ML23342A134
| ML23342A134 | |
| Person / Time | |
|---|---|
| Issue date: | 12/18/2023 |
| From: | NRC/OCFO |
| To: | |
| References | |
| Download: ML23342A134 (6) | |
Text
Fiscal Year 2024 U. S. Nuclear Regulatory Commission Small Enti ty Compliance Guide
I. Background
II. Small Entity Definition
III. NRC Small Entity Fees
I. Background
The U.S. Nuclear Regulatory Commission (NRC) is committed to en suring that all
major rulemakings concerning fees afford small entities the abi lity to compete in the nuclear
energy industry through the licensing and regulation efforts of the NRC. In order to minimize
the financial impact on small entities as it relates to competi tion within the nuclear industry,
the NRC has established definitions and size standards under Pa rt 2 of the Code of Federal
Regulations (10 CFR), Agency Rules of Practice and Procedure, in Section 2.810, NRC
size standards. These size standards are based on Small Busin ess Administration
regulations and are used to determine if licensees qualify as s mall entities for reduced annual
fees. The purpose of this guide is to assist businesses, organi zations, educational institutions,
and governmental jurisdictions i n determining whether they qualify as small entities by
providing the qualifying factors that make up the NRCs definit ion of small entity, and the
small entity fee listing.
II. Small Entity Definition
The NRC defines a small entity as follows:
(a) Small business is a for-profit concern and is a (1) concern that provides a service
or a concern that is not engaged in manufacturing with average gross receipts of $8.0 million or
less over its last 5 completed fi scal years; or (2) manufacturi ng concern with an average number
of 500 or fewer employees based upon employment during each pay period for the preceding
12 calendar months; (b) Small organization is a not-for-profit organization which is independently owned and
operated and has annual gross receipts of $8.0 million or less;
(c) Small governmental jurisdiction is a government of a city, county, town, township,
village, school district, or special district with a population of less than 50,000; and
(d) Small educational institution is one that is(1) supported by a qualifying small
governmental jurisdiction; or (2) not State or publicly support ed and has 500 or fewer
employees.1
The NRC uses size standards to reduce the impact of annual fees on small entities by
establishing a licensees eligibility to qualify for a small en tity fee. The NRC standards are based
on the Small Business Administrations most current receipts-ba sed size standards and,
employee-based size standards for business concerns that are ma nufacturing entities. Where
there is a direct conflict between the Small Business Administr ations regulations and NRCs
regulations on the subject, NRCs regulations are applicable to NRC licensees.
Most recently, the NRC published a final rule amending the smal l business size
standards (87 FR 8943; February 17, 2022). In the final rule, t he NRC increased the receipts-
based small entity size standards from $7.0 million to $8.0 mil lion for small businesses and
small, not-for-profit organiza tions. In addition, the NRC also amended the average gross-
receipts calculation process to change from a 3-year averaging period to a 5-year averaging
period, as required by SBA regulations and in response to the S mall Business Runway
Extension Act of 2018. Further, and analogous to the inflation adjustment in 10 CFR 2.810, the
NRC amended 10 CFR 171.16(c), Annual fees: Materials licensee s, holders of certificates of
compliance, holders of sealed source and device registrations, holders of quality assurance
program approvals, and government agencies licensed by the NRC, to increase the upper-tier
1 An educational institution referred to in the size standards is an entity whose primary function is education, whose programs are accredited by a nationally recognized accrediting agency or association, who is legally authorized to provide a program of organized instruction or study, who provides an educational program for which it awards academic degrees, and whose educational programs are available to the public.
2 receipts-based small entity size standard from $7.0 million to $8.0 million for small businesses
and small, not-for-profit organizations. Likewise, the NRC increased the lower-tier receipts-
based size standard from $485,000 to $555,000, based upon the p ercent change in the upper
tier. The changes are reflected in the sections below.
The following guidelines are provided to licensees to determine if they qualify as a small
entity which are generally based on the Small Business Administ rations regulations
(13 CFR Part 121, Small Business Size Regulations).
(1) A small business concern is an independently owned and operated entity which is
not considered dominant in its field of operations.
(2) The number of employees means the total number of employees in the parent
company, any subsidiaries and/or affiliates, including both for eign and domestic locations (i.e.,
not solely the number of employees working for the licensee or conducting NRC-licensed
activities for the company).
(3) Gross annual receipts include all revenue received or accrued f rom any source,
including receipts of the parent company, any subsidiaries and/ or affiliates, and account for both
foreign and domestic locations. Receipts include all revenues f rom sales of products and
services, interest, rent, fees, and commissions from whatever s ources derived (i.e., not solely
receipts from NRC-licensed activities).
(4) A licensee who is a subsidiary of a large entity, including a f oreign entity, does not
qualify as a small entity.
III. Small Entity Fees
Licensees should review the table below to determine their smal l entity classification as
defined by NRC regulations and their eligibility to pay the red uced FY 2023 annual fees
assessed under 10 CFR Part 171, Annual Fees for Reactor Licenses and Fuel Cycle Licenses
3 and Materials Licenses, Including Holders of Certificates of Co mpliance, Registrations, and
Quality Assurance Program Approvals and Government Agencies Lic ensed by the NRC. The
NRC has established two tiers of annual fees for those material s licensees who qualify as small
entities under the NRC's size standards. The fees are as follow s:
Maximum Annual NRC Small Entity Classification Fee Per Licensed Category Small Businesses Not Engaged in Manufacturing (Average gross receipts over last 5 completed fiscal years): $5,200
$555,000 to $8 million Less than $555,000 $1,000 Small Not-For-Profit Organizations (Annual Gross Receipts):
$555,000 to $8 million $5,200 Less than $555,000 $1,000 Manufacturing Entities that Have an Average of 500 Employees or Fewer:
35 to 500 employees $5,200 Fewer than 35 employees $1,000 Small Governmental Jurisdictions (Including publicly supported educational institutions) (Population):
20,000 to 49,999 $5,200 Fewer than 20,000 $1,000 Educational Institutions that are not State or Publicly Supported, and have 500 Employees or Fewer:
35 to 500 employees $5,200 Fewer than 35 employees $1,000
Licensees who meet the NRC's size standards for a small entity must submit a
completed NRC Form 526, Certification of Small Entity Status f or the Purposes of Annual Fees
Imposed under 10 CFR Part 171, to qualify for the reduced annu al fee. This form can be
accessed on the NRCs Web site at http://www.nrc.gov/reading-rm /doc-collections/forms/ by
selecting NRC Form 526. In addition, Licensees who have signed up for eBilling may access the
NRC Form 526 through the NRC's Website for the eBilling portal at https://ebilling.nrc-
gateway.gov/welcome to submit the request for their annual invoice. Licensees who have not
yet registered can view the brochure to sign-up for eBilling on the NRC's Web site at
4 http://www.nrc.gov/about-nrc/regulatory/licensing/fees.html#ebi lling by selecting Sign-Up for
eBilling. To obtain information regarding NRC Form 526, please contact the License Fee Billing
Help Desk at (301) 415-7554 or by e-mail at: SmallEntity.Resour ce@nrc.gov.
5
SUBJECT:
FISCAL YEAR 2024 SMALL ENTITY COMPLIANCE GUIDE, DATED:
February XX, 2024
DISTRIBUTION:
OCFO/DOB R/F Public
ADAMS Accession Number: ML23342A134 OFFICE OCFO/DOB OCFO/DOB OCFO/DOB NAME JJacobs WBlaney CGalster DATE 12/13/2023 12/14/2023 12/18/2023 OFFICE OCFO/DOC OCFO/DOB NAME RRevinzon ARossi DATE 01/04/2024 12/19/2023 OFFICIALRECORDCOPY