ML20212K481
| ML20212K481 | |
| Person / Time | |
|---|---|
| Issue date: | 03/23/1999 |
| From: | Dandois D NRC |
| To: | Turdici J NRC OFFICE OF THE CONTROLLER |
| Shared Package | |
| ML20138F537 | List:
|
| References | |
| FRN-64FR15876, RULE-PR-170, RULE-PR-171 AG08-1-012, NUDOCS 9910060280 | |
| Download: ML20212K481 (14) | |
Text
M Gdf-/
~
p*"'%\. PC/L d
g 5
- UNITED STA6 ES NUCLEAR REGULATORY COMMISSION
-<bpa
(
(
pt-wAsNINGTON, D.C. 30ess 4001
- March 23, 1999 w
J[22 MEMORANDUM TO: W. Travers Executive Director for Operations 1
J. Lee, Director J Office of International Programs J. Lieberman, Director Office of Enforcement M. Springer, Director l Office of Administration Trip B. Rothschild, Deputy Assistant General Counsel / Legislative Counsel Office of the ICouns FROM: Jim Turdici, Dire '
Division of Acco ' fi a Finance l Office of the Chi in cial Officer i
SUBJECT:
PROPOSED NOTICE OF RULEMAKING - 10 CFR PARTS 170 AND 171 - 100 Pl!RCENT FEE RECOVERY FOR FY 1999 Attached for your concurrence is a proposed r ale for the FY 1999 fees to be assessed to recover 100 percent of the NRC budget authority. In order to meet the requirements to assess and collect the fees by September 30,1999, this proposed rule must be published by April 1, 1999.
Please note that in order to meet the expedited schedule for this proposed rule, we are providing I I
each addressee a separate concurrence copy. Please provide your concurrence as quickly as possible, but no later than noon, Wednesday, March 24,1999. l If you have any questions, please contact Glenda Jackson on 415-6057. Thank you for your assistance in this matter.
Attachment:
As stated cc: T. Barchi, OlG C. Paperiello, NMSS S. Collins, NRR A. Galante, CIO H. Bell, OlG .
~
9910060200 991001 PDR PR 170 64FR15876 PDR li DOf,0 MO ,
licensees. As a cost-saving measure, the NRC does not plan to routinely mail future final fee rules to all licensees, but will continue, as a matter of courtesy, to send the proposed fee rules to alllicensees and the final rule to licensees upon raquest.
In addition to publication in the Federal Register, the final rule will be available on the internet at http://ruleforum.llnl. gov /. Copies of the final rule will also be mailed upon request.
To request a copy, contact the License Fee and Accounts Receivable Branch, Division of Accounting and Finance, Office of the Chief Financial Officer, at 301-415-7554, or e-mail us at es@Nf0fgov. It is our intent to publish the final rule in June of 1999.
The NRC is proposing to make changes to 10 CFR Parts 170 and 171 as discussed in Sections A. and B. below: l J
A. Amendments to 10 CFR Part 170: Fees for Facilities. Materials. Imoort and Exoort Licenses. and Other Reaulatory Services Under the Atomic Enerov Act of 1954. As Amended.
l The NRC is proposing four major amendments to 10 CFR Part 170, and several administrative amendments to update information in certain sections and to accommodate the major proposed changes. These amendments further the underlying basis for the regulation --
that fees be assessed to applicants, persons, and licensees for specific identifiable services rendered. The amendments also comply with the guidance in the Conference Committee Report on OBRA-90 that fees assessed under the IOAA recover the full cost to the NRC of identifiable regulatory services that cach applicant or licensee receives. l 1
7 l
I
r--
the revised average professional staff hours reflect the changes in the NRC licensing review program that have occurred since FY 1997. The proposed licensing fees are based on the revised average professional staff hours needed to rocess the licensing actions multiplied by I
' the proposed professional hourly rate for FY 1999.
The proposed licensing fees reflect an increase in average time for new license applications for 20 of the 33 materials fee categories included in the biennial review, a decrease in average time for 8 fee categories, and the same average time for the remaining 5 fee categories. The average time for import and import new license applications and amendments remained the same for 6 fee categories in $$170.21 and 170.31, and decreased for 4 fee categories.
1 he amounts of the materials licensing " flat" fees were rounded so that the amounts would be de minimis and the resulting flat fee would be convenient to the user. Fees under
$1,000 are rounded to the nearest $10. Fees that are greater than $1,000 but less than
$100,000 are rounded to the nearest $100. Fees that are greater than $100,000 are rounded
, to the nearest $1,000.
The proposed licensing " flat" fees are applicable to fee categories K.1 through K.5 of
$171.21, and fee categories 1.C,1.D,2.B,2.C,3.A through 3.P,4.8 through 9.D,10.B,15.A through 15.E, and 16 of $171.16. Applications filed on or after the effective date of the final rule would be subject to the revised fees in this proposed rul 5.- Administrative Amendments.
20
- a. Amend $170.2, Scope, and $170.3, Definitions, to specifically include Certificates of Compliance (Certificates) issued pursuant to Part 76. The NRC issued two Certificates pursuant to Part 76 to the United States Enrichment Corporation for operation of the two
~
q gaseous diffusion' uranium enrichment plants located at Paducah, Kentucky, and Piketon, Ohio. 1 I
This proposal would add Part 76 certificates to the definition of Materials License in $170.3 - J (Uranium enrichment facilities are already defined in $170.3). These proposed changes are administrative changes to clarify the applicability of Part 170 fees to these' Certificates.
4
- b. Revise the definition of insoection. to. specifically include performance assessments, evaluations, and incident investigations. This change is needed to incorporate
' NRC's proposal to include these activities in Part 170,
- c. Revise $170.5, Communications, to indicate that all communications concerning Part 170 should be addressed to the Office of the Chief Financial Officer rather than the l Executive Director for Operations. Effective with the January 5,1997, NRC reorganizatbn, the i
Executive Director for Operations no longer serves as the Chief Financial Officer. The Chief l Financial Officer has been delegated authority to exercise all authority vested in the Commission under 10 CFR Parts 170 and 171i
- d. Delete the current exemption in $170.11(a)(11) which eliminates amendment fees for amendments to change the name of the Radiation Safety Officer for portable gauge licenses issued in accordance with NUREG-1556 , Volume 1. This proposed rule would eliminate the
' Copies of NUREGS may be purchased from the Reproduction and Distribution Section, Office of the Chief Information Officer, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001. . Copies are also available from the National Technical Information Service, 5285 Port 21 i
s Tvolcal Materials Licenses Radiographers - 14,700 . 14 700 Wellloggers 9,900 10 000 Gauge users 2 600 2,500 1
~ Broad scope medical 27 800 27,800 -
Broad scope manufacturers 26,000 24,110 0 The annual fees assessed to each class of licensees includes a surcharge to recover those NRC budgeted costs that are not direct!y or solely attributable to the classes of licensees but must be recovered from the licensees to comply with the requirements of OBRA-90. The FY 1999 budgeted costs that would be recovered in the surcharge from all licensees are shown in Table IV.
1 TABLE IV- Surcharge Category of Costs - FY 1999 Budgeted Costs
($,M)
I
- 1. Activities not attributable to an j existing NRC licensee or class of l I
' licensee:
-i j
. a. International activities - 6.3 33
- b. Agreement State oversight 6,4[
p
- c. Low-level waste disposal generic 4 1i activities, and )
1 i
d.- Site decommissioning management plan 46 activities not recovered under Part 170
- 2. Activities not assessed Part 170 licensing and inspection fees or Part 171 annual fees based on existing law or Commission policy:
- a. Fee exemption for nonprofit education institutions 6.0
- b. Licensing and inspection activities associated with 2. 3
- +. other Federal agencies;
)
I
- c. Costs not recovered from smail entities under 5.3 Part 171 SoActivities supporting NRC operating licensees.and others
]
l l
- j. .a.' Regulatory support to Agreement States 14.6 l t
4 1
i 34-L J
b.' Decommissioning / reclamation, except those related to '4.2 power reactors t-
, Total Budgeted Costs '55.2
,. The NRC would continue to allocate the surcharge costs, except LLW surcharge costs, to each class of licensees based on the percent of budget for that class. The NRC would continue to allocate the LLW surcharge costs based on the volume disposed by the certain
- classes of licensees. The proposed surcharge costs allocated to each class are included in the annual fee that would be assessed to each licensee. The FY 1999 surcharge costs that would be allocated to each clash of licensee are shown in Table V.
TABLE V'- Allocation of Surcharge LLW Surcharoe Non-LLW Surcharoe Total Surcharoe Percent M Percent M M Operating power ' 74 3.0 80.3 41.0 .44.0 reactors Spent fuel storage / - --
6.3 3.2 3.2 reactor decommissioning ,,
Nonpower reactors - -
0.1 0.0 0.0 u<
- Fuel facilities - 8' O.4 5.0 2.6 2.9
- Materials users - -18' O.7 5.9 3.1 3.8 l v.-
s
- 1, ..
y p3 V
Transportation - -
1.0 0.5 0.5 Rare earth facilities - -
0.1 0.0 0.0 Uranium recovery - --
1.3 Q1 _Ql i
Total Surcharge 4.1 51.1 55.2 m
The budgeted costs allocated to each class of licensees and the calculation of the rebaselined fees are described in 3. and 4. below. The workpapers which support this -
proposed rule show in detail the allocation of NRC budgeted resources for each class of licensee and how the fees are calculated. The workpapers may be examined at the NRC Public Document Room,2120 L Street NW (Lower Level), Washington, DC 20555-0001.
Because the final FY 1999 fee rule will be a " major" final action as defined by the Small (qwe)
Business Regulatory Enforcement Fairness Act of 1996, the NRC's fees for FY 1999 would become effective 60 days after publication of the final rule in the Federal Register. The NRC will send an invoice for the amount of the annual fee upon publication of the FY 1999 final rule to reactors and major fuel cycle facilities. For these licensees, payment would be due on the effective date of the FY 1999 rule. Those materials licensees whose license anniversary date during FY 1999 falls before the effective date of the final FY 1999 final rule would be billed during t'he anniversary month of the license and continue to pay annual fees at the FY 1998 rate in FY 1999. Those materials licensees whose license anniversary date falls on or after the effective date of the final FY 1999 final rule would be billed at the FY 1999 revised rates during the anniversary month of the license and payment would be due on the date of the invoice.
36
(f) Method ofpayment. All license fee payments are to be made payable to the U. S.
Nuclear Regulatory Commission. The payments.are_to be made in U.S. funds by check, draft, money order,Iredit card,erk.7 lectronic funds transfer.such as ACH (Automated Clearing House) f, using EDI (Electronic Data interchange), Payment of invoices of $5,000 or more should be paid via ACH through NRC's Lockbox Bank at the address indicated ori the invoice. Credit card payments should be made up to the limit established by the credit card bank at the address indicated on the invoice. Specific written instructions for making electronic payments and credit card payments may be obtained by contacting the License Fee and Accounts Receivable -
M
' Branch at 301-415-7554. In accordance with Department of Treasury requirements, refunds will only be made upon receipt of information on the' payee's financial institution and bank accounts.
7.- Section 170.20 is revised to read as follows:
4170.20 Avernae cost oer orofessional staff-hour.
Fees for permits, licenses, amendments, renewals, special projects, Part 55 requalification and replacement examinations and tests, other required reviews, approvals, and
' inspections under 55170.21 and 170.31 will be calculated using the following applicable
' professional staff-hour rates:
l l Reactor Program $141 per hour
- c. . ($170.21 Activities) 64 l
i 4
(e) The activities comprising the surcharge are as follows:
l
' (1) LLW disposal generic activities; (2) Activities not attributable to an existing NRC licensee or classes of licensees; e.g.,
intemational cooperative safety program and international safeguards activities; support for the Agreement State program; site decommissioning management plan (SDMP) activities; and I
(3) Activities not currently assessed licensing and inspection fees under 10 CFR Part '
170 based on existing law or Commission policy, e.g., reviews and inspections conducted of nonprofit educational institutions and reviews for Federal agencies; activities related to decommissioning and reclamation; and costs that would not be collected from small entities based on Commission policy in accordance with the Regulatory Flexibility Act.
- 15. Section 171.19 is revised to read as follows:
$171.19 Payment.
(a) Method of payment. Annual fee payments, made payable to the U.S. Nuclear Regulatory Commission, are to be made in U.S. funds ,eck, draft, money order, credit cardg8rkectronic funds transfer such as ACH (Automated Clearing House) using EDI (Electronic Data Interchange) ederal agencies may also make payment by the On-line Payment and Collection System (OPAC's). Where specific payment instructions are provided on the invoices to applicants and licensees, payment should be made accordingly, e.g. invoices 122
e - of $5,000 or more should be paid via ACH through NRC's Lockbox Bank at the address -
indicated on the invoice. Credit card payments should be made up to the limit established by the credit card bank, in accordance with specific instructions provided with 4% invoices, to the Lockbox Bank designated for credit card payments. In accordance with Department of W Treasury requirements, refunds will only be made upon receipt of information on the payee's financial institution and bank accounts.
(b)= Annual fees in the amount of $100,000 or more and described in the Federal Register notice pursuant to 9171.13 must be paid in quarterly installments of 25 percent as billed by the NRC. The quarters begin on October 1, January 1, April 1, and July 1 of each fiscal year. The NRC will adjust the fourth quarterly invoice to recover the full amount of the revised annual fee. ' If the amounts collected in the first three quarters exceed the amount of the revised annual fee, the overpayment will be refunded. Licensees whose annual fee for FY 1998 was less than $100,000 (billed on the anniversary date of the license), and whose revised annual fee for FY 1999 would be $100,000 (subject to quarterly billing), would be issued a bill upon publication of the final rule for the full amount of the FY 1999 annual fee, less any payments received for FY 1999 based on the anniversary date billing process.
(c) Annual fees that are less than $100,000 are billed on the anniversary date of the license. For annual fee purposes, the anniversary date of the license is considered to be the first day of the month in which the original license was issued by the NRC. Licensees that are
< billed on the license anniversary date will be assessed the annual fee in effect on the anniversary date of the license. ' Materials licenses subject to the annual fee that are terminated 123 t
p 2.- Base fees on the frequency of use of the licensed radioactive material (e.g., volume of patients).
- 3. . Base fees on the NRC size standards for unan enoues.
The NRC has reexamined its previous evaluations of these attematives and continues to believe that establishment of a maximum fee for small entities is the most appropriate and effective option for reducing the impact of its fees on small entities.
s The NRC established, and intends to continue for FY 1999, a maximum annual fee for small entities. The RFA and its implementing guidance do not provide specific guidelines on what constitutes a significant economic impact on a small entity. Therefore, the NRC has no benchmark to assist it in determining the amount or the percent of gross receipts that should be charged to a small entity. For FY 1999, the NRC will rely on the analysis previously completed that established a maximum annual fee for a small entity and the amount of costs that must be recovered from other NRC licensees as a result of establishing the maximum annual fees.
The NRC continues to believe that the 10 CFR Part 1(0 appliction fe s, or any v
adjustments to these licensing fees during the past year, do not have a significant impact on small entities.
By maintaining the maximum annual fee for small entities at $1,800, the annual fee for many small entities is reduced while at the same time materials licensees, including small entities, would pay for most of the FY 1999 costs attributable to them. The costs not recovered 130
F A new small entity form (NRC Form 526) must be filed with the NRC each fiscal year to qualify for reduced fees for that fiscal year. Because a licensee's " size," or the size standards,
- may change from year to year, the invoice reflects the full fee and a new Form must be l '
completed and returned for the fee to be reduced to the small entity fee. LICENSEES WILL NOT BE ISSUED A NEW INVOICE FOR THE REDUCED AMOUNT.. The completed NRC Form 526, the payment of the appropriate small entity fee, and the " Payment Copy " of the invoice should be mailed to the U. S. Nuclear Regulatory Commission, License Fee and Accounts Receivable Branch at the address indicated on the invoice.
If you have questions about the NRC's annual fees, please call the license fee staf' at 301-415-7554, e-mail the fee staff at '@ .' gov, or write to the U.S. Nuclear Regulatory
' Commission, Washington, DC 20555, Attention: Of0ce of the Chief Financial Officer.
False certification of small entity status could result in civil sanctions being imposed by
' the NRC-under the Program Fraud Civil Remedies Act,31 U.S.C. 3801 at. ang. NRC's implementing regulations are found at 10 CFR Part 13.
a 7
L_1
F. 1 l
t l Distribution: j OC R/F )
OC S/F EDO R/F ,
MLesar, ADM )
OCFO/DAF SF (LF-1.13)
DOCUMENT NAME: g:\99prule2.wpd Te receive a em of this document. Indicate h the boa "C" = Copy without attachment! enclosure "E" = Copy with attachment / enclosure "N" = No copy 0FFICE OCF0(/ _ l OCF0:DAF ADM OGC NMSS l NAME GJacfson.DDahdoW JTurdici MSpringer TBRothschild CJPaperiello i DATE 3 /43/99 QR / /99 / /99 / /99 / /98 0FFICE NRR l l0IP l OE l EDO DCF0- CFO l l NAME SCollins JLee JLieberman WTravers PRabideau JLFunches DATE / /99 / /99 / /99 / /99 / /99 / /99 l
0FFICIAL RECORD COPY 8
l
)
j