81-615 proposes to continue the emesettes from fees for licenses '
fasued to Federal agencies (except for comercial power reactors).
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5 tate and local governments, and to non-profit educational institutions ukere the use.is teaching, training or medical purposes.
Federal Acencien - The Comerission does not presently have statuto autaortty to colect fees free Federal agencies.
l The NRC collects fees under authorization pmvfdad by Title V of the W+p.'3 Offices Appropriation Act of 1952. which states in part, that any license or permit issued by a Federal agency to any person except those o=aeced in the transaction of official business of the Goverment sha 1 be self-sustaining to the full extent possible.
prohibits charging fees for licenses issued to other Federal agen However, there is one exception. On June 16 1972. the Atomic Energy Act of 1954 was amended now subsection 161w to authorize the Commission to collect fee (s from Federal agencies for li peuer reactors prodi.ctng heat or electrical energy on a commercial basis.
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Chairman Palladin t al.
Additional legislation would be required beform-the Comerission could charge fees for non-power reactor licenses and permits and materfat licenses issued to Federal agencies. The costs in FY al for these Itcenses was about $200.000 and involves aheut 1.100 licenses.
. State and _ml Governments - The exemption from fees for licenses 1ssued ta.4tataa.and political. suhdtvisiens thereof ~ was greeted by the Ceemission on May
- 25. 1972. There are approatmately 400 M C licenses held by States and local governments and their costs in.
FY 81 were aheut $45.000. The esemption was granted for the. purpose.
of providing assistance to the States. GE Circular A-25, the -
W-implementing circular for the Independent Offices." ;.
. intion Act, i
provides. that as agency may make exceptions to the general po fW assessing fees for services rendered when " payment of the. full.
fee hr a state. local or non-profit group would not be in.the taterest of.the program *.
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' There is se legal constraint that would prohibit the Cameission from modifying past policy to recover these costs.
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Neo-proff u Educational. Inntitutions - The exemption from fees for. Mi:,'
11 senses 'saued to aes he' d by educational institutions was greetedg,.
N 1 1988.The policy to seampt such licasses from fees uns., '.
istemded.to.ameourses higher education and tweearch and enesidered.
ta he la the pubite interest.
of the enseption fW these 950 ifcanges was aheut $425,000
,.In FY 1951 the revenue loss haem
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Ilut it.*ntsfP esadest a study to determine Weether use of the actant, east. method when deteredning fees for redtoisotopes. licenses amm1d have a significant '
seensola impost on s' substantial ausher of saml1 entities The resmito, of the study are to be presented to the Geesission in February. '.In tho' interim perted, fees fbe the stated licenses and inspections need not;..
he revised.".
RESPONSES Due february 1982, i
l William J. Dircks 4
Executive Director for Operations DISTRIBUTION:.
DJDonoghue. ADM WJDircks. EDO PNorry, ADM LFM8 Lic. Fee F1.
WOM111er, LFM8 KCornell. EDO CJHolloway, LFM8 LFMBR/F(2)
EDO R/F (2) '
LFM8:ACM LFM8:ADM ADM ADM
. EDO EDO CJHolloway:bs WOM111er PNorry DJDonoghue KCornell WJDircks i
11/ /81 11/ /81 11/ /81 11/ /81 11/ /81 11/ /81 i
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...MDOR. ANDUM. FO..R..:.._Casu.,r.i..s.s.i.o.n. g,Ahearne
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FRON:
William 1. 'Dircks. Executive Director For Operations y. L :. : g.n,,..'
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SUBJECTS. :.','..' SECf 81-615. C0KNT5 AND RECOMNDATIONS
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This responds to your, comments on the'prW license fee schedule in,5ECT 51-615.-
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Item 1:
."Even'considering the ED0's Novuber 30. Ig81 response. I de'not believe
- the staff proposes recovering an adequate percentage of the inspecties.
and licensing effort. For exemple. I would expect to recover a sipificantly greater percent of the entire regional effort than the.-
projected 50 percent. This leads me to conclude the Commuission needs a better understandtag of what the EDO plans to exclude from fee charges, particularly la the inspection and licensing offices. 1 understand. for example. travel time te na inspection site. the mobile lab. technical trataing and a large portion of IE program support are excluded. I would like the EDO to provide a list of the programs.
- overhead categories and functions which are excluded from fee charges -
(e.g.. travel, generic studies. NRC Operations Center, progres develop-ment.contractsupport.Indemnityprograms,stateliaison.etc.)and the estimated annual resource expenditures for these prograss.'
RESPONSE: Enclosure 1 is a 11st of the " activities included and excluded la developing the proposed license fee schedule in SECT 81-615. la
-l developing the schedule, we adhered to the Commission's 1977 license e
fee guidelines. The rationale for this decision was that these gulde-
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lines had been reviamed and approved by the U.S. Court of Appeals (5th Circuit) la 1973.
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Recent discussions 'with the legal staff indicate that the Commission's, ".
11eanna fee regulations may be broadened'to recover a greater share
- of NRC's regulatory costs. This would necessitate a comprehensive ladepth analysis / study of the activities and allocation of staff and <. -
costs of each NAC affice as was does la FT. Ig77 in development of the current schedulew The results of the stub would provide the deta11. ~
regarding specific items as yee requested. Each activity would require -
an individual decisten $sr inclustos er anslusion free fees with justi-fication. The analysis would require the con 6ined effort of the 1.tcense Fee Branch and legni staff working with representatives in each NaC r
office. This type of analysis requires considerable time because the t-agency, budget and individus1 offices budgets de not allocate funds and ~
es to specific functions. Allocations are made en a very broad
. e.g.. casemort. safety technology, etc. To isolate the specific-vities and costs which are currently excluded from fees such as demeric effort. research and standards coordinetten. Indemnity, etc.
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.' 'would require greater detail in the agency accounting and budgeting i
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' system. In sdditNn. each NRR. IE and NN55 contract would have to be individually reviewed to detensine whether it should be included or excluded for fee purposes. (& fc!i.$:.&., '.,5.4 * :~ 4..
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'.It is. estimated that it would require up to six' months to coglate a
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' undertaken and coupleted in time for preparation of the 1983 revistoa.
to Part 170. '
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C Item 2:..
"The rule should be ' modified to allow, automatic annual update of fees
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based os prevailing salary schedules.*
RESPONSE: The'* Notice of Proposed Rule Making" in SECT 81-615 will be modified to provide for an annual update of professional staff rates and ranges of costs in Part 170. This can be accoglished by inserting a statement -
to the effect that the rule will be updated annually to take into consideration increased costs due, to. salary increases and inflation.
9 Item 3:
"I would propose instituting fee charges for non-profit institutions."
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RESPONSE: Currently 2.500 out of a total of approximately 8.800 materials licenses are exagt from licensing and inspection fines under the provisions'of Part 170. 650 of the fee exagt licenses 'are held by monprofit educa
's tional institutions. 750 by States or political subdivisions thereof.
g70 by Federal agencies, and the remaining 100 by patients with iglanted N
cardiac pacemakers. licenses covering material incidental to operation of a power reactor. uranium shielding, museises, etc.
In addition to the materials licenses there are 53 operating and four T
.non-operating research reactors and critical facilities licensed at
. colleges and universities. These 11 cans ** are fee exagt.
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.e NRC Costs of Fee D-t Licennen. In FY 1981 the Materials Licensing Branch and the Materials Cert: f' cation and Procedures Branch received.
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' approximately 5.100 applications for processing. Just over 3.000 of : ~
these applications and consequent licenses were subject to licensing fees under Part 170 and collections were $300.000. The other 2.100
~applications and any licenses issued were not subject to fees, and the '
Commission review costs for these applications were $190.000. la addition, the NRC's costs to conduct routine inspections of the '
existing 2.500 asterials licenses which are act sub,fect to fees is,
.1 approximately>$300.000.
In FY 1981 the'NRC's' costs to review the 3g applicationsI to amend research rsactor rating licenses held by college and universities were approxiantal 000 and the costs incurred to inspect these facilities were approximately $200.000. Mone of the costs asser.$ ted. U f
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' 1:.a di with the 53 research' reactors or critical facilities located at.: ee
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colleges and universities were recovered.idt r; Ses Miicu 1.+ Mf;ct
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~ te.rfdt tte Tr.rceat of cr.n'het ead L ff cKcr*. r:m.?rerra fur' t!.rt :f x Thus, fa FY 1981 the NRC expended approximately $775.000 for Itcensing and inspections of small saterials Ifeense programs and research reactors which were exempt from fees under Part 170. r.c;.d r.plu:cs, e..! -
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The staff recommends that Part 170'be amended to require fees for all 4 materials licenses except those issued to Federal agencies and patients 0 with cardiac pacesakers. The NRC does not have statutory authority to assess license and inspection fees to Federal agencies. It would not be practical to assess fees for pacesakers installed in patients.
With respect to the research reactors located at colleges and univer-sities we are informed by DOE that it helps these schools to defray the costs of fuel and fuel fabrication for these facilities, and that 6:k m: the taposition of licensing and inspectica fees in this instance would impose a serious burden on these licensees who generally operate on a
. marginal budget. In view of the circumstances, the staff reco==ade
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'. that the Comrissica continue the fee exemption fbr non-profit educa-.
C tional institutions for research reactors and critical facilities.
.y Item 4.
"I would include charges fbr commission orders (no application fros C
licensee), show cause oniers, and contested casework (ASLBP and ASLAP)."
RESPONSE:.The staff recommends that the proposed Notice of Rule Meking is
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~ - SECT 81-615 be modified to provide for assessment of fees for orders 2.. n -
based on actual costs. SECY 81-615 provides only for recovery of those q
costs incurred in the evaluation of licensee responses to onders. Since Three Mile Island there has been a significant increase in the number of R w, e--
.l.icansees receiving orders.
In FT 1981 more than 100 individual orders'-
WD >c b..were dispatched to licensees without the assessment of fees. In FY 19770 UK 3. when the current rule was developed the issuance of orders was infre-
- .re, g quest.,and, required limited resources.
. w The legal staff has advised us that fees can be collected for contested casework hearings. If the Comustssion adopts this policy, the ASLBP and ASLAP would need to implement a procedure for charging professional staft?
time to contested casework.
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"In' con, function with' the six' month billing cycle. I would propose the Y ~
4 Commission be prpvided a' report'on the amount of fees billed by office i 1 showing the p*ercent o~fcontract and staff effort recovered for that six f
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Beginning six months after adoption of the amended regulations an
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revised schedule of fees. and every six months thereafter, thei.f.4 n S. consission would be furnished a. report showing the total amount billed. '-L 9:< l ;' amount collected and amount of contract costs and staff effort recov
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Executive Director for Oper.ations.,
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Enclosure:
As stated..
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ENCLOSURE I SERVICES AND ACTIVITIES In developing the current fee schedule in 1977 each office of the NRC was analyzed to determine which activities provide "special benefit" for cost recovery purposes.
i "Special benefits" include those services rendered by the agency at the request of the recipient and services necessarily rendered to aid the recipient in complying with' statutory and regulation obligations. Services providing special benefit to identifiable recipients were included for computation of fees. Those for which the beneficiary was obscure, or which confer independent public benefit, were excluded from fees. The activities have been designated as excluded or included.
1.
Office of Nuclear Reactor Regulation a.
Processing of applications for facility construction pennits and operating licenses by the NRC staff and consultants. This f
involves safety, environmental, and antitrust and special nuclear naterials safeguards reviews (included).
b.
Processing of applications for facility license amendments and technical specification changes performed by the NRC staff and consultants (included).
Review of topical reports filed by licensees and vendors of c.
reactor components (included).
d.
Review of standardized reference designs for nuclear steam supply systems filed by vendors (included).
Review of standardized reference designs for balance of nuclear e.
plants filed by architect engineers (included).
f.
Examination and testing of the qualifications of prospective reactor operators (included).
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Staff assistance in developme.t of sta'r.dards, Ecdes, g.
criteria and licensing guides (excluded).
Staff effort in facilities research projects (excluded).
h.
I.icensing effort which is generic in nature, i.e.,
1.
not specifically identified with applications on file (excluded).
o Adviserv Committee on Reactor Saferuards_
2.
The services of this office are concerned with facilities.
Its safety review is included in the computation of Generic licensing, research and standards development fees.
effort are all excluded.
3.
Atomic Safety and I.icensine Board Panel Boards appointed from this panel in accordance'with the of provisions of Section 191 of the Atomic Energy Act 1954, as amended, conduct mandatory hearings for power facilities and issue initial decisions reactors and test J
to granting, suspendins;, revoking, or amending vith respect Effort in this office concerned licenses or authorizations.
with uncontested facility hearings is included in f ee computatior..
All other effort was excluded.
1 e.
v.
-3 4.
Atc=ic Saf er-e and Licensint Appeal 5 card i
l These boards review decisions affecting ' facility licensing.
Effort concerned with uncontested cases is included in fee l
computation; the remainder coocerning contested cases is excluded i
Office of Nuclear Materials Saferv and Saferuards 5.
Processing of applications for non-reactor facility a.
construction permits and operating licenses, fuel cycle licenses, and materials licenses by the NRC staff 59 This includes safety, environmental, and consultants.
and special nuclear material safeguards reviews (included)_.
Antitrust reviews as required by 10 CFR Part 50 non-reactor facility applications (included).
Processing of applications for license renewal and amend-b.
ments by the NRC staff and consultants (included).
Examination and testing of the qualifications of non-c.
reactor facility operators fincluded)_.
Staff assistance in development of standards and licensing d.
guides (excludedl.
Staff effort to research projects (excluded).
e.
Licensing effort which is generic in nature,, i.e., not f.
(excluded),
specifically identified with applications on file Staff assistance in development of safeguards contingency s.
plans,.and safeguards assessment activities (excluded).
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6.
Office of Insce tien and Enfe tement Routine health, safety, environmental and saf eguards inspections a.
of licensed activities (included).
Quality assurance inspections during the preconstruction.
b.
construction, pr operational and operations phases of facility licensing (includedl.
Staff assistance in development of standards and inspection c.
criteria (excluded).
u d.
Nouroutine inspections:
investigations, incident inspec-tions, audit of licensee management and enforcement activities (excluded),
Generic inspection activities, i.e., inspection activities e.
facility which are not concerned with a specific licensee, or vendor (excluded).
Office of standards Deve16psent 7.
All standards services would be excluded even though a.
to applicants, these activities provide. substantial benefit licensees and vendors by helping to define NRC requirements and practices and helping to establish predictabiliev of the However, the identifiable recipient of regulatory process.
the service is obscure.
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Office of Nuclear F.erulatorv Lessarch S.
Research or confirmatory assessment which generally relates to a.
regulatory decisions for the safe and environmentally compatible operation and protection of nuclear facilities and materials has been excluded from fee computation because the identifiable recipient of the benefit is obscure.
9.
The office of the commissioners The Commissioners are the governing body of NRC who exercise a.
the overall responsibility for policy guidance and administration l
and management of the Commission. ' Accordingly, it is not practica l
to isolate and allocate the services of this office to individua The services provided by this office have been activities.
excluded from fee computation.
10.
The Office of the Secretary The allocation of services as well as related costs to the a.
various offices was determined by examination of the functional workload associated with each operating activity Those activities supporting of the Office of the Secretary.
the licensing and inspection process were included _ in fee computation.
S
/
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l
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E.
Office of Nuclear Reculatorv Research Research or confirmatory assessment which generally a.
relates to regulatory decisions for the safe and environmentally compatible operation and protection of i
nuclear facilities and materials has been excluded from fee computation because the identifiable recipient of the benefit is obscure.
g 9.
The office of the Commissioners The Commissioners are the governing body of NRC who a.
exercise the overall responsibility for policy guidance It and administration and management of the Commission.
is not practical to isolate and allocate the services of f
this office to individual activities because of the l
constant change in responsibilities placed on th'e Commissioners The services orovided by this individually and iji toto.
office have been excluded from fee computation.
10.
The Office of the Secretarv_
The allocation of services as well as related costs to the variou a.
offices was determined by examination of the functional workload associated with each operating activity of s
Those activities supporting the the Office of the Secretary.
licensing and inspection process were included in f ee computation.
-7 11.
Of fice of the General Ceur.sel Iffort in this office is devoted to contested hearings as well as providing legal opinion and advise in connection with quasi-judicial responsibilities of the Commission and in policy development, litigation and legislative matters.
These services are not directly concerned with the licensing and inspection process, except for the effort in contested hearings. ' All services provided by this office were excluded f
from fee computation.
12.
Office of Poliev Ivaluation This office advises the Commissioners on a broad range of review substantive policy matters and provides an independent
~ of positions developed by the NRC staff which require policy ~
Services provided,by this office decisions by the Commission.
do not generally deal directly with licensing or inspection activities and are thus excluded from fee computation.
Offices of the Insnector and Auditor, Coneressional Affairs, Public 13.
Affairs and Ecual Emnlovment Opportunirv The services provided by these offices provide an independent public benefit and were excluded from fee computation.
14.
The Executive Director for Operations f
This office coordinates and directs the Commission's opera-It is concerned tional and administrative activities.
directly with the licensing, inspection, standards and f
~ *
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research activities of the C:=issicn.
Tnc se$ci:es and related costs of this office, with the exception of the
.Speci'al Projects Branch, were allocated to the operation Those offices after analysis of the services provided.
services supporting the licensing and inspection process I
were included in fee computation.
'Ihe Special Proj ects Branch is concerned with special projects which are not directly concerned with licensing, inspection, standards, e'
or research activities and, therefore, the services of this branch were excluded from fee computations.
i 15.
The office of Administration Analysis shows that this office, with the exception of the Division of Rules and Records, provides service to the respective NRC offices essentially on a per capita basis, and this is the basis for distribution of its services for fee I
f Those services supporting the licen, sing computation purposes.
The and inspections process were included in fee computation.
Division of Rules and Records is concerned primarily with and requests under the Treedom of Information Act, Privacy Act, 4
the Federal Reports. Act and provides support involving changes to rules and regulations. It services an independent public
)
interest. and it was excluded for f ee computation purposes.
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16.
The Office of the controller Analysis shows that this office provides services to the respective NRC offices essentially on a per capita basis.
Those services supporting the licensing and inspection process were included in fee computation.
The Office of Manaeement Information and Prosram Control 17.
This office provides management information and control systems s.5 dealing with project status and schedules for several of Based on analysis, the services, as well the NRC offices.
as costs, were allocated to the offices receiving the services.
Those services supporting the licensing and inspection process vtre included in fee computation.
18.
Office of Planning and Analysis s
This office assists the Executive Director for Operations in It program assessment and policy analysis and. development.
does not deal with licensing or inspection activities and the services were excluded from fee computation.
19.
Office of the Executive Legal. Director i
Analysis of the services provided by this office shows that the effort goes to licensing, hearings, and providing legal Those services advise to the Executive Director of Operations.
supporting the licensing and inspection process were included l
in fee computation.
l
. _3 0
- - +
s
'* ?.s. s'
~
Trecrces 0ffices of State Precrams, and Interna:iens:
20.
pbb1dcbc[efit These offices providt ar. independer.:
and all of-their services were excluded frore fee ce=putation.
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y-Q., -
Mr. Ahearne's comments on Secy-81-615:
resp'nse, l.
Even considering the EDO's November 30, 1981 o
I do not believe the staff proposes recovering an adequate percentage of the inspection and licensing effort.
For
~
example, I would expect to recover a significantly greater l
parcent of the entire regional effort than the projected 50 parcent.
This leads me to conclude the Commission needs a better understanding of what the EDO plans to exclude from fee charges, particularly in the inspection and licensing j
J offices.
I understand, for example, travel time to an inspection site, the mobile lab, technical training and a large portion of IE program support are excluded.
I would*
like the EDO to provide a list of the programs, overhead.
categories and functions which are excluded from fee, charges (o.g.,. travel, generic s,tudies, NRC Operations Center program dnvelopment, contract support, indemnity programs, state liaison, etc.) and the estimated annual resource expenditures, for these programs.
2.
The rule should be modified to allow automatic annual update of fees based on prevailing salary schedules.
3.
I would propose. instituting fee charges for non-profit institutions.
l 4.
I wou'14. include fee charges for Commission orders' (no cpplication from licensee), show cause orders, and contested casework. (ASLBP.and ASLAP).
5.
In conjunction with the six month fee billing cycle, I would propose the. Commission be provided a report on the amount of fees billed by office showing the percent of,
contract and staff effort recovered for that six month period.
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