ML20203G263

Forwards Index & Documents for Regulatory History of Final Rule Entitled, Informal Small Entity Guidance. Final Rule Was Published on 970513

ML20203G263
Person / Time
Issue date:	02/25/1998
From:	Meyer D NRC OFFICE OF ADMINISTRATION (ADM)
To:	NRC
Shared Package
ML20203G270	List: ML20203G263 ML20203G344 ML20203G372 ML20203G387 ML20203G408 ML20203G420 ML20203G447 ML20203G458
References
FRN-62FR26219, RULE-PR-2 AF68-2-001, AF68-2-1, NUDOCS 9803020262
Download: ML20203G263 (16)

Text

.. . _ _ _ _ . _ -

50 C849 p 1 UNITED STATES j

• Ije NUCLEAR REGULATORY COMMISSION WASHINGTON, D.C. 20616 4001

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February 25, 1998 MEMORANDUM TO: Nuclear Document System Information and Records Management Branch Office of the Chief information Officer FROM: David L. Meyer, Chief (d -A+

Rules and Directives Branch Division of Administrative Services Office of Administratic.n

SUBJECT:

REGULATORY HISTORY INDEX FOR FINAL RULE ENTITLED "lNFORMAL SMALL ENTITY GUIDANCE" (RIN 3150-AF68)

Attached are an index and the documents for a regulatory history of a final rule entitled, " Informal Small Entity Guidance." The final rule was published in the Federal Register on May 13,1997 (62 FR 26219). ,

( All documents contained in this regulatory history can be made available to the public document room. Each document is marked "PDR"in the upper right-hand corner of the front page.

If you have any questions, please call Betty Golden of my staff at 415-6863 (e mail BKG2).

(

L Attachments:

As stated g30g262980225 /j 2 62FR26219 PDR \

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Regulatory History for the Final Rule

" Informal Small Entity Guidance" RIN No. 3150-AF68 Date Subiect

1. Undated Memorandum to L. Joseph Callan, Executive Director for Operations, from Patricia G. Norry, Deputy Executive Director for Management Services,

Subject:

informal small entity guidance (3 pages)

2. Undated Letter to the Honorable James M. Talent, Chairman, United States House of Representatives, from Shirley Ann Jackson, NRC (2 pages)

3. Undated Federal Register notice: Informal Small Entity Guidance (final rule)

(8 pages)

4. Undated Federal Register notice: Informal Small Entity Guidance (final rule)

(OGC mark-up)(8 pages)

5. adated Compliance Guide (8 pages)

6. 04/08/97 Memorandum to Brenda J. Shelton, Office of Information Resources Management, from David L. Meyer, Office of Administration,

Subject:

request for comment and concurrence on a final rule entitled " informal small entity guidance" (1 page)

7. 04/08/97 Memorandum to Trip Rothschild, Office of the General Counsel, from David L. Meyer, Office of Administration,

Subject:

request for comment and concurrence on a final rule entitled " informal small entity guidance" (1 page)

8. 04/15/97 Memorandum to David L. Meyer, Office of Administration, from Brenda Jo Shelton, Office of Information Resources Management,

Subject:

request for comment and concurrence on a final rule entitled " informal small entity guidance" (1 page)

9. 04/18/97 Memorandum to David L. Meyer, Office of Administration, from Steven Crockett, OGC,

Subject:

your request for comment and concurrence on a final rule entitled " informal small entity guidance" (1 page)

10. 05/02/97 E mail from C. James Hulloway, to TW6(AJK2), MTL,

Subject:

small entity final rule-reply (1 page)

11. 05/05/97 Approved for Publication page signed by L. Joseph Ca!!an, Executive Director for Operations (1 page)

12. 05/08/97 Memorandum to Michael S. Callahan, Office of Congressional Affairs, from David L. Meyer, Office of Administration,

Subject:

transmittal of congressionalletters (1 page) 1

l 3150-AF68 2-Date Subiecj

13. 05/13/97 Letter to the Honorable Al Gore, President of the United States Senate, from Dennis K. Rathbun, Office of Congressional Affairs (1 page)

14. 05/13/97 Letter to the Honorable Newt Gingrich, Speaker of the United States House of Representatives, from Dennis K. Rathbun, Office of Congressional Affairs (1 page)

15. 05/13/97 Letter to Mr. Robert P. Murphy, General Accounting Office, from Dennis K. Rathbun, Office of Congressional Affairs (1 page)

16. 05/13/97 Letter to the Honorable James M. Inhofe, United States Senate, from Dennis K. Rathbun, Office of Congressional Affairs (1 page)

17. 05/13/97 Letter to the Honorable Dan Schaefer, United States House of Representatives, from Dennis K. Rathbun, Office of Congressional Affairs (1 page)

18. 05/14/97 Note to Melanie,

Subject:

informal small entity guidance, with handwntten note to Alice from David (1 page)

19. 05/15/97 Memorandum to Alice Katoski, Office of Administration, from Betty Golden, Office of Administration, subject: regulatory history procedures - informal small entity guidance (10 CFR part 2)(2 pages), w/ attachment dated Apnl 5,1985: Memorandum to Robert B. Minogue, Office of Nuclear Regulatory Research, et al, from William J. Dircks, Executive Director for Operations,

Subject:

regulatory history procedures (5 pages)

20. 05!13/97 Federal Register notice,

Subject:

informal small entity guidance, final rule, (published version) (2 pages)

21. 05/21/97 Federal Register notice,

Subject:

informal small entity guidance, final rule, (typed version)(8 pages) 1

o o g%r MEMORANDUM TO: L. Joseph Callan Executive Director for Operations FRGM Patricia G. Norry Deputy Executive Director for Management Services

SUBJECT:

INFORMAL SMALL ENTITY GUIDANCE Attached for your signature is a final rule that amends 10 CFR to add a provision that provides a method for small entities to contact the NRC for assistance in interpreting or complying with regulatory requirements (Attachment 1). This action establishes a toll-free telephone number to help small entities obtain information quickly. The final rule is necessary to comply with the Small Business Regulatory Enforcement Fairness Act (SBREFA).

Background:

In March 1996, Congress enacted the Small Business Regulatory Enforcement Fairness Act, Public Law 104-121.

Congress found this legislation necessary because "small businesses bear a disproportionate share of regulatory costs and burden" and " fundamental changes . . . are needed in the regulatory and enforcement culture of Federal Agencies" to make them more responsive to small businesses (Sections 202(2) and (3) of the Act).

Subtitle A of SBREFA is intended to improve the responsiveness of Federal regulatory agencies. This provision requires Federal agencies to establish a mechanism by which small entities may easily obtain guidance to understand and comply with agency regulations.

Among other tt.2was, agencies that regulate small entities are required to ansaer inquiries from small entities concerning information on, advice about, and compliance with the statutes and regulations that affect them. Agencies are expected to interpret and apply the law, or regulations implementing the law, to specific sets of facts that may be provided by the small entity. Furthermore, agencies are required to establish a program to receive and respond to these types of inquiries.

The Office of Administration (ADM) has established a toll-free telephone number for small entities to call for interpretations or guidance concerning NRC regulatory requirements. The Rules Review and Directives Branch will serve as the central contact for these inquiries and will route them to the appropriate NRC office for written response. ADM will maintain a record of written responses to requests for information.

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Notices A notice to the Commission that the EDO has signed the enclosed Federal Ros/jster notice is attached for inclusion in the Daily Staff Notes (.*_ttachment 2). Appropriate Congressional committees will also be notified (Attachment 3).

coordination: The Information and Records Management Branch, Office of the Chief Informat#on Officer, has reviewed this final rule for compliance with the Paperwork Reduction Act. The Office of the General Counsel concurs on this final rule.

Attachm nts:

1. Federal Register Notice of Final Rulemaking

2. Daily Staff Notes

3. Draft Congressional letter

4. Approved for Publication R

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• See previous concurrence DIST: RDG SUBJ AKATOSKI DMEYER EHALMAN MLESAR CKAMMERER PGNORRY TROTHSCHILD BSHELTON ADM

• ADM

• ADM

• ADM

• D:ADM AKATOSKI MLESAR DMEYER CKAMMERER EHALMAN 4/ /97 4/ /97 4/ /97 4/ /97 4/ /97 OGC

• IRMB/CIO* DEDMS EDO TROTHSCHILD BSHELTON PGNORRY IJCALLAN 4/ /97 4/ /97 _ 5/ /97 5/ /97 OFFICIAL RECORD COPY

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Ratfsas: A notice to the Commission that the EDO has signed the enclosed Faderal_ Register notice is attached for inclusion in the Daily Staff Notes (Attachment 2). Appropriate Congressional committees will also be notified-(Attachment 3).

coordination: The Information and Records Management Branch, Office of the Chief Information Officer, has reviewed this final rule for compliance with the Paperwork Reduction Act. The Office of the General Counsel has no legal objection.

Attachments:

1. Federal Register Notice of Final Rulemaking

2. Daily Staff Notes 3 Draft Congressional letter 4 Approved for Publication DIST: RDG SUBJ AKATOSKI DMEYER EHALMAN MLESAR CKAMMERER PGNORRY TROTHSCHILD BSHELTON ADM # ADM ,#- ADM.Jfk4g k D:ADM AKATOSKI MLESAR DMEYER ER EHALMAN 4/{/97 4/g /97 4/7/97 4 g /97 4/ /97 y,no 1.n t.c ce sMt Qtme OGC f** lbF YOg g DEDMS EDO TROTHSCHILD BSHELTON I PGNORRY LJCALLAN 4//g /97 4//[97 4/ /97 4/ /97

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POR g p,7 The Honorable James M. Talent, Chairman Committee on Small Business United States House of Representatives Washington, DC 20515 -

Dear Mr. Chairman:

I am responding to your letter of April 1,1997, requesting information on NRC's implementation of Sections 213 and 223 of the Small Business Regulatory Enforcement Fairness Act ("the Act").

Section 213 requires the establishment of a program to respond to small entity inquiries for guidance on regulatory compliance and interpretations of NRC regulations. The NRC has established a special toll-free telephone number for small entities to contact the NRC for interpretations or guidance concerning NRC regulatory requirements. The Rules Review and Directives Branch, Office of Administration, is the central contact for these inquiries and routes them

-to the appropriate NRC office for a written response.

The NRC is taking steps to ensure that both the NRC staff and small entities are aware of this program. The NRC has prepared a final rule that will amend 10 CFR 2.810 to add language describing the program and the availability of

, the toll-free phone number for inquiries. This rule will be published on or before June 27, 1997, to ensure timely compliance with Subtitle A of the Act.

Concurrent with this rule's publication, the NRC will issue a Press Release announcing the program and take the following actions:

(1) Prepare and distribute an announcement to all NRC Staff, the NRC Public Document Room, and all NRC Local Public Document Rooms announcing the establishment of the toll-free number.

(2) Create an icon as part of the NRC Home Page on the Internet with a notice describing the service and how to contact NRC.

(3) Add a section to the " Citizen's Guide to U.S. Nuclear Regulatory Commission Information" (NUREG/BR-0010) that describes the program and explains horsmall entities can make requests to the agency.

(4) Insert a statement on how to get additional information on the program in the next issuance of the "NRC Information Digest" (NUREG-1350).

-(5) . -Reissue the NRC report entitled " Responsiveness to the Public" -

(NUREG/BR-0199)_to include a section that-describes the program and explains how small entities can make requests to the agency.

Congressman Talent 1 Sec. 223 requires tiie establishment of a program or policy providing for waivers or reductions of civil penalties for violations of statutory or regulatory requirements by small entities.

The Commission's Enforcement Policy (NUREG-1600), which is publicly available, -

provides that:

(1) civil penalties are issued only for significant violations; (2) civil penalties are normally waived for licensees who take prompt and comprehensive corrective action; (3) civil penalties are normally waived for licensees with multiple significant violations if the licensee identifies the violation and takes prompt and comprehensive corrective action; and (4) civil penalties are normally assessed for willful violations, particularly poor performance, overexposures, loss of radioactive material, and very significant violations.

Further, the Policy makes clear that in determining ti, amount of the civil penalty, financial hardship can be considered. It is not the NRC's intent that the economic impact of a civil penalty be so severe that it puts a licensee out of business or adversely affects the licensee's ability to conduct licensed activities safely. In such cases, penalties may be reduced or the licensee may be permitted to pay the penalty over time.

Therefore, we believe that the NRC is in compliance with Section 223 of the Act.

The person at the NRC responsible for compliance with SBREFA is David L. Heyer, Chief, Rules Review and Directives Branch, Office of Administration. Mr. Heyer may be reached on (301) 415-7162.

Sincerely, Shirley Ann Jackson

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i6' NUCLEAR REGUIATORY COMMISSION i

10 CFR Part 2 RIN: 3150-AF68 Informal Small Entity Guidance AGENCY: Nuclear Regulatory Commission.

ACTION: Final rule.

SUMMARY

The Nuclear Regulatory Commission (NRC) is amending its rogulations to add a provision that provides a method for small entities to contact the NRC for assistance in interpreting or complying with regulatory requirements. The final rule is necessary to comply with the Small Business Regulatory Enforcement Fairness Act. The final rule describes how the NRC will assist small entities that are licensed by the NRC.

EFFECTIVE DATE: (Date of publication in the Federal Register).

FOR FURTHER INFORMATION-CONTACT:

David L. Meyer, Chief, Rules Review and Directives Branch, Office of Administration, Washington, DC 20555-0001; telephone 301-415-7162; Web address http://www.dlm1@nrc. gov, or Michael T. Lesar, Chief, Rules Review Sect' ion,fRules Review and Directives Branch, Office of Administration, Washington, DC 20555-0001; telephone 301-415-

'7163; Web address http://www.mtl@nrc. gov. Small businesses can i

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obtain information from the Commissions hotline telephone system by calling 1-800-368-5642.

SUPPLEMENTARY INFORMATION:

Background

In March 1996, Congress enacted the Small Business Regulatory Enforcement Fairness Act (SBREFA), Public Law 104-121.

Congress found this legislation necessary because "small businesses bear a disproportionate share of regulatory costs and burden" and " fundamental changes . . . are needed in the regulatory and enforcement culture of Federal agencies" to make them more responsive to small businesses (Sections 202(2) and (3) of the Act).

Simplifying Compliance Subtitle A of SBREFA provides a number of initiatives that are intended to make it easier for small entities to understand and comply with agency regulations. In particular, the subtitle provides tisat, "Whenever appropriate in the interest of administering statutes and regulations within the jurisdiction of an agency, it shall be the practice of the agency to answer inquiries from small entities concerning information on and advice about compliance with such statutes and regulations."

Agencies are expected to interpret and apply the law; or regulations implementing the law, to specific sets of facts that are supplied by the small entity. Furthermore, agencies are required to establish a program to receive and respond to these types of inquiries.

2

The NRC and Small Entities Since the Regulatory Flexibility Act was enacted in 1980, the NRC has considered the special needs c: omall businesses and has workod to address them. In 1983, the NRC surveyed its materials licensees to create an economic profile sufficient to consider regulatory alternativen tailored to the size of the licensee. After analyzing the data and consulting with the Small Business Administration (SBA), the NRC developed size standards to determine which of its licensees would qualify as small entities for the purposes of compliance with the Regulatory Flexibility Act (50 FR 50241; December 9, 1985).

In 1993, the NRC completed a second survey to update the economic profile of its materials licensees. Subsequently, the NRC revised its size standards on April 11, 1995 (60 FR 18344).

The revised size standarda included separate standards for business concerns that are manufacturing entities, adjusted its receipts-based size standard to accommodate inflation, eliminated the separate $1 million size standard for private-practice physicians and applied the revised receipts-based size standard of $5 million to this class of licensees, and codified the size standards in 52.810 of 10 CFR. The NRC has considered the economic impact of its regulatory actions on small entities.

In particular, the NRC used its size standards to tier the annual license fee imposed by the NRC's f3nal rules implementing the Omnibus Budget Reconciliation Act of 1990 (56 FR 31472; July 10, 1991 and subsequent years), thereby reducing the impact 3

of the fee rules on small entities.

In this and other areas, the NRC has responded to the comments and suggestions it has received from small entities.

The NRC intends to continue and improve its responsiveness to the questions and concerns of small entities. This regulation establishes a means for small entities to contact the NRC to receive the type of informal compliance assistance contemplated by SBREFA.

Administrative Procedure Act Waiver Generally, the Administrative Procedure Act (APA) requires agencies to publish a notice of proposed rulemaking and provide opportunity for public comment before issuing a rule. b U.S.C.

553. However, these requirements do not apply when the agency finds that they are amendments dealing with agency practice and procedure. 5 U.S.C. 553 (b) (3) (A) . The Commicsion finds for good cause that notice of proposed rulemaking and public participation are unnecessary because the rule is a matter of agency practice; e.g., the establishment of a telephone number to facilitate

. interaction with the small entitics licensed by the Commission.

The rule shall be effective on (date of publication in the Federal' Register). The APA requires that a substantive rule be published at least 30 days before its effective date, unless the agency finds for good cause that such delay is not needed.

5 U.S.C. 553 (d) (3) . The-Commission finds good cause for the rule issued below to become effective immediately because the amendments are of an administrative nature concerning a matter of 4

\ ,

agency conduct, the establishment of a telephone number to facilitate interaction with the small entities licensed by the Commission.

Environmental Impact: Categorical Exclusion The HRC has determined that this final rule is the type of action described in categorical exclusion 10 CFR 51.22 (c) (1) .

Theraiore neither an environmental impact statement nor an environmental assessment has been prepared for this final rule.

Paperwork Reductio.. Act Statement This final rule contains no information collection requirements and, therefore, is not subject to the requirements i S' of the Paperwork Reduction Act of 1970 (44 U.S.C. 3501 et seq.).

W ru/1 h ^ '4 List of subjects in 10 CFR Part 2 i <

W Administrative practice and procedure, Anti' g g dvs 5l 'l l 'l 7 material, classified intormatio , Environmental ] 1[ 'l i ) # *

• Nuclear .iatorials, Nuclear power plants and react Sex discrimination, Source material, Special nuclear material, Waste traatment and disposal.

For the reasons set out in the preamble and under the authority of the Atomic Energy Act of 1954, as amended; the Energy Reorganization Act of 1974, as amended; the Small Business 3.egulatory Enforcement Fairness Act; and 5 U.S.C 552 and 553, the NRC is adopting the following amendment to 10 CPR Part 2.

5

Part 2--RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS AND ISSUANCE OF ORDERS

1. The authority citation for Part 2 continues to road as follows:

AUTil0RITY: Socs. IG1, 181, 68 Stat. 948, 953, as amended (42 U.S.C. 2201, 2231); sec. 101, as anc..ded, Pub. L.87-615, 76 Stat. 409 (42 U.S.C. 2241); son. 201, 88 Stat. 1242, as amended (42 U.S.C. 5841); 5 U.S.C. 552.

Section 2.101 also issued under seca. 53, 62, 63, 81, 103, 104, 105, 68 Stat. 930, 932, 933, 935, 936, 937, 938, as amended (42 U.S.C. 2073, 2092, 2093, 2111, 2133, 2134, 2135); sec. 114(f), Pub. L.97-425, 96 Stat. 3213, as amended (42 U.S.C.

10134 ( f) ) ; soc. 102, Pub. L.91-190, 83 Stat. 853, as amended (42 U.S.C. 4332); sec. 301, 88 Stat. 1248 (42 U.S.C. 5871). Sections 2.102, 2.101, 2.104, 2.105, 2.721 also issued under secs. 102, 103, 104, 105, 183, 109, 68 Stat. 936, 937, 938, 954, 955, as emended (42 U.S.C. 2132, 2133, 2134, 2135, 2233, 2239). Section 2.105 also issued under Pub. L.97-415, 96 Stat. 2073 (42 U.S.C.

2239). Sections 2.200-2.206 naso issued under socs. 161b, i, o, 182, 186, 434, 68 Stat. 948-951, 955, 83 Stat. 444, as amended (42 U.S.C. 2201 (b), (i), (o), 2236, 2282); sec. 206, 88 Stat 1246 (42 U.S.C. 5846). Sections 2.600-2.606 aAso issued under sec. 102, Pub. L.91-190, 83 Stat. 853, as amended (42 U.S.C.

4332). Sections 2.700a, 2.719 also issued under 5 U.S.C. 554.

Sections 2.754, 2.760, 2.770, 2.700 also issued under 5 U.S.C.

557. Section 2.764 and Tablo 1A of Appendix C also issued under 6

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secs. 135, 141, Pub. L.97-425, 96 Stat. 2232, 2241 (42 U.S.C.

f 10155, 10161). SectlOn 2.790 also issued under sec. 103, 68 Stat. 936, as amended (42 U.S.C. 2133) and 5 U.S.C. 552.  ;

Sections 2.800 and 2.808 also issued under 5 U.S.C. 553. Section  !

2.809 also issued under 5 U.S.C. 553 and sec. 29, Pub. L.85-156,  ;

71 Stat. 579, as amended (42 U.S.C. 2039). Subpart X also issued 4

under sec. 189, 68 Stat. 955 (42 U.S.C. 2239); sec. 134, Pub. L.

,97-425, 96 Stat. 2230 (42 U.S.C. 10154). Subpart L also issued I under sec. 189, 60 Stat. 955 (42 U.S.C. 2239). Appendix A also issued under sec. 6, Pub. L.91-560, 84 Stat. 1473 (42 U.t 2135). Appendix B also issued under sec. 10, Pub. L.99-240, 99 Stat. 1842 (42 U.S.C. 2021b et seq.).

2. In S2.810, paragraph (f) is added to read as follows:

$2.810 NRC size standards.

(f) Wnenever appropriate in the interest of administering statutes and regulations within its jurisdiction, it is the practice of the NRC to answer inquiries from small entities concerning e ' mation on and advice about compliance with the statutes an agulations that affect them. To help 1

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small antitles obtain information quickly, the NRC has ,

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Dated at Rockville, Maryland, this [ day of ,

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4 For the Nuclear Regulatory Commission. )

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Execut. e Director for Operations.

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NUCLEAR REGULATORY COMMISSION g #h '

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10 CFR Part 2 \

RIN: 3150-AF68 \

Informal Small Entity Guidance l

AGENCY: Nuclear Regulatory Commission.

ACTION: Final rule.

4 SUMMAR'J: The Nuclear Regulatory Commission (NRC) is amending its regulations to add a provision that provides a method for smal) entitles to contact the NRC for assistance in interpreting or ,

cotplying with regulatory requirements. The final rule is necessary to comply with the Small Business Regulatory Enforcement Fairness Act. The final rule describes how the NRC will assist small entities that are licensed by the NRC.

' EFFECTIVE DATE: (Date of publication in the Federal Register).

FOR FURTHER INFORMATION CONTACT: David L. Meyer, Chief, Rules Review and Directives Branch, Office of Administration, Washington, DC 20555-0001; telephone 301-415-7162; Web address http://www.dlm19nrc. gov, or Michael T. Lesar, Chief, Rules Review Section, Rules Review and Directives Branch, Office of Administration, Washington, DC 20555-0001; telephone 301-415-7163; Web address http://www.mt19nrc. gov. Small businesses can 1

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obtain information from the commissions hotline telephone system l by calling 1-800-364-5642. l l

SUPPLEMENTARY INFORMATION:

Background i In March 1996, Congress enacted the Small Business l Regulatory Enforcement Fairness Act (SBREFA), Public Law 104-121.

Congress found this legislation necessary because 'small [

businesses bear a disproportionate share of regu, tory costs and burden" and "f_tndamental changes . . . are needed in the regulatory and enforcement culture of Federal agencies' to make

'them more responsive to small businesses (Sections 202(2) and (3)

, of the Act). .

Simplifying compliance Subtitle A of SBREFA establishes-one of'the key elemants necessary to change the-traditional agency approach to ,

regulating. .This-provisi on provi des a number of initiatives that are intended to make it easier for small entities to understand and comply with agency regulations.

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andregulationslthataffectthem. Agencies are expected to

interpret and app 1.y the law, or regulations implementing the law,

-to specific sets or facts that are supplied by the small entity.

Furthermore,. agencies are required t.o establish a program to l\ receive and respond to these types of inquiries.

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j The NRC and Small Entities Since the Regulatory Flexibility Act was enacted in 1980, the NRC has considered the special needs of small businesses and has worked to address them. In 1983, the NRC surveyed its ,

materials licensees to create an economic profile sufficient to l i'

consider regulatory alternatives tailored to the size of the licensee. After analyzing the data and consulting with the Small Business Administration (SBT), the NRC developed size standards to determine which of its licensees would qualify as small entities for the purposes of compliance with the Regulatory Flexibility Act (50 FR 50241; December 9, 1985).

In 1993, the NRC completed a second survey to update the ,

economic profile of its materials licensees. Subsequently, the NRC revised its size standards on April 11, 1995 (60 FR 18344).

The revised size standards included jpfseparate standards for p-business concerns that are manufacturing entities, adjusted its receipts-based size standard to accommodate inflation, eliminated the separate $1 million size standard for private-  !

practice physicians and applied the revised receipts-based size standard of $5 million to this class of licensees, and codified O N f' Ih thesizestandardsin10CFR.?;st'[f7 - The NRC has considered 4

economic impact of its regulatory actions on small entities. In particular, the NRC used its size standards to tier the annual tu license fee imposed by the NRC's final rules implementing Omnibus r r

Budget laconciliation Act of 1990 (56 FR 31472; July 10, 1991 and subsequent-years), thereby reducing the impact of the fee rules 3

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on small entities, i In this and other areas, tha NRC has responded to the

, comments and suggestions it has received from small entitles.

The NRC intends to continue and improve its responsiveness to the 2

questions and concerns of small entities. itjs regulation i

astablishes a means for small entities to contact the NRC to l receive the type of informal compliance assistance contemplated j by SBREFA. ]

j i

Administrative Procedure Act Walver

Generally, the Administrative Procedure Act (APA) requires l agencies to publish a notice of proposed rulemaking and provide  ;

i opportunity for public comment before issuing a rule. 5 U.S.C.

553. Ilowever, these requirements do not apply when the agency '

1 finds that they are amendments dealing with agency practice and

/d The Commission finds for good i i procedure. 5 U.S.C. 553 (b) ( A) .

l cause that notice of proposed rulemaking and public participation are unnecessary because the rule is a matter of agency practice; i e.g., the establishment of a telephone number to facilitate interaction with the small entities licensed by the commission.

The rule shall be effective on (date of publication in the Federal Register). The APA requires that a substantive rule be

- published-at least 30 days before its effective date, unless the agency finds for good cause that such delay is not needed. ,

i

- 5:U.S.C. 553 (d) (3) . -The Co"11ssion finds good cause for the-rule

) issued below to become effective immediately because the amendments are of an administrative nature concerning a matter of 4

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agency conduct, the establishment of a telephone number to facilitate interaction with the small entities licensed by the Commission.

Environmental Impact: Categorical Exclusion The NRC has determined that this final rule is the type of action described in categorical exclusion 10 CFR 51.22(c) (1) .

Therefore neither an environmental impact statement nor an environmental assessment has been prepared for this final rule.

Paperwork Reduction Act Statement This final rule contains no information collection f requirements and, therefore, is not subject to the requirements of the Paperwork Reduction Act of 1980 (44 U.S.C. 3501 et seq.).

List of Subjects in 10 CFR Part 2 Administrative practice and procedure, Antitrust, Byproduct material, Classified information, Environmental protection, Nuclear Materials, Nuclear power plants and reactors, Penalties, Sex discrimination, Source material, Special nuclear material, Waste treatment and disposal.

For the reasons set out in the preamble and under the authority of the Atomic Energy Act of 1954, as amended; the Energy Reorganization Act of 1974, as amended; the Small Business Regulatory Enforcement Fairness Act; and 5 U.S.C. 552 and 553, the NRC is adopting the following amendment to 10 CFR Part 2.

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Part 2--RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS AND ISSUANCE OF ORDERS

1. The authority citation for Part 2 continues to read as follows:

AUTIIORITY: Secs. 161, 181, 68 Stat. 948, 953, as amended (42 U.S.C. 2201, 2231); sec. 191, as amended, Pub. L.87-615, 76 Stat. 409 (42 U.S.C. 2241); sec. 201, 88 Stat. 1242, as amended (42 U.S.C. 5841); 5 U.S.C. 552.

Section 2.101 also issued under secs. 53, 62, 63, 81, 103, 104, 105, 68 Stat. 930, 932, 933, 935, 936, 937, 938, aJ amended (42 U.S.C. 2073, 2092, 2093, 2111, 2133, 2134, 2135); sec. 114(f), Pub. L.97-425, 96 Stat. 2213, as amended (42 U.S.C.

10134(f)); sec. 102, Pub. L.91-190, 83 Stat. 853, as amended (42 U.S.C. 4332); acc. 301, 68 Stat. 1248 (42 U.S.C. 5871). Sections 2.102, 2.103, 2.104, 2.105, 2.721 also issued under secs. 102, 103, 104, 405, 183, 189, 68 Stat. 936, 937, 938, 954, 955, as amended (42 U.S.C. 2132, 2133, 2134, 2135, 2233, 2239). Section 2.105 also issued under Pub. L.97-415, 96 Stat. 2073 (42 U.S.C.

2239). Sect 4a"7 2.200-2.206 also issued under secs. 161b, i, o, 182, 186, 234, 68 Stat. 948-951, 955, 83 Stat. 444, as amended (42 U.S.C. 2201 (b), (i), (o), 2236, 2282); sec. 206, 88 Stat 1246 (42 U.S.C. 5846). Sections 2.600-2.606 also issued under sec. 102, Pub. L.91-190, 83 Stat. 853, as amended (42 U.S.C.

4332). Sections 2.700a, 2.719 also issued under 5 U.S.C. 554.

Sections 2.754, 2.760, 2.770, 2.780 also issued under 5 U.S.C.

557. Section 2.764 and Table 1A of Appendix C also issued under i

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i secs. 135, 141, Pub. L.97-425, 96 Stat. 2232, 2241 (42 U.S.C. j 10155, 10161). Section 2.790 also issued under sec. 103, 68 Stat. 936, as amended (42 U.S.C. 2133) and 5 U.S.C. 552.

Sections 2.800 and 2.808 niso issued under 5 U.S.C. 553. Section 2.809 also issued under 5 U.S.C. 553 and sec. 29, Pub. L.85-256, 71 Stat. 579, as amended (42 U.S.C. 2039). Subpart K also issued l under sec. 189, 68 Stat. 955 (42 U.S.C. 2239); sec. 134, Pub. L.97-425, 96 Stat. 2230 (42 U.S.C. 10154). Subpart L also issued under sec. 189, 68 Stat. 955 (42 U.S.C. 2239). Appendix A also issued under sec. 6, Pub. L.91-560, 84 Stat, 1473 (42 U.S.C.

2135). Appendix B also issued unde sec. 10, Pub. L.99-240, 99 Stat. 1842 (42 U.S.C. 2021b et seq.).

2. In S2.810, paragraph (f) is added to read as follows:

S2.810 NRC size standards.

(f) c is regtri to ansver )mquiries from small entities concerning information on mpliance advice about,6 with the at es and regulations that affect them. To help

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small entities obtain information quickly, the NRC has established a toll-free telephone number at 1-800-360-5642. [dr"s,

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Dated at Rockville, Maryland, this _ day of , 1997. ,

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For the Nuclear Regulatory Commission.  ?

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L. Joseph callan, Executive Director for Operations.

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Introduction . . .................2 HRC Definition of small Entity . . . .......3 NRC Small Entity Feen . . . . . . . . . . .... 4 Instructions for Completing NRC Form 526 . . . . . 5 1

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Introduction The Small Business Regulatory Enforcement Fairness Act of 1996 (SBREFA) requires all Federal agencies to prepare a writtsn guide for each " major" final rule as defined by the Act. The NRC's fee rule, published annually to comply with the Omnibus Budget Reconciliation Act of 1990 (OBP.A-90) which requires the NRC to collect approximately 100 percent of its budget authority each year through fees, meets the thresholds for being considered

" major" under the SBREFA. Therefore, in compliance with the law, this small entity compliance guide has been prepared for FY 1997.

The purpose of this guido la to ascist small entities in complying with the NRC fee rule.

This guide is designed to aid NRC materials licensees. The information provided in this guide may be used by licensees to determine whether they qualify as a small entity under NRC regulations and are therefore eligible to pay reduced FY 1997 annual fees assessed under 10 CFR Part 171. Licensees who meet NRC's size standards for a small entity must complete NRC Form 526 in order to qualify for the reduced annual fee. NRC Form 526 will accompany each annual fee invoice mailed to materials licensees. The completed form, along with the appropriate small entity fte and the payment copy of the invoice, should be mailed to the U.S. Nuclear Regulatory Commission, License Fee and Accounts Receivable Branch, P.O. Box 954514, St. Louis, MO 63195-4514.

The NRC, in compliance with the Regulatory Flexibility Act of 1980 (RFA), has established separate annual fees for those materials licenseus who meet the NRC's size standards for small entities. These size standards, developed in consultation with the Small Business Administration, were revised by the NRC and became offective on May 11, 1995. The small entity size standards are found in 10 CFR 2.810 of the NRC's regulations. To 2

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. i comply with the RFA, the NRC has established two tiers of small

.f entity fees. These fees are found in 10 CFR 171'.16(c) of the fee l

regulations. l j NRC Definition of Small EntiQ 1

The NRC has defined what is a small antity for purposes of its j regulations in consultation with the Small Business  :

Administration. The definition is codified in NRC's regulations f at 10 CFR 2.810. Under the NRC regulation, small entities are

1. Small business - a for-profit concern that provides a service or a concern not engaged in manufacturing with average gross receipts of $5 .

million or less over its last 3 completed fiscal j years; r

2. Manufacturing industry - a manufacturing concern  !

with an average number of 500 or fewer employees i based upon employment during each pay period for  !

the preceding 12 calendar months;

3. Small organization - a not-for-profit organization which is independently owned and operated and has annual gross receipts of $5 million or less; j- 4. Small governmental jurisdiction - a government of a city, county, town, township, village, school district or special district with a population of less than 50,000;

5. Small educational institution - an educational institution supported by a qualifying small governmental jurisdiction, or one that is not state or publicly supported and has 500 or fewer 3

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l employees 2 U110 Small Entity Feed The NRC has established two tiers of small entity fees for licensoos that qualify under the NRC's size standards.

Currently, those foes are as follows:

Small Busingns Not Engaggd Hryimum Annual Fee in Manufacturing and Small Per Liegnged 1[ot-For Profit Organizations Catt_ ory (Gross Annual RecaiDin).

$350,000 to $5 million $1,800 Loss than $350,000 $400 Hanufact" ring._ entities that have an average of 50.0 employees or less 35 to 500 employoou $1,800 Lons than 35 employcos $400 Small Govgrnmental Jurisdic.tions LIncluding publicly supported cducational institutiong),

(Population)

• An educational institution referred to in the size standards is

.s education accred:,t dwhose an ent: t primary function by a nationally recogn:, zed accredif:.whose ng agencyprograms or are assoc:,at on, who in legally authorized to prov;de a program of organ:,zad instruct: on or study,demic degrecswho providos an educational program for which .t awards aca and whose educational programs are available to the public.

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20,000 to 50,000 $1,800 -

Less than 20,000 $400 Educational Inntitutions that are not_ State or Publicly Eupp.orted. and have 500 Employees GL.LCSS 35 to 500 employees $1,800 Less than 35 employees $400 To pay a reduced annual foe, a licensee must use NRC Form 526, enclosed with the fee bill, to certify that it meets NRC's size standsrds for a small entity. About 1,400 licensees certify each year that they qualify as a small entity under the NRC size standards and pay a reduced annual fee. Approximately 900 licensoos pay the small entity foo of $1,800 while 500 licensees pay the lower-tier small entity fee of $400.

Instructions for Completirj NRC Form 526

1. File a separate NRC Form 526 for each annual fee invoice received.

2. Complete all itoma on NRC Form 526 as follows:

a. The license number and invoice number must be entered exactly as they appear on the annual fee invoice.

b. The Standcrd Industrial Classification (SIC) Code should be ontored if it is known,

c. The licensee's name and riddress must be entered as they 5

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appear on the invoice. Name and/or address changes for billing purposes must be annotated on the invoice. l Correcting the name and/or address on NRC Form 526 or on the invoice does not constitute a request to amend the license. Any request to amend a license is to be  :

submitted to the respective licensing staffs in the NRC Regional or Headquarters Offices.

d. Check the appropriate size standard under which the licensee qualifies as a small entity. Check one box P

only. Note the following (1) The size standards apply to the licensee, not the individual authorized users listed in the license. L (2) Gross annual receipts as used in the size standards includes all revenue in whatever rm received or accrued from whateser* sources, it solely receipts from licensed activities. There are limited exceptions as set forth in 13 CFR 121.104. These are the term receipts excludes not capital gains or losses, taxes collected for and remitted to a taxing authority if included in

, gross or total income, proceeds from the transactions between a concern and its domestic or foreign affiliates (if also excluded from gross or total income on a consolidated return filed with the IRS), and amounts collected for another by a travel agent, real estate agent, advertising agent, or conference management service provider.

(3) A licensee who is a subsidiary of a large entity does not qualify as a small entity.

(4) The owner of the entity, or an official empowered to act on behalf of the entity, must sign and date 6

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tha small ontity cortification.

3. The NRC sends invoices to its licensees for the full annual foe, even thcugh some entities qualify for reduced fees as a small entity. Licensees who qualify as a small entity and filo NRC Form 526, which cortifies eligibility for small entity foes, may pay the reducsd foe, which for a full year is either $1,000 or $400, for each fee category shown on the invoico depending on the size of the entity. Licensees granted a licenso during the first six months of the fiscal year and licensees who file for termination or for a possession only license and permanently cease Itconsed activities during the first six months of the fiscal year pay only 50 percent of the annual foo for that year. Such an invoice states the " Amount Billed Represents 50%

Proration." This means the amount due from a small entity is not the prorated amount shown on the invoice but rather ono-half of the maximum annual foo shown on NRC Form 526 for the size standard under which the licensco qualifies resulting in a foo of either $900 or $200 for each foo category billed instead of the full small entity annual fee of $1,800 or

$400.

4. A now small entity form is required to be filed with the NRC each fiscal year in order to qualify for reduced fees for that fiscal year. Becauce a licensoo's " size," or the size standards, may change from year to year, the invoice reflects the full foo and a now form must be completed and returned for the foe to be reduced to the small entity foe.

LICENSEES WILL NOT BE ISSUED A NEW INVOICE FOR THE REDUCED AMOUNT. .The completed form, the payment of the appropriato small entity foe, and the " Payment Copy " of the invoice should be mailed to the U.S. Nuclear Regulatory Commission, License Fee and Accounts Roccivablo Branch, P.O. Box 954514, St. Louis, MO 63195-4514.

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5. Questions regarding foo bills may be posed orally or in writing. Please call the licenso foo staff at 301-415-7554 or writo to the U.S. Nuclear Regulatory Commission, Washington, DC 20555, Attention: Office of the Chief Financial Officer.

6. Falso cortification of small entity status could result in civil sanctions being imposed by the NRC pursuant to the Program Fraud Civil Romodios Act, 31 U.S.C. 3801 c.t. scq.

NRC's implomonting regulations are found in 10 CPR Part 13.

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