ML20148M858

Forwards Workpapers in Support of Final Rule Scheduled for Publication.One Set Requested to Be Advanced to PDR & Other Set for Processing Through Nudocs Sys

ML20148M858
Person / Time
Issue date:	05/28/1997
From:	Holloway C NRC OFFICE OF THE CONTROLLER
To:	Lanham D NRC OFFICE OF INFORMATION RESOURCES MANAGEMENT (IRM)
Shared Package
ML20148M448	List: ML20148M462 ML20148M483 ML20148M502 ML20148M547 ML20148M738 ML20148M814 ML20148M837 ML20148M858 ML20148M874 ML20148M894
References
FRN-62FR29194, RULE-PR-170, RULE-PR-171 AF55-2-035, AF55-2-35, NUDOCS 9706250263
Download: ML20148M858 (29)

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NUCLEAR REGULATORY COMMISSION

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May 28, 1997 MEMORANDUM TO:

Donald H. Lanham Docke ing and D ument Con 1 Desk Section i

f Info mation R rces Management FROM:

C ames !ol oway, J aistant for Fee Policy and Rules Offica of the Controller

SUBJECT:

FEE WORKPAPERS FOR 10 CFR PARTS 170 AND 171 FINAL RULE --

FY 1997 Attached are two sets of the workpapers in support of the Final Rule scheduled for publication in the Federal Register in the next few days.

Please advance one set of the workpapers to the Public Document Room immediately and ask the PDR staff to time-stamp them upon receipt and put them on disalay for immediate perusal. The other set is for processing through tie NUDOCS system.

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In this way, the PDR gets an advance copy and an additional copy through j

normal processing.

Thank you for your assistance in this matter.

Attachments: As stated a lj [ '

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Commission 10 CFR Parts 170 and 171 Revision of Fee Schedules: 100 Percent Fee Recovery, FY 1997; Final Rule l

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29194 Federal Register / Vol. 62. No.103 / Thursday, May 29, 1997 / Rules and Regulations NUCLEAR REGULATORY administered NWF, for FYs 1991

3. Revise the two professional hourly COMMISSION through 1995 by assessing fees. OBRA-rates in S 170.20 which are used to

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90 was amended in 1993 to extend the determine the 10 CFR Part 170 fees 10 CFR Parts 170 and 171 NRC's 100 percent fee recovery assessed by the NRC. The rate for FY RIN 3150-AF 55 t quirement through FY 1998.

1997 for the reactor program is $131 per The NRC assesses two types of fees to hour and the rate for the materials Revision of Fee Schedules; 100% Fee recover its budget authority. First, program is $125 per hour.

Recovery, FY 1997 license and inspection fees, established

4. Adjust the current licensing and in 10 CFR Part 170 under the authority inspection fees in $$ 170.21 and 170.31 AGENCY: Nuclear Regulatory of the Independent Offices for applicants and licensees to reflect Commission.

Appropriation Act (IOAA),31 U.S.C.

both the changes in the revised hourly ACTION: Final rule.

9701, recover the NRC's costs of rates and the results of the review providing individually identifiable required by the Chief Financial Officers

SUMMARY

The Nuclear Regulatory services to specific applicants and Act.

Commission (NRC)is amending the licensees. Examples of the services

5. Implement a procedural chcnge licensing, inspection, and annual fees provided by the NRC for which these whereby fees will be assessed under charged to its applicants and licensees, fees are assessed are the review of 55170.21 and 170.31 to verify quality The amendments are necessary to applications for the issuance of new assurance, safeguards contingency, a'nd implement the Omnibus Budget licenses, approvals or renewals, and emergency plan changes submitted by Reconciliadon Act of 1990 (OBRA-90),

amendments to licenses or approvals-licensees.

which mandates that the NRC recover Second, annual fees, established in 10 approximately 100 percent ofits budget CFR Part 171 under the a"thority of II. Responses to Comments authority in Fiscal Year (FY) 1997 los OBRA-90, recover generic and othet The NRC received nine comments on amounts appropriated from the Nuclear regulatory costs not recovered through the proposed rule. Although the Waste Fund (NWF). The FY 1997 NRC 10 CFR Part 170 fees.

comment period ended on March 31, Appropriation also excluded from the On April 12,1996 (61 FR 16203), the 1997, the NRC has reviewed and fee base the cost of NRC review relating NRC published its final rule establishing evaluated all comments received, to the commercial vitrification of waste the licensing, inspection, and annual including those submitted after that stored at the Department of Energy fees necessary for the NRC to recover date.

Hanford, Washington, site. The amount approximately 100 percent ofits budget Several of the comments were similar to be recovered for FY 1997 is authority for FY 1996, less the in nature. For evaluation purposes, approximately $462.3 million.

appropriation received from the Nuclear these comments have been grouped, as EFFECTIVE DATE: July 28,1997, aste Fund Several changes to 6e fees appmpriate, and addressed as single assessed for FY 1996 were adopted by issues in this final rule.

ADDRESSES: Copies of comments the NRC. These changes were The comments are as follows:

received and the agency workpapers highlighted in the final rule (61 FR that support these final changes to 10 16203: April 12,1996) and bear on the A. Comments Regarding the Major CFR Parts 170 and 171 may be approach for establishing annual fees set Changes Proposed in the FY 1997 fee examined at the NRC Public Document forth in this final rule for FY 1997.

Rule Room at 2120 L Street, NW. (Lower On February 27,1997 (62 FR 8885)

Level), Washington, DC 20555-0001.

the NRC published a proposed rule to'

1. Streamline and Stabilize Annual Fees FOR FURTHER INFORMATION CONTACT: C.

establish the licensing, inspection, and Comment. Commenters continue to James Holloway, Jr., Office of the Chief annual fees necessary for the NRC to support the positive steps taken by the Financial Officer, U.S. Nuclear recover approximately 100 percent ofits NRC to equitably distribute and to Regulatory Commission, Washington, budget authority for FY 1997, less the reduce the burden of user fees on DC 20555-.0001, Telephone 301-415-appropriation received from the Nuclear licensees. Two commenters, who 6213.

Waste Fund and the General Fund.

represent nuclear power plants, argue SUPPLEMENTARY INFORMATION:

These changes were highhghted in the that the annual fees being charged to proposed rule (62 FR 8885: February 27 Power plant licensees, and particularly I. Background 1997) and have been adopted in this the 8 percent increase in those fees

!!. Responses to Comments final rule for FY 1997, The maior PMPosed for 1997, are inconsistent with 111. Final Action changes are summarized as follows:

statutory requirements. In particub r, the IV. Section by.Section Analysis

1. Adjust all 10 CFR 171 annual fees commenters argue that 42 U.S.C.

V. Environmental Impact: Categorical upward by about 8 percent.This change 2214(b) requires, without exception, Enksion is consistent with the NRC's intention that every recipient of a definite service

"^* ' "

1. R uao A aly s stated in the FY 1995 final rule. The from the NRC should pay 10 CFR Part VIII. Regulatory Flexibility Analysis NRC indicated that, beginning in FY 170 fees. The statute says that "any IX. Backfit Analysis 1996, annual fees would be stabilized by person who receives a service or thing X. Small Business Regulatory Enforcement adjusting prior year annual fees by the of value from the Commissinn shall Fairness Act percent change (plus or minus)in the (emphasis added) pay fees to cover the I. Background NRC budget authority taking into Commission's costs in proviciing any consideration the estimated collections such service or thing of value." 42 Public Law 101-508, the Omnibus from 10 CFR Part 170 fees and the U.S.C. 2214(b). The commenters believe Budget Reconciliation Act of 1990 number oflicensees paying fees; that the word "shall" means that the (OBRA-90), enacted November 5,1990,

2. Establish and assess a r.ew annual agency has no authority not to charge 10 requires that the NRC recover fee of $2,606.000 (fee Category 1.E.) for CFR Part 170 fees to parties who receive approximately 100 percent of its budget each Certificate of Compliance issued to benefits from the agency. They argue authority, less the amount appropriated the United States Enrichment that the result of the NRC's not charging from the Department of Energy (DOE)

Corporation.

all beneficiaries, is a fee system that

l Rdsral Register / Vol. 62 No.103 / Thursday, May 29, 1997 / Rules and Regulations 29195 charges nuclear power plants for exemptions or os erride other statutory resources devoted to reviews of services provide 5 to others. Therefore, restrictions on the NRC3 ability to applica' ions for standard plant and 1

the NRC fee system fails to meet the assess user fees.

reactor operating licenses; a reduction statutory requirement that, "{t}o the For example, the phrase "any person" in the number of licensees paying maximum extent practicable, the is not all inclusive. Subsection 2214(b) annual fees, largely the result of one charges shall have a reasonable says persons shall pay " pursuant to reactor's having ceased operations relationship to the cost of providing section 9701 of title 31, United States permanently and the reassignment this regulatory services' to licensees 42 Code", but section 9701 in turn rules last March to Massachusetts of U.S.C. 2214(c)(3). As evidence that this ou' imposing such fees on any " person regulatory responsibility for some 425 statutory requirement has been violated, on official business of the United States materials licenses; several million the commenters argue that the 8 percent Government", absent other legislation dollars less in collections received in increase in annual fees in FY 1997 is authorizing such assessments.

the current fiscal year as a result of due largely to a projected and Moreover, neither subsection 2214(b) billings from an earlier fiscal year; a unexplained reduction in to CFR Part nor the legislative history behind it smallincrease in the amount by which 170 fees charged to persons and entities reveal any intention to do away with the small entity fees are reduced; and a other than power reactor licensees and 10 CFR Part 170 exemptions that existed greater allowance for unpaid bills, to is thus unrelated to the costs of at the time subsection 2214(b) was help assure that the agency will meet its regulating nuclear power reactors. The enacted, and of which Congress was obligation to collect 100 pa cent of its commenters believe that the agency fully aware. Indeed, section 2214's basic budget, should replace the proposed rule with requirement that the agency recover The commenters mentior the increase one that charges everyone who receivos approximately 100 percent of its budget, in power reactor annual fets resulting a service from the agency the cost of less certain amounts, has been extended from Massachusetts beconing an providing that service.

more than once since 1% enactment in Agreement State as evideace that the Response.The NRC readily 1990, and throughout tae period since increase in those fm is in fact acknowledges the commenters' that enactment, most notably in the attributable to costs of programs concerns for fairness and equity. To report to Congress required by section unrelated to the regulation of nuclear meet its statutory obligation to recover 2903 of the Energy Pol:cy Act of1992, power reactors. See, e.g.,60 FR 32216, approximately 100 percent of its budget the NRC has kept the Congress fully 32225 (June 20,1995). The NRC has through fees, the NRC does collect from informed about the Part 170 exemptions already addressed the comment that each power reactor licensee an annual and their impact on power reactor part of the increase cannot be attributed fee a portion of which recovers costs not licensees, and Congress has chosen not to the costs of regulating power reactors.

attributable to the regulation of nuclear to take any action against those The NRC adds here simply that only a power plants. There are also other exemptions. "When the statute giving small part of that increase can be licensees whose annual fees in part rise to the longstanding interpretation attributed to the loss of half the annual cover costs not attributable to the has been reenacted without change, the fees from former NRC licensees in regulation of those licensees.

congressional failure to revise or repeal Massachusetts.

liowever, for reasons the NRC has set the agency's interpretation is persuasive While the agency believes that its forth on many occasions, the NRC evidence that the interpretation is the current structure is fully justified by law believes that the current fee system is as one intended by Congress." FDIC v.

and policy, the agency remains fair and equitable as the current Philodelphio Gear,476 U.S. 426,437 committed to wo king with Congress to statutory structure underlying the (1986).

reduce the fee burdens that power agency's fee system will permit. For Moreover, to the extent that the reactor licensees, and other licensees, example, the NRC is barred by law from commenters' arguments are directed at bear because they pay for regulatory charging all but two Federal agencies to the burdens they bear because some activities that do not directly benefit CFR Part 170 fees; not all the work licensees are exempted from annual them. Three years ago, the agency which the NRC does for other agencies fees, the answer is much the same. Such submitted a report to Congress that and governments can be recovered exemptions have been carefully recommended enactm nt oflegislation through reimbursable agreements (see considered, after notice and comment that would reduce the amount to be 60 FR 32218,32222 (June 20,1995)),

rulemaking; and it is unmistakable that recovered from fees from 100 percent of and yet that work is necessary for public exemptions from Part 171 are permitted the NRC budget to about 90 percent, heahh and safety and U.S. national by law: See Florido Power & Ught v.

thus eliminating the surcharge the interests and under the Regulatory NI1C 846 F.2d 765,770 (D.C. Cir 1988),

power plant licensees, and some others, Flexibility Act, the agency is obliged to cert. denied 109 S. Ct.1952 (1989) (NRC bear because some parties receive consider carefully the impact of its fee did not abuse its discretion by failing to benefits for which they do not pay. In rules on small entitles and to seek less impose annual fees on alllicensees).

the near future, the NRC will be onerous alternatives.

The 8 percent increase in annual fees updating that report and reassessing the Such exemptions from fees as the for power reactors, about which the need for legislation.

NRC has granted are of long-standing, commenters are understandably This final rule adopts the have been granted only after full and concerned, was fully explained in the methodology to streamline and stabilize public consideration of the relevant statement of considerations FY 1997 annual fees by adjusting these policy questions (see, for example,59 accompanying the proposed rule. See fees by the percentage change (plus or FR 12539 (March 19,1994)), and are Part II, Section B and Table 1 in 62 Fed. minus) in NRC's total budget authority.

well founded in law. When subsection Reg. 8885,8887 (February 27,1997). As The FY 1996 annual fees have been 2214(b) in 42 U.S.C. says that "any the discussion there shows, the increase used as base annual fees and these person who receives a ::ervice or thing is neither arbitrary ror capricious. To annual fees have been adjusted upward of value from the Commission shall pay recap briefly, the inciease is the result for FY 1997 based on the percentage fees", the words "shall" and "any of several factors: a substantial change in the NRC's budget authority, person" are not abt.olute. They certainly reduction in projected 10 CFR Part 170 taking into consideration the total do not eliminate any possibility of fees,largely because reductions in number of licensees paying fees and l

29196 Federal Register / Vol. 62, No.100 / Thursday, May 29, 1997 / Rules and Regulations estimated collections from to CFR Part agency general and administrative fee system may violate this principle 170 licensing and inspection fees.

expenses (e.g, rent, supplies, and because the proposed hourly rate of Therefore for FY 1997, all annual fees information technology). Both the

$125 for services provided by agency have been adjusted 8.4 percent above method and budgeted costs used by the professionals is unduly high. The the FY 1996 levels.

NRC in the development of the hourly commenter goes on to say that the

2. Revise the Two Professional Rates in rates of $131 and $125 are discussed in problem of the lack of reasonable to CFR 170.20 Based on the FY 1997 detailin Part 111 Section by Section relationship between annual fees and Budget and Adjust the 10 CFR 170.21 Analysis, relating to S 170.20 of the services rendered is exacerbated as more and 170 31 Licensing (Application and PmPosed rule (62 FR 8888; February 27, states become Agreement States, e.g.,

Amendment)" Flat" Fees to Reflect the 1997) and the same section of this final Massachusetts which became an Costs of Providing the Licensing rule. For example. Table 11 shows the Agreement State in FY 1997, leaving Services budgeted costs and the direct FTEs that fewer NRC licensees to bear an even must be recovered through fees assessed greater share of the burden. The

a. Comment. Commenters supported for the hours expended by the direct commenter states that the current the revised method of calculating two FTEs, The budgeted costs as well as the system, in effect, gives preferential hourly rates adopted by NRC in FY 1995 direct resources are those required by treatment to licensees in Agreement to separately and more equitably the NRC to implement its statutory States. The commenter also indicated allocate costs associated with the reactor responsibilities and effectively that as the uranium recovery industry program and the materials program.

accomplish the mission of the agency, continues to shrink in size, the However, one commenter was Additionalinformation on the hourly decreasing number of licensees will concerned that the increase m hourly rates is provided in the NRC workpapers ultimately be charged increasing annual rates from last year exceeds the general located in the Public Document Room.

fees thereby forcing more financial increase that was provided to all The specific details regarding the budget hardships on an already depressed government workers. The commenter for FY 1997 are documented in the industry.

l encouraged the NRC to control its costs NRC's publication " Budget Estimates, Response. The Commission believes by seeking efficiencies in these areas t Fiscal Year 1997" (NUREG-1100, that its IOAA fee schedule is fully attain a downward trend of licensing Volume 12), which is available to the supported by applicable legal precedent and inspection fees. Another commenter indicated that the hourly rate will public. Copies of NUREG-1100, Volume and does not accept commenter's 12 may be purchased from the suggestion. In upholding the 1

increase almost five percent ($120 per hour to $125 per beur) and believes the Superintendent of Documents, U.S.

Commission's IOAA fee schedule, the hourly rate is un}ustifiably high and Government Printing Office, P.O. Box United States Court of Appeals for the does not reflect the cost of providing 37082, Washington, DC 20402-9328.

Fifth Circuit held that the NRC may regulatory services to licensees. The Copies are also available from the recover the full cost of providing a National TechnicalInformation Service, service to an identifiable recipient.

commenter stated that the $125 hourly j

rate equals or exceeds the hourly 5285 Port Royal Road, Springfield, VA (Emphasis in original) Mississippi Power charges of senior consultants or 22161. A copy is also available for

& Light v. NRC,601 F.2d at 230 (5th cir, 1979), cert. demed,444 U.S.1102 principals at major consultmg firms and inspection and copying for a fee la the NRC Public Document Room,2120 L (1980). This is consistent with the that it exceeds the enerally accepted earlier teaching of National Cable b

rate for similar wor in private industry, Telension An'n Inc. v. FCC,554 F.2d 5

001 h I e n inu The commenter requests that with hourly rates as high as $125, the NRC its current practice of providing 1094,1106 (D.C.1976) relied upon by continue its efforts to provide bills that available backup data to support to CFR the court in Central & S Motor Freight TadDn'n, su ra. There the court held contain more meaningful descnptions of Part 170 licensing and inspection that fees shoul be a reasonable the work done.

billings upon request by the licensee or approximation of the attributable costs Response. The NRC has established in applicant.

that the Commission identifies as being this final rule two professional hourly

b. Comment. One commenter expended to benefit the recipient. The rates for FY 1997 which will be used to indicated that although they appreciate Court suggested that a fee might be determine the 10 CFR Part 170 fees. A NRC's efforts to stabilize fees based on questionableif the fee unreasonably rate of $131 per hour is established in percentage changes in NRC's annual exceeds the value of the specific

$ 170.20 for the reactor program and a budget, they have concerns about the services for which it is charged. Here y

second rate of 5125 per hour is lack of a reasonable relationship the services provided by the NRC are established in $170.20 for the nuclear between the cost to uranium recovery required for licensees to maintain their materials and nuclear waste programs.

licensees of NRC's regulatory program licenses and the benefits derived The two rates are based on the " cost and the benefit derived from such therefrom. The basis for the revised center" concept that is now being used services The commenter asserts that the hourly rates is fully discussed in NRC's for budgeting purposes.

Commission cannot impose fees under response to comment A.2.a. which The NRC professional hourly rates are the IOAA unless there is a rational relates to the hourly rates being assessed established to recover approximately relationship between the fees and the by NRC under 10 CFR Part 170. The 100 percent of the agency's regulatory services provided. The commenter has provided virtually no Congressionally-approved budget,less commenter, citing Central & S. Motor evidence that could cause the NRC to the appropriation from the Nuclear Freight Tariff Ass'n v. United States, conclude that its fees unreasonably 4

Waste Fund (NWF), and the General 777 F.2d 722,729 (D.C. Cir,1985), notes exceed the value of the services Fund. The rates reflect the NRC that in applying this IOAA requirement, rendered.

budgeted cost per direct professional the fees assessed must be reasonably in FY 1995, the NRC changed the hour. This cost includes the salary and related to, and may not exceed the value rnethodology for allocating those benefits for the direct hours, a prorata of the service to the recipient whatever budgeted costs (about 10 percent of the share of the salary and benefits for the the agency's cost may be. The NRC budget authority) that cause program and agency overhead and commenter then suggests that the !JRC fairness and equity concerns because 2

Fsdir:1 Rigist:r / Vol. 62, No.103 / Thursday, May 29, 1997 / Rules and Regulations 29197 the legislation reques%d by the NRC as low enriched uranium facilities and, This new methodology results in the had not been passed by the Congress (60 as part of that licensing action, the NRC creation of five fuel facility license fee FR 32218; June 20.1995). These costs, has approved safeguards measures categories.1.icenses are grouped into these categonn nuording to their license (nuclear which include the cost of the Agreement appropriate for low enriched uranium material type, enrichment, form. quantity, State oversight and regulatory support facilities and has not imposed the "8 '

," dept [ofco g[an r$g$r o'/

to the Agreement States, are now treated safeguards measures required at high the sco in a manner similar to overhead. These enriched facilities possessing strategic generic regulatory programmarie effort costs are distributed based on the special nuclear material. USEC indicates applicable to each category (emphasis percentage of the budget directly that,in accordance with the joint added).

attributable to a class of licensees.

statement of understanding between the The nuclear material and activity at Commenters at that time supported tlis NRC and the Department of Energy the GDPs, authorized by the certificates, method of allocation as bemg more (DOE), DOE is solely responsible for any does not automatically place the equitable, pendm legislative relief by strategic special nuclear material which facilities into the high enriched fuel Congress to reme y this inequitable may be located at the Portsmouth, Ohio, category. The scope, depth of coverage, situation. If additional states become GDP and that the presence of any such and rigor of generic regulatorfe to the Agreement States and the NRC decides high enriched uranium at the programmatic effort applicab to rebaseline the fees based on Portsmouth GDP is not relevant to the roximately GDPs, however,is a[a high enriched substantive changes to the budget, then NRC's fee-setting process. USEC states uivalent to that o any increased cost for Agreement State that the NRC methodology for helfacility oversight and regulatory support to the determining annual fees for major fuel As described in the GDP Safety Agreement States would be identified, facilities, presented in the June 20, Analysis Reports, the facilities are treated similar to overhead, and 1995 Federal Register clearly states subject to a relatively large number of distributed based on the percentry of that the issued license.s the source for credible accidents, most of which have the budget directly attributable to a class determining authorized nuclear material multiple initiating events. The potential of{ic n and use/ associated activity and is the onsite and offsite consequences posed es n

8 n8 ea er an os a plicab t Iw ete i in8 ual f for fuel fee categories created in the NRC s enriched fuel facilities. The lar8e size facility and uranium recovery licensees. methodoloBY, USEC ar8ues that the and scope of the CDP operations require The revised methodologies resuhed in GDPs are clearly in the low enriched substantially more effort for the annual fees that more accmately reflect fue categ ry n the basis of the issued development ofinspection procedures, th f

idi I

E"idance d schedul s This e size serv s to t e subc as es of e facility riched I t ry USE t

d,

" 'The the NRC's proposal to put the GDPs into a higher number of reportable events ojoki ere Ity the same fee category as high enriched that NRC staff must review.

is d explained in Section IV Section by-achs has nhen jush D The complexity, higher potential Section Analysis, of the final FY 1995 the cited NRC methodology and appears accident consequences, and large size rule (60 FR 32218; June 20,1995).

t be arbitrary and that the NRC has and scope of the GDP operations require in response to comments relative to Provided no basis for its conclusion that the NRC to provide generic regulatory increases in annual fees as a result of the relative weighted safety and programmatic effort that is of a scope, the decrease in the number of licensees, safeguards factors for the GDPs are depth of coverage, and rigor equivalent the changes adopted in the FY 1995 similar to a high enriched uranium to that for a high enriched fuel facility.

final rule to stabilize fees should facility, USEC states that the annual fee This level of generic effort is the basis minimize large fee changes as a result of f r the GDPs should be the same as that for assigning the two CDPs to the high decrenes in licensees.

proposed for other low enriched enriched fuel facility category for the

3. kmual Fees for Certificates of facilities, $1.276,000 annually.

purpose of determining and assessing Compliance issued to the United States Response. NRC doe

• not dispute that annual fees in FY 1997.

Enrichment Corpcration the CDPs have been certified as low

b. Comment. USEC also indicated that

a. Comment. The United States enriched uranium facilities with based on the March 16,1993, D.C. Court Enrichment Corporation (USEC) corresponding safeguards measures for of Appeals decision directing the NRC commented that the proposed annual category 111 facilities. The NRC to grant Combustion Engineering an fees of $2.600,000 which have been recognizes that DOE maintains sole exemption from fees for one ofits two proposed for the first time for each of regulatory responsibility for strategic low enriched uranium plants located in the two enrichment facilities are not fair special nuclear material that may be Hematite, Missouri and Windsor, and equitable when compared to those located at the Portsmouth GDP. The Connecticut,it too deserves to be imposed on similar facilities regulated NRC methodology for determining considcred for an exemption because its by the NRC. USEC stated that the annual fees for major fuel facilities, two enrichment facilities are rationale for this as expressed in the published in the June 20,1995 Federal operationally equivalent to a single NRC's proposed rule is an unsupported Register,(60 FR 32218,32234), does licensed facility because they are part of assertion that the relative weighted state that the issued license is the source one process to produce enriched safety and safeguards factors for USEC's for determining authorized nuclear uranium product. Therefore, the facilities are similar to a high enriched material and use/assuciated activity.

commenter requests that the NRC uranium facility. USEC believes this However,it does not state that this reconsider the implication of the Court's rationale is incorrect, unsupported by information is the determining factor for holding with respect to the the facts, and contradictory to the NRC's placing a licensee into one of the five disproportionate allocation ofits costs own licensing actions. USEC indicates feceategories. The factors for placing a under 10 CFR 171.11(d), especially as that the NRC has,in fact, certified licensee into a fee category were stated the allocation of these costs adversely USEC's gaseous diffusion plants (GDPs) as:

impacts the licensee.

29198 Federal Register / Vol. 62, No.103 / Thursday, May 29, 1997 / Rules and Regulations Response. With respect to USEC's that uranium enrichment facilities will

3. Fee Legislation request that one of its certificates be be licensed subject to the provisions of Comment. Several commenters noted exempt from annual fees, the D.C.

the Act pertaining to source and special d

Circuit Court of Appeals in Allied nuclear material rather than under the that the NRC had completed its report Signal, Inc. v. NRC,988 F.2d 146 (D.C.

provisions pertaining to a production on fee policy as required by the Ener y Cir,1993) directed the NRC to grant an facility Previous to june 1992 uranium Policy Act of 1992 and that the NRC ad exemption from annual fees to enrichment facilities were treated for fee sent a report to Congress with legislative recommendations. The commenters Combustion Engmeering (CE) for one of purposes under S 170.21, the fee its two low enriched uranium facilities. regulation that relates to reactors and commended NRC's efforts in this regard The NRC had previously denied the other production and utilization and stated that they continue to believe exemption request from CE. The Court facilities. As a result of the conforming that 100 percent fee recovery for NRC, found that the two facilities in the changes made June 1,1992, to the NRC's as mandated by OBRA-90, is inequitable and unfair to licensees aggregate were operationally equivalent regulations, the category relating to because licensees are paying for certain to the single-plant, single-license uranium enrichment facilities, which facilities of other low enriched uranium included the application fee, was moved costs that are not directly related to and do not benefit them. The commenters manufacturers. The Court concluded directly to the materials schedule in that "the argument ihat the " equal fee S 170.31. Licensees who pay the acknowledged that without legislative change to OBRA-90, the central per license" rule is " unfair and

$125,000 fee upon filing an application mequitable" is persua sive only on the are given credit for the fee toward the problems witn NRC's fees cannot be ground that the rule poduced troubling full cost of processing the application.

completely reso'ved. Commenters results when appueu to Combustion's Licensees do not pay the full cost of strongly supportad more efforts to define a more equitable fee base and circumstances." The Court saw no processing plus the appliceton fee of, recommended that the NRC continue to reason for requiring the NRC to attend

$125,000. However, becauw other maior work with Congress and the to that rather rare situation in the rule fuel facilities covered by $ 170.31 do not Administration and actively seek the itself. Thus, consistent with the Court pay an application fee for a new license decision and 10 CFR Part 171, if USEC application, the NRC agrees with the necessary legislative changes. In this I

regard, commenters stated that it is time l

feels that based on the circumstances of commenter and has elimir Med t%

for NRC to actively pursue a legislative its particular situation it can make a

$125,000 application fec L,

• 'O.31, strong case to the NRC for an exemption fee Category 1.E.

agenda with Congress by drafting from the FY 1997 annual fees then they specific language to modify OBRA-90 or should do so. The NRC will consider

2. Fees for Amendments to Medical the Atomi-tergy Act.

such requests for exemption under the Licenses Response. The need for legislation is beyond the scope of this rulemaking provisions of to CFR 171.11(d). In Comment. One commenter, while proceeding. As indicated in the FY 1996 accordance with 10 CFR Part 171.11(b),

indicating support for fees to recover final rule (61 FR 16203: April 12,1996),

such requests for exemption must be costs of NRC regulatory activities.

the NRC will continue to work with the filed within 90 days from the effective questioned why such a high fee ($460)

Congress to make fees more fair and date of this final rule. The filing of an would be required to amend a medical equitable. As part ofits Strategic exemption request does not extend the license to add another physician to the Assessment and Rebaselining initiative, date on which the billis payable. If a license.

the Commission considered issues partial or full exemption is granted, any Response. In developing the revised associated with fees. After evaluation of overpayment will be refunded-fee schedule, the NRC was obligated comments from stakeholders, the B. Other Comments under Title V of the Independent Offices Commission concluded that in order to Appropriation Act of 1952 to examine make annual fees more fair and

1. Eliminate the Application Fee for Uranium Enrichment Facilities the costs of processing license equitable for all NRC licensees, the amendments not only for medical Commission must seek Office of Comment. One commenter noted that license fee Category 7C but also for all Management and Budget and an application fee of $125,000 is ofits materials license fee categories.

Congressional authorization to remove required to accompany an application to The amendment fee of $460 was certain NRC activities that do not construct and operate a uranium developed based on tbo " overage-cost" directly benefit NRC licensees from the enrichment facility (S 170.31, fee method (flat fees) to process an fee base and instead fund those Category 1.E.) and stated that the amendment for menical licensees in fee activities from non fee-based application fee is assessed in addition to Category 7C. Based on data for the last appropriations or separate the " full cost" to process the five years, the average number of hours appropriations. To this end, the application. The commenter requests expended to review and approve license Commission has requested the NRC staff that the application lee for uranium amendments for licenses included in fee to prepare an update to its February enrichment facilities be eliminated to Category 7C is 3.7 hours8.101852e-5 days <br />0.00194 hours <br />1.157407e-5 weeks <br />2.6635e-6 months <br /> of professional 1994 report to Congress on this matter.

achieve fee equity among all materials effort. An explanation of how the licensees.

average number of hours are determm.ed

4. Fees Based on Other Factors Response. Section 170.31, fee for materials licenses is found in Part Comment. One commenter, while Category 1.E. of the Commission's IV, Section by-Section Analysis, Section understanding the need for NRC to be regulations was established on June 1, 170.31 of this final rule. To determine financially self-sufficient, was 1992 (57 FP 18388). The change in the the amount of the amendment fee, the concemed about the effect of an 8 fee regulations was made to reflect average hours to review and approve percent increase in annual fees on rural changes made to the Atomic Energy Act medical amendments (3.7 hours8.101852e-5 days <br />0.00194 hours <br />1.157407e-5 weeks <br />2.6635e-6 months <br />) was hospitals. The commenter states that the of 1954 (as amended) by the Solar, multiplied by the professional hourly annual fees should be revised to take Wind, Waste and Geothermal Power rate ($125/ hour) to arrive at the into account the small, low procedure Production incentives Act of 1990. The amendment fee of $460 for the medical volume, one room, one camera, principal effect of these amendments is

license, diagnostic nuclear medicine department

Federal Register / Vol. 62, No.103 / Thursday, May 29, 1997 / Rules and Regulations 29199 who pays the same annual fee as a large receipts (size)is the most appropriate license fee revenues notwithstanding 42 l

metropolitan hospital. Another approach to minimize the impact on U.S.C. 2214. Therefore, NRC is required commenter indicated that the NRC's small entities. Therefore, NRC finds no to collect approximately S462.3 million intention to continue small entity and basis for altering its approach at this in FY 1997 through 10 CFR Part 170 lower tier small entity fees based on time. This approach was upheld by the licensing and inspection fees and to market volume (gross annual receipts) is D.C. Circuit in its March 16,1993, CFR Part 171 annual fees.

necessary and proper in order to aid in decision in Allied. Signal, supm.

The total amount to be recovered for the survival of small firms.

III. Final Action FY 1997, and therefore the total fees, is Response. The issue of basing fees on the same as the amount estimated for the amount of material possessed, the The NRC is amending its licensing, recovery for FY 1996. However, the hequency of use of the material, the size laspection, and annual fees to recover distribution of the total amount to be of the facilities, and market competitive approximately 100 percent ofits FY collected between the two types of fees positions, was addressed by the NRC in 1997 budget authority, including the is different. The NRC estimates that previous rules and in the Regulatory budget authority for its Office of the approximately $95.2 million will be Flexibility Analysis in Appendix A to Inspector General,less the recovered in FY 1997 from fees assessed the final rule published July 10,1991 appropriations received from the NWF under 10 CFR Part 170 and other (56 FR 31511-31513). The NRC did not and the General Fund. For FY 1997, the receipts compared to $120.5 million in adopt that approach because it would NRC's budget authority is 5476.8 FY 1996. The remaining $367.1 million require licensees to submit large million, of which $11.0 million has in FY 1997 will be recovered through amounts of new data and would require been appropriated from the NWF, In the 10 CFR Part 171 annual fees, additional NRC staff to evaluate the data addition, $3.5 million has been Because the estimated to CFR Part 170 submitted and to develop and appropriated from the General Fund for fees and other offsetting receipts for FY administer even more complex fee activities related to commercial 1997 are below the estimates for FY schedules. The NRC continues to vitrification of waste stored at the 1996, annual fees must increase. The believe that uniformly allocating the Department of Energy Hanford, lower estimate for 10 CFR Part 170 fees generic and other regulatory costs to the Washington, site. The FY 1997 plus other changes cause an 8.4 percent specific licensee within a class to appropriation statute states that the $3.5 increase in FY 1997 annual fees determine the amount of the annual fee million appropriated for regulatory compared to FY 1996. These changes is a fair, equitable, and practical way to reviews and other activities pertaining cre more fully explained in Section B.

recover those costs and that establishing to waste stored at the Hanford.

The following examples illustrate the reduced annual fees based on gross Washington, site shall be excluded from changes in annual fees.

FY 1996 annual FY 1997 annual fee fee Class of Ucensees:

Power Reactors

$2,746,000

$2,978.000 Nonpower Reactors.

52,800 57.300 Hegh Enriened Uranium Fuel FacWty 2,403,000 2,606,000 Low Enriched Uranium Fuel Facihty 1,179,000 1,279,000 UF. Conversion Facihty 597,800 648,000 Uranium Mms..

57,000 61,800 Typical Materials Ucenses:

Radiographers 13,000 14,100 Well Loggers.

7,500 8,200 Gau9e Users 1,600 1,700 Broad Scope Medical 21,700 23,500 l

The amounts of the annual fees for rule 8.4 percent above the FY 1996 fuel cycle facilities. For these licensees, some of the classes oflicenses have levels as compared to an 8.2 percent payment will be due on the effective slightly increased since the publication increase in the proposed rule. The date of the FY 1997 rule. Those of the proposed fee in February 1997.

ambunt of the increases from the materials licensees whose license The annual fees for a majority of the proposed rule range from a low of $100 anniversary date during FY 1997 falls l

classes of licensees remain the same as for a radiographer, for example, to a before the effective date of the final FY those proposed. The reason for the high of $6,000 for an operating power 1997 final rule will be billed during the increase in annual fees frou those reactor and a high enrichment uranium anniversary month of the license and proposed for sorne of the classes is that facility.

continue to pay annual fees at the FY the NRC has recently completed the Bacause the final FY 1997 fee rule 1996 rate in FY 1997. Those materials j

third quarter billing in FY 1997 for 10 will be a "raajor" final rule as defined licensees whose license anniversary CFR Part 170 fees for services. The total by the Small Business Regulatory date falls on or cfter the effective date estimate for to CFR Part 170 fee billings Enforcement Fairness Act of 1996, the of the FY 1997 final rule will be billed for the remainder of FY 1997 based on NRC's fees for FY 1997 will become at the Fi 1997 revised rates during the

)

actual amount billed for the first three effective 60 days after publication of the anniversary month of the license and quarters is about $800,000 below the final rule in the Federal Register. The Payment will be due on the date of the i

estimate of $96,000,000 used in the FY NRC will send a bill for the amount of invoice.

1997 proposed rule. As a result, annual the annual fee upon publication of the i

fees have been increased in this final FY 1997 final rule to reactors and major 1

1

29200 Federal Register / Vol. 62, No.103 / Thursday, May 29, 1997 / Rules and Regulations A. Amendments to 20 CFR Part 170:

regulations. In the FY 1996 final fee implementation review of these changes Fees for Facilities, Materials. Import and rule, these rates were $128 and $120 under $$ 170.21 and 170.31, beginning Export Licenses, and Other Regulatory respectively, with the effective date of the FY 1997 Services The two rates are based on cost center final fee rule. There will be no change concepts adopted in FY 1995 (60 FR in how fees are assessed for any pre-Three amendments have been made to 32225; June 20,1995) and used for NRC implementation interactions, including 10 CFR Part 170 and one change in budgeting purposes. In implementing any review prior to licensee practice under 10 CFR Part 170. These cost center concepts, all b dgeted submissions, between NRC and amendments do not change the res urces are assigned to cost centers to licensees. As in the past, any pre-underlying basis for the regulation-that the extent they can be distinguished.

implementation mteraction will not be fees be assessed to applicants, persons' These costs include all salaries and fee beanng. The NRC plans to inform and licensees for specific identifiable benefits, contract support, and travel reactor licensees in the near future that services rendered. The amendments also that suk, port each cost center activity.

their submittals under S 50.54 (a), (p) com g with g3e guidance in the Thir the NRC has adjusted the and (q) should not ask for pre-y Con erence Committee Report on current Part 170 licensing and implementation reviews. Instead.

OBRA-90 that fees assessed under the inspection fees in $$ 170.21 and 170.31 licensees arc required to perform their Independent Offices Appropriation Act for applicants and licensees to

• Ject analyses, implement their changes (if

(!OAA) recover the full cost to the NRC both the changes in the revised hourly the analyses show that the changes do ofidentifiable regulatory services each rates and the results of the biennial fee - not degrado plans the NRC has already schedule review required by the Chief approved), and make their submittals 31 t[nmission's fee regulations to add the R s amendi g S 170.11 of nancial Office *s (CFO) Act. To comply under the relevant paragraph of 5 50.54.

the Co with the requiren.an of the CFO Act-The NRC will then verify that the an exemption provision for those the NRC has evaluated historical changes are in comk'liance with 5 50.54.

amendments to matenals portable gauge professional staff hours used to process

, the RC has:

In summahthe two 10 CFR Part 170 licenses issued in accordance with a licensing activr. (new license and (1) Revise NUREG 1556, \\ olume 1, that will amendment) for those materials hourly rates-change only the name of the Radiation licensees whose fees are based on the (2) Revised the licensing (application Safety Officer (RSO). This change is average cost method (flat fees). This and amendment) fees assessed under 10 consistent with the proposed regulatory review also included new license and CFR Part 170 in order to comply with approach outhned in draft NUREG-amendment applications for import and the CFO Act's requirement that fees be 1556, Volume 1, entitled " Consolidated export licenses-revised to reflect the cost to the agency Guidance About Materials Licenses, Based on evaluation of the historical of providing the service; Program Specific Guidance About data related to the average number of (3) Added a provision to the Portable Gauge Licenses" issued professional staff hours needed to regulations exempting from October 3,1996, for public comment.

complete materials licensing actions, 10 CFR Part 170 fees certain No amendment fees will be assessed for the NRC increased the fees in some amendments to materials portable gauge the amendments to portable gauge categories and decreased the fees in licenses issued in accordance with licenses because the regulatory program others to reflect the costs incurred in NUREG-1556 Volume 1 which is i

I outlined in NUREG-1556, Volume 1 completing the licensing actions. Thus, expected to be issued in May 1997-includes commitments from the licensee the revised average professional staff (4) Eliminated the 5125,060 l

concerning RSO qualifications and if hours reflect the changes in the NRC application fee in $ 170.31 for fee those commitments are included in the licensing review program that have Category 1.E.; and amendment application, then a occurred since FY 1995. The licensing (5) Changed the procedure whereby technical review is not required.

fees are based on the revised average charges under Part 170 will be made for NUREG-1556, Volume 1, is expected to professional staff hours needed to post-implementation review of quality i

be finalized in May 1997.

process the licensing actions multiplied assurance plan, safeguards contingency Second, the two professional hourly by the nuclear materiris professional plan and emergency plan changes.

rates established in FY 1996 in S 170.20 hourly rate for FY 1997 of 5125 per B. Amendments to 10 CFR Part 171:

are revised based on the FY 1997 hour0.0231 days <br />0.555 hours <br />0.0033 weeks <br />7.598585e-4 months <br />. The data for the average number Anum Fees f r Reactor Opemung budget. These rates are based on the FY of professional staff hours needed to U.C'"8es, nd fuel Cycle Lcenses and 1997 direct FTEs and that portion of the complete licensing actions were last c nse cluding Holders of FY 1997 budget that either does not updated in FY 1995 (60 FR 32218; Jun,e hf[ rj.

constitute direct program support 20,1995). For new materials b, censes, Registrations, and Quality Assurance (contractual services costs) or is not the licensing fees for FY 1997 are Program Approyals and Government recovered through the appro nation increased in approximately 70 percent Agencies Licensed by NFC j

from the NWF or the Genera Fund.

of the categories, while the proposed These rates are used to determine the fees for materials amendments will Six amendments have been made to Part 170 fees. The NRC has established increase in over 60 percent of the 10 CFR Part 171. First, the NRC is I

a rate of $131 per hour ($233,055 per categories. In response to a comment amending 5171.13 to revise the direct FTE) for the reactor program. This received on the proposed rule, the NRC language to indicate that if the NRC is rate is applicable to all activities whose has eliminated the $125,000 application unable to publish a fee rule with an fees are based on full cost under fee from 5170.31, fee Category 1.E.

effective date within the current fiscal

$ 170.21 of the fee regulations. A second in addition to these changes. the NRC year, then the NRC will continue to

{

rate of $125 per hour (5222,517 per is clarifying how it will recover the assess fees on the same basis as the l

direct FTE) is established for the nuclear costs of post implementation reviews of previous fiscal year. The NRC believes materials and nuclear waste program.

changes licensees make without prior that it will be able to publish an l

This rate is applicable to all materials NRC review; for example, changes effective fee rule within a current fiscal activities whose fees are based on full under SS 50.54,50.59 and 70.32.

year as it has done since FY 1991, cost under $ 170.31 of the fee Licenseer will be billed for post.

However, as a contingency the NRC is j

I

]

Fadtrel Regist:r / Vol. 62 No.103 / Thursday, May 29, 1997 / Rules and Regulations 29201 amending the rule to permit NRC to specific class of licensees. If either case changed. In FY 1996,26 percent was meet the requirements of OBRA-90 in occurred, the annual fee base would be estimated to be collected from 10 CFR the case that unforeseen events prevent reca'culated (60 FR 32225; June 20, Part 170 fees. This decreases to 21% in NRC from publishing a new rule during 1995). The NRC also indicated that the FY 1997. Therefore, to recover 100 a fiscal year, percentage change would be adjusted percent of the budget,10 CFR Part 171 Second, the NRC is amending based on changes in 10 CFR Part 170 annual fees must increase in FY 1997

$$ 171.15 and 171.16 to revise the fees and other adjustments as well as on compared to FY 1996. The NRC is annual fees for FY 1997 to recover the number of licensees paying the fees, establishing the FY 1997 annual fees for approximately 100 percent of the FY In the FY 1996 final rule, the NRC all licensees at a level of 8.4 percent 1997 budget authority,less fees stabilized the annual fees by above the FY 1996 annual fees. The 8.4 collected under 10 CFR Part 170 and establishing the annual fees for all percent increase results primarily from funds appropriated from the NWF and licensees at a level of 6.5 percent below a reduction in the amount of the budget the General Fund. In the FY 1995 final the FY 1995 annual fees. In this FY 1997 recovered for 10 CFR Part 170 fees, a rule, the NRC stated that it would final rule, the NRC followed the same reduction in other offsetting stabilize annual fees as follows.

method as used in FY 1996. Because the adjustments, and reduction in the Beginning in FY 1996, the NRC would total amount estimated for recovery number oflicensees paying annual fees.

adjust the annual fees only by the through fees in FY 1997 is the same as in addition, the NRC has made percentage change (plus or minus)in the amount for FY 1996, establishing adjustments to recognize that all fees NRC's total budget authority unless new baseline fees is not warranted for billed in a fiscal year are not collected there was a substantial change in the FY 1997. While the total amount to be in that year. Table I shows the total total NRC budget authority or the collected is the same, the distribution budget and amounts of fee billed and magnitude of the budget allocated to a between Part 170 ard 171 fees has collected for FY 1996 and FY 1997.

TABLE I.-CALCULATION OF THE PERCENTAGE CHANGE TO THE FY 1996 ANNUAL FEES (Dollars in rnillions]

FY96 FY97 Total Budget.

$473.3 S476.8 Lcss NWF -

- 11.0

- 11.0 Less General Fund (Hanford Tanks)..... -

-3.5 TWW Fee Base 462.3 462.3 Less Part 170 Fees -

114.5 95.2 Less otner receipts

' 6.01 Part 171 Fee Collections Required 341.8 367.1 Part 171 Bilhng Adjustments:8 Small Eritrty Allowance 4.9 5.0 Unpaid FY 1997 bills 3.0 Payments from prior year txils.

- 2.0 Subtotal.

4.9 6.0 Total Part 171 Billing 346.7 373.1

' $6 milhon in excess collections from FY 1995 were available to reduce FY 1996 annual fees, aThese adjustments are necessary to ensure that the "beled" amount results in the required collections. Positive amounts indicate amounts billed that will not be collected in FY 1997.

As shown in Table 1. the total amount allow the NRC to come closer to meeting approximately 425 NRC materials of annual fees to be billed in FY 1997 its obligation to recover approximately licenses was transferred to is $26 4M ($373.1-5346.7) or 7.6 100 percent ofits budget authority Massachusetts. These licensees will pay percent higher than the amount that was through the assessment of fees, only one half of the annual fee for FY to be billed in annaal fees in FY 1996, in addition to changes in 10 CFR Part 1997*

The NRC notes that the reduction in the 170 fees and other adjustments, the Third, an annual fee is established in estimates of to CFR Part 170 fees for FY number oflicensees to pay fees in FY fe t1 c t I7 I 1997 is primarily in the areas relating to 1997 has decreased compared to FY f compl e

e to e the review of applications for reactor 1996. This decrease in the number of United States Enrichment Corporation operating h, censes and the review of licensees paying fees causes annual fees (USEC) on November 26,1996, to standard plant applications. In addition, to increase by an additional 0.8 percent. operate the two gaseous diffusion plants for the first time, the estimates take into For example, the Haddam Neck power (GDPs) located at Paducah, Kentucky and at Piketon, Ohio. The NRC assumed consideration an allowance for bad debt reactor ceased operations in December regulatory jurisdiction over the two by estimating billings in the fiscal year 1996 and the fuel has been permanently plants from the U.S. Department of that are not projected tu be collected in removed from the reactw. Therefore, the Energy (DOE) on March 3,1997.

that fiscal year and collections received utility will pay only a partial annual fee Fourth, Footnote 1 of 10 CFR in the current fiscal year as a result of in FY 1997. In addition. Massachusetts 171.1S(d)is amended to provide for a billings from a prior fiscal year. These became an Agreement State on March waiver of annual fees for FY 1997 for adjustments to the annual fees will 21,1997, and regulatory authority over those materials licensees, and holders of

U 29202 F:dml Register / Vol. 62. No.103 / Thursday, May 29, 1997 / Rules and Regulations certificates, registrations,.and approvals The NRC will send a bill to reactors

...a commitments are included in the who either filed for termination of their and major fuel cycle facilities for the amendment application then there is no licenses or approvals or filed for amount of the annual fee upon technical review conducted by the NRC.

possession only/ storage licenses before publication of the FY 1997 final rule.

NUREG-1556, Volume 1,is expected to October 1,1996, and permanently For these licensees, payment will be due be finalized in May 1997.

j ceased licensed activities entirely by on the effective date oi FY 1997 rule.

Section 170.20--Average Cost Per Septem ar 30,1996. All other licensees Those matenals licensees whose license Prokssional SaMour b

and approval holders who held a license anniversary date during FY 1997 falls before the effective date of the final FY This section is amended to establish or approval on October 1,1996, are 1997 rule will be billed during the two professional staff. hour rees based subject to FY 1997 annual fees.This anniversary month of the license and on FY 1997 budgeted costs--one for the chan8e is being made in recognition of the fact that since the final FY 1996 rule continue to pay annual fees at the FY reactor program and one for the nuclear 1996 rate in FY 1997, Those materials material and nuclear waste program.

was published in April 1996..some licensees whose license anniversary Accordingly, the NRC reactor direct licensees have filed requests for date falls on or after the effective date staff hout rate for FY 1997 for all termination of their licenses or of the final FY 1997 rule willbe billed, activities whose fees are based on full certificates with the NRC. Other at the FY 1997 revised rates, during the cost under 5170.21 is $131 per hour, or licensees have either called or written to the NRC since the FY 1996 final rule anniversary month of the license and

$233,055 per direct FTE. The NRC became effective requesting further Payment will be due on the Ate of the nuclear material and nuclear waste direct staff-hour rate for all materials invoice.

clarification and information concerning The final amendments to 10 CFR Part activities whose fees are based on full the annual fees assessed. The NRC is 171 do not cha.

t ' underiving basis cost under $ 170.31 is $125 per hour, or responding to these r ests as quickiv for 10 CFR Part 171: tnat is, charging a

$222,517 per direct FTE. The rates are as possible. However e NRC was -

based on the FY 1997 direct FTEs and class oflicensees for NRC costs unable to respond and take action on all attributable to that class of licensces.

NRC budgeted costs that are not such requests before the end of the fiscal The final changes are consistent with iccovered through the appropriation year on September 30,1996. Similar the NRC's FY 1995 final rule indicatin5 from the NWF or the General Fund. The situations existed after the FY 1991-that, for the period FY 1996-1999, the NRC has continued the use of cost 1995 rules were published, and in those expectation is that annual fees would be center concepts established in FY 1995 cases, the NRC provided an exemption adjusted by the percentage change (plus in allocating certam costs to the reactor from the requirement that the annual fee r minus) to the NRC's budget authority and materials programs in order to more is waived only when a license is adjusted for NRC offsetting receipts and closely align budgeted costs with terminated before October 1 of each the number of licensees paying annual specific classes of licensees. The fiscal year.

' " " ^

Professional hourly rates is as follows:

Fifth, th'e NRC has amended the IV. Section by Section Analysis

1. Direct rogram FTE levels are proration provisions in S 171.17 for reactor and materials licensees. The The following analy>1s of those identified f r both the reactor program reactor provision in $ 171.17(a) is sections that will be amended by this and the nuclear material and waste revised to reflect the changes in 10 CFR final rule provides additional Progr n Par + 50 relating to the decommissioning explanatory information. All references of power reactors which became are to Title 10 Chapter I, U.S. Code of the use of contract or ot er services in effective August 28,1996 (61 FR 39278). Federal Regulations.

support of the line organization's direct Program,is excluded from the The materials provision is amended t Part 2 70 calculation of the hourly rate because recognize that licenses transferred to an Agreement State as a result of a new Section 170.11-Exemptions the costs for direct contract support are Agreement are effectively terminated by This section is amended to add a new charged directly through the various the NRC, for annual fee purposes, on the paragraph indicatir.g that amendments categories of fees.

date that the Agreement with the State to materials portable gauge licenses

3. All other direct program costs (i.e.,

becomes effective.

issued in accordance with NUREG-Salaries and Benefits Travel) represent Sixth, $ 171.19 is amended to update 1556, Volume 1, that change only the "in house" costs and are to be allocated fiscal year references and to credit the name of the Radiation Safety Officer by dividing them uniformly by the total partial payments made by certain (RSO) are exempt frcm amendment fees. number of direct FTEs for the program.

licensees in FY 1997 either toward their No amendment fees will be assessed for In addition, salaries and benefits plus total annual fee to be assessed or to the amendments issued in accordance contracts for general and administrative make refunds, if necessary. This section with NUREG-1556, Volume 1, to support are allocated to each program is amended to modify the annual fee portable gauge licenses because the based on that program's salaries and billing schedule for materials licenses regulatory program includes benefits. This method results in the terminated and new materials licenses commitments from the licensee following costs which are included in issued during the fiscal year, concerning RSO qualifications and if the hourly rates.

TABLE II.-FY 1997 BUDGET AUTHORITY To BE INCLUDED IN HOURLY RATES (Dollars in millions)

Reactor Materials program program

$155.3 S48A Salary and Benefits -

42.5 13.2 Allocated A9ency Management & Support,

V 1

F;d:ril Registir / Vol. 62 No.103 / Thursday, May 29. 1997 / Rules and Regulations 29203 TABLE ll.-FY 1997 BUDGET AUTHORITY TO BE INCLUDED IN HOURLY RATES-Continued i

[ Dollars in millionst Reactor Materials program program Subtotal 197.8 61.6 General and Administrative Support (GaA):

Program Travel and Other Support j

9.6 2.5 Allocated Agency Management and Support -

l 72.1 22.4 1

Subtotal -

81.7 24.9 Less offsetting receipts

.1 Total Budget included in Hourly Rate -

279.4 86.5 Program Direct FTEs -

Rate per Direct FTE.

1.196.9 388.7 Professional Hourly Rate :

233,055 222,517 131 125 Dividing the $279 4 million budget for be assessed at the FY 1997 hourly tate Licensing fees based on the average time the reactor program by the number of for the reactor progr., es shown in to review an application (" flat" fees) are reactor program direct FTEs (1196.9)

$ 170.20. The fees in S 170.21 for,he adjusted to reflect both the revised results in a rate for the reactor program review ofimport and export liceusing.

average professional staff hours needed of $233,055 per FTE for FY 1997.

facility Category K, are adjusted for r'Y to process a licensing action (new j

Dividing the 586.5 million budget for 1997 to reflect both the increase in the license and amendment) and the the nuclear materials and nuclear waste hourly rate and the revised average increase in the professional hourly rate program by the number of program professional staff hours needed to from $120 per hour in FY 1996 to $125 direct FTEs (388.7) results in a rate of process certain types of licensing per hour in FY 1997.

5222,517 per FTE for FY 1997. The actions.

As previously indicated, the CFO Act Direct FTE Hourly Rate for the reactor For those applications currently on requires that the NRC conduct a program is $131 per hour (rounded to file and pending completion, footnote 2 biennial review of fees utd other the nearest whole dollar). This rate is of S 170.21 is revised to provide that charges imposed by the agency for its calculated by dividing the cost per professional hours expended up to the services and revise those charges to direct FTE ($233,055) by the number of effective date of the final rule will be reflect the costs incurred in providing productive hours in one year (1776 assessed at the p*ofessional rates in the services. Consistent with the CFO hours) as indicated in the revised OMB effeci at the time the service was Act requirement, the NRC has Circular A-76," Performance of renc.,'d. For topical report applications completed its most recent review of Commercial Activities." The Direct FTE curred v on file that are still pending license fees assessed by the agency. The Hourly Rate for the materials program is completion of the review, and for which review focused on the flat fees that are

$125 per hour (rounded to the nearest review costs have reached the charged to nuclear materials users for whole dollar). This rate is calculated by applicable fee ceiling established by the licensing actions (new licenses and dividing the cost per direct FTE July 2,1990, rule, the costs incurred amendments). The full cost license and

($222.517) by the number of productive after any applicable ceiling was reached inspection fees (e g., for fuel cycle l

hours in one year (1776 hours0.0206 days <br />0.493 hours <br />0.00294 weeks <br />6.75768e-4 months <br />). The FY through August 8,1991, will not be facilities) and annual fees were not i

1997 rate is slightly higher than the FY billed to the applicant. Any professional included in this biennial review because 1996 rate due in part to the Federal pa raise given to all Federal employees, y hours expended for the review of topical the hourly rate for full cost report applications, amendments, annual fees are reviewed and updated Section 170.21-Schedule of Fees for revisions, or supplements to a topical annually in order to recover 100 percent Production and Utilization Facilities, report on or after August 9,1991, are of the NRC budget authority.

Review of Standard Reference Design assessed at the applicable rate To determine the licensing flat fees Approvals, Special Projects, inspections established by $ 170.20.

for materials licensees and applicants, and import and Export Licenses Section 170.31-Schedule of Fees for the NRC uses historical data to The NRC is revising the licensing and Matenals Licenses and Other Regulatory determine the average number of inspection fees in this section, which Services, including Inspections and professional hours required to perform a are based on full-cost rect very, to reflect import and Export Licenses licensing action for each license category. These average hours are FY 1997 budgeted c%ts t nd to recover The licensing and inspection fees in multiplied by the materials program costs incurred by the NRd in providing this section, which are based on full-professional hourly rate of $125 per licensing and inspection t ervices to cost recovery, are modified to recover hour for FY 1997. The review indicated identifiable recipients. The fees assessed the FY 1997 costs incurred by the NRC that the NRC needed to modify the for services provided under the in providing licensing and inspection average number of hours on which the schedule are based on the professional services to identifiable recipients. The current licensing flat fees are based in hourly rate, as shown in $ 170.20, for fees assessed for services provided order to recover the cost of providing the reactor program and any direct under the schedule are based on both licensing services. The average number program support (contractual services) the professional hourly rate as shown in of hours required for licensing actions 4

costs expended by the NRC. Any

$ 170.20 for the materials program and was last reviewed and modified in 1995 professional houa expended on or after any direct program support (contractual (60 FR 32218; June 20,1995). Thus the the effective date of the final rule will services) costs expended by the NRC.

revised hours used to determine the fees

a 29204 Federal Register / Vol. 62. No.103 / Thursday, May 29, 1997 / Rules and Regulations 1

for FY 1997 reflect the changes in the Part 2 72 Each operating power reactor, except Big Rock Point, will pay an annual fee licensing program that have occurred Section 171.13-Notice of $2.978,000 in FY 1997.

since that time, For new licenses, the 9

I fees for FY 1997 are increased in The language in this section is revised Paragraph (e)is revised to show the approximately 70 percent of the fee to indicate that in the unlikely event the amount of the FY 1997 annual fee for categories, while the fees for NRC is unable to publish a fee rule with nonpower (test and research) reactors.

amendments have increased in over 60 an effective date within the current in FY 1997, the annual fee of $57,300 percent of the fee categories.

fiscal year, the NRC will continue to is 8.4 percent above the FY 1996 level.

The " flat" fees in S 170.31 for the assess fees at the same rates as the The NRC will continue to grant review oflicensing applications have previous 6 scal year. The NRC believes exemptions from the annual fee to increased from FY 1996 as a result of that it will be able to publish an Federally-owned and State-owned the increase in the hourly rate and the effective fee rule within a current fiscal research and test reactors that meet the i

results of the biennial review, The year as it has done since FY 1991 when exemption criteria specified in licensing " flat" fees are applicable to fee 100 percent fee recovery was initiated.

S 171.11(a)(2).

categories 1.C and 1.D; 2.B and 2.C: 3.A However, the possibility exists that the Paragraph (f)is revised to change through 3.P; 4.B through 9.D.10.B 15.A NRC might be unable to establish fees fiscal year date references.

l through 15.E and 16. Applications filed for a current fiscal year in a timely Section 171.16-Annual fees: Materials on or after the effective date of the final manner through the notice and Licensees, Holders of Certificates of rule will be subject to the fees in this comment process. Therefore, as a Compliance Holders of Sealed Source final rule.

contingency plan for meeting the and Device Registrations Holders of The amounts of the materials requirement of OBRA-90, the NRC is Quality Assurance Program APProyals, licensing " flat fees were rounded off so amending $ 171.13 to ir Acate that if the and Government Agencies Licensed by a

that the amounts would be de minimis NRC is unable to promuigate a final fee the NRC 4

and the resulting flat fee would be rule within a current fiscal year,then convenient to the user. Fees under fees will continue to be assessed at the Section 171,16(c) covers the fees

$1,000 are rounded to the nearest $10.

same rates as the previous fiscal year.

assessed for those licensees that can Fees that are greater than $1.000 but are The NRC will continue to work qualify as small entities under NRC size i

less than $100.000 are rounded to the diligently to publish the fee rules at the standards. The NRC will continue to nearest $100. Fees that are greater than earliest possible time during the fiscal assess two fees for licensees that qualify as small entities under the NRC's size

$100,000 are rounded to the nearest

year, standards. In general, licensees with 51,000.

Section 171.15-Annual Fee: Reactor gross annual receipts of $350,000 to 55 For those licensing, inspection, and review fees that are based on full-cost Operating Licenses million pay a maximum fee of $1,800.

recovery (cost for professional staff The annual fees in this section are A second or lower-tier small entity fee hours plus any contractual services), the revised as dearibed below. Paragraphs of $400 is in place for small entities materials program hourly rate of $125, (a), (b), (c)(1), (c)(2), (e), and (f) are with gross annual receipts of less than as shown in S 170.20, applies to those revised to comply with the requirement $350,000 and small governmental professional staff hours expended on or of OBRA-90 that the NRC recover jurisdictions with a population of less after the effective date of the final rule, approximately 100 percent of its budget than 20,000. No change in the amount in addition to these changes, the NRC for FY 1997, of the small entity fees is being made is claritying how it would recover the Paragraph (b) is revised in its entirety because the small entity fees are not costs of post. implementation reviews of to establish the FY 1997 annual fee for based on the budget but are established changes licensees make without prior operating power reactors and to change at a level to reduce the impact of fees NRC review; for example, changes fiscal year references from FY 1996 to on small entities. The small entity fees under $$ 50.54,50.59 and 70.32.

FY 1997. The fees are established by are shown in the final rule for Licensees will be billed for post-increning FY 1996 annual fees (prior to convenience. A materials licensee may l

implementation reviews of these rounding) by 8.4 percent. In the FY 1995 pay a reduced annual fee if the licensee changes under $5170.21 and 170.31, final rule, the NRC stated it would qualifies as a small entity under the beginning with the effective date of the stabilize annual fees by adjusting the NRC's size standards and certifies that FY 1997 final fee rule. There willbe no annual fees only by the percentage it is a small entity using NRC Form 526.

l change in how fees are assessed for any change (plus or minus) in NRC's total Section 171.16(d) is revised to pre-implementation interactions budget authority and adjustments based establish the FY 1997 annual fees for including any review prior to licensee on changes in 10 CFR Part 170 fees as materials licensees, including submissions, between the NRC and well as in the number of licensees Government agencies, licensed by the I

licensees. As in the past, any pre-paying the fees. The first adjustment to NRC. These fees were determined by implementation interaction will not be the annual fees using this method increasing the FY 1996 annual fees fee bearing. The NRC intends to inform occurred in FY 1996 when all annual (prior to rounding) by 8.4 percent, reactor licensees, in the near future, that fees were decreased 6.5 percent below In addition, an annual fee is their submittals under S 50.54 (a), (p) the FY 1995 annual fees. The activities established in $ 171.16(d), fee Category and (q) should not ask for pre-comprising the base FY 1995 annual fee 1.E., for each Certificate of Compliance implementation reviews. Instead, and the FY 1995 additional charge issued to the USEC on November 26, licensees are required to perform their (surcharge) are listed in paragraphs (b) 1996, to operate the two gaseous analyses, implement their changes (if and (c) for convenience purposes.

diffusion plants (GDPs) located at J

the analyses show that the changes do With respect to Big Rock Point, a Paducah, Kentucky, and at Piketon, not degrade plans the NRC has already smaller, older reactor, the NRC hereby Ohio. The NRC announced its intent to approved), and make their submittals grants a partial exemption from the FY issue the compliance certificates to under the relevant paragraph of $ 50.54.

1997 annual fees similar to FY 1996 USEC on September 19,1996 (61 FR The NRC will then verify that the based on a request filed with the NRC 49360), The NRC assumed regulatory changes are in compliance with $ 50.54.

in accordance with $ 171.11.

jurisdiction over the two plants from

Federal Register / Vol 62. No.103 / Thursday, May 29, 1997 / Rules and Regulations 29205 DOE on March 3,1997. Because the two Section 171.17--Proration becuon 17L19-Payment plants have been certified in FY 1997'

.s d to g c dit the NRC is establishing an annual fee of The NRC is amendmg the proration a rap ).

s

$2.606.000 for each of these two Provisions in S 171.17 for reactor and

,}

de facilities. The NRC methodology for matenals licenses. Paragraph (a)is hees in pY 1997 WOen FY determining annual fees for major fuel amended to refla t the changes m to 1997 annual fees. The NRC anticipates facilities was explained in the FY 1995 CFR Part 50 relatmg to the that the first, second, and third quarterly final fee rule published in the Federal decommissioning of power reactors pavments for FY 1997 will have been '

Register on June 20,1995 (60 FR 32234). which became effective August 28.1996 m5de by operating power reactor i

As indicated in the Federal Register, the (61 FR 39278). Reactor annual fees will licensees and some larga materials licensees before the final rule becomes methodology can be applied to be prorated based on the requirements effective. Therefore, the NRC will credit determine annual fees for new licenses of 9 50.82(a)(2) that upon docketing of or certificates. The NRC has applied the the certifications for permanent payments received for those quarterly i

annual fee assessments toward the total 1

methodology to the USEC facilities and cessation of operations and permanent annual fee to be assessed. The NRC will has concluded that the relative weighted removal of fuel from the reactor vessel safety and safeguards factors for these or when a final legally effective order to adjust the fourth quarterly bill to recover the full amount of the revised facilities is similar to a high enriched permanently cease operations has come annual fee or to make refunds, as uranium facility. Therefore, the NRC is into effect, the 10 CFR Part 50 license necessary. Payment of the annual fee is a

establishing the annual fee for each nolonger authonzes np ration of the due on the date of the invoice and USEC uranium enrichment facility at reactor or emplacement or retention of interest accrues from the invoice date.

$2,606,000, the same as that for a high fuelinto t' a reactor vessel. Previously However, interest will be waived if 4

enrichment faciPty (fee category the proratit, o.eactor annual fees was payment is received within 30 days 1.A.(1)(a)). Because the certifications are in effect for the last six months of FY based on the dhte ofissuance of the from the invoice date.

1997, the NRC will assess one-half of possession only license (pol }.

Paragraph (c)is revised to update the annual fee or $1,303,000 to USEC for Paragraph (b) is amended *.o recognize fiscal year references. Paragraph (d) is each certificate for FY 1997.

that materials licenses transferred to a revised to modify the billing schedule The amount or range of the FY 1997 new Agreement State are considered for terminated materials licenses and annual fees for all materials licensees is terminated by the NRC for annual fee new materials licenses. Licenses subject summarized as follows:

purposes, on the date that the to the annual fee that are terminated Agreement with the State becomes during the fiscal year but prior to the a

MATERIALS UCENSES-ANNUAL FEE effective. The State of Massachusetts anniversary month of the license will be RANGES became an Agreement State on hiarch billed upon termination for the fee in 21,1997, and approximately 425 effect at the time of the billing. New Category of heense Annual fees materials lic 1ses were transferred to licenses subject to the annual fee will be billed in the month the license is issued the State a the effective date of the Part 70-HQh enriched

$2,606,000.

or in the next available monthly billing w faci 4 Agree ent. The NRC will assess the for the fee in effect on the annhersary Part 70-Low enriched

$1,279,000.

annual fees for those licenses being date of the license. Thereafter, annual fuel facihty, transferred to the State of hiassachusetts fees for new licenses will be assessed in i

Part 40-UF. conver-

$648,000.

using the current proration provisions of the anniversary month of the license.

sion facihty.

$ 171.17(b) whereby the licenses will be As in FY 1996, the NRC will continue Part 40-Uranium re-

$22,300 to $61,800.

considered terminated on the effective to bill annual fees for most materials Pa 3 o u'ct

$490 to $23,500.,

daw & Agmme d bnses m b annbary dam &

Matenal Licenses.

hiassachusetts.

license (licensees whose annual fees are Part 71-Transportion

$1,000 to $78,900.

New licenses issued during FY 1997

$100,000 or more will continue to be of Radioactive Mate-will receive a prnrated annual fee in assessed quarterly). The annual fee nat Part 72-4ndependent

$283,000.

accordance with the current proration assessed will be the fee in effect on the

'9 provision of 6171,17. For example, license anniversary date. This applies to clea' ue '

those new materials licenses issued those materials licenses in the following during the period October 1 through fee categ nos: 1.C. and 1.D.: 2.A.(2)

' Excludes the annual fee for a few mahtary

• master" materials Heenses of broad-scope is-hiarch 31 of the FY will be assessed through 2.C.: 3.A. through 3.Pa 4.A.

4 sued to Govemment agencies, whsch is one-half the annual fee in effect on the through 9.D., and 10 B. For annual fee

$421,000.

anniversary date of the license. New purposes, the anniversary date of the Footnote 1 of 10 CFR 171.16(d) is materials licenses issued on or after materials license is considered to be the A ril 1,1997, will not be assessed an first day of the month in which the amended to provide a waiver of the P

annual fees for materials licensees, and annual fee for FY 1997. Thereafter, the original materials license was issued.

For example,if the original materials holders of certificates, registrations, and full annual fee is due and payable each license was issued on June 17 then, for approvals, who either filed for subsequent fiscal year on the annual fee purposes, the anniversary termination of their licenses or anniversary date of the license.

date of the materials license is June 1 approvals or filed for possession only/

Beginning June 11,1996 (the effective and the licenses would continue to be storage only licenses before October 1, date of the FY 1996 final rule), affected billed in June of each year for the 1996, and permanently ceased licensed materials licens=ei will be subject to the annual fee in effect on June 1. hiaterials activities entirely by September 30, annual fee in effect on the anniversary licensees with anniversary dates in FY 1996. All other licensees anci approval date of the license. Affected licensees 1997 before the effective date of the FY holders who held a license or approval who are not sure of the anniversary date 1997 final rule will be billed during the on October 1,1996, are subject to the FY of their materials license should check anniversary month of the license and 1997 annual fees.

the original issue date of the license.

continue to pay annual fees at the FY

'I

29206 Federal Register / Vol. 62, No.103 / Thursday, May 29, 1997 / Rules and Regulations 1996 rate in FY 1997. Those materials account guidance provided by the U.S.

requirement for NRC through FY 1998.

licensees with license anniversary dates Supreme Court on March 4,1974, in its To accomplish this statutory falling on or after the effective date of decision of National Cable Television requirement, the NRC, in accordance the FY 1997 final rule will be billed, at Association. Inc. v. United States,415 with 5171.13,is pubbshing the final the FY 1997 revised rates, during their U.S. 36 (1974) and Federal Power amount of the FY 1997 annual fees for anniversary month of their license and Commission v. New England Power operating reactor licensees, fuel cycle payment will be due on the date of the Company,415 U.S. 345 (1974). In these licensees, materials licensees, and invoice.

decisions, the Court held that the IOAA holders of Certificates of Compliance, During the past six years, many authorizes an agency to charge fees for registrations of sealed source and licensees have indicated that, although special benefits rendered to identifiable devices and QA program approvals, and they held a valid NRC license persons measured by the "value to the Government agencies. OBRA-90 and the authorizing the possession and use of recipient" of the agency service. The Conference Committee Report special nuclear, source, or byproduct meaning of the IOAA was further specifically state that-material, they were either not using the clarified on December 16,1976, by four (1) The annual fees be based on the material to conduct operations or had decisions of the U.S. Court of Appeals Commission's FY 1997 budget of $476.8 disposed of the material and no longer for the District of Columbia: National million less the amounts collected from Part needed the license. In response, the Cable Television Association v. Federal 170 fees and the funds dimctly appropriated NRC has consistently stated that annual Communications Commission,554 F.2d from the NWF to cover the NRC's high level waste program and the general fund related fees are assessed based on whether a 1094 (D.C. Cir.1976); National t c mmercialvurnau n f waste at the licensee holds a valid NRC license that Association of Broadcasters v. Federal 8

authorizes possession and use of Communications Commission,554 F.2d radioactive material. Whether or not a 1118 (D.C. Cir.1976); El<ctronic (2) The annual fees shalh to the maxirr.um licensee is actually conducting Industries Association v. Federal extent practicable, have a reasonable operations using the material is a matter Communications Commission,554 F.2d relationship to the cost of regulatory services of licensee discretion. The NRC cannot 1109 (D.C. Cir.1976) and Capital Cities provided by the Commission; and (3) The annual fees be assessed to those control whether a licensee elects to Communication. Inc. v. f ederal licensees the Commission. in its discretion, possess and use radioactive material Communications Commission,55 i F.2d once it receives a license from the NRC.

1135 (D.C. Cir.1976). These decisions of dIcNN'n Me'ir a p

o ent.

Therefore, the NRC reemphasizes that the Courts enabled the Commission to to CFR Part 171, which established the annual fee will be assessed based on develop fee guidelines that are still used annual fees Er operating power reactors whether a licensee holds a valid NRC for cost recovery and fee development effective October 20,1986 (51 FR 33224:

license that authorizes possession and pthoses'mmission's fee guidelines were SeP ember 18,1986), was challenged t

use of radioactive material. To remove e Co any uncertainty, the NRC issued minor upheld on August 24,1979,by the U.S.

and upheld in its entirety in Florida clarifying amendments to 10 CFR Court of Appeals for the Fifth Circuit in Power and Light Company v. United States,846 F.2d 765 (D.C. Cir.1988),

171.16, footnotes 1 and 7 on July 20.

Mississippi Power and Light Co. v. U.S.

cert denied,490 U.S.1045 (1989).

1993 (58 FR 38700).

Nuclear Regulatory Commission,601 The NRC s FY 1991 annual fee rule (5th 91 d

d V EnvironmentalImpact: Categorical h2d 4 U S 1102 980) The C ur held was largely upheld by the D.C. Circuit Exclusion Court of Appeals in Allied Signalv.

that-The NRC has determined that this NRC,988 F.2d 146 (D C. Cir.1993).

(1) The NRC had the authority to recover finaI rule is the type of action described the full cost of providing services to VIII. Regulatory Flexibility Analysis in categorical exclusion 10 CFR identifiable beneficiaries; The NRC is required by the Omnibus 51.22(c)(1). Therefore, neither an (2)The NRC could properly assess a fee for Bud et Reconciliation Act of 1990 to 8

environmental impact statement nor an the costs of providing routine inspections rec ver approximately 100 percent ofits environmental impact assessment has necessary to ensure a licensee's compliance been prepared for the final regulation, with the Atomic Energy Act and with budget authority through the assessment APP cable regulatiens; of user fees. OBRA-90 further requires li By its very nature, this regulatory action (3) The NRC could charge for costs that the NRC establish a schedule of does not effect the environment, and incurred in c nducting environmental charges that fairly and equitably therefore, no environmental justice au cates 6 aggmgam amount d bse

M'he issues are raised.

ProPe Y i loded the costs of charges among licensees.

unc ntested heanngs and of administrative This final rule establishes the VI. Paperwork Reduction Act d'

ical support services in the fee schedules of fees that are necessary to Statement Q,'du This final rule contains no (5) The NRC could assess a fee for implement the Congressional mandate information collection requirements renewing a license to operate a low level for FY 1997. The final rule results in an radioactive waste burial site; and increase in the annual fees charged to and, therefore,is not subject to the (6) The NRC's fees were not arbitrary or all licensees, and holders of certificates, requirements of the Paperwork registrations, and approvals. The caPncious.

Reduction Act of 1995 (44 U.S.C. 3501 et seq.).

With respect to 10 CFR part 171, on Regulatory Flexibility Analysis, November 5,1990, the Congress passed prepared in accordance with 5 U.S.C.

VII. Regulatory Analysis Public Law 101-508, the Omnibus 604,is included as Appendix A to this With respect to 10 CFR Part 170, this Budget Reconciliation Act of 1990 final rule. The Small Business final rule was developed pursuant to (OBRA-90) which requi ed that for FYs Regulatory Enforcement Fairness Act of Title V of the Independent Offices 1991 through 1995, approximately 100 1996 (SBREFA) was signed into law on Appropriation Act of1952 (IOAA)(31 percent of the NRC budget authority be March 29,1996. The SBREFA requires U.S.C. 9701) and the Commission's fee recovered through the assessment of all Federal agencies to prepare a written guidelines. When developing these fees. OBRA-90 was amended in 1993 to compliance guide for each rule for guidelines the Commission took into extend the 100 percent fee recovery which the agency is required by 5 U.S.C.

-- =

l Fedtral Register / Vol. 62, No.103 / Thursday, May 29, 1997 / Rules and Regulations 29207 l

604 to p. pare a regulatory tiexibility 10 CFrf Part 171 and use of nuclear materials for other analysis. Therefore, in compliance with the law, Attachment 1 to the Regulatory Annual charges. Bvproduct material, activities.

l Flexibility Analysis (Appendix A to this lloiders of certificate's, registrations.

document)is the small entity approvals, Intergovernmental relations,

3. Section 170.20 is revised to read as compliance guide for FY 1997.

Non pa ment enalties, Nuclear follows:

materia s. Nuc ear power plants and

$ 170.20 Average cost per professional IX.Backfit Analysis reactors, Source material Special staff hour.

l nuclear material, The NRC has determined that the For the reasons set out in the Fees for permits, licenses, d thaYa a kfitA{or i Pa pp to t is f n e

art 5 quali cati e

y Act o 195 as end 1, analysis is not required for this final and 5 U S C. 552 and 553, the NRC is 1

fohR a'us th se 8

n en ts do t un e 02 d 70 1 P s 17 1 -

based upon the full costs for the review require the modification of or additions to systems, structures, components, or PART 170-FEES FOR FACILITIES, r inspection will be calculated using the design of a facility or the design MATERIALS, IMPORT AND EXPORT the following applicable professional approval or manufacturing license for a LICENSES, AND OTHER staff-hour rates:

facility or the procedures or REGULATORY SERVICES UNDER THE Reactor Program ($ 170.21 Ac-

$131 per organization required to design, ATOMIC ENERGY ACT OF 1954, AS

,'U*s construct or operate a facility.

AMENDE.

,, aterials and Nuclear

$1 5 r Waste Program ($170.31 Ac-hour.

X. Small Business Regulatory

1. The authority citation for part 170 tivities).

Enforcement Fairness Act continues to read as follows:

4. In $ 170.21, the introductory text, In accordance with the Small Authority: 31 t>.S.C. 9701,96 Stat.1051:

Category K, and footnotes 1 and 2 to the Business Regulatory Enforcement sec. 3ot. Pub. L 92-314,86 Stat. 222 (42 table are revised to read as follows:

Fairness Act of 1996 the NRC has U.S.C 2201wh se:. 201. Pub. L. 93-.4 381,88

• • dd

$ 170.21 Schedule of fees for production

$3u 3:[e 9033'b i *1o determined that this action is a major 57e S at 2842 (3 and utilization facilities, review of str ward rule and has verified this determination referenced design upprovals, specir,I with the Office ofInformation and projects, inspections and import ac d export Regulatory Affairs of the Office of

2. In $ 17.',.11, paragraph (a)(11) is licenses.

Management and Budget.

added to read as follows:

Applicants for construction permits, List of SubNcts

$ 170.11 Exemptions, manufacturing licenses, operating la CFR Port 170

(*) * *

• licenses, import and export licenses, approvals of facility standard reference (11) Materials portable gauge licenses designs, requalification and replacement Byproduct material, import and issued in accordance with NUREG-examinations for reactor operators, and export licenses, Intergovernmental 1556, Volume 1, that are amended to special projects and holders of relations, Non payment penalties, change only the name of the Radiation construction permits, licenses, and Nuclear materials, Nuclear power plants safety Officer. This exemption does not other approvals shall pay fees for the and reactors, Source material, Special apply to those materials portable gauge following categories of services.

nuclear material, licenses that also authorize possession SCHEDULE OF FACluTY FEES

[See footnotes at end of table]

Facihty categories ano type of fees Feesi2 K. Import and export licenses:

Ucenses for the import and export only of production and utilization facilities or the export only of components for produc-tion and utihzabon facilibes issued pursuant to 10 CFR Part 110:

1. Application for import or export of reactors and other facikties and exports of components wh6ch must be reviewed by the Commissioners and the Executive Branch, for example, actions under 10 CFR 110.40(b):

Application-new hcense -

S8,100 Amendment _.

$8,100

2. Application for export of reactor and other components requinng Executive Branen review only, for example, those actions under 10 CFR 110.41(a)(1H8):

Apphcation-new license

$5,000 Amendment

$5,000

3. Application for export of components requiring foreign govemment assurances only:

Application new license -

$2,900 Amend.nent.

$2,900

4. Application for export of facAty components and equipment not requiring Commissioner review. Executive Branch review, or foreign govemment assurances:

Application-new hcense.

$1,300 Amendment.

$1.300

. = _.

29208 Rd:rel Registzr / Vol. 62, No.103 / Thursday, May 29, 1997 / Rules and Regulations SCHEDULE OF FACILITY FEES-Continued (See footnotes at end of tabiel Fees' 2 I

Facility categories and type of fees

5. Minor amendment of any export or import license to extend tne expiration date, change domestic informahon, or rnake other revisions whch do not require in-depth analysis or review:

$190 Amendment

' Fees will not be charged for orders issued by the Commission purcuant to $2202 of this chapter or for amendments resulting specifically from the requirements of these types of Commission orders. 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., $$50.12,73.5) and any other sections now or hereafter in effect regardless of whether the approvalis in the form of a icense amendment, letter of approval, safety evaluation report, or other form. Fees for licenses in this schedule that are initially issued for less than full power are based on review through the issuance of a full power Icense (generally full power is considered 100 percent of the facility's full rated power). Thus, if a licensee received a low power license or a temporary Icense for less than full power and subsequently receives full power authority (by way of license amendment or otherwise), the total costs for the license will be determined through that penod when authonty is granted for fufi power operation. If a situation anses in which the Comrrussion de-termines that full operating power for a partcular f acility should be less than 100 percent of full rated power, the total costs for the Icense will be i

. at that determined lower operating power level and not at the 100 percent capacity, 8 Full cost fees will be determined based on the profess 6onal staff time and appropriate contractual support services expended. For applications currently on file and for whch 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 thc effective date of the final rule will be determined at the professional rates in ef'ect at the time the service was provided. For tnose applications currently on file for which review costs have reached an applicable fee ceiling establisheet by the June 20,1 and July 2,1990. rules but are still pending completion of the review, the cost incurred after any applicable ceiling was ruched 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 as-sessed at the appicable rates established by $ 17020, as appropnate, excr for topical reports whose costs exceed $50,000. Costs which ex-30,1989, ceed $50,000 for any topical report, amendment, revision or supplement to a topical report completed or under review from Januar) through August 8,1991, will not be belled to the applcant. Any professional hours expended on or after August 9,1991, will be assessed at the applicable rate established in $ 17020. In no event will the total review costs be less than twice the hourty rate shown in $ 17020.

1 l

5. Section 170.31 is revised to read as follows:

$ 170.31 Schedule of fees for materials licenses and other regulatory services, including inspections, and import and export licenses.

Applicants for rnaterials licenses, import and export licenses, and other regulatory services and holders of materials licenses, or import and export licenses shall pav fees for the following categories of services. This schedule includes fees for health and safety and safeguards inspections where applicable.

4 SCHEDULE OF MATERIALS FEES

[See footnotes at end of table) i Feed Cctegory of materials Icenses and type of fees

1. Special nuclear matenal:

A. Lcenses for possession and use of 200 grams or more of plutonium in unsealed form or 350 grams or more of contained U-235 in unsealed form of 200 grams or more of U-233 M unsealed form. This includes applications to terminate licenses as well as licenses authonzing possession only:

Full Cost.

License. Renewal, Amendment.

Fult Cost.

Inspections B. Licenses for receipt and storage of spent fuel at an independent spent fuel storage instaflation (ISFSI):

Full Cost.

License, Renewal, Amendment..

Futi Cost.

Inspections C. Licenses for possession and use of special nuclear material in seated sources contained in devices used in industna!

measunng systems, including x ray fluorescence analyzers:4

$580.

Appication--New icense

$390.

Amendment....

D. All other special nudear material Icenses, except licenses authori2ing special nuclear rnaterial in unsealed form in com-benation that would coi stitute a entical quantity, as defined in $150.11 of this chapter, for which the licensee shalf pay the same fees as those for Sategory 1 A:*

$780.

Applcatiord.-New license

$300.

Amendment..........

E. Licenses or certificates for construction and operation of a uranium enrichment facility:

Full Cost.

License, Renewal, Amrindment _

Full Cost inspections ;

2. Source material:

A. (1) Lcenses for possession and use of source materist in recovery operations such as milling, in situ leaching, heap-leaching, refining uranium mill concentrates to uranium hexafluoride, ore buying stations, ion exchange facilities and in processing of ores containing socce material for extraction of meta!$ other than uraniurn or thorium, including licenses au-thorizing the possession of oyproduct waste rnatenal (tailings) from source material recovery operations, as well as li-censes authorizing the possession and maintenance of a facihty in a standby mode:

Full Cost.

License, Renewal, Amendment.

Full Cost.

Inspections (2) Licenses that authon2e the receipt of 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 fees in Category 2.A.(1).

Full Cost.

License, renewal, amendment.

Full Cost.

Inspections.

Rd:rd Regist:r / Vol. 62 No.103 / Thursday. May 29, 1997 / Rules and Regulations 29209 SCHEDULE OF MATERIALS FEES--Continued (See footnotes at end of table) 4 Category of materials licenses and type of fees' Fee D (3) Licenses that authon2e the receipt of byproduct material, as defined in Section 11e(2) of the Atome Energy Act. from other persons for possession and disposal incidental to the disposal of the uranium waste tailings generated by tfL licens.

ee's milling operations except those licenses subject to the fees in Category 2.A.(1):

License, renewal, amendment inspecbons -

Full Cost.

8. Licenses which authorize the possession, use and/or installation of source material for shielding:

Full Cost.

Appicatiord-New license

$130.

Amendment... -

$290.

C. All other source material Fcenses:

Application-New hcense

$3.700.

Amendment

$580.

3. Byproduct matenal:

A. Licenses of broad scope for possession and use of byproduct material issued pursuant to Parts 30 and 33 of this chapter for processing or manufacturing of items containing byproduct material for commercial distribubon.

Application-New license

$3.900.

Arnendment..

$550.

B. Other licenses for possession and use of byproduct material issued pursuant to Part 30 of this chapter for processing or manufacturing of items containing byproduct material for commercial dstribution:

Application-New license

$1.600.

Amendment

$580.

C. Licenses issued pursuant to H 32.72,32.73. and/or 32.74 of this chapter authorizing the processing or manufactunng and distribubon or redstribution of radicpharmaceuticals, generators. reagent kits and/or sources and devices containing by.

product material Thic category does not apply to licenses issued to nonprofit educational insbtutions whose processing or manufacturing is exempt urwr 10 CFR 170.11(a)(4). These licenses are covered by fee Category 3D:

Applicatior>-New license -

$7,100.

Amendment

$650.

D. Licenses and approvals issued pursuant to H 32.72. 32.73. and/or 32.74 of this chapter authorizing distribubon or radis.

tribubon of radiopharmaceuticals, generators reagent luts and/or sources or devices not itwolving processing of byproduct material. This category includes licenses issued pursuant to H 32.72. 3173. and/or 32.74 to nonprofit edu:ational inststu.

tions whose processing or manufacturing is exempt under 10 CFR 170.11(a)(4):

Applicatior>-New license... -

$2.000.

Amendment

$440.

E. Licenses for possession and use of byproduct rnatorial in sealed sources for irradiat on of materials in which the source is not removed from its shield (self-shielded units):

a

}

Applicatiord-New liense.

$1.100.

Amendment -

$390.

4 F. Lcenses for possession and use of less than 10.000 curies of byproduct materialin sealed sources for irradiation of mate-rials in which the source is exposed for irradation purposes. This category also includes underwater irradiators for irradia.

tion of materials where the source is not exposed for irradiation purposes:

Applicatior>-New iconee

$2,000.

Amendment.

$450.

G. Licenses for possession and use of 10,000 curies or more of byproduct materit.Iin sealed sources for irradation of mate.

rials in which the source is exposed for irradation purposes. This category also includes underwater irradiators for irradia.

- tion of matenals where the source is not exposed for irradiation purposes Applicatior>-New license

$4.700.

Amendment

$760.

H. Licenses issued pursuant to Subpart A of Part 32 of this chapter to disbibute items containing byproduct material that re.

quire device review to persons exempt from the licensing requirements of Part 30 of this chapter, except specirc licenses authorizing redistribution of items that have been authorized for distribubon to persons exempt from the licensing require.

monts of Part 30 of this chapter:

Aw e. -h. license

$2.800.

Amendment

$1,000.

L Licenses issued pursuant to Subpart A of Part 32 of this chapter to distribute iterns containing byproduct rnaterial or quard bties of byproduct material that do not require device evaluation to persons exempt from the Icensing requirements of Part 30 of this chapter, except for specife licenses authorizing redistribution of !! ems that have been authorized for distribution to persons exempt from the licensing requirements of Part 30 of this chapter:

Applic tior>-New license

$4.500.

Amendment.

$1.100.

. J. Licenses issued pursuant to Subpart B of Part 32 of this chapter to distribute items containing byproduct material that re.

quire saaled source and/or device review to persons generally licensed under Part 31 of this chapter, except spe1fic li.

conses authorizing redistribubon of items that have been authorized for distribution to persons generally licensed under Part 31 of this chapter:

Application-New icense

$1.800.

Amendment

$310.

K. Licenses issusd pursuant to Subpart B of Part 32 of this chapter to distribute items containing byproduct matenal or quan.

tibes of byproduct matenal that do not require sealed source and/or device review to persons generally licensed under Part 31 of this chapter, except specific heenses authorizing redistribution of items that have been authorized for distribution to persons generally hcensed under Part 31 of this chapter:

Apolication-New license 3,000.

Amendment

$350.

29210 Fcdird Rigistir / Vol. 62, No.103 / Thursday, May 29, 1997 / Rules and Regulations SCHEDULE OF MATERIALS FEES-Continued (See footnotes at end of table)

Fee D Category of materials heenses and type of fees i L Licenses of broad s' ope for possess on and use of byproduct material issued pursuant to Parts 30 and 33 of this chapter for research and development that do not authonze commercial distnbution:

$5,600.

)

Appicaton-New icense

$780.

M. Other hcenses for possession and use of byproduct material issued pursuant to Part 30 of this chapter for research and Amendment :

development that do not authorize commercial distributtort

$t.900.

ApplicatiorMew heense

$640, Amendment N. Licenses that authori2e services for other licensees, except:

(1) Licenses that authorize only cahbration 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 4A,4B, and 4C:

$2,100, ApplicatiorMew heense -

$510.

Amendment _

O. Licenses for possession and use of byproduct material issued pursuant to Part 34 of this chapter for industrial radiogra-phy operations:

$4,400.

Application-New license

$700.

Amendment -

P. All other specific byproduct materia! kcenses, except those in Categones 4A through 90:

$750.

AppicatiorwNew hcense....

$350.

Amendment -

4. Waste disposal and processing:

A. Licenses specifcally authorizing the receipt of waste byproduct material, sourco material, or special nuclear material from I

other persons for the purpose of contingency storage or commercial IJnd disposal by the licensee; or licenses authorizing contingency storage of low-level radioactive waste at the site of nuclear power reactors; of licenses for receipt of waste from other persons for incineration or other treatment, packaging of resulting waste and residues, and transfer of packages a another person authorized to receive or dispose of waste material:

Full Cost.

License, renewal, amendment Full Cost.

B. Licenses specifcally authorizing the receipt of waste byproduct matenal, source matenal, or special nuclear material from Inspections......_ _._ _ _

other persons for the purpose of packaging or repackaging the materia!. The licensee will dispose of the material by trans-for to another person authorized to recerve or dispose of the matenal:

$2,600.

AppicatiorwNew license

$540 Amendment............

C. Licenses specifically authorizing the receipt of prepackaged waste byproduct material, source material, or special nmaear I

matenal from other persons. The licensee will dispose of the material by transfer to another persor* duthorized to receive or dispose of the material:

$2,300.

Applicatiorw-New heense

$230.

Amendment,

A. Licenses for possession and use of byproduct matenat, source material, and/or special nuclear matertal for well logging,

5. Well logging:

well surveys, and tracer studies other than field flooding tracer studies:

$3,600.

$850.

ApplicatiorwNew license Amendment.

B. Licenses for possession and use of byproduct material for field flooding tracer studies:.

Full Cost.

License, renewal, amendment A. Licenses for commercial collectiori and laundry of items centamina:ed with byproduct material, source rnatorial, or specia

6. Nuclear laundries:

nuclear material:

$6,600.

AppicattorwNew teense

$1,000.

Amendment _

7, Medical licenses:

30,35,40, and 70 of this chapter foi human use of byproduct malettal, source mate-A. Licenses issued pursuant to Parts rial, or special nuclear material in sealed sources contained in teletherapy devices:

$3.600.

$400 Appicatior>New heense B. l.icenses of broad scope issued to medcal institutions or two or more physicians pursuant to Parts 30,33,35,40, an Amendment.._ _.

of this chapter authorizing research and development, including human use of byproduct material, except Icenses f product matenal, source materia!, or special nuclear matenal in sealed sources contained in teletherapy devices:

$3,900 Application-New icense

$740 Amendment --

30,35,40, and 70 of this chapter for human use of byproduct material, source C. Other licenses issued pursuant to Parts material, and/or special nuclear material, except keenses for byproduct material, source material, or special nuclear rnat rial in sealed sources contained in teletherapy devices:

$ t,800.

ApplicatiorwNew license.

$460.

Amendment _

vi-A. Licenses for possession and use of byproduct material, source material, or special nuclear material for civil defense acti

8. Civil defense:

ties:

$590.

AppicatiorwNew icense

$410.

Amendment..

Federal Register / Vol. 62, No 103 / Thursday, May 29, 1997 / Rules and Regulations 29211 SCHEDULE OF MATERIALS FEES-Continued (See footnotes at end of table}

Category of matenals hcenses and type of fees' Feed

9. Device, product, or sealed source safety evaluation:

A. Safety evaluation of devices or products containing byproduct material, source materia!, or special nuclear rnatorial, ex-cept reactor fuel devices, for commercial estnbution:

ApphcatiorWach device.

$3,700.

.,z Amendrnent--each device

$610.

B. Safety evaluation of devices or products containing byproduct material, source material, or special nuclear material manu-factured in accordance with the unique specifications of, and for use by, a single applicant, except reactor fuel devicas:

Applicatiorweach device -

Arnendment--each device -

$2,200.

$1,100.

C. Safety evaluation of sealed sources containing byproduct material, source material, or special nuclear material, except re-4 actor fuel, for commercial distnbution:

Application-each source -

$940.

Arnendrnent-each source

$630.

D. Safety evaluation of sealed sources containing byproduct material, source material, or special nuclear materia!, manufac-tured in accordance with the unique specifications of, and for use by, a single applicant, except reactor fuel:

Apphcatiorweach source -

$480.

Amendment-each source

$160.

10. Transportation of radioactive matenal:

A. Evaluation of casks, packages, and shipping containers:

Approval, Renewal, Amendment -

Full Cost inspections._

B. Evaluation of 10 CFR Part 71 quahty assurance programs:_ _ _.

Full Cost.

i ApplicatiorwApproval -

$350.

1 Amendment -

$640.

inspections.

Full Cost.

11. Review of standardized spent fuel facihties:

Approval, Renewal. Amendment.

Full Cost i

inspections Full Cost.

12. Special projects: 8 3

Approvals and preapphcation/ licensing activities Fult Cost.

Inspections Full Cost

13. A. Spent fuel storage cask Certificate of Cornphance:

Approvals -

Full Cost.

Amendments, revisions, and supplements -

Full Cost.

Reapproval Full Cost.

B. Inspections related to spent fuel storage cask Certificate of Compliance ;

Ful' Cost C. Inspections related to storage of spent fuel under $ 72.210 of this chapter Full Cost

14. Byproduct, source, or special nuclear matenal licenses and other approvals authorizing decornrnissioning. decontamination, reclamation, or site restorabon activities pursuant to 10 CFR Parts 30,40,70, and 72 of this chapter:

Approval, Renewal, Amendment,

Futt Cost inspections -

Full Cost.

15. Import and Export Icenses:

Licenses issued pursuant to 10 CFR Part 110 of this chapter for the import and export only of special nuclear matenal, source rnatenal, tntium and other byproduct material, heavy water, nr nuclear grade graphite.

A. Application for export or import of high enriched uranium and other materials, including radioactive waste, which must be reviewed by the Commissioners and the Executive Branch, for example, those actions under 10 CFR 110.40(b). This cat-egory includes application for export or import of radioactive wastes in multiple forms from multiple generators or brokers in the exporting country and/or going to multiple treatment, storage or disposal facihties in one or more receivir59 Countries.

Application-new heense

$8,100.

Amendment

$8,100.

B. Apphcation for export or import of special nuclear material, source matenal, tntium and other byproduct material, heavy water, or nuclear grade graphite, including radioactive waste, requinng Executive Branch review but not Commissioner re-view. This category includes application for the export or irnport of radioactive waste involving a single form of waste from a single class of generator in the exporting country to a single treatment, storage and/or disposal facihty in the receiving Country Appicatiormew license

$5,000.

Amendment

$5.000 C. Apphcation for export of routine reloads of low enriched uranium reactor fuel and exports of source material requiring only foreign govemment assurances under the Atomic Energy Act.

Apphcatiorwoew license -

$2,900.

Amendment -

m...._

$2.900.

D. Application for expnrt or import of other materials, including radicactive waste, not requiring Commissioner review, Execu-tive Branch review, or foreign government assurances under the Atomic Energy Act. This category includes appication for export or import of radioactive waste where the NRC has previously authonzed the export or import of the same form of waste to or from the same or similar parties, requiring only confirmation from the receiving facility and Icensing authorities that the shipments may proceed according to previously agreed understandings and procedures.

App 6 cation-new license -

$1,300.

Amendment.

$1,300

29212 Federal Register / Vol. 62, No,103 / Thursday, May 29, 1997 / Rules and Regulations SCHEDULE OF MATERIALS FEES--Continued

[See footnotes at end of table)

Fee "

Category of matenals Icenses and type of fees' E. Minor smendment of any export or import license to extend the expiration date, change domestic information, or make other revisens which do not require in-depth analysis, review. or consultations with other agencies or foreign govemments.

$190.

Amendment

16. Reciprocity:

Agreement State licensees who conduct activities under the reciprocity provisens of 10 CFR 15020.

$1,100.

Application (initial filing of Form 241)

$200.

Revisions.

5 Types of fees-Separate charges, as shown in the schedule, will be assessed for preappucation consultations and reviews and app for new licenses and approvals, issuance of new licenses and approvals, amendments and certain renewais to existing Icenses and approvals, safety evaluations of sealed sources and devices, and certain inspections. The following guidehnes and approvals except those subiect to fees assessed at full costs, and appleatens filed by Agreement State Icensees to register under the gerw eral license provisions of 10 CFh 15020, must be accompanied by the prescribed applicaten fee for each category, except that appications f licenses covering more than one fee category of special nuclear matenal or source material must be accompanied by the prescribed applicat fee for tM highest fee category.

(b) Licens#approvaneview fees. Fees for applications for new licenses and approvals and for preapplication consultations and reviews to full cost fees (fee Categones 1 A,1B,1E,2A,4A,5B,10A,11,12,13A, and 14) ar9 due upon notifcation by the Commission in accordance with $ 170.12 (b), (e), and 3 (c) Renewansapproval fees. Applications subject to full cost fees (fee Catcaries 1 A,1B,1E,2A,4A, SB,10A,11,13A, and 14) are due upon riotification by the commission in accordance with $ 170.12(d).

(d) Amendment /Revtsion Fees.

(1) Applications for amendments to licenses and approvals and revisons to reciprocity inrtial applications, except those subject to fees as-sessed at full costs, must be accompanied by the prescribed amendment / revision fee for each Icense/ revision affected. An appication for an ar9endment to a icense or approval classsed in more than one fee category must be accompanied by the presenbod amendment fee for the category affected by the amendment unless the amendment is applicable to two or more fee categones in which case the amendment fe highest fee category would apply. For those licenses and approvals subject to full costs (fee Categories 1 A,1B,1E,2A,4A, 5B,10A,11 13A, and 14), amendment fees are due upon notifcation by the Commission in accordance Mth (170.12(c).

(2) An application for amendment to a materials teense or approval that would place the license or approval in a higher fee category or add new fee category must be accompanied by the presenbed application fee for the new category, (3) An application for amendment to a license or approval that would reduce the scope of a licensee's program to a lower fee category mus be accompanied by the prescribed amendment fee for the lower fee category.

(4) Appications to terminate Icenses authorizing small materials programs, when no dismantling or decontamination procedure is required not subject to fees.

(e) inspection fees. Inspections resulting from inves$gations conducted by the Oftce of Investigations and nonroutine inspectons that resu from third-party allegatons are not subect to toes. The fees assessed at futt mst will be deterrt,aned based on the professonal staff time re-Quired to conduct the inspection multiplied by the rate established under $ 170.20 plus any applicable contractual support servces costs incurre i

Inspection fees are due upon notifcation by the Commission in accordance with 6170.12(g).

8 Fees will not be charDed for orders issued by the Commission pursuant to 10 CFR 2202 or for amendments resulting specifcally from the re-guirements of these types of Commission orders. However, fees will be charged for approvals issued under a specife exemption provisi Commission's regulatons under Title 10 of the Code of Federaf Regulations (e.g.,10 CFR 30.11,40.

other form. In addit on to the fee shown, an appicant may be assessed an aciditonal fee for sealed source and device evaluations as shown in Categones 9A through 90.s Full cost fees will be determined based on the professional staN time and appropriate contractual support s catens currently on file and for whch fees are determined based on the full cost expended for the review, the professional staff hours expend for the review of the application up to the effective date of the final rule will be determined at the professional rates in effect at the time the serv-ce was provided. For appleations currently on file for which review costs have reached an apphcable fee ceiling established by the Jun 1964, and July 2,1990, rules, but are still pending completion of the review, the cost incurred arter any applicabie ceiling was reached throu will not be billed to the appicant. Any professional staN-hours expended above those ceilings on or after January Jenuary 29,1989, will be assessed at the applicable rates estabbshed by 617020, as appropr, ate, except for topical reports whose costs exceed $50,000. Costs which exceed $50,000 for each topical report, amendment, revissort or supplement to a topcal report completed or under review from aanuary through August 8,1991, will not be billed to the applicant. Any professional hours expended on or after August 9,1991, will be as-30,1989, sessed at the applicab6e rate established in 6170.20. The minimum total review cost is twice the hourty rate shown in 617020.

"Ucensees paying fees under Categories 1 A,1B, and 1E are not subject to fets under Categories 1C and 1D for sealed sources auth in those instances in which an applcaten deals only with the sealed sources authorized t ~,3 Icense. Applicants for in the same license exce th byproduct matenal and special nuclear material in sealed sources for use in gauging Wes will pay the appro-new licenses that cover pnate appication fee for fee Category 1C oNy.

• Fees will not be assessed for requests / reports submitted to the NRC:

(a) In response to a Generic Letter or NRC Bulletin that does not result in an amendment to the icense, does not result in the review ternate method or reanalysis to meet the requirements of the Genenc Letter, or does not involve an unreviewed safety fasue; (b) in response to an NRC request (at the Associate Office Director level or above) to resolve an ident6ed safety, safeguards, or environ-men el issue, or to assist NRC in developing a rule, regulatory guide, policy statement, generic letter, or bulletin; or

~

(c) As a means of exchanging information between industry organizations and the NRC for the purpose of supporting generic regulatory im-provements or efforts.

=.

Fadertl Register / Vol. 62, No.103 / Thursday, May 29, 1997 / Rules and Regulations 29213 PART 171-ANNUA;. FEES FOR annual fee upward by 8.4 percent. In the $ 171.16 Annual Fees: Materials REACTOR OPERATING UCENSES FY 1995 final rule, the NRC stated it Licensees, Holders of Certificates of AND FUEL CYCLE LICENSES AND would stabilize annual fees by adjusting Compliance, Holders of Sealed source and MATERIALS LICENSES, INCLUDING the annual fees only by the percentage Device Registrations, Holders of Quality HOLDERS OF CERTIFICATES OF change (plus or minus)in NRC's total Assurance Program Approvals and COMPLIANCE, REGISTRATIONS, AND budget authority and adjustments based h*C*ernment Agencies Licensed by the QUALITY ASSURANCE PROGRAM on chges in 10 CFR part 170 fees as APPROVALS AND GOVERNMENT well as on the number of licensees AGENCIES LICENSED BY THE NRC paying the fees. The first adjustment to (c) A licensee who is required to pay the annual fees using this method an annual fee under this section may

6. The authority citation for part 171 occurred in FY 1996 when all annual qualify as a small entity. If a licensee continues to read as follows:

fees were decreased 6.5 percent below

[ualifies as a,small entity and provides e Commission with the proper Authority: Sec. 7601, Pub. L 99-272,100 the FY 1995 annual fees. The FY 1995 Stat.146, as amended by sec. 5601, Pub. L annual fee was comprised of a base certification, the licensee may pay 100.-203,101 Stat.1330, as amended by Sec.

annual fee and an additional charge reduced annual fees for FY 1997 as en'ded y se ~.N.lO 0 [ 104 (surcharge). The activities comprising f H ws:

61 s

Stat.1388, (42 U.S.C. 2213); sec. 301, Pub. L the base FY 1995 annual fee are as92-314, as Stat. 222 (42 U.S.C. 2201(w)); sec. follows:

annual fee 201, as Stat.1242, as amended (42 U.S.C.

(1) Power reactor safety and per li-5841); sec. 2903, Pub. L 102-486,106 Stat.

safeguards regulation except licensing censed 3125,(42 U.S.C. 2214 note).

and inspection activities recovered category

7. Section 171.13 is revised to read as under 10 CFR part 17a of this chapter.

foll (2) Research activities directly related 3 mall businesses not engaged.in to the regulation of power reactors.

mandamnno and sman e

$ 171.13 Notice.

(3) Generic activities required largely ann a reckth t n ( r ss The annual fees applicable to an for NRC to regulate power reactors, e.g.,

$350,000 to $5 million -

S t,800 operating reactor and to a materials updating part 50 of this chapter, or Less than $350,000 -

400 licensee, including a Government OP(erating the Incident Res,ponse Center.

Manufacturing entities that have c) The activities compnsing the FY an average of 500 employees agency licensed by the NRC, subject to this part and calculated in accordar ce 1995 surcharge are as follows:

or less:

with $5171.15 and 171.16, will be (1) Activities not attributable to an 35 to 500 employees -

1,800 published as a notice in the Federal existing NRC licensee or class of Less than 35 employees.

400 Register as soon as is practicable but no licensees; e.g., reviews submitted by Small govemmental junsdictions later than the third quarter of FY 1997 other gownment agencies (e.g., DOE) ngy(b rted and 1998. The annual fees will become that do not result in a license or are not due and payable to the NRC in associated with a license; international lation$) 00 to 50,000 20 1,800 3-accordance with $ 171.19 except as 000 Perative safety program and Less than 20.000 -

400 provided in $ 171.17. Quanerl international safeguards activities; low.

Educational institutions that are payments of the annual fees o[S100,000 level waste disposal generic activities; not State or publicty sup-or more will continue during the fiscal uranium enrichment geaenc activities; ported, and have 500 employ-2

)

year and be based on the applicable

""g2) Activities not currently assessed d

d employees 5 to 1,800

• • ""8!

SS fb under to CFR part 170 licensing and Less tnan 35 employees..

400 1

s 36 h*hss on po icy e.g?,re concerning the revised amount of the and (1) A licensee qualifies as a small fees for the fiscal year is published by the NRC. If the NRC is unable to publish inspections conducted of nonprofit entity if it meets the size standards 4

educational institutions, and costs that established by the NRC (See 10 CFR a final fee rule that becomes effective would not be collected from small 2.810).

during the current fiscal year, then fees will be assessed based on the rates in entities based on Commission policy in he accordance with the Regulatory (4) For FY 1997, the maximum annual

8. b $ t phs fa) (b),(c)

Flexibility Act.

fee a small entity is required to pay is 5p a introductory text, (c)(1), (c)(2), (e), and 31,800 for each category applicable to (f) are revised to read as follows:

(e) The FY 1997 annual fees for the license (s).

licensees authcrized to operate a (d) The FY 1997 annual fees for

$ 171.15 Annual Fees: Reactor operating nonpower (test and research) reactor materials licensees and holders of Hoenses.

licensed under Par. 30 of this chapter, certificates, registrations or approvals (a) Each person licensed to operate a except for those reactors exempted from subject to fees under this section are power, test, or research reactor shall pay fees under $ 171.11(a), are as follows:

shown below. The FY 1997 annual fees, the annual fee for each unit for which Research reactor

$57,300 which must be collected by September the person holds an operating license at Test reactor -

$57,300 30,1997, have been determined by any time during the Federal FY in (f) For FY 1997 and FY 1998, annual adjusting upward the FY 1996 annual which the fee is due, except for those fees for operating reactors will be fees by 8.4 percent. In the FY 1995 final test and research reactors exempted in calculated and assessed in accordance rule, the NRC stated it would stabilize

$ 171.11 (a)(1) and (a)(2)-

with 9171.13.

annual fees by adjusting the annual fees (b) The FY 1997 uniform annual fee

9. In $ 171,16, the introductory text of only by the percentage change (plus or for each operating power reactor which paragraph (c) and paragraphs (c)(1),

minus) in NRC's total budget authority must be collected by September 30 (c)(4), (d), and (e) are revised to read as and adjustments based on changes in 10 1997,is 52.978,000. This fee has been follows:

CFR part 170 fees as well as on the determined by adjustlug the FY 1996 number of licensees paying the fees. The

29214 Federtl Rtgistir / Vol. 62, No.103 / Thursday, May 29, 1997 / Rules and Regulations first adjustm mt to the annual fees using The FY 1995 annual fee was comprised shown for convenience in paragraph (e) this method occurred in FY 1996 when of a base annual fee and an additional of this section.

all annual fees were decreased 0.5 charge (surcharge). The activities percent below the FY 1995 annual fees.

comprising the FY 1995 surcharge are SCHEDULE OF MATERIALS ANNUAL FEES AND FEES FOR GOVERNMENT AGENCIES LICENSED BY NRC

[See footnotes at end of tabiel Category of matenals licenses

[,","$

a

1. Special nuclear materiat A. (1) Ucenses for possession ami use of U-235 or plutonium for fuel fabreation activities:

(a) Drategic Special Nuclear Matenal.

Babcock 8, Wilcox SNM-42.

S2,606.000 Nuclear Fuel Servces SNM-124...

2,606,000 (b) Low Enriched Uranium in Dispersible Form Used for Fabricaton of Power Reactor Fuel:

Combustion Engineenng (Hematte) SNM-33 1,279,000 General Electric Company SNM-1097 1,279,000 Siemens Nuclear Power SNM-1227 1,279,000 Westinghouse Electric Company SNM-1107 1,279,000 (2) All other special nuclear matenals licenses not included in Category 1.A.(1) which are licensed for fuel cycle activities:

i (a) Facilites with limited operatons: B&W Fuel Company SNM-1168 :

509.000 (b) All Othea,: General Electnc SNM-960 346,000 B. Ucenses for receipt and storage of spent fuel at an independent spent fuel storage installation (ISFSI) 283,000 C. Licenses for possession and use of special nuclear matenal in sea:.d sources contained in devices used in industnal rneasunng systems, including x-ray fluorescence analyzers 1,300 D. All other special nuclear rnaterial licenses, except licenses authonzing special nuclear material in unsealed form in com-bination that would constitute a cnbcal quantity, as defined in $ 150.11 of tais chapter, for which the icensee shall pay the same fees as those for Category 1.A.(2) 3,100 d

E. Ucenses or certficates for the operation of a uranium enrichment facility 2,606.000

2. Source material:

A (1) Licenses for possession and use of source material for refining uranium rnill concentrates to uranium hexafluonde.

648,000 (2) Licenses for possession and use of source matenal in recovery operations such as milling, irksitu leaching, heap. leach-ing, ore buying stations, non exchange facilities and in processing of ores containing source material for extraction of met-als other than uranium or thorium, including licenses authorizing the posser.sion of byproduct waste material (tailings) from source rnatenal recovery operations, as well as licenses authonzing the possession and niaintenance of a facility in a standby rnode:

61,800 Class i facilites

• 34,900 Class il facilities

• Otner facilities * -

22,300 (3) Licenses that authorize the receipt of byproduct material, as defined in Section 11e.(2) of tne Atomic Energy Act, from other persons for possession and disposal, except those Icenses subject to the fees in Category 2.A.(2) or Category 2.A.(4).

45,300 (4) Licenses that authorize the receipt of 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 li-8,000 consee's milling operations, except those Icenses subject to the fees in Category 2.A.(2) 490 B. Licenses wnch authorize only the possession, use arWor installabon of source matenal for shielding 8,700 C. All other source matenallicenses

3. Byproduct matenal:

A. Licenses of broad scope for possession and use of byproduct materic! issued pursuant to Parts 30 and 33 of this chap-16,600 ter for processing or manufacturing of items containing byproduct matenal for commercial distribution..

B. Other Icenses for possession and use of byproduct material issued pursuant to Part 30 of this chapter for processing or 5,600 manufacturing of items containing byproduct material for commercial distribution C. Lcenses issued pursuant to $$32.72,32.73, and/or 32.74 of this chapter authorizing the processing of manufacturing and distribution or redistribution of radiopharmaceuticals, generators, reagent kits and/or sources and devces containing bvoroduct material. This category also includes the possession and use of source matenal for shielding authon2ed pursu-a to Part 40 of this chapter when included on the sLme license. This category does not apply to Icenses issued to non-profit educational institutions whose processing or manufacturing is exempt under 10 CFR 171.11(a)(1). These licenses ars covered by fee Category 3D 11,200 D. Licenses and approvals issued pursuant to $$32.72,32.73, and/or 32.74 of this chapter authorizing dstribution or redis-tribution of radiopharmaceuticals, generators, reagent kits and/or sources or devices not involving processing of byprod-uct material. This category includes Icenses issued pursuant to $$ 32.72,32.73 and 32.74 to nonprofit educational insti-tutions whose processing or manufactunng is exempt under 10 CFR 171.11(a)(1). This category also includes the pos-session and use of source meterial for shieldng authorized pursuant to Part 40 of this chapter when included on the 4,400 same license E, Licenses for possession and use of byproduct matenal in sealed sources for irradiatun of matenals in whch the source 3200 is not removed from its shield (self-shielded units)......

F. Licenses for pcssession and use of less than 10,000 curies of byproc.uct matenal in sealed sources for irrad ation of rna-teriats in which the source is exposed for irradiation purposes. This category also includes underwater irradiators for irra-diation of materials in which the source is not exposed for irradiation purposes.

3,800 G. Licenses for possession and use of 10,000 cunes or more of byproduct material in sealed sources for irradiation of ma-tenals in which the source is exposed for irradiation purposes. This category also includes underwater irradiators for irra-19,700 diation of materials in which tne source is not exposed for irradiation purposes.

Fed:rd Register / Vol. 62, No.103 / Thursday, May 29, 1997 / Rules and Reguhtions 29215 SCHEDULE OF MATERIALS ANNUAL FEES AND FEE j

[See footnotes at end of table]

-Continued Category of matenals licenses A g H. Licenses issued pursuant to Suh=1 A of Part 32 of this chapter to distnbute items g

require device review to persons exempt from the hcensing requirements of Part 30 of containing byproduct rnatenal that censes authonzing redistribubon of items that have been authorized for distribubon t er except specdic li-requirements of Part 30 of this chapter -

1. Licenses issued pursuant to Subpart A of Part 32 of this chapter to estribute item t

m the licensing quantit>es of byproduct matenal that do not require device evaluation to persons exempt from 5,000 of Part 30 of tNs chapter except for specific bcenses authonzing redistribution ofite e icensing requirements,

tribution to persons exem,pt from the beensing requirements of Part 30 of tNs chapter J. Licenses issued pursuant to Subpart B of Part 32 of this chapter to estribute items conta u orized for as-quire sealed source and/or device review to persons generally heensed under Part 31 of th 8,903 nng byproduct material that re-censes authorizing redistribution of items that have been authorized for distribution Part 31 of this chapter -

apter except specific li-K. Licenses issued pursuant to Subpart B of Part 31 of this chapter to distnbute items co t y licensed under quantities of byproduct rnaterial that do not require sealed source and/or device review 3,800 n a n ng byproduct rnatenal or under Part 31 of thts chapter, except specife hcenses authorizing redistribution of items tha distribution to persons generally licensed under Part 31 of this chapter rsons generally hcensed ave been authorized for L Licenses of broad scope for possession and use of byproduct materal issued pursuant t ter for 1 search and development that do not authorize commercial distribution.

o Parts 30 and 33 of tNs chap-_

3.300 M. Othc. licenses for possession and use of byproduct materialissued pursuant to Part 30 f development that do not authorize commercial estribubon -

o tNs chapter for research and 12,300 N. Licenses that authonze services for other heensees, except: (1) Licenses that autho i are subsect to the fees specified in fee Categories 4A,4B, and 4C -mg services a 5,500 O. Licenses for possession and use of byproduct material issue r ze waste esposal services 6,100 to Part 40 of this chapter when authorized on the same license -

ing authorized pursuant

4. Waste disposal and processing:P, All other specife byproduct material licenses, except tho 14,100 A. Licenses specifically authonzing the receipt of waste byproduct ma 1,700 thorl2ing contingency storege of low-level radioactive waste at the site of nucleaf posal by the hcensee; o of packages to another person authorized to receive or espose,of waste B. Licenses specifically authorizing the receipt of waste byproduct material source rnateri l esklues, and transfer transfer to another person authonzed to recerve or dispose of the materialfr a, or special nuclear material _

a 102,000 censee will dSpose of the material by C. Licenses specifcally authonzing the receipt of prepackaged waste byproduct material receive or dispose of the material. clear matenal from other persons. The licensee w 14,500

, source material, or special nu-

5. Well logging:

erson authonted to A. Licenses for possession and use of byproduct matenal, source matenal and/or special n 7,700 well surveys, and tracer studies other than field flooding tracer studies uclear material for well logging, B. Licenses for

6. Nuclear launones: possession and use of byproduct matenal for field flooding tracer studes -

8200 A. Licenses for commercial collection and laundry of ttems contaminated with byprod13200 cial nuclear matena! _

7. Medical Icenses:

uct rnatorial, source material, or spe-A. Licenses issued pursuant to Parts 30,35,40, and 70 of this chaoter for human 14,700 session and use of source rnaterial for shielding when authorized on th ry also includes the pos-B. Lcenses of broad scope issued to medcal institubons or two or 10,300 o Parts 30,33,35,40,and byproduct materia!, source material, or special nuclear rnatorial in sealed sources cont i a enal except beenses for category also includes the possession and use of source material for shielding when authoriz a ned in teletherapy devices. This C. Other Icenses issued pursuant to Parts 30,35,40, and 70 of this chapter for huma ame Icensea.

23,500 rial in sealed sources contained in teletherapy devices. This categor y ro uct matenal, source ecial nuclear mate-

8. C#vil defense:matenal for shieldng when authorized on the same license

• ession and use of source A. Licenses for possession and use of byproduct material, source material or special n 4,700 trvtbes

g. Device, product, or sealed source safety evaluaton:

uclear rnatorial for civil defense ac-A. Registrations issued for the safety evaluaton of devices or products containing b 1.800 special nuclear (nateral, except reactor fuel devices, for commercial estnbution. yproduct rnaterial, source materia B. Regrstrations issued for the safety evaluation of devices or 7,200 except reactor fuel devices -_

material, source matenal, or C. Registrations issued for the safety evaluation of sealed sources containing byproduct mat.

3,700 cial nuclear material, except reactor fuel, for commercial dstribution -

ngle applcant, enal, source rnatenal, or spe-1,600

29216 Fed:rd Registir / Vol, 62, No.103 / Thursday, May 29, 1997 / Rules and Regulations SCHEDiL2 OF MATERIALS ANNUAL FEES AND FEES FOR GOVERNMENT AGENCIES LICENSED BY NRC-Continued (See footnotes at end of table)

Category of rnatenals hcenses

,f,N3 D. Registrations issued for the safety evaluaton of sealed sources containing byproduct matenal, source matenal, or spe cial nuclear matenal, manufactured in accordance with the unique specifications of, and for use by, a single applicant, except reactor fuel 780

10. Transportat on of radioactive matenat A. Certificates of Comphance or other package approvals issued for design of casks, packages, and shipping containers.

Spent Fuel, High-Level Waste, and plutonium air packages _

eN/A Other Casks

'N/A B. Approvals issuod of 10 CFR Part 71 quahty assurance programs.

Users and Fabncators 78,900 Users 1,000 11, Standardized spent fuel facihties.

sgA

12. Special Profects.

• N/A

13. A. Spent fuel storage cask Certficate of Compliance eN/A B. General beenses for storage of spent fuel under 10 CFR 72.210 8 283,000

14. Byproduct, source, or special nuclear material licenses and other approvals authorizing decommissioning, decontaminaton, reclamation, or site restoration actwitnes pursuant to 10 CFR Parts 30,40,70, and 72 7N/A 15, Irnport and Export hcenses.

• N/A aN/A

16. Reciprocity

17. Master materials hcenses of broad scope issued to Govemment agancies 421,000

18. Department of Energy:

A. Certifcates of Compliance -

'01,168,000 B. Uranium Mill Tailing Radiation Control Act (UMTRCA) activities.

1,M 5,000

$ Annual fees will be assessed based on whether a heensee held a valid license with the NRC authorizing possession and use of radioactive matenal dunng the fiscal year. However, the annual fee is waived for tnose materials licenses and holders of certicates, registrations, and ap-provals who either filed for terminaton of their hcenses or approvals or filed for possession only/ storage beenses prior to October 1,1996, and permanently ceased Icensed activities entirely by September 30,1996. Annual fees for Icensees who filed for termination of a license, down.

grade of a icense, or for a POL dunna the fiscal year and for new licenses issued dunng the fiscal year will be prorated in accordance with the provisions of $171,17. If a person holds more than one license, certifcate, registration, or approval, the annual fee (s) will be assessed for each bcense, certificate, regrstration, or approval held by that person. For heenses that authorize more than one achvity on a single icense (e.g.,

human use and irradiator actulties), annual fees will be assessed for each category appicable to the Icense. Licensees paying annual fees under Ca'egory 1.A.(1). are not subject to the annual fees of Category 1.C and 1.D for sealed sources authorized in the lcense.

a Payment of the presenbed annual fee does not automatically renew the hcense, certficate, registration, or approval for which the fee is paid.

Renewal appications must be filed in accordance with the requirements of parts 30,40,70, 71, or 72 of this chapter.

8 For FY 1998, fees for these matenals Icenses will be calculated and assessed in accordance with $ 171.13 and will be published in the FED-ERAL REGISTER for notice and comment.

• A Class I heense includes mill Icenses issued for the extraction of uranium from uranium ore. A Class 11 Icense includes solution mining li-Conses (irwsitu and heap leach) issued for the extraction of uranium from uranium ores including research and development Icenses. An "other" heense includes (censes for extraction of metals, heavy metais, and rare earths.

e Two licenses have been issued by NRC for land disposal of special nuclear material. Once NRC issues a LLW disposal kcense for byproduct and source cnaterial, the Commission will consider estabhshing an annual fee for this type of icense.

' Standardized spent fuel facilities,10 CFR parts 71 and 72 Certficates of Compliance, and special reviews, such as topical reports, are not assessed an annual fee because the genenc costs of regulating these activities are primanly attnbutable to the users of the designs, certificates, and topcal reports.

7 Licensees in this category are not assessed an annual fee because they are charged an annual fee in esther categories while they are li-consed to operate.

e No annua: fee is charged because it is not practcal to administer due to the relatively short life or temporary nature of the hcense.

' Separate annual fees will not be assessed for pacemaker licenses issued to medical insttutions who also hold nudear medcane lcenses under Categones TB or 70.

'0This includes Certifcates of Compliance issued to DOE that are not under the Nuclear Waste Fund.

(e) The activities comprising the FY decommissioning and reclamation and the basis of the number of days 1995 surcharge are as follows:

costs that would not be collected from remaining in the fiscal year. Thereafter, (1) LLW disposal generic activities; small entities based on Commission the full fee is due and payable each (2) Activities not attributable to an policy in accordance with the subsequent fiscal year Licensees who existing NRC licensee or classes of Regulatory Flexibility Act.

have requested amendment to withdraw licensees; e g., international cooperative operating authority permanently durin8 safety program and international

10. In $ 171,17. introductory text, the fiscal year will be prorated based on safeguards activities; support for the paragraphs (a), (b) introductory text, and the number of days during the fiscal Agreement State program; site (b)(1) are revised to read as follows:

year the license was in effect before decommissioning management plan docketing of the certifications for

$17u7 Proration, permanent cessation of operations and (SDMP) activnies; and (3) Activities not currently assessed Annual fees will be prorated for NRC Permanent removal of fuel from the under 10 CFR Part 170 licensing and licensees as follows:

reactor vesse,1 or when a final legally inspection fees based on existing law or (a) Reactors. The annual fee for effective order to permanently cew Commission policy, e.g., reviews and reactors (power and nonpower) that are Operations has come into effect.

inspections conducted of nonprofit subject to fees under this part and are (b) Materials licenses (including fuel educational institutions and Federal granted a license to operate on or after cycle licenses). (1) New licenses and agencies; activities related to October 1 of a Fiscal Year is prorated on terminations. The annual fee for a

Federcl Register / Vcl. 62, No.103 / Thursday, May 29, 1997 / Rules and Regulations 29217 materials license that is subject to fees on October 1, January 1, April 1, and determining which NRC licensees qualify as under this part and issued on or after July 1 of each fiscal year.

small entities (50 FR 50241; December 9.

October 1 of the FY is prorated on the (d) For FYs 1997 and 1998, annual 1985). These size standards were clarified basis of when the NRC issues the new fees of less than $100,000 must be paid November 6.1991 (56 FR 56672). On April license. New licenses issued during the as billed by the N'RC. As established in

' 4 jtra on (SB i sud a fm' j'j le 7

'l Adr i period October 1 through March 31 of FY 1996, materials license annual fees changing its size standards. The SBA the FY will be assessed one-half the that are less than $100,000 are billed on adjusted its receipts. based size standards annual fee for that FY. New licenses the anniversary of the license. The levels to mitigate the effects of inflation from issued on or after April 1 of the FY will materials licensees that are billed on the 1984 to 1994. On November 30.1994 (59 FR not be assessed an annual fee for that anniversary date of the license are those 61293). the NRC published a proposed rule FY. Thereafter, the f'ill fee is due and covered by fee categories 1.C. and 1.D.;

to amend its sin standards. After evaluating payable each subsequent FY. The 2.A.(2) through 2.C.; 3.A. through 3.P.;

thewo comments received, a final rule that "l

he N C i*

d annual fee will be prorated for licenses 4.B. through 9.D.; and 10.B. For annual

",,",,"d d and approv d h as

,v 9

for which a termination request or a fee purposes, the anniversary date of the the SBA on March 24,1995. The NRC request for a POL has been received on license is considered to be the first day published the final rule revising its size or after October 1 of a FY on the basis of the month in which the original standards on April 11.1995 (60 FR 18344).

of when the application for termination license was issued by the NRC.

The revised standards became effective May or POL is received by the NRC provided Beginning June 11,1996, the effective 11.1995. The revised standards adjusted the the licensee permanemly ceased date of the FY 1996 final rule, licensees NRC receipts-based size standards from $3.5 licensed activities during the specified that are billed on the license million to 55 million to accommodate riod. Licenses for which a plications anniversary date will be assessed the jat on an o conf othe r

or termination or POL are fi ed during annual fee in effect on the anniversary

$1 million sin standard for private practice the period October 1 through March 31 date of the license. Materials bcenses physicians and applied a receipts based size of the FY are assessed one-half the subject to the annual fee that are standard of 55 million to this class of annual fee for the applicable terminated during the fiscal year but licensees. This mirrored the revised SBA category (fes) for that FY. Licenses for prior to the anniversary month of the standard of $5 million for medical which applications for termination or license will be billed upon termination Practitioners. The NRC also established a size POL are filed on or after April 1 of the for the fee in effect at the time of the standard of 500 or fewer employees for FY are assessed the full annuti fee for billing. New materials licenses subject business concerns that are manufacturing that FY. Materials licenses transferred to to the annual fee will be billed in the nudes. This standard is the most commonly

",*'d,r dard apfl

^'

l' a new Agreement State during the FY month the license is issued or in the t

s of are considered terminated by the NRC, next available monthly billing for the manufacturing industries that hold an NRC for annual fee purposes, on the date that fee in effect on the anniversary date of license.

the Agreement with the State becomes the license. Thereafter, annual fees for The NRC used the revised standards in the effective; therefore, the same proration new licenses will be assessed in the final FY 1995 and FY 1996 fee rules and is provisions will apply as if the licenses anniversary month of the license.

continuing their use in this FY 1997 final were termhteted.

'fefl 8

Dated a Rockville, Maryland, this 12th day 1

c) s Y'

changes in the NRC's size standards adopted

11. In 5171.19, paragraphs (b), (c),

For the Nuclear Regulatory Commission.

In FY 1995. A new maximum small entity fee and (d) are mvised to read as follows:

Jesse L Funches, for manufacturing industries with 35 to 500 ChiefFinancial Officer.

employees was established at $1.800 and a Note: The followin ndix will not lower-tier sinall entity fee of $400 was opear in the Code ofF ral Regu!ations.

established for those manufacturing N For FYs 1997 and FY 1998, the industries with less than 35 employees. The Commission will ad}ust the fourth

^PPendix A to This Final Rule-lower. tier receipts-based threshold of quarterly bill for operating power Regulatory Flexibility Analysis for the 5250,000 was raised to $350.000 to reflect reactors and certain materials licensees Amendments to 10 CFR Part 170 ePProximately the same percentage to recover the full amount of the revised (License Fees) and to CFR Part 171 ad s ent as at ma e b SBA e g

d annual fee. If the amounts collected in (Annual Fees) from $3.5 million to $5 million. The NRC the first three quarters exceed the

1. Background

believes that continuing these actions for FY amount of the revised annual fee, the The Regulatory Flexibility Act of 1980, as 1997 will reduce the impact of annual fees overpayment will be refunded. All other amended. (5 U.S.C. 601 et seq.) establishes as on small businesses. The NRC size standards licensees, or holders of a certificate, a principle of regulatory practice that are codified at to CFR 2.810.

registration, or approval of a QA agencies endeavor to fit regulatory and Public Law 101-508, the Omnibus Budget program will be sent a bill for the full informational requirements, consistent with Reconciliation Act of 1990 (OBRA-90),

amount of the annual fee on the applicable statutes, to a scale commensurate requires that the NRC recover approximately anniversary date of the license. Payment with the businesses, organizations, and 100 percent of its budget authority, less is due on the invoice date and interest government jurisdictions to which they appmpriations from the Nuclear Waste Fund, apply. To achieve this principle, the Act for Fiscal Years (FY) 1991 through 1995 by accrues from the date of the invoice.

requires that agencies consider the impact of assessing license and annual fees. OBRA-90 However, interest will be waived if their actions on small entities. If the agency was amended in 1993 to extend the 100 payment is received within 30 days cannot cer*1fy that a rule will not percent recovery requirement for NRC from the invoice date.

significantly impact a substantial number of through 1998. For FY 199t, the amount for (c) For FYs 1997 :nd 1998, annual small entities, then a regulatory flexibility collection was approximately $445.3 million:

analysis is required to eumine the impacts for FY 1992, approximately $492.5 million:

fees in the amount of $100.000 or.more on small entities and the alternatives to for FY 1993 about $518.9 million: for FY and described in the Federal Register minimize these impacts.

1994 about $513 million: for FY 1995 about notice pursuant to $ 171.13 must be paid To assist in considering these impacts

$503.6 million: for FY 1996 about 5462.3 in quarterly installments of 25 percent under the Regulatory Flexibility Act (RFA),

million and the amount to be collected in FY as billed by the NRC. The quarters begin first the NRC adopted size standards for 1997 is approximately $462.3 million.

29218 Federil Register / Vol. 62, No.103 / Thursday, May 29, 1997 / Rules and Regulations To comply with OBRA-90, the art primarily those licansed under the NRC's 'icenses er registratic os could be combined.

Commission amended its fee regulat;ons in materials program. Therefore, this analysis indications are that other termination to CFR Parts 170 and 171 in FY 1991 (56 FR will focus on the economic impact of the requests were due to the economic impact of 31472; July 10,1991) in FY 1992,(57 FR annual fees on materials licensees.

the fees 32691; July 23,1992)in FY 1993 (58 FR The Commission's fee regulations result in The NRC continues to receive written and 38666; July 20,1993) in.FY 1994 (59 FR substantial fees being charged to those oral comments from small materials 36895; July 20,1994)in FY 1995 (60 FR individuals, organizations, and companies licensees. These commenters previously 32218; June 20,1995) and in FY 1996 (61 FR that are licensed under the NRC materials indicated that the 53.5 million threshold for i

16203; April 12,1996) based on a careful program. Of these materials licensees, about small entities was not representstive of small svaluation of over 1,000 comments. These 20 percent (approximately 1,400 licensees) businesses with gross receipts in the final rules established the methodology used have requested small entity certification in thousands of dollars. These commenters by NRC in identifying and determin!ng the the past. In FY 1993, the NRC conducted a believe that the $1,800 maximum annual fee f.es assessed and collected in FYs 1991-survey of its materials licensees. The results represents a relatively high percentage of 1996.

of this survey indicated that about 25 percent gross annual receipts for these " Mom and The NRC indicated in the FY 1995 final of these licensees could qualify as small Pop" type businesses. Therefore, even the rule that it would attempt to stabilize annual entities under the current NRC size reduced annual fee could have a significant fees as follows. Beginning in FY 19%, it standards.

impact c n the ability of these types of J

would adjust the annual fees only by the The commenters on the FY 1991-1994 businesses to continue to operate.

percentage change (plus or minus)in NRC's proposed fee rules indicated the following To alleviate the continuing significant l

total budget authority unless there was a results if the proposed annual fees were not impact of the annual fees on a substantial substantial change in the total NRC budget modified:

number of small entities, the NRC considered authority or the magnitude of the budget

-Large firms would gain an utJair alternatives, in accordance with the RFA.

These alternatives were evaluated in the FY Ellocated to a specific class of licensees,in competitive advantage over small entities.

which case the annual fee base would be One commen~ neted that a small well.

1991 rule (56 FR 31472; July 10,1991) in the recalculated (60 FR 31' 25; June 20,1995).

logging compo, (.

' Mon and Pop" type FY 1992 rule (57 FR 32691; July 23,1992),

in the FY 1993 rule (58 FR 38666; July 20, The NRC also indicated that the percentage of operation) would find it difficult to change would be adjusted based on changes absorb the annual fee, while a large 1993);in the FY 1994 rule (59 FR 36895, July in the 10 CFR Part 170 fees and other corporation would fird it easier Another 20,1994); in the FY 1995 rule (60 FR 32218; adjustments as well as an adjustment for the commenter noted that the fee increase lune 20,1995) and in the FY 1996 rule (61 nurnber of licensees paying the fees. As a could be more easily absorbed by a high.

FR 16203; April 12,1996). The alternatives result, the NRC is establishing the FY 1997 volume nuclear medicine clinic. A gauge considered by the NRC can be summarized as follows.

annual fees for all licensees at 8.4 percent licensee noted tha', in the very competitive above the FY 1996 annual fees. Because the soils testing market, the annual fees wouid

-Base fees on some measure of the amount total amount to be recovered through fees in put it at an extreme disadvantage with its of radioactivity possessed by the licensee FY 1997 is the same as the amount estimated much larger cor petitors because the (e.g., number of sources).

for recovery in FY 1996, the NRC believes proposed fees would be the same for a two- ~ Base fees on the frequency of use of the that establishing new baseline fees for FY person licensee as for a large firm with licensed radioactive material (e.g., volume 1997 is not warranted.

thousands of employees.

of patients).

Public Law 104-121, the Contract with

-Some firms would be forced to cancel their ~ Base fees on the NRC size standards for America Advancement Act of 1996 was licenses. One commenter, with receipts of small entities.

signed into law on March 29,1996. Title HI less than 5500,000 per year, stated that the The NRC has reexamined the FY 1991-of the law is entitled the Small Business proposed rule woufd, in effect, force it to 1996 evaluations of these alternatives. Based Regulatory Enforcement Fairness Act of 1996 relinquish its soil density gauge and on that reexamination, the NRC continues to (SBREFA). The SBREFA has two purposes.

license, thereby reducing its ability to do believe that establishment of a maximum fee The first is to reduce regulatory burdens its work effectively. Another commenter for small entities is the most appropriate imposed by Federal agencies on small noted ths.t the rule would force the option to reduce the impact on small entities, businesses, nonprofit organizations and company and many other small businesses The NRC established, and will continue for gnvernmental jurisdictions. The second is to to get rid of the materials license FY 1997, a maximum annual fee for small provide the Congress with the opportunity to altogether. Commenters stated that the entities. The RFA and its implementing review agency rules before they go into effect.

Proposed rule would result in about to guidance do not provide specific guidelines Under this legislation, the NRC fee rule, Percent of the well. logging licensees on what constitutes a significant economic published annually, is considered a " major" terminating their licenses immediately and impact on a small entity. Therefore, the NRC rule and therefore must be reviewed by approximately 25 pcrcent terminating their has no benchmark to assist it in determining licenses before the next annual assessment. the amount or the percent of gross receipts Congress and the Comptroller General before the rule becomes effective. Section 312 of the -Some companies would go out of business-that should be charged to a small entity. For Act pmvides that for each rule for which an One commenter noted that the proposal FY 1997, the NRC will rely on the analysis agency prepared a final regulatory flexibility would put it, and several other small previously completed that established a analysis, the agency snall prepare a guide to companies, out of business or, at the very maximum annual fee for a small entity and least, make it hard to survive.

the amount of costs that must be recovered assist small entities in complying with the

-Some companies would have budget from other NRC licensees as a result of rule. The NRC's guide is Attachment 1 to Problems. Many medical licensees establishing the maximum annual fees.

Appendix A of this final rule. A regulatory commented that,in these times of slashed The NRC continues to believe that the 10 flexibility analysis is prepared for the reimbursements, the proposed increase of CFR Part 170 license fees (application and proposed and fmal NRC fee rules as the existmg fees and the introduction of amendment), or any adjustments to these implemented by to CFR Part 170 and 171 of additional fees would significantly affect licensing fees during the past year, do not the Commission's regulations. Therefore,in compliance with the law, Attachment 1 to their budgets. Another noted that,in view have a significant impact on small entities. In this Regulatory Flexibility Analysis is the of the cuts by Medicare and other third issuing this final rule for FY 1997, the NRC Party carriers, the fees would produce a concludes that the to CFR Part 170 materials small entity compliance guide for FY 1997, hardship and some facilities would license fees do not have a significant impact H. Impact on Small Entities experience a great deal of difficulty in on a substantial number of small entities and The comments receiwd on the proposed meeting this addi4onal burden.

that the to CFR Part 171 maximum annual FY 1991-19% fee rule revisions and the Over the past five years, approx!mately small entity fee of $1,800 be 'ontinued.

small entity certifications received in 2.900 license, approval. and registration By maintaining the maxire um anr.ual fee response to the final FY 1991-1996 fee rules terminations have been requested. Although for small entities at $1.800, tae annual fee for indicate that NRC licensees qualifying as some of these terminations were requested many small entities is reduced while at the small entities under the NRC's size standards because the license was no longer needed or same cime materials licensees, including

Federal Register / Vol 62, No.103 / Thursday, May 29, 1997 / Rules and Regulations 29219 small entities, pey for most of the FY 1997 Introduction or one that is not state or publicly supported costs attributable to them. The costs not The Small Business Regulatory and has 500 or fewer employees i recovered from small entities are allocated to Enforcement Fairness Act of 1996 (SBREFA)

• ff " N 7,,*

other materials licensees and to operating requires all Federal agencies to re are a power reactors. Ilowever, the amount that written guide for each " major" rule as The NRC has established two tiers of small must be recovered from other licensees as a defined by the Act. The NRC's fee rule, entity fees for 1:censees that qualify under the result of maintaining the maximum annual published annually to comply with the NRC's size standards. Currently, these fees fee is not expected to increase significantly.

Omnibus Budget Reconciliation Act of 1990 are as follows:

Therefore, the NRC is continuing, for FY (OBRA-90) which requires the NRC to collect 1997, the maximum annual fee (base annual approximately 100 percent ofits budget Maximum fee plus surcharge) for certain small entit2es authority each year through fees, meets the annual fee at $1,800 for each fee category covered by thresholds for being considered " major" per li-i 4

each license issued to a small ent ty.

under the SBREFA. Therefore, in compliance censed While reducing the impact on many small with the law, this small entity compliance category j

entities, the Commiss.on agrees that the guide has been prepared for FY 1997. The maximum annual fee of SL800 for small purpose of this guide is to assist small Small business not engaged in entities, when added to the Part 170 license entities in complying with the NRC fee rule.

manufacturing and small not-fees, may continue to have a significant This guide is designed to aid NRC for profit organizations (gross impact on materials licensees with annual materials licensees. The information annual receipts):

gross receipts in the thousands of dollars.

orovided in this guide may be used by

$350,000 to $5 million _

$1,800 Therefore, as in FY 1992-1996, the NRC is licensees to determine whether they qualify 1.ess than $350 000 400 continuing the lower-tier small enti annual as a small entity under NRC rebced FY 1997 lations and h

fee of $400 for small entitles with re atively are therefore eligible to y re low gross annual receipts. The lower-tier annual fees assessed un r to CFR Part 171, an ayage d W em@es small entity fee of $400 also applies tcr Licensees who meet fs Ts Mze standards for r ss.

manufacturing concerns, and educational a small entity must complete NRC Form 526 35 to 500 em@ms.

1, M institutions not State or publicly supported, in order to qualify for the reduced annual fee.

Less than 35 employees.

400 with less than 35 employees. This lower-tier NRC Form 526 will accompany each annual Small govemmental jurisdictions small entity fee was first established in the fee invoice mailed to materials licensees. The (including publicly supported final rule published in the Federal Register completed form, along with the appropriate educational institutions) (Popu-3 on April 17,1992 (57 FR 13625) and now small entity fee and the payment copy of the lation):

includes manufacturing companies with a invoice, should be mailed to the U.S. Nuclear 20,000 to 50,000 1,800 m....

relatively small number of employees.

Regulatory Commission, License Fee and Less than 20.000 400 HL Summary Accounts Receivable Branch, P.O. Box Educational institutions that are 4

m H, s,

63 W 5 R not state or publicly supported, 1'

The NRC has de. termined the 10 CFR Part The NRC,in compliance with the and have 500 employees or 171 annual fees significantly impacts a Regulatory Flexibility Act of 1980 (RFA), has less-established separate annual fees for those 35 to 500 employees '

1,800 m i um fee smal n ties s i e a materials 1..ensees who meet the NRC s size Less than 35 employees '

400 balance between the requirement to collect standards for small s aities. These size 100 percent of the NRC budget and the,

standards, developeo in consultation with requirement to consider means of reducing the Small Business Administration, were To pay a reduced annual fee, a licensee i

the Impact of the fee on small entities. On the revised by the NRC and became effective on must use NRC Form 526, enclosed with the basis ofits regulatory flexibility analyses, the May 11,1995. The small entity size standards fee bill, to certify that it meets NRC e size NRC concludes that a maximum annual fee are found in 10 CFR 2.810 of the NRC's standards for a small entity. About 1,400 of $1800 for small entitles and a lower-tier regulations. To comply with the RFA, the licensees certify each year that they qualify small entity annual fee of $400 for small businesses and not for-profit organizations NRC has established two tiers of small entity as a small entity under the NRC size fees. These fees are found in to CFR standards and pay a reduced annual fee.

with gross annual receipts ofless than 171.16(c) of the fee regulations.

Approximately 900 licensees pay the small 5350,000, small governmental jurisdictions e

of st, whil 500 Iicenms pay with a population of less than 20,000, small NRCDefinition of Smoll Entity g,

g 9g manufacturing entities that have less than 35 The NRC has defined what is a small entity employees and educational institutions that for purposes of its regulations in consultation Instructions for Compleung NRC form 526 are not State or publicly supported and have with the Small Business Administration. The 1' File a separate NRC Form 526 for each less than 35 employees reduces the impact definition is codified in NRC's regulations at

• • • • • • d*

1 on small entities. At the same time, these 10 CFR 2.810. Under the NRC regulation, reduced annual fees are consistent with the small entities are:

2. Complete all items on NRC Form 526 as objectives of OBRA-90. Thus, the fees for

1. Small business---a for. profit concern that follows:

small entities maintain a balance between the provides a service or a concern not engaged

a. The license number and invoice nuanber objectives of OBRA-90 and the RFA.

in manufacturing with everage gross receipts must be entered exactly as they appear on the Therefore, the analysis and conclusions of 55 million or less over its last 3 completed annual fee invoice.

established in the FY 1991-199C rules fiscal years:

b. The Standard Industrial Classification remain valid for this final rule for FY 1997.

2. Manufacturing industry-a (SIC) Code should be entered if it is known.

In compliance with Public Law 104-121, a manufacturing concern with an average

c. The licensee's name and address must be small entity compliance guide has been number of 500 or fewer employees based entered as they appear on the invoice. Name prepared by NRC and is shown as upon employment during each pay period for and/or address changes for billing purposes to this Regulatory Flexibility the preceding 12 calendar months:

must be annotated on the invoice. Correcting Analysis.

3. Small organization-a not for-proBt the name and/or address on NRC Form 526 to Appendix A organization which is independently owned and operated and has annual gross receipts U.S. Nuclear Regulatory Commission Small of 55 million or less;

' An educationalinstitution referred to in the Entity Compliance Guide, Flacal Year 1997

4. Small governmental jurisdiction-a z st ards a ent whose p m fu p

db government of a city, county, town'special nationally recognized accrediting agency or township, village, school district or association, who is legally authonzed to provide a introduction district with a population of less than 50,000; program of organized instruction or study. who NRC Definition of Small Entity

5. Small educational institution-an provides an educational program for which it NRC Small Entity Fees educational institution supported by a awards academic degrees, and whose educational Instructions for Completing NRC Form 526 qualifying small governmental jurisdiction, programs are available to the public.

29220 Federal Register / Vol. 62. No.103 / Thursday, May 29, 1997 / Rules and Regulations or on the invoice does not constitute a (4)The owner of the entity, or an official order to qualify for reduced fees for that request to amend the license. Any request to empowered to act on behalf of the entity, fiscal year. Because a licensee's " size," or the amend a license is to be submitted to the must sign and date the small entity size standards, may change from year to year, respective licensing staffs in the NRC certification.

the invoice reflects the fuu fee and a new Regional or Headquarters Offices.

3. The NRC sends invoices to its licensees form must be completed and returned for the

d. Check the appropriate size standard for the full annual fee. even though some fee to be reduced to the small entity fee.

under which the licensee qualifies as a small entities qualify for reduced fees as a small LICENSEES WILL NOT BE ISSUED A NEW sntity. Check one box only. Note the entity. Licensees who qualify as a small 4

followl,

entity and file NRC Form 526, which certifies g,OICE FOR THE REDUCED AMOUNT.

4 (1) The size standards apply to the eligibility for small entity fees, may pay the The completed form, the rayment of the licensee, not the individual authorized users reduced fee, which for a full year is either appropnate small entity fee, and the 1;sted in the license 51,800 or 5400, for each fee category shown Payment Copy' of the invoice should be 3

(2) Gross annual receipts as used in the n the invoice depending on the size of the mailed to the U.S. Puclear Regulatory i

size standards includes all revenue in entity. Licensees granted a license during the Commission, License Fee and Accounts whatever form received or accrued from first six m nths of the fiscal year and Receivable Branch,P.O. Box 954514 St.

I UC*ee8

• r tenn 86 h rIra Louis, MO 63195-4514.

whatever sources, not solely receipts from licensed activities. There are limited Possession only license and permanently

5. Questions regarding fee bills may be cease licensed activities during the utst su, posed orally or in writing. Please call the exceptions as set forth in 13 CFR 121.104' Pa y0 rcent license fee staff at 301-415-7554 or write to Thesu are: the term receipts excludes net ft a u f for t

4 capital gains or losses, taxes collected for and invoice states the " Amount Billed Represents the U.S. Nuclear Regulatory Commission, remitted to a taxing authority if included in 50% Proration." This means the amount due Washington, DC 20551, Attention: Office of gross or total income, proceeds from the from a small entity is not the prorated the Chief Financial Officer.

transactions between a concern and its amount shown on the invoice but rather one.

6. False certification of small entity status domestic or foreign affiliates (if also excluded half of the maximum annual fu shown on could result in civil sanctions being imposed fmm gross or total income on a consolidated NRC Form 526 for the size standard under by the NRC pursuant to the Program Fraud return filed with the IRS), and amounts which the licensee qualifies resulting in a fee Civil Remedies Act 31 U.S.C. 3801 et. see a

collected for another by a tracel agent, real of either 5900 or 5200 for each fee category NRC's implementing regulations are found in e, tate agent. advertising agent, or conference billed instead of the full small entity annual to CFR part 13.

management service provider.

fee of $1,800 or 5400.

(3) A licensee who is a subsidiary of a large

4. A new small entity form is required to (FR Doc 97-13777 Filed 5-28-97; 8:45 aml 4

entity does not qualify as a small entity, be filed with the NRC each fiscal year in swNO CODE rsso.41-P q

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