[Federal Register Volume 76, Number 52 (Thursday, March 17, 2011)]
[Proposed Rules]
[Pages 14748-14775]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2011-5968]
[[Page 14747]]
Vol. 76
Thursday,
No. 52
March 17, 2011
Part II
Nuclear Regulatory Commission
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10 CFR Parts 170 and 171
Revision of Fee Schedules; Fee Recovery for Fiscal Year 2011; Proposed
Rule
Federal Register / Vol. 76 , No. 52 / Thursday, March 17, 2011 /
Proposed Rules
[[Page 14748]]
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NUCLEAR REGULATORY COMMISSION
10 CFR Parts 170 and 171
RIN 3150-AI93
[NRC-2011-0016]
Revision of Fee Schedules; Fee Recovery for Fiscal Year 2011
AGENCY: Nuclear Regulatory Commission.
ACTION: Proposed rule.
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SUMMARY: The U.S. Nuclear Regulatory Commission (NRC or the Commission)
is proposing to amend the licensing, inspection, and annual fees
charged to its applicants and licensees. The proposed amendments are
necessary to implement the Omnibus Budget Reconciliation Act of 1990
(OBRA-90), as amended, which requires the NRC to recover through fees
approximately 90 percent of its budget authority in Fiscal Year (FY)
2011, not including amounts appropriated from the Nuclear Waste Fund
(NWF), amounts appropriated for Waste Incidental to Reprocessing (WIR),
and amounts appropriated for generic homeland security activities. The
NRC is currently operating under a Continuing Resolution (CR) set to
expire on March 4, 2011. Based on the FY 2011 budget submitted to the
Congress, the NRC's required fee recovery amount for the FY 2011 budget
is approximately $915.3 million. After accounting for billing
adjustments, the total amount to be billed as fees is approximately
$915.7 million.
DATES: Submit comments on the proposed rule by April 18, 2011. Comments
received after the above date will be considered if it is practical to
do so, but the NRC is able to ensure consideration only for comments
received on or before this date. Because OBRA-90 requires that the NRC
collect the FY 2011 fees by September 30, 2011, requests for extensions
of the comment period will not be granted.
ADDRESSES: Please include Docket ID NRC-2011-0016 in the subject line
of your comments. For instructions on submitting comments and accessing
documents related to this action, see Section I, ``Submitting Comments
and Accessing Information'' in the SUPPLEMENTARY INFORMATION section of
the document. You may submit comments by any one of the following
methods.
Federal rulemaking Web site: Go to http://www.regulations.gov and search for documents filed under Docket ID NRC-
2011-0016. Address questions about NRC dockets to Carol Gallagher,
telephone: 301-492-3668; e-mail: [email protected].
Mail comments to: Secretary, U.S. Nuclear Regulatory
Commission, Washington, DC 20555-0001, ATTN: Rulemakings and
Adjudications Staff.
E-mail comments to: [email protected]. If you do
not receive a reply e-mail confirming that we have received your
comments, contact us directly at 301-415-1677.
Hand deliver comments to: 11555 Rockville Pike, Rockville,
Maryland 20852, between 7:30 am and 4:15 pm Federal workdays.
(telephone: 301-415-1677).
Fax comments to: Secretary, U.S. Nuclear Regulatory
Commission at 301-415-1101.
To obtain additional information on the NRC's FY 2011 budget
request, commenters and others may review NUREG-1100, Volume 26,
``Performance Budget: Fiscal Year 2011'' (SEP 2010), which describes
the NRC's budget for FY 2011, including the activities to be performed
in each program. This document is available on the NRC's public Web
site at http://www.nrc.gov/reading-rm/doc-collections/nuregs/staff/sr1100/v26. The allocation of the budget to each fee class and fee-
relief category is included in the publicly available work papers
supporting this rulemaking.
FOR FURTHER INFORMATION CONTACT: Renu Suri, Office of the Chief
Financial Officer, U.S. Nuclear Regulatory Commission, Washington, DC
20555-0001; telephone: 301-415-0161, e-mail: [email protected].
SUPPLEMENTARY INFORMATION:
I. Submitting Comments and Accessing Information
II. Background
III. Proposed Action
A. Amendments to 10 CFR Part 170: Fees for Facilities,
Materials, Import and Export Licenses, and Other Regulatory Services
Under the Atomic Energy Act of 1954, as Amended
B. Amendments to 10 CFR Part 171: Annual Fees for Reactor
Licenses and Fuel Cycle Licenses and Materials Licenses, Including
Holders of Certificates of Compliance, Registrations, and Quality
Assurance Program Approvals and Government Agencies Licensed by the
NRC
IV. Plain Language
V. Voluntary Consensus Standards
VI. Environmental Impact: Categorical Exclusion
VII. Paperwork Reduction Act Statement
VIII. Regulatory Analysis
IX. Regulatory Flexibility Analysis
X. Backfit Analysis
I. Submitting Comments and Accessing Information
Comments submitted in writing or in electronic form will be posted
on the NRC Web site http://www.regulations.gov. Because your comments
will not be edited, the NRC cautions you against including any
information in your submission that you do not want to be publicly
disclosed. The NRC requests that any party soliciting or aggregating
comments received from other persons for submission to the NRC inform
those persons that the NRC will not edit their comments to remove any
identifying or contact information, and therefore, they should not
include any information in their comments that they do not want
publicly disclosed.
You can access publicly available documents related to this
document using the following methods:
NRC's Public Document Room (PDR): The public may examine
and have copied for a fee publicly available documents at the NRC's
PDR, Room O1 F21, One White Flint North, 11555 Rockville Pike,
Rockville, Maryland 20852.
NRC's Agencywide Documents Access and Management System
(ADAMS): Publicly available documents created or received at the NRC
are available electronically at the NRC's Electronic Reading Room at
http://www.nrc.gov/reading-rm/adams.html. From this page, the public
can gain entry into ADAMS, which provides text and image files of NRC's
public documents. If you do not have access to ADAMS or if there are
problems in accessing the documents located in ADAMS, contact the NRC's
PDR reference staff at 1-800-397-4209, 301-415-4737, or by e-mail to
[email protected].
Federal Rulemaking Web Site: Public comments and
supporting materials related to this proposed rule can be found at
http://www.regulations.gov by searching on Docket ID NRC-2011-0016.
II. Background
The NRC is required each year, under OBRA-90 (42 U.S.C. 2214), as
amended, to recover approximately 90 percent of its budget authority,
not including amounts appropriated from the NWF, amounts appropriated
for WIR, and amounts appropriated for generic homeland security
activities (non-fee items), through fees to NRC licensees and
applicants. The NRC receives 10 percent of its budget authority (not
including non-fee items) from the general fund each year to pay for the
[[Page 14749]]
cost of agency activities that do not provide a direct benefit to NRC
licensees, such as international assistance and Agreement State
activities (as defined under Section 274 of the Atomic Energy Act of
1954, as amended).
The NRC assesses two types of fees to meet the requirements of
OBRA-90. First, user fees, presented in Title 10 of the Code of Federal
Regulations (10 CFR) Part 170 under the authority of the Independent
Offices Appropriation Act of 1952 (IOAA) (31 U.S.C. 9701), recover the
NRC's cost of providing special benefits to identifiable applicants and
licensees. For example, the NRC assesses these fees to cover the cost
of inspections, applications for new licenses and license renewals, and
requests for license amendments. Second, annual fees, presented in 10
CFR Part 171 under the authority of OBRA-90, recover generic regulatory
costs not otherwise recovered through 10 CFR Part 170 fees.
The NRC is currently operating under an CR for FY 2011 (Pub. L.
111-322) that is effective through March 4, 2011. This means that the
FY 2011 funds currently available are similar to the NRC's funding in
FY 2010. Although the NRC has not received a new appropriation for FY
2011 at the time this proposed fee rule was submitted for publication
in the Federal Register, the NRC must proceed with this rulemaking to
collect the required fee amounts by September 30, 2011. Therefore, the
NRC is establishing fees in this rulemaking based on the FY 2011 NRC
budget sent to the Congress in February 2010.
If the Congress enacts a different version of the NRC budget than
that included in the NRC submission, the fees in the NRC's FY 2011
final fee rule will be adjusted to reflect the enacted budget.
Therefore, fees in the FY 2011 final fee rule may differ from the fees
in this proposed rule. The NRC will adjust the FY 2011 final fees based
on the enacted version of the budget without seeking further public
comment.
Under a full-year CR with funding similar to FY 2010, the NRC's
total required fee recovery amount could decrease by approximately $3.1
million, as compared to the FY 2011 NRC budget submitted to Congress.
Nevertheless, the NRC's exact fee recovery amount would depend on the
specific provisions in such legislation. A given licensee's Part 171
annual fees under a full-year CR could be similar to or higher than the
fees included in this proposed fee rule. Although, some licensees may
be affected more than others based on which NRC activities are subject
to budget changes. It is possible that some annual fees may increase
from this proposed rule under a full-year CR, because the NRC's fee-
relief surplus adjustment in this proposed rule (discussed more in
Section III.B.1, Application of ``Fee Relief/Surcharge'' of this
document), could be reduced or revert to becoming a surcharge similar
to the previous year. Fees in the FY 2011 final fee rule may also
change from this proposed fee rule for other reasons, such as changes
in the amount expected to be received from Part 170 fees in FY 2011.
Based on the FY 2011 budget submitted to the Congress, the NRC's
required fee recovery amount for the FY 2011 budget is approximately
$915.3 million, which is increased by approximately $0.4 million to
account for billing adjustments (i.e., expected unpaid invoices,
payments for prior year invoices), resulting in a total of
approximately $915.7 million to be billed as fees in FY 2011.
In accordance with OBRA-90, $26.1 million of the agency's budgeted
resources for generic homeland security activities are excluded from
the NRC's fee base in FY 2011. These funds cover generic activities
such as rulemakings, development of guidance documents that support
entire license fee classes or classes of licensees, and major
information technology systems that support tracking of source
materials. Under its IOAA authority, the NRC will continue to charge
Part 170 fees for all licensee-specific homeland security-related
services provided, including security inspections and security plan
reviews.
The amount of the NRC's required fee collections is set by law, and
is, therefore, outside the scope of this rulemaking. In FY 2011, the
NRC's total fee recovery amount has increased by $3.1 million from FY
2010. The FY 2011 budget supports activities associated with the safe
and secure operations of civilian nuclear power reactors, research and
test reactors, various fuel facilities, use of nuclear materials, and
storage and transportation of spent nuclear fuel. The FY 2011 budget
was allocated to the fee classes that the budget activities support.
The annual fees for power reactors and uranium recovery facilities
decrease while fees for spent fuel storage facilities, nonpower
reactors, fuel facilities, most materials users, and Department of
Energy's (DOE) uranium recovery and transportation increases. Another
factor affecting the amount of annual fees for each fee class is the
estimated collection under Part 170, discussed in Section III,
``Proposed Action,'' of this document.
III. Proposed Action
The NRC is proposing to amend its licensing, inspection, and annual
fees to recover approximately 90 percent of its FY 2011 budget
authority less the appropriations for non-fee items. The NRC's total
budget authority for FY 2011 is $1,053.6 million. The non-fee items
include $10 million appropriated from the NWF, $0.5 million for WIR
activities, and $26.1 million for generic homeland security activities.
Based on the 90 percent fee-recovery requirement, the NRC will have to
recover approximately $915.3 million in FY 2011 through Part 170
licensing and inspection fees and Part 171 annual fees. The amount
required by law to be recovered through fees for FY 2011 would be $3.1
million more than the amount estimated for recovery in FY 2010, an
increase of less than 1 percent.
The FY 2011 fee recovery amount is increased by $0.4 million to
account for billing adjustments (i.e., for FY 2011 invoices that the
NRC estimates will not be paid during the fiscal year, less payments
received in FY 2011 for prior year invoices). This leaves approximately
$915.7 million to be billed as fees in FY 2011 through Part 170
licensing and inspection fees and Part 171 annual fees.
Table I summarizes the budget and fee recovery amounts for FY 2011.
FY 2010 amounts are provided for comparison purposes. (Individual
values may not sum to totals due to rounding.)
[[Page 14750]]
Table I--Budget and Fee Recovery Amounts
[Dollars in millions]
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FY 2010 final rule FY 2011 proposed rule
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Total Budget Authority........................................ $1,066.9 $1,053.6
Less Non-Fee Items............................................ -53.3 -36.6
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Balance................................................... $1,013.6 $1,017.0
Fee Recovery Rate for FY 2011................................. 90% 90%
Total Amount to be Recovered for FY 2011...................... $912.2 $915.3
Less Part 171 Billing Adjustments:
Unpaid Current Year Invoices (estimated).................. 2.1 3.0
Less Payments Received in Current Year for Previous Year -3.2 -2.6
Invoices (estimated).....................................
-------------------------------------------------
Subtotal.................................................. -1.1 0.4
Amount to be Recovered Through Parts 170 and 171 Fees......... $911.1 $915.7
Less Estimated Part 170 Fees.................................. -357.3 -369.3
-------------------------------------------------
Part 171 Fee Collections Required......................... $553.8 $546.4
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The NRC estimates that $369.3 million would be recovered from Part
170 fees in FY 2011. This represents an increase of approximately 1.5
percent as compared to the actual Part 170 collections of $364 million
for FY 2010. The NRC derived the FY 2011 estimate of Part 170 fee
collections based on the previous four quarters of billing data for
each license fee class, with adjustments to account for changes in the
NRC's FY 2011 budget, as appropriate. The remaining $546.4 million
would be recovered through the Part 171 annual fees in FY 2011, which
is an increase of less than 1 percent compared to actual Part 171
collections of $545.6 million for FY 2010.
The NRC plans to publish the final fee rule no later than June
2011. The FY 2011 final fee rule will be a ``major rule'' as defined by
the Congressional Review Act of 1996 (5 U.S.C. 801-808). Therefore, the
NRC's fee schedules for FY 2011 will 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 to reactor licensees,
10 CFR Part 72 licensees, major fuel cycle facilities, and other
licensees with annual fees of $100,000 or more, upon publication of the
FY 2011 final rule. For these licensees, payment is due on the
effective date of the FY 2011 final rule. Because these licensees are
billed quarterly, the payment due is the amount of the total FY 2011
annual fee, less payments made in the first three quarters of the
fiscal year.
Materials licensees with annual fees of less than $100,000 are
billed annually. Those materials licensees whose license anniversary
date during FY 2011 falls before the effective date of the FY 2011
final rule will be billed for the annual fee during the anniversary
month of the license at the FY 2010 annual fee rate. Those materials
licensees whose license anniversary date falls on or after the
effective date of the FY 2011 final rule will be billed for the annual
fee at the FY 2011 annual fee rate during the anniversary month of the
license, and payment will be due on the date of the invoice.
The NRC will send licensees a short summary of the proposed rule
and information on how to access the complete proposed rule on the
internet. The NRC currently does not mail the final fee rule to all
licensees, but will send the final rule or the proposed rule to any
licensee or other person upon specific request. To request a copy,
contact the Accounts Receivable/Payable Branch, Division of the
Controller, Office of the Chief Financial Officer, at 301-415-7554, or
e-mail [email protected]. In addition to publication in the Federal
Register, both the proposed and final rules will be available on the
Internet at http://www.regulations.gov.
The NRC, in conjunction with internal and external stakeholders,
reviewed its fee policies for power reactors in anticipation of the
receipt of new applications for licensing small and medium sized
commercial nuclear reactors. The NRC has prepared a paper for the
Commission's information in support of the Nuclear Energy Institute's
position to calculate annual fees for each new licensed power reactor
as a function of its licensed thermal power rating (MWt).
The NRC changed its current policy with regard to billing
inspection costs. Instead of billing a licensee when the inspection is
completed, the NRC will now bill the licensee for any inspection cost
incurred during the quarter even if the inspection is still ongoing.
Billing for incurred inspections costs began in the first quarter of FY
2011, when the NRC's new accounting system was implemented. This policy
change does not require a revision to Part 170.
The NRC is proposing to amend 10 CFR Parts 170 and 171 as discussed
in Sections III.A. and III.B. of this document.
A. Amendments to 10 CFR Part 170: Fees for Facilities, Materials,
Import and Export Licenses, and Other Regulatory Services Under the
Atomic Energy Act of 1954, as Amended
In FY 2011, the NRC is proposing to increase the hourly rate to
recover the full cost of activities under Part 170, and using this rate
to calculate ``flat'' application fees.
The NRC is proposing the following changes:
1. Hourly Rate
The NRC's hourly rate is used in assessing full cost fees for
specific services provided, as well as flat fees for certain
application reviews. The NRC is proposing to change the FY 2011 hourly
rate to $273. This rate would be applicable to all activities for which
fees are assessed under Sec. Sec. 170.21 and 170.31.
The FY 2011 proposed hourly rate is higher than the hourly rate of
$259 in the FY 2010 final fee rule. The increase in hourly rate is due
to higher FY 2011 agency overhead budgeted resources, and a small
reduction in the number of direct full-time equivalents (FTEs). In FY
2011 the NRC revised its budget structure. This new structure allows
the agency to accurately identify all its direct and overhead costs.
Under this new FY 2011 structure, more of the budgeted resources have
been identified as overhead costs. The agency is using this information
to further streamline its costs and make efficient use of all its
resources. The FTEs for direct program
[[Page 14751]]
activities in the Reactor program decrease in FY 2011. The hourly rate
calculation is described in further detail in the following paragraphs.
The NRC's hourly rate is derived by dividing the sum of recoverable
budgeted resources for (1) mission direct program salaries and
benefits; (2) mission indirect program support; and (3) agency
corporate support and the Inspector General (IG), by mission direct FTE
hours. The mission direct FTE hours are the product of the mission
direct FTE times the hours per direct FTE. The only budgeted resources
excluded from the hourly rate are those for contract activities related
to mission direct and fee-relief activities.
In FY 2011, the NRC is proposing to use 1,371 hours per direct FTE,
the same amount as FY 2010, to calculate the hourly fees. The NRC has
reviewed data from its time and labor system to determine if the annual
direct hours worked per direct FTE estimate requires updating for the
FY 2011 fee rule. Based on this review of the most recent data
available, the NRC determined that 1,371 hours is the best estimate of
direct hours worked annually per direct FTE. This estimate excludes all
indirect activities such as training, general administration, and
leave.
Table II shows the results of the hourly rate calculation
methodology. FY 2010 amounts are provided for comparison purposes.
(Individual values may not sum to totals due to rounding.)
Table II--Hourly Rate Calculation
------------------------------------------------------------------------
FY 2010 final FY 2011
rule proposed rule
------------------------------------------------------------------------
Mission Direct Program Salaries & $343.8 $337.6
Benefits...............................
Mission Indirect Program Support........ $135.6 $25.9
Agency Corporate Support, and the IG.... $330.4 $473.4
-------------------------------
Subtotal............................ $809.8 $836.9
Less Offsetting Receipts................ -0.0 -0.0
-------------------------------
Total Budget Included in Hourly Rate $809.8 $836.9
Mission Direct FTEs..................... 2,276 2,236
Professional Hourly Rate (Total Budget $259 $273
Included in Hourly Rate divided by
Mission Direct FTE Hours)..............
------------------------------------------------------------------------
As shown in Table II, dividing the FY 2011 $836.9 million budget
amount included in the hourly rate by total mission direct FTE hours
(2,236 FTE times 1,371 hours) results in an hourly rate of $273. The
hourly rate is rounded to the nearest whole dollar.
2. ``Flat'' Application Fee Changes
The NRC is proposing to adjust the current flat application fees in
Sec. Sec. 170.21 and 170.31 to reflect the revised hourly rate of
$273. These flat fees are calculated by multiplying the average
professional staff hours needed to process the licensing actions by the
proposed professional hourly rate for FY 2011.
Biennially, the NRC evaluates historical professional staff hours
used to process a new license application for materials users fee
categories subject to flat application fees. This is in accordance with
the requirements of the Chief Financial Officer's Act. The NRC
conducted this biennial review for the FY 2011 fee rule which also
included license and amendment applications for import and export
licenses.
Evaluation of the historical data in FY 2011 shows that the average
number of professional staff hours required to complete licensing
actions in the materials program should be increased in some fee
categories and decreased in others to more accurately reflect current
data for completing these licensing actions. The average number of
professional staff hours needed to complete new licensing actions was
last updated for the FY 2009 final fee rule. Thus, the revised proposed
average professional staff hours in this fee rule reflect the changes
in the NRC licensing review program that have occurred since that time.
The higher hourly rate of $273 is the main reason for the increases
in the application fees. Application fees for 11 fee categories (3.G.,
3.I., 3.P., 3.R.1., 3.R.2., 4.B., 7.C., 8.A., 9.C., 9.D., and 17.,
under Sec. 170.31) also increase because of the results of the
biennial review, which showed an increase in average time to process
these types of license applications. The decrease in fees for 9 fee
categories (2.C., 3.B., 3.H., 3.L., 3.M., 3.O., 5.A., 7.A., and 9.A.,
under Sec. 170.31) is due to a decrease in average time to process
these types of applications.
The flat application fee for fee Category 17., master materials
licenses of broad scope issue to Government agencies, is being
eliminated. Instead, any application received for fee Category 17. will
be reviewed on a full-cost basis; i.e., staff hours required to review
application times the NRC hourly rate. The regulatory effort to review
a new master materials license application varies with each license
application. Therefore, a full cost application fee would be equitable
since the actual cost of review will be charged to the applicant.
Based on the biennial review, the following changes have been made
to the fee categories for import and export licenses. The current
export fee Category 15.H. is deleted because the description for the
fee was incorrect and not used in export licensing. The current fee
Category 15.I. is renumbered as 15.H. A new export fee Category 15.H.
is established to reflect a new fee category for government-to-
government consents for exports of Category 1 quantities for
radioactive material listed in Appendix P to 10 CFR Part 110. The new
15.H. fee category reflects the NRC's activity related to obtaining
government-to-government consents as specified in Sec. 110.42(e)(3).
In addition, fee categories 15.M. through and including 15.Q. are being
eliminated since the requirement to obtain a specific license for
imports of radioactive materials listed in Appendix P to 10 CFR Part
110 was eliminated as part of a 2010 rule change to 10 CFR Part 110
(July 28, 2010; 75 FR 44072).
The amounts of the materials licensing flat fees are rounded so
that the fees would be convenient to the user and the effects of
rounding would be minimal. 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, and fees that are greater than $100,000
are rounded to the nearest $1,000.
The proposed licensing flat fees are applicable for fee categories
K.1. through K.5. of Sec. 170.21, and fee categories 1.C., 1.D., 2.B.,
2.C., 3.A. through 3.S., 4.B. through 9.D., 10.B.,
[[Page 14752]]
15.A. through 15.L., 15.R., 16, and 17 of Sec. 170.31. Applications
filed on or after the effective date of the FY 2011 final fee rule
would be subject to the revised fees in the final rule.
In FY 2011, NRC will be eliminating fee Category 3.D. under
byproduct materials since the agency does not expect to receive any
license under the current definition of this fee category. The fee
category will be reserved for future use.
3. Administrative Amendments
In Sec. 170.11, the NRC is inserting a semicolon at the end of
paragraph (a)(1)(iii)(A), inserting a semicolon and the word ``and'' at
the end of paragraph (a)(1)(iii)(B), and removing and reserving
paragraph (a)(1)(iii)(D) for ease of reading. There is no change to the
NRC's fee exemption policy.
In Sec. 170.31, the NRC is eliminating footnote 5 and renumbering
footnote 6 to 5.
In summary, the NRC is proposing to make the following changes to
10 CFR Part 170:
1. Establish a revised professional hourly rate to use in assessing
fees for specific services;
2. Revise the fee categories for import and export licenses. Also
revise the license application fees to reflect the proposed FY 2011
hourly rate; and
3. Make certain administrative changes for purposes of improving
the clarity of the rule.
B. Amendments to 10 CFR Part 171: Annual Fees for Reactor Licenses and
Fuel Cycle Licenses and Materials Licenses, Including Holders of
Certificates of Compliance, Registrations, and Quality Assurance
Program Approvals and Government Agencies Licensed by the NRC
The NRC proposes to use its fee-relief surplus by decreasing all
licensees' annual fees. This rulemaking also proposed to make changes
to the number of NRC licensees and to establish rebaselined annual fees
based on the FY 2011 budget submitted to the Congress. The proposed
amendments are described as follows:
1. Application of Fee-Relief and Low-Level Waste (LLW) Surcharge
The NRC is proposing to use its fee-relief surplus by decreasing
all licensees' annual fees, based on their percentage share of the
budget. The NRC applies the 10 percent of its budget that is excluded
from fee recovery under OBRA-90, as amended (fee-relief), to offset the
total budget allocated for activities which do not directly benefit
current NRC licensees. The budget for these fee-relief activities is
totaled and then reduced by the amount of the NRC's fee-relief. Any
difference between the fee-relief and the budgeted amount of these
activities results in a fee-relief adjustment (increase or decrease) to
all licensees' annual fees, based on their percentage share of the
budget (i.e., over 80 percent is allocated to power reactors each
year).
In FY 2011, the 10 percent fee-relief exceeded the total budget by
$6.4 million. The FY 2011 budget for fee-relief activities is lower
than FY 2010, primarily due to a decrease in budgeted resources for
nonprofit educational exemptions, international activities, small
entity subsidies, and grants for fellowships and scholarships. The NRC
is decreasing all licensees' annual fees to use the surplus amount of
$6.4 million, based on their percentage share of the fee recoverable
budget authority.
This is consistent with the existing fee methodology. Any fee-
relief surplus is allocated as a reduction of license fees when the NRC
fee-relief amount is more than the budget for fee-relief activities. A
fee-relief shortfall amount is allocated as an increase in license fee
to licensees when the NRC fee-relief amount is less than the budgeted
resources for fee-relief activities. In FY 2011, the power reactors
class of licensees will be allocated approximately 86 percent of the
fee-relief surplus based on their share of the NRC fee recoverable
budget authority.
The FY 2011 budgeted resources for NRC's fee-relief activities are
$95.3 million. The NRC's total fee-relief in FY 2011 is $101.7 million,
leaving a $6.4 million fee-relief surplus that will reduce licensees'
annual fees. These values are shown in Table III. The FY 2010 amounts
are provided for comparison purposes. (Individual values may not sum to
totals due to rounding.)
Table III--Fee-Relief Activities
[Dollars in millions]
------------------------------------------------------------------------
FY 2010 FY 2011
Fee-relief activities budgeted costs budgeted costs
------------------------------------------------------------------------
1. Activities not attributable to an
existing NRC licensee or class of
licensee:
a. International activities......... $18.2 $15.0
b. Agreement State oversight........ 11.2 14.1
c. Scholarships and Fellowships..... 15.0 11.5
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 17.4 13.3
educational institutions...........
b. Costs not recovered from small 6.1 5.6
entities under 10 CFR 171.16(c)....
c. Regulatory support to Agreement 23.1 18.0
States.............................
d. Generic decommissioning/ 15.1 16.6
reclamation (not related to the
power reactor and spent fuel
storage fee classes)...............
e. In situ leach rulemaking and 2.4 1.2
unregistered general licensees.....
-------------------------------
Total fee-relief activities..... 108.5 95.3
Less 10 percent of NRC's FY 2011 total -101.4 -101.7
budget (less non-fee items)............
-------------------------------
Fee-Relief Adjustment to be 7.1 -6.4
Allocated to All Licensees' Annual
Fees...............................
------------------------------------------------------------------------
Table IV shows how the NRC is allocating the $6.4 million fee-
relief surplus adjustment to each license fee class. As explained
previously, the NRC is allocating this fee-relief adjustment to each
license fee class based on the percent of the budget for that fee class
compared to the NRC's total budget. The fee-relief surplus adjustment
is
[[Page 14753]]
subtracted from the required annual fee recovery from each fee class.
Separately, the NRC has continued to allocate the LLW surcharge
based on the volume of LLW disposal of three classes of licenses:
Operating reactors, fuel facilities, and materials users. Because LLW
activities support NRC licensees, the costs of these activities are
recovered through annual fees. In FY 2011, this allocation percentage
was updated based on review of recent data which reflects the change in
the support to the various fee classes. The allocation percentage of
LLW surcharge increased for operating reactors and fuel facilities, and
decreased for materials users compared to FY 2010.
Table IV also shows the allocation of the LLW surcharge activity.
For FY 2011, the total budget allocated for LLW activity is $3.0
million. (Individual values may not sum to totals due to rounding.)
Table IV--Allocation of Fee-Relief Adjustment and LLW Surcharge, FY 2011
[Dollars in millions]
----------------------------------------------------------------------------------------------------------------
LLW surcharge Fee-relief adjustment Total
-------------------------------------------------------------------------------
Percent $ Percent $ $
----------------------------------------------------------------------------------------------------------------
Operating Power Reactors........ 70.0 2.1 85.9 -5.5 -3.4
Spent Fuel Storage/Reactor .............. .............. 3.7 -0.2 -0.2
Decommissioning................
Research and Test Reactors...... .............. .............. 0.2 0.0 0.0
Fuel Facilities................. 24.0 0.7 6.2 -0.4 0.3
Materials Users................. 6.0 0.2 2.8 -0.2 0.0
Transportation.................. .............. .............. 0.5 0.0 0.0
Uranium Recovery................ .............. .............. 0.8 0.0 0.0
-------------------------------------------------------------------------------
Total....................... 100.0 3.0 100.0 -6.4 -3.3
----------------------------------------------------------------------------------------------------------------
2. Revised Annual Fees
The NRC is proposing to revise its annual fees in Sec. Sec. 171.15
and 171.16 for FY 2011 to recover approximately 90 percent of the NRC's
FY 2011 budget authority, after subtracting the non-fee amounts and the
estimated amount to be recovered through Part 170 fees.
The Commission has determined (71 FR 30721; May 30, 2006) that the
agency should proceed with a presumption in favor of rebaselining when
calculating annual fees each year. Under this method, the NRC's budget
is analyzed in detail, and budgeted resources are allocated to fee
classes and categories of licensees. The Commission expects that most
years there will be budgetary and other changes that warrant the use of
the rebaselining method.
As compared with FY 2010 annual fees, the FY 2011 proposed
rebaselined fees are higher for four classes of licensees (spent fuel
storage and reactors in decommissioning facilities, research and test
reactors, fuel facilities and transportation), and lower for one class
of licensees (power reactors). Within the uranium recovery fee class,
the proposed annual fees for most licensees decrease, while the
proposed annual fee for one fee category increases. The annual fee
increases for most fee categories in the materials users' fee class.
The NRC's total fee recoverable budget, as mandated by law, is
approximately $3.1 million higher in FY 2011 as compared with FY 2010.
The FY 2011 budget was allocated to the fee classes that the budgeted
activities support. The increase is primarily due to the higher FY 2011
budget supporting the spent fuel storage and transportation activities,
fuel facility reviews, materials user's activities, uranium recovery
facilities, and research and test reactor reviews.
The factors affecting all annual fees include the distribution of
budgeted costs to the different classes of licenses (based on the
specific activities the NRC will perform in FY 2011), the estimated
Part 170 collections for the various classes of licenses, and
allocation of the fee-relief surplus adjustment to all fee classes. The
percentage of the NRC's budget not subject to fee recovery remained at
10 percent from FY 2010 to FY 2011.
Table V shows the rebaselined fees for FY 2011 for a representative
list of categories of licensees. The FY 2010 amounts are provided for
comparison purposes. (Individual values may not sum to totals due to
rounding.)
Table V--Rebaselined Annual Fees
------------------------------------------------------------------------
FY 2010 FY 2011
Class/category of licenses annual fee annual fee
------------------------------------------------------------------------
Operating Power Reactors (Including $4,784,000 $4,669,000
Spent Fuel Storage/Reactor
Decommissioning Annual Fee)............
Spent Fuel Storage/Reactor 148,000 241,000
Decommissioning........................
Research and Test Reactors (Nonpower 81,700 86,100
Reactors)..............................
High Enriched Uranium Fuel Facility..... 5,439,000 6,078,000
Low Enriched Uranium Fuel Facility...... 2,047,000 2,287,000
UF6 Conversion Facility................. 1,111,000 1,242 ,000
Conventional Mills...................... 38,300 31,900
Typical Materials Users:
Radiographers (Category 3O)......... 28,200 25,700
Well Loggers (Category 5A).......... 11,900 9,900
Gauge Users (Category 3P)........... 4,500 4,800
Broad Scope Medical (Category 7B)... 45,100 45,000
------------------------------------------------------------------------
[[Page 14754]]
The work papers that support this proposed rule show in detail the
allocation of NRC's budgeted resources for each class of licenses and
how the fees are calculated. Beginning in FY 2011, the NRC is
transitioning to a new budget structure. Therefore, the reports
included in these work papers summarize the FY 2011 budgeted FTE and
contract dollars allocated to each fee class and fee-relief category at
the product line level. Since the FY 2010 and FY 2011 budget structures
are appreciably different, the reports comparing the FY 2011
allocations to FY 2010 are at a higher summary level. The work papers
are available electronically at http://www.regulations.gov by searching
on Docket ID NRC-2011-0016 and at the NRC's Electronic Reading Room on
the Internet at Web site address http://www.nrc.gov/reading-rm/adams.html. The work papers may also be examined at the NRC PDR located
at One White Flint North, Room O-1F22, 11555 Rockville Pike, Rockville,
Maryland 20852.
The budgeted costs allocated to each class of licenses and the
calculations of the rebaselined fees are described in paragraphs a.
through h. of this section. Individual values in the Tables presented
in this section may not sum to totals due to rounding.
a. Fuel Facilities
The FY 2011 budgeted cost to be recovered in the annual fees
assessment to the fuel facility class of licenses [which includes
licensees in fee categories 1.A.(1)(a), 1.A.(1)(b), 1.A.(2)(a),
1.A.(2)(b), 1.A.(2)(c), 1.E., and 2.A.(1), under Sec. 171.16] is
approximately $30 million. This value is based on the full cost of
budgeted resources associated with all activities that support this fee
class, which is reduced by estimated Part 170 collections and adjusted
for allocated generic transportation resources and fee-relief
adjustment. In FY 2011, the LLW surcharge for fuel facilities is added
to the allocated fee-relief adjustment (see Table IV in Section
III.B.1., ``Application of Fee-Relief and Low-Level Waste Surcharge''
of this document). The summary calculations used to derive this value
are presented in Table VI for FY 2011, with FY 2010 values shown for
comparison. (Individual values may not sum to totals due to rounding.)
Table VI--Annual Fee Summary Calculations for Fuel Facilities
[Dollars in millions]
------------------------------------------------------------------------
FY 2011
Summary fee calculations FY 2010 final proposed
------------------------------------------------------------------------
Total budgeted resources................ $48.8 $55.7
Less estimated Part 170 receipts........ -21.2 -26.6
-------------------------------
Net Part 171 resources.............. 27.6 29.1
Allocated generic transportation........ +0.5 +0.6
Fee-relief adjustment/LLW surcharge..... +0.7 +0.3
Billing adjustments..................... -0.1 -0.0
-------------------------------
Total required annual fee recovery.. 28.8 30.0
------------------------------------------------------------------------
The increase in total budgeted resources allocated to this fee
class from FY 2010 to FY 2011 is primarily due to increased support for
licensing amendments, and rulemaking for regulatory framework for
reprocessing.
The total required annual fee recovery amount is allocated to the
individual fuel facility licensees, based on the effort/fee
determination matrix developed for the FY 1999 final fee rule (64 FR
31447; June 10, 1999). In the matrix included in the publicly available
NRC work papers, licensees are grouped into categories according to
their licensed activities (i.e., nuclear material enrichment,
processing operations, and material form) and the level, scope, depth
of coverage, and rigor of generic regulatory programmatic effort
applicable to each category from a safety and safeguards perspective.
This methodology can be applied to determine fees for new licensees,
current licensees, licensees in unique license situations, and
certificate holders.
This methodology is adaptable to changes in the number of licensees
or certificate holders, licensed or certified material and/or
activities, and total programmatic resources to be recovered through
annual fees. When a license or certificate is modified, it may result
in a change of category for a particular fuel facility licensee, as a
result of the methodology used in the fuel facility effort/fee matrix.
Consequently, this change may also have an effect on the fees assessed
to other fuel facility licensees and certificate holders. For example,
if a fuel facility licensee amends its license/certificate (e.g.,
decommissioning or license termination) that results in it not being
subject to Part 171 costs applicable to the fee class, then the
budgeted costs for the safety and/or safeguards components will be
spread among the remaining fuel facility licensees/certificate holders.
The methodology is applied as follows. First, a fee category is
assigned, based on the nuclear material and activity authorized by
license or certificate. Although a licensee/certificate holder may
elect not to fully use a license/certificate, the license/certificate
is still used as the source for determining authorized nuclear material
possession and use/activity. Second, the category and license/
certificate information are used to determine where the licensee/
certificate holder fits into the matrix. The matrix depicts the
categorization of licensees/certificate holders by authorized material
types and use/activities.
Each year, the NRC's fuel facility project managers and regulatory
analysts determine the level of effort associated with regulating each
of these facilities. This is done by assigning, for each fuel facility,
separate effort factors for the safety and safeguards activities
associated with each type of regulatory activity. The matrix includes
ten types of regulatory activities, including enrichment and scrap/
waste-related activities (see the work papers for the complete list).
Effort factors are assigned as follows: one (low regulatory effort),
five (moderate regulatory effort), and ten (high regulatory effort).
These effort factors are then totaled for each fee category, so that
each fee category has a total effort factor for safety activities and a
total effort factor for safeguards activities.
The effort factors for the various fuel facility fee categories are
summarized in Table VII. The value of the effort factors
[[Page 14755]]
shown, as well as the percent of the total effort factor for all fuel
facilities, reflects the total regulatory effort for each fee category
(not per facility). The following factors have changed compared to FY
2010. The total effort factors for the Limited Operations fee category
has increased from FY 2010, while the Uranium Enrichment fee category
factors decreased from FY 2010 primarily due to a shift of one licensee
from the Uranium Enrichment fee category to Limited Operations fee
category.
Table VII--Effort Factors for Fuel Facilities, FY 2011
----------------------------------------------------------------------------------------------------------------
Effort factors (percent of
Number of total)
Facility type (fee category) facilities -------------------------------
Safety Safeguards
----------------------------------------------------------------------------------------------------------------
High Enriched Uranium Fuel (1.A.(1)(a))......................... 2 89 (35.5) 97 (46.4)
Low Enriched Uranium Fuel (1.A.(1)(b)).......................... 3 70 (27.9) 35 (16.7)
Limited Operations (1.A.(2)(a))................................. 2 15 (6.0) 8 (3.8)
Gas Centrifuge Enrichment Demonstration (1.A.(2)(b))............ 1 3 (1.2) 15 (7.2)
Hot Cell (1.A.(2)(c))........................................... 1 6 (2.4) 3 (1.4)
Uranium Enrichment (1.E)........................................ 2 56 (22.3) 44 (21.1)
UF6 Conversion (2.A.(1))........................................ 1 12 (4.8) 7 (3.3)
----------------------------------------------------------------------------------------------------------------
For FY 2011, the total budgeted resources for safety activities,
before the fee-relief adjustment is made, are $16,216,139. This amount
is allocated to each fee category based on its percent of the total
regulatory effort for safety activities. For example, if the total
effort factor for safety activities for all fuel facilities is 100, and
the total effort factor for safety activities for a given fee category
is 10, that fee category will be allocated 10 percent of the total
budgeted resources for safety activities. Similarly, the budgeted
resources amount of $13,502,682 for safeguards activities is allocated
to each fee category based on its percent of the total regulatory
effort for safeguards activities. The fuel facility fee class' portion
of the fee-relief adjustment ($343,353) is allocated to each fee
category based on its percent of the total regulatory effort for both
safety and safeguards activities. The annual fee per licensee is then
calculated by dividing the total allocated budgeted resources for the
fee category by the number of licensees in that fee category. The fee
(rounded) for each facility is summarized in Table VIII.
Table VIII--Annual Fees for Fuel Facilities
------------------------------------------------------------------------
FY 2011
Facility type (fee category) proposed annual
fee
------------------------------------------------------------------------
High Enriched Uranium Fuel (1.A.(1)(a))............... $6,078,000
Low Enriched Uranium Fuel (1.A.(1)(b))................ 2,287,000
Limited Operations Facility (1.A.(2)(a)).............. 752,000
Gas Centrifuge Enrichment Demonstration (1.A.(2)(b)).. 1,176,000
Hot Cell (and others) (1.A.(2)(c)).................... 588,000
Uranium Enrichment (1.E.)............................. 3,268,000
UF6 Conversion (2.A.(1)).............................. 1,242,000
------------------------------------------------------------------------
If the NRC authorizes operation of a new uranium enrichment
facility in FY 2011, the applicable fee to any type of new uranium
enrichment facility is the annual fee in Sec. 171.16, fee Category
1.E., Uranium Enrichment, unless the NRC establishes a new fee category
for the facility in a subsequent rulemaking. The applicable annual fee
for a facility that is authorized to operate during the FY will be
prorated in accordance with the provisions of Sec. 171.17.
b. Uranium Recovery Facilities
The total FY 2011 budgeted cost to be recovered through annual fees
assessed to the uranium recovery class [which includes licensees in fee
categories 2.A.(2)(a), 2.A.(2)(b), 2.A.(2)(c), 2.A.(2)(d), 2.A.(2)(e),
2.A.(3), 2.A.(4), 2.A.(5) and 18.B., under Sec. 171.16], is
approximately $1.0 million. The derivation of this value is shown in
Table IX, with FY 2010 values shown for comparison purposes.
Table IX--Annual Fee Summary Calculations for Uranium Recovery
Facilities
[Dollars in millions]
------------------------------------------------------------------------
FY 2011
Summary fee calculations FY 2010 final proposed
------------------------------------------------------------------------
Total budgeted resources................ $6.69 $7.14
Less estimated Part 170 receipts........ -5.83 -6.09
-------------------------------
Net Part 171 resources.............. 0.86 1.05
Allocated generic transportation........ N/A N/A
Fee-relief adjustment................... +0.05 -0.05
Billing adjustments..................... -0.01 0.00
-------------------------------
[[Page 14756]]
Total required annual fee recovery.. 0.91 1.00
------------------------------------------------------------------------
The increase in total budgeted resources allocated to this fee
class from FY 2010 to FY 2011 is primarily due to increase in DOE Title
I licensing activities partially offset by increase in Part 170
estimates. Since FY 2002, the NRC has computed the annual fee for the
uranium recovery fee class by allocating the total annual fee amount
for this fee class between the DOE and the other licensees in this fee
class. The NRC regulates DOE's Title I and Title II activities under
the Uranium Mill Tailings Radiation Control Act (UMTRCA). The Congress
established the two programs, Title I and Title II under UMTRCA, to
protect the public and the environment from uranium milling. The UMTRCA
Title I program is for remedial action at abandoned mill tailings sites
where tailings resulted largely from production of uranium for the
weapons program. The NRC also regulates DOE's UMTRCA Title II program
which is directed toward uranium mill sites licensed by the NRC or
Agreement States in or after 1978.
The annual fee assessed to DOE includes recovery of the costs
specifically budgeted for NRC's Title I activities, plus 10 percent of
the remaining annual fee amount, including the fee-relief and generic/
other costs, for the uranium recovery class. The remaining 90 percent
of the fee-relief and generic/other costs are assessed to the other NRC
licensees in this fee class that are subject to annual fees. The
distribution of 10 percent of the generic budgeted costs to DOE and 90
percent to other facilities is a change from the previous year that is
based on current NRC activities. Last year, the distribution was 35
percent and 65 percent to DOE and other facilities, respectively.
The costs to be recovered through annual fees assessed to the
uranium recovery class are shown in Table X.
Table X--Costs Recovered Through Annual Fees
------------------------------------------------------------------------
Uranium recovery fee class
------------------------------------------------------------------------
DOE Annual Fee Amount (UMTRCA Title I and Title II)
general licenses:
UMTRCA Title I budgeted costs less Part 170 receipts $745,331
10 percent of generic/other uranium recovery 30,984
budgeted costs.....................................
10 percent of uranium recovery fee-relief adjustment -4,984
---------------
Total Annual Fee Amount for DOE (rounded)....... 771,000
Annual Fee Amount for Other Uranium Recovery Licenses:
90 percent of generic/other uranium recovery 278,854
budgeted costs less the amounts specifically
budgeted for Title I activities....................
90 percent of uranium recovery fee-relief -44,857
adjustment.....................................
---------------
Total Annual Fee Amount for Other Uranium 233,996
Recovery Licenses..............................
------------------------------------------------------------------------
The DOE fee increases in FY 2011 compared to FY 2010 due to higher
budgeted resources for UMTRCA Title I activities. The annual fee for
other uranium recovery licensees decreases in FY 2011.
Although the distribution of the generic budgeted costs to other
uranium facilities increased from FY 2010, the total annual fee amount
to be recovered decreases in FY 2011 compared to FY 2010, primarily due
to increased activities for DOE Title I facilities.
The NRC will continue to use a matrix (which is included in the
supporting work papers) to determine the level of effort associated
with conducting the generic regulatory actions for the different (non-
DOE) licensees in this fee class. The weights derived in this matrix
are used to allocate the approximately $234,000 annual fee amount to
these licensees. The use of this uranium recovery annual fee matrix was
established in the FY 1995 final fee rule (60 FR 32217; June 20, 1995).
The FY 2011 matrix is described as follows.
First, the methodology identifies the categories of licenses
included in this fee class (besides DOE). In FY 2011, these categories
are conventional uranium mills and heap leach facilities, uranium
solution mining and resin In Situ Recovery (ISR) facilities, mill
tailings disposal facilities (11e.(2) disposal facilities), and uranium
water treatment facilities.
Second, the matrix identifies the types of operating activities
that support and benefit these licensees. The activities related to
generic decommissioning/reclamation are not included in the matrix,
because they are included in the fee-relief activities. Therefore, they
are not a factor in determining annual fees. The activities included in
the FY 2011 matrix are operations, waste operations, and groundwater
protection. The relative weight of each type of activity is then
determined, based on the regulatory resources associated with each
activity. The operations, waste operations, and groundwater protection
activities have weights of 0, 5, and 10, respectively, in the FY 2011
matrix.
Each year, the NRC determines the level of benefit to each licensee
for generic uranium recovery program activities for each type of
generic activity in the matrix. This is done by assigning, for each fee
category, separate benefit factors for each type of regulatory activity
in the matrix. Benefit factors are assigned on a scale of 0 to 10 as
follows: Zero (no regulatory benefit), five (moderate regulatory
benefit), and ten (high regulatory benefit). These benefit factors are
first multiplied by the relative weight assigned to each activity
(described previously). Total benefit factors by fee category, and per
licensee in each fee category, are then calculated. These benefit
factors thus reflect the relative regulatory benefit associated with
each licensee and fee category. The NRC expects to license an ISR Resin
[[Page 14757]]
Facility in FY 2011. Therefore, the benefit factors for fee Category
2.A.(2)(d) have been included in the FY 2011 matrix, and an annual fee
has been established.
The benefit factors per licensee and per fee category, for each of
the non-DOE fee categories included in the uranium recovery fee class,
are as follows:
Table XI--Benefit Factors for Uranium Recovery Licenses
----------------------------------------------------------------------------------------------------------------
Number of Benefit factor Benefit factor
Fee category licensees per licensee Total value percent total
----------------------------------------------------------------------------------------------------------------
Conventional and Heap Leach mills (2.(A).2.a.).. 1 200 200 14
Basic In Situ Recovery facilities (2.(A).2.b.).. 4 190 760 52
Expanded In Situ Recovery facilities 1 215 215 15
(2.(A).2.c.)...................................
In Situ Recovery Resin Facilities (2.(A).2.d.).. 1 180 180 12
11e.(2) disposal incidental to existing tailings 1 65 65 4
sites (2.(A).4.)...............................
Uranium water treatment (2.(A).5.).............. 1 45 45 3
----------------
.............. .............. 1,465 ..............
----------------------------------------------------------------------------------------------------------------
Applying these factors to the approximately $234,000 in budgeted
costs to be recovered from non-DOE uranium recovery licensees results
in the total annual fees for each fee category. The annual fee per
licensee is calculated by dividing the total allocated budgeted
resources for the fee category by the number of licensees in that fee
category, as summarized in Table XII:
Table XII--Annual Fees for Uranium Recovery Licensees (Other Than DOE)
------------------------------------------------------------------------
FY 2011
Facility type (fee category) proposed
annual fee
------------------------------------------------------------------------
Conventional and Heap Leach mills (2.A.(2)(a)).......... 31,900
Basic In Situ Recovery facilities (2.A.(2)(b)).......... 30,300
Expanded In Situ Recovery facilities (2.A.(2)(c))....... 34,300
In Situ Recovery Resin facilities (2.A.(2)(d)).......... 28,800
11e.(2) disposal incidental to existing tailings sites 10,400
(2.A.(4))..............................................
Uranium water treatment (2.A.(5))....................... 7,200
------------------------------------------------------------------------
c. Operating Power Reactors
The $460.5 million in budgeted costs to be recovered through FY
2011 annual fees assessed to the power reactor class was calculated as
shown in Table XIII. The FY 2010 values are shown for comparison.
(Individual values may not sum to totals due to rounding.)
Table XIII--Annual Fee Summary Calculations for Operating Power Reactors
[Dollars in millions]
------------------------------------------------------------------------
FY 2010 FY 2011
Summary fee calculations final proposed
------------------------------------------------------------------------
Total budgeted resources...................... $787.3 $783.1
Less estimated Part 170 receipts.............. -312.5 -320.5
Net Part 171 resources........................ 474.8 462.6
Allocated generic transportation.............. +0.8 +0.9
Fee-relief adjustment/LLW surcharge........... +7.5 -3.4
Billing adjustments........................... -1.0 0.4
-------------------------
Total required annual fee recovery........ 482.1 460.5
------------------------------------------------------------------------
The annual fee for power reactors decreases in FY 2011 compared to
FY 2010 due to a decrease in budgeted resources, increase in the Part
170 collections estimate, and the fee-relief surplus adjustment. The
budgeted costs to be recovered through annual fees to power reactors
are divided equally among the 104 power reactors licensed to operate.
This results in an FY 2011 annual fee of $4,428,000 per reactor.
Additionally, each power reactor licensed to operate would be assessed
the FY 2011 spent fuel storage/reactor decommissioning annual fee of
$241,000. This results in a total FY 2011 annual fee of $4,669,000 for
each power reactor licensed to operate.
The annual fees for power reactors are presented in Sec. 171.15.
d. Spent Fuel Storage/Reactors in Decommissioning
For FY 2011, budgeted costs of approximately $29.7 million for
spent fuel storage/reactor decommissioning are to be recovered through
annual fees assessed to 10 CFR Part 50 power reactors, and to Part 72
licensees who do not hold a Part 50 license. Those reactor licensees
that have ceased operations and have no fuel onsite are not subject to
these annual fees. Table
[[Page 14758]]
XIV shows the calculation of this annual fee amount. The FY 2010 values
are shown for comparison. (Individual values may not sum to totals due
to rounding.)
Table XIV--Annual Fee Summary Calculations for the Spent Fuel Storage/Reactor in Decommissioning Fee Class
[Dollars in millions]
----------------------------------------------------------------------------------------------------------------
FY 2011
Summary Fee Calculations FY 2010 final proposed
--------------------------------------------------------------------------------------------------
Total budgeted resources.......................................... $24.1 $33.4
Less estimated Part 170 receipts.................................. -6.4 -4.0
---------------------------------------------
Net Part 171 resources........................................ 17.7 29.4
Allocated generic transportation.................................. +0.4 +0.5
Fee-relief adjustment............................................. +0.2 -0.2
Billing adjustments............................................... 0.0 0.0
---------------------------------------------
Total required annual fee recovery............................ 18.2 29.7
----------------------------------------------------------------------------------------------------------------
The value of total budgeted resources for this fee class is higher
in FY 2011 than in FY 2010, due to increased budgeted resources for
spent fuel storage licensing and certification activities and lower
Part 170 collections estimate, partially offset by the fee-relief
surplus adjustment. The required annual fee recovery amount is divided
equally among 123 licensees, resulting in an FY 2011 annual fee of
$241,000 per licensee.
e. Research and Test Reactors (Nonpower Reactors)
Approximately $340,000 in budgeted costs is to be recovered through
annual fees assessed to the research and test reactor class of licenses
for FY 2011. Table XV summarizes the annual fee calculation for
research and test reactors for FY 2011. The FY 2010 values are shown
for comparison. (Individual values may not sum to totals due to
rounding.)
Table XV--Annual Fee Summary Calculations for Research and Test Reactors
[Dollars in millions]
------------------------------------------------------------------------
FY 2011
Summary fee calculations FY 2010 final proposed
------------------------------------------------------------------------
Total budgeted resources................ $1.31 $1.87
Less estimated Part 170 receipts........ -1.01 -1.54
-------------------------------
Net Part 171 resources.............. 0.30 0.33
Allocated generic transportation........ +0.01 +0.02
Fee-relief adjustment................... +0.01 -0.01
Billing adjustments..................... 0.00 0.00
-------------------------------
Total required annual fee recovery.. 0.33 0.34
------------------------------------------------------------------------
The increase in annual fees from FY 2010 to FY 2011 is primarily
due to increase in budgeted costs for review of licensing amendments
partially offset by the fee-relief surplus adjustment. The required
annual fee recovery amount is divided equally among the four research
and test reactors subject to annual fees and results in an FY 2011
annual fee of $86,100 for each licensee.
f. Rare Earth Facilities
The agency does not anticipate receiving an application for a rare
earth facility this fiscal year, so no budgeted resources are allocated
to this fee class, and no annual fee will be published in FY 2011.
g. Materials Users
Table XVI shows the calculation of the FY 2011 annual fee amount
for materials users licensees. The FY 2010 values are shown for
comparison. Note the following fee categories under Sec. 171.16 are
included in this fee class: 1.C., 1.D., 2.B., 2.C., 3.A. through 3.S.,
4.A. through 4.C., 5.A., 5.B., 6.A., 7.A. through 7.C., 8.A., 9.A.
through 9.D., 16, and 17. (Individual values may not sum to totals due
to rounding.)
Table XVI--Annual Fee Summary Calculations for Materials Users
[Dollars in millions]
------------------------------------------------------------------------
FY 2011
Summary fee calculations FY 2010 final proposed
------------------------------------------------------------------------
Total budgeted resources................ $28.8 $30.0
Less estimated Part 170 receipts........ -1.8 -1.6
-------------------------------
Net Part 171 resources.............. 27.0 28.4
[[Page 14759]]
Allocated generic transportation........ +0.8 +1.0
Fee-relief adjustment/LLW surcharge..... +0.9 -0.0
Billing adjustments..................... -0.0 -0.0
-------------------------------
Total required annual fee recovery.. 28.7 29.4
------------------------------------------------------------------------
The total required annual fees to be recovered from materials
licensees increase in FY 2011, mainly because of increases in the
budgeted resources allocated to this fee class for licensing and
oversight activities, and lower estimated Part 170 fee revenue compared
to FY 2010. Annual fees for most fee categories within the materials
users' fee class increase while some decrease due to decrease in
inspection costs in certain fee categories.
To equitably and fairly allocate the $29.4 million in FY 2011
budgeted costs to be recovered in annual fees assessed to the
approximately 3,000 diverse materials users licensees, the NRC will
continue to base the annual fees for each fee category within this
class on the Part 170 application fees and estimated inspection costs
for each fee category. Because the application fees and inspection
costs are indicative of the complexity of the license, this approach
continues to provide a proxy for allocating the generic and other
regulatory costs to the diverse categories of licenses based on the
NRC's cost to regulate each category. This fee calculation also
continues to consider the inspection frequency (priority), which is
indicative of the safety risk and resulting regulatory costs associated
with the categories of licenses.
The annual fee for these categories of materials users licenses is
developed as follows:
Annual fee = Constant x [Application Fee + (Average Inspection Cost
divided by Inspection Priority)] + Inspection Multiplier x (Average
Inspection Cost divided by Inspection Priority) + Unique Category
Costs.
The constant is the multiple necessary to recover approximately $21
million in general costs (including allocated generic transportation
costs) and is 1.53 for FY 2011. The average inspection cost is the
average inspection hours for each fee category multiplied by the hourly
rate of $273. The inspection priority is the interval between routine
inspections, expressed in years. The inspection multiplier is the
multiple necessary to recover approximately $8.2 million in inspection
costs, and is 2.3 for FY 2011. The unique category costs are any
special costs that the NRC has budgeted for a specific category of
licenses. For FY 2011, approximately $113,500 in budgeted costs for the
implementation of revised 10 CFR Part 35, Medical Use of Byproduct
Material (unique costs), has been allocated to holders of NRC human-use
licenses.
The annual fee to be assessed to each licensee also includes a
share of the fee-relief surplus adjustment of approximately $177,000
allocated to the materials users fee class (see Section III.B.1.,
``Application of Fee-Relief and Low-Level Waste Surcharge,'' of this
document), and for certain categories of these licensees, a share of
the approximately $189,000 in LLW surcharge costs allocated to the fee
class. The annual fee for each fee category is shown in Sec.
171.16(d).
In FY 2011, the NRC will be eliminating fee Category 3.D. under
byproduct materials since the agency does not expect to receive any
license under the current definition of this fee category. The fee
category will be reserved for future use.
h. Transportation
Table XVII shows the calculation of the FY 2011 generic
transportation budgeted resources to be recovered through annual fees.
The FY 2010 values are shown for comparison. (Individual values may not
sum to totals due to rounding.)
Table XVII--Annual Fee Summary Calculations for Transportation
[Dollars in millions]
------------------------------------------------------------------------
FY 2011
Summary fee calculations FY 2010 final proposed
------------------------------------------------------------------------
Total budgeted resources................ $6.6 $7.5
Less estimated Part 170 receipts........ -3.3 -3.4
-------------------------------
Net Part 171 resources.............. 3.3 4.1
------------------------------------------------------------------------
The increase in Part 171 resources in FY 2011 compared to last year
is primarily due to an increase in budgeted resources for
transportation regulatory programs.
The NRC must approve any package used for shipping nuclear material
before shipment. If the package meets NRC requirements, the NRC issues
a Radioactive Material Package Certificate of Compliance (CoC) to the
organization requesting approval of a package. Organizations are
authorized to ship radioactive material in a package approved for use
under the general licensing provisions of 10 CFR Part 71. The resources
associated with generic transportation activities are distributed to
the license fee classes based on the number of CoCs benefitting (used
by) that fee class, as a proxy for the generic transportation resources
expended for each fee class.
Generic transportation resources associated with fee-exempt
entities are not included in this total. These costs are included in
the appropriate fee-relief category (e.g., the fee-relief category for
nonprofit educational institutions).
Consistent with the policy established in the NRC's FY 2006 final
fee rule (71 FR 30721; May 30, 2006), the NRC will
[[Page 14760]]
recover generic transportation costs unrelated to DOE as part of
existing annual fees for license fee classes. The NRC will continue to
assess a separate annual fee under Sec. 171.16, fee Category 18.A.,
for DOE transportation activities. The amount of the allocated generic
resources is calculated by multiplying the percentage of total CoCs
used by each fee class (and DOE) by the total generic transportation
resources to be recovered.
The distribution of these resources to the license fee classes and
DOE is shown in Table XVIII. The distribution is adjusted to account
for the licensees in each fee class that are fee-exempt. For example,
if 3 CoCs benefit the entire research and test reactor class, but only
4 of 32 research and test reactors are subject to annual fees, the
number of CoCs used to determine the proportion of generic
transportation resources allocated to research and test reactor annual
fees equals ((4/32)*3), or 0.4 CoCs.
Table XVIII--Distribution of Generic Transportation Resources, FY 2011
[Dollars in millions]
----------------------------------------------------------------------------------------------------------------
Allocated
Number CoCs Percentage of generic
License fee class/DOE benefiting fee total CoCs transportation
class or DOE resources
----------------------------------------------------------------------------------------------------------------
Total........................................................... 85.5 100.0 $4.11
DOE............................................................. 22.0 25.7 1.06
Operating Power Reactors........................................ 19.0 22.2 0.91
Spent Fuel Storage/Reactor Decommissioning...................... 10.0 11.7 0.48
Research and Test Reactors...................................... 0.5 0.6 0.02
Fuel Facilities................................................. 13.0 15.2 0.62
Materials Users................................................. 21.0 24.6 1.01
----------------------------------------------------------------------------------------------------------------
The NRC is proposing to continue to assess an annual fee to DOE
based on the Part 71 CoCs it holds and not allocate these DOE-related
resources to other licensees' annual fees, because these resources
specifically support DOE. Note that DOE's annual fee includes a
reduction for the fee-relief surplus adjustment (see Section III.B.1,
``Application of Fee-Relief and Low-Level Waste Surcharge,'' of this
document), resulting in a total annual fee of $1,028,000 for FY 2011.
The increase in the DOE fee is primarily related to higher budgeted
resources for the NRC's transportation activities.
3. Administrative Amendments
Eliminate fee Category 3.D. in Sec. 171.16 since the agency
currently does not have any licensee under this category. Based on the
definition of this fee category no future licensees are expected since
there are no nonprofit educational institutions that are distributors
of radiopharmaceuticals.
Revise Sec. 171.16 to reflect changes made to fee categories for
import and export licenses in Sec. 170.31. The current export fee
Category 15.H. is deleted because the description for the fee was
incorrect and not used in export licensing. A new export fee Category
15.H. is established to reflect a new fee category for government-to-
government consents for exports of Category 1 quantities for
radioactive material listed in Appendix P to 10 CFR Part 110. In
addition, fee categories 15.M. through and including 15.Q. are being
eliminated. The requirement to obtain a specific license for imports of
radioactive materials listed in Appendix P to 10 CFR Part 110 was
eliminated as part of a 2010 rule change to 10 CFR Part 110 (July 28,
2010; 75 FR 44072).
In summary, the NRC is proposing to--
1. Use the NRC's fee-relief surplus by reducing all licensees'
annual fees, based on their percentage share of the NRC budget; and
2. Establish rebaselined annual fees for FY 2011.
3. Update some fee categories for materials users and import and
export licenses.
IV. Plain Language
The Presidential Memorandum dated June 1, 1998, entitled ``Plain
Language in Government Writing,'' directed that the Government's
writing be in plain language. This memorandum was published on June 10,
1998 (63 FR 31883). The NRC requests specific comments on the clarity
and effectiveness of the language in the proposed rule. Comments should
be sent to the address listed under the ADDRESSES section of this
document.
V. Voluntary Consensus Standards
The National Technology Transfer and Advancement Act of 1995 (15
U.S.C. 3701) requires that Federal agencies use technical standards
that are developed or adopted by voluntary consensus standards bodies,
unless using these standards is inconsistent with applicable law or is
otherwise impractical. The NRC is proposing to amend the licensing,
inspection, and annual fees charged to its licensees and applicants as
necessary to recover approximately 90 percent of its budget authority
in FY 2011, as required by the OBRA-90, as amended. This action does
not constitute the establishment of a standard that contains generally
applicable requirements.
VI. Environmental Impact: Categorical Exclusion
The NRC has determined that this proposed rule is the type of
action described in categorical exclusion 10 CFR 51.22(c)(1).
Therefore, neither an environmental assessment nor an environmental
impact statement has been prepared for the proposed rule. By its very
nature, this regulatory action does not affect the environment and,
therefore, no environmental justice issues are raised.
VII. Paperwork Reduction Act Statement
This proposed rule does not contain information collection
requirements and, therefore, is not subject to the requirements of the
Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.).
Public Protection Notification
The NRC may not conduct or sponsor, and a person is not required to
respond to, a request for information or an
[[Page 14761]]
information collection requirement, unless the requesting document
displays a currently valid Office of Management and Budget control
number.
VIII. Regulatory Analysis
With respect to 10 CFR Part 170, this proposed rule was developed
under Title V of the IOAA (31 U.S.C. 9701) and the Commission's fee
guidelines. When developing these guidelines, the Commission took into
account guidance provided by the U.S. Supreme Court on March 4, 1974,
in National Cable Television Association, Inc. v. United States, 415
U.S. 36 (1974) and Federal Power Commission v. New England Power
Company, 415 U.S. 345 (1974). In these decisions, the Court held that
the IOAA authorizes an agency to charge fees for special benefits
rendered to identifiable persons measured by the ``value to the
recipient'' of the agency service. The meaning of the IOAA was further
clarified on December 16, 1976, by four decisions of the U.S. Court of
Appeals for the District of Columbia: National Cable Television
Association v. Federal Communications Commission, 554 F.2d 1094 (DC
Cir. 1976); National Association of Broadcasters v. Federal
Communications Commission, 554 F.2d 1118 (DC Cir. 1976); Electronic
Industries Association v. Federal Communications Commission, 554 F.2d
1109 (D.C. Cir. 1976); and Capital Cities Communication, Inc. v.
Federal Communications Commission, 554 F.2d 1135 (DC Cir. 1976). The
Commission's fee guidelines were developed based on these legal
decisions.
The Commission's fee guidelines were upheld on August 24, 1979, by
the U.S. Court of Appeals for the Fifth Circuit in Mississippi Power
and Light Co. v. U.S. Nuclear Regulatory Commission, 601 F.2d 223 (5th
Cir. 1979), cert. denied, 444 U.S. 1102 (1980). This court held that--
(1) The NRC had the authority to recover the full cost of providing
services to identifiable beneficiaries;
(2) The NRC could properly assess a fee for the costs of providing
routine inspections necessary to ensure a licensee's compliance with
the Atomic Energy Act of 1954, as amended, and with applicable
regulations;
(3) The NRC could charge for costs incurred in conducting
environmental reviews required by the National Environmental Policy Act
(42 U.S.C. 4321);
(4) The NRC properly included the costs of uncontested hearings and
of administrative and technical support services in the fee schedule;
(5) The NRC could assess a fee for renewing a license to operate a
low-level radioactive waste burial site; and
(6) The NRC's fees were not arbitrary or capricious.
With respect to 10 CFR Part 171, on November 5, 1990, the Congress
passed OBRA-90, which required that, for FYs 1991 through 1995,
approximately 100 percent of the NRC budget authority, less
appropriations from the NWF, be recovered through the assessment of
fees. The OBRA-90 was subsequently amended to extend the 100 percent
fee recovery requirement through FY 2000. The FY 2001 Energy and Water
Development Appropriation Act (EWDAA) amended OBRA-90 to decrease the
NRC's fee recovery amount by 2 percent per year beginning in FY 2001,
until the fee recovery amount was 90 percent in FY 2005. The FY 2006
EWDAA extended this 90 percent fee recovery requirement for FY 2006.
Section 637 of the Energy Policy Act of 2005 made the 90 percent fee
recovery requirement permanent in FY 2007. As a result, the NRC is
required to recover approximately 90 percent of its FY 2011 budget
authority, less the amounts appropriated from the NWF, WIR, and generic
homeland security activities through fees. To comply with this
statutory requirement and in accordance with Sec. 171.13, the NRC is
publishing the amount of the FY 2011 annual fees for reactor licensees,
fuel cycle licensees, materials licensees, and holders of CoCs,
registrations of sealed source and devices, and Government agencies.
The OBRA-90, consistent with the accompanying Conference Committee
Report, and the amendments to OBRA-90, provides that--
(1) The annual fees will be based on approximately 90 percent of
the Commission's FY 2011 budget of $1,053.6 million not including the
following items: Funds appropriated from the NWF to cover the NRC's
high-level waste program, amounts appropriated for WIR and generic
homeland security activities, and the amount of funds collected from
Part 170 fees;
(2) The annual fees shall, to the maximum extent practicable, have
a reasonable relationship to the cost of regulatory services provided
by the Commission; and
(3) The annual fees be assessed to those licensees the Commission,
in its discretion, determines can fairly, equitably, and practicably
contribute to their payment.
Part 171, which established annual fees for operating power
reactors, effective October 20, 1986 (51 FR 33224; September 18, 1986),
was challenged and upheld in its entirety in Florida Power and Light
Company v. United States, 846 F.2d 765 (DC Cir. 1988), cert. denied,
490 U.S. 1045 (1989). Further, the NRC's FY 1991 annual fee rule
methodology was upheld by the DC Circuit Court of Appeals in Allied
Signal v. NRC, 988 F.2d 146 (DC Cir. 1993).
IX. Regulatory Flexibility Analysis
The NRC is required by the OBRA-90, as amended, to recover
approximately 90 percent of its FY 2011 budget authority through the
assessment of user fees. This Act further requires that the NRC
establish a schedule of charges that fairly and equitably allocates the
aggregate amount of these charges among licensees.
This proposed rule would establish the schedules of fees that are
necessary to implement the Congressional mandate for FY 2011. This
proposed rule would result in increases in the annual fees charged to
certain licensees and holders of certificates, registrations, and
approvals, and in decreases in annual fees charged to others. Licensees
affected by the annual fee increases and decreases include those that
qualify as a small entity under NRC's size standards in 10 CFR 2.810.
The Regulatory Flexibility Analysis, prepared in accordance with 5
U.S.C. 604, is included as Appendix A to this proposed rule.
The Small Business Regulatory Enforcement Fairness Act (SBREFA)
requires all Federal agencies to prepare a written compliance guide for
each rule for which the agency is required by 5 U.S.C. 604 to prepare a
regulatory flexibility analysis. Therefore, in compliance with the law,
Attachment 1 of Appendix A to the Regulatory Flexibility Analysis is
the small entity compliance guide for FY 2011.
X. Backfit Analysis
The NRC has determined that the backfit rule, 10 CFR 50.109, does
not apply to this proposed rule and that a backfit analysis is not
required for this proposed rule. The backfit analysis is not required
because these amendments do not require the modification of, or
additions to, systems, structures, components, or the design of a
facility, or the design approval or manufacturing license for a
facility, or the procedures or organization required to design,
construct, or operate a facility.
List of Subjects
10 CFR Part 170
Byproduct material, Import and export licenses, Intergovernmental
[[Page 14762]]
relations, Non-payment penalties, Nuclear materials, Nuclear power
plants and reactors, Source material, Special nuclear material.
10 CFR Part 171
Annual charges, Byproduct material, Holders of certificates,
Registrations, Approvals, Intergovernmental relations, Non-payment
penalties, Nuclear materials, Nuclear power plants and reactors, Source
material, Special nuclear material.
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; and 5 U.S.C. 552, the NRC is proposing to
adopt the following amendments to 10 CFR Parts 170 and 171.
PART 170--FEES FOR FACILITIES, MATERIALS, IMPORT AND EXPORT
LICENSES, AND OTHER REGULATORY SERVICES UNDER THE ATOMIC ENERGY ACT
OF 1954, AS AMENDED
1. The authority citation for part 170 continues to read as
follows:
Authority: Section 9701, Pub. L. 97-258, 96 Stat. 1051 (31
U.S.C. 9701); sec. 301, Pub. L. 92-314, 86 Stat. 227 (42 U.S.C.
2201w); sec. 201, Pub. L. 93-438, 88 Stat. 1242, as amended (42
U.S.C. 5841); sec. 205a, Pub. L. 101-576, 104 Stat. 2842, as amended
(31 U.S.C. 901, 902); sec. 1704, 112 Stat. 2750 (44 U.S.C. 3504
note), sec. 623, Pub. L. 109-58, 119 Stat. 783 (42 U.S.C. 2201(w));
sec. 651(e), Pub. L. 109-58, 119 Stat. 806-810 (42 U.S.C. 2014,
2021, 2021b, 2111).
2. In Sec. 170.11, paragraphs (a)(1)(iii)(A) and (a)(1)(iii)(B)
are revised and paragraph (a)(1)(iii)(D) is removed and reserved.
The revisions read as follows:
Sec. 170.11 Exemptions.
(a) * * *
(1) * * *
(iii) * * *
(A) The report should be submitted for the specific purpose of
supporting ongoing NRC generic regulatory improvements or efforts
(e.g., rules, regulations, regulatory guides, and policy statements),
and the agency, at the time the document is submitted, plans to use it
for that purpose. The exemption applies even if ultimately the NRC does
not use the document as planned;
(B) The NRC must be the primary beneficiary of the NRC's review and
approval of these documents. This exemption does not apply to a topical
report submitted for the purpose of obtaining NRC approval for future
use of the report by the industry to address licensing or safety
issues, even though the NRC may realize some benefits from its review
and approval of the document; and
* * * * *
3. Section 170.20 is revised to read as follows:
Sec. 170.20 Average cost per professional staff-hour.
Fees for permits, licenses, amendments, renewals, special projects,
10 CFR part 55 re-qualification and replacement examinations and tests,
other required reviews, approvals, and inspections under Sec. Sec.
170.21 and 170.31 will be calculated using the professional staff-hour
rate of $273 per hour.
4. In Sec. 170.21, in the table, fee Category K is revised to read
as follows:
Sec. 170.21 Schedule of fees for production and utilization
facilities, review of standard referenced design approvals, special
projects, inspections, and import and export licenses.
* * * * *
Schedule of Facility Fees
[See footnotes at end of table]
------------------------------------------------------------------------
Facility categories and type of fees Fees 1 2
------------------------------------------------------------------------
* * * * * * *
K. Import and export licenses:
Licenses for the import and export only of production
and utilization facilities or the export only of
components for production and utilization facilities
issued under 10 CFR Part 110.
1. Application for import or export of production
and utilization facilities \4\ (including
reactors and other facilities) and exports of
components requiring Commission and Executive
Branch review, for example, actions under 10 CFR
110.40(b).......................................
Application--new license, or amendment; or $17,700
license exemption request...................
2. Application for export of reactor and other
components requiring Executive Branch review
only, for example, those actions under 10 CFR
110.41(a).......................................
Application--new license, or amendment; or 9,600
license exemption request...................
3. Application for export of components requiring
the assistance of the Executive Branch to obtain
foreign government assurances...................
Application--new license, or amendment; or 4,400
license exemption request...................
4. Application for export of facility components
and equipment not requiring Commission or
Executive Branch review, or obtaining foreign
government assurances...........................
Application--new license, or amendment; or 2,700
license exemption request...................
5. Minor amendment of any active export or import
license, for example, to extend the expiration
date, change domestic information, or make other
revisions which do not involve any substantive
changes to license terms or conditions or to the
type of facility or component authorized for
export and therefore, do not require in-depth
analysis or review or consultation with the
Executive Branch, U.S. host state, or foreign
government authorities..........................
Minor amendment to license................... 1,400
------------------------------------------------------------------------
\1\ Fees will not be charged for orders related to civil penalties or
other civil sanctions issued by the Commission under Sec. 2.202 of
this chapter or for amendments resulting specifically from the
requirements of these orders. For orders unrelated to civil penalties
or other civil sanctions, fees will be charged for any resulting
licensee-specific activities not otherwise exempted from fees under
this chapter. 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., 10 CFR 50.12, 10
CFR 73.5) and any other sections in effect now or in the future,
regardless of whether the approval is in the form of a license
amendment, letter of approval, safety evaluation report, or other
form.
[[Page 14763]]
\2\ Full cost fees will be determined based on the professional staff
time and appropriate contractual support services expended. For
applications currently on file and for which 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 the effective date of
the final rule will be determined at the professional rates in effect
when the service was provided. For those applications currently on
file for which review costs have reached an applicable fee ceiling
established by the June 20, 1984, and July 2, 1990, rules, but are
still pending completion of the review, the cost incurred after any
applicable ceiling was reached 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 assessed at the
applicable rates established by Sec. 170.20, as appropriate, except
for topical reports whose costs exceed $50,000. Costs which exceed
$50,000 for any topical report, amendment, revision, or supplement to
a topical report completed or under review from January 30, 1989,
through August 8, 1991, will not be billed to the applicant. Any
professional hours expended on or after August 9, 1991, will be
assessed at the applicable rate established in Sec. 170.20.
* * * * * * * * *
\4\ Imports only of major components for end-use at NRC-licensed
reactors are now authorized under NRC general import license.
\5\ In Sec. 170.31, the table is revised to read as follows:
Sec. 170.31 Schedule of fees for materials licenses and other
regulatory services, including inspections and import and export
licenses.
* * * * *
Schedule of Materials Fees
[See footnotes at end of table]
------------------------------------------------------------------------
Category of materials licenses and type
of fees \1\ Fee 2 3
------------------------------------------------------------------------
1. Special nuclear material:
A. (1) Licenses for possession and
use of U-235 or plutonium for fuel
fabrication activities.
(a) Strategic Special Full Cost.
Nuclear Material (High
Enriched Uranium) [Program
Code(s): 21130].
(b) Low Enriched Uranium in Full Cost.
Dispersible Form Used for
Fabrication of Power
Reactor Fuel [Program
Code(s): 21210].
(2) All other special nuclear
materials licenses not included
in Category 1.A.(1) which are
licensed for fuel cycle
activities.
(a) Facilities with limited Full Cost.
operations [Program
Code(s): 21310, 21320].
(b) Gas centrifuge Full Cost.
enrichment demonstration
facilities.
(c) Others, including hot Full Cost.
cell facilities.
B. Licenses for receipt and storage Full Cost.
of spent fuel and reactor-related
Greater than Class C (GTCC) waste
at an independent spent fuel
storage installation (ISFSI)
[Program Code(s): 23200].
C. Licenses for possession and use $1,300.
of special nuclear material in
sealed sources contained in devices
used in industrial measuring
systems, including x-ray
fluorescence analyzers \4\.
Application [Program Code(s): ..............................
22140].
D. All other special nuclear
material licenses, except licenses
authorizing special nuclear
material in unsealed form in
combination that would constitute a
critical quantity, as defined in
Sec. 150.11 of this chapter, for
which the licensee shall pay the
same fees as those under Category
1.A.\4\.
Application [Program Code(s): $2,500.
22110, 22111, 22120, 22131,
22136, 22150, 22151, 22161,
22163, 22170, 23100, 23300,
23310].
E. Licenses or certificates for Full Cost.
construction and operation of a
uranium enrichment facility
[Program Code(s): 21200].
2. Source material:
A. (1) Licenses for possession and Full Cost.
use of source material for refining
uranium mill concentrates to
uranium hexafluoride [Program
Code(s): 11400].
(2) Licenses for possession and
use of source material in
recovery operations such as
milling, in-situ recovery, heap-
leaching, ore buying stations,
ion-exchange facilities, and in
processing of ores containing
source material for extraction
of metals other than uranium or
thorium, including licenses
authorizing the possession of
byproduct waste material
(tailings) from source material
recovery operations, as well as
licenses authorizing the
possession and maintenance of a
facility in a standby mode.
(a) Conventional and Heap Full Cost.
Leach facilities [Program
Code(s): 11100].
(b) Basic In Situ Recovery Full Cost.
facilities [Program
Code(s): 11500].
(c) Expanded In Situ Full Cost.
Recovery facilities
[Program Code(s): 11510].
(d) In Situ Recovery Resin Full Cost.
facilities [Program
Code(s): 11550].
(e) Resin Toll Milling Full Cost.
facilities [Program
Code(s): 11555].
(f) Other facilities Full Cost.
[Program Code(s): 11700].
(3) Licenses that authorize the Full Cost.
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 the fees in
Category 2.A.(2) or Category
2.A.(4) [Program Code(s):
11600, 12000].
(4) Licenses that authorize the Full Cost.
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
licensee's milling operations,
except those licenses subject
to the fees in Category 2.A.(2)
[Program Code(s): 12010].
(5) Licenses that authorize the Full Cost.
possession of source material
related to removal of
contaminants (source material)
from drinking water [Program
Code(s): 11820].
B. Licenses which authorize the
possession, use, and/or
installation of source material for
shielding.
Application [Program Code(s): $600.
11210].
C. All other source material $5,400.
licenses.
Application [Program Code(s):
11200, 11220, 11221, 11230,
11300, 11800, 11810].
3. Byproduct material:
A. Licenses of broad scope for the
possession and use of byproduct
material issued under parts 30 and
33 of this chapter for processing
or manufacturing of items
containing byproduct material for
commercial distribution.
[[Page 14764]]
Application [Program Code(s): $12,800.
03211, 03212, 03213].
B. Other licenses for possession and
use of byproduct material issued
under part 30 of this chapter for
processing or manufacturing of
items containing byproduct material
for commercial distribution.
Application [Program Code(s): $4,400.
03214, 03215, 22135, 22162].
C. Licenses issued under Sec. Sec.
32.72 and/or 32.74 of this chapter
that authorize the processing or
manufacturing and distribution or
redistribution of
radiopharmaceuticals, generators,
reagent kits, and/or sources and
devices containing byproduct
material. This category does not
apply to licenses issued to
nonprofit educational institutions
whose processing or manufacturing
is exempt under Sec. 170.11(a)(4).
Application [Program Code(s): $6,500.
02500, 02511, 02513].
D. [Reserved]....................... N/A \6\.
E. Licenses for possession and use
of byproduct material in sealed
sources for irradiation of
materials in which the source is
not removed from its shield (self-
shielded units).
Application [Program Code(s): $3,100.
03510, 03520].
F. Licenses for possession and use
of less than 10,000 curies of
byproduct material in sealed
sources for irradiation of
materials in which the source is
exposed for irradiation purposes.
This category also includes
underwater irradiators for
irradiation of materials where the
source is not exposed for
irradiation purposes.
Application [Program Code(s): $6,400.
03511].
G. Licenses for possession and use
of 10,000 curies or more of
byproduct material in sealed
sources for irradiation of
materials in which the source is
exposed for irradiation purposes.
This category also includes
underwater irradiators for
irradiation of materials where the
source is not exposed for
irradiation purposes.
Application [Program Code(s): $60,900.
03521].
H. Licenses issued under Subpart A
of part 32 of this chapter to
distribute items containing
byproduct material that require
device review to persons exempt
from the licensing requirements of
part 30 of this chapter. The
category does not include specific
licenses authorizing redistribution
of items that have been authorized
for distribution to persons exempt
from the licensing requirements of
part 30 of this chapter.
Application [Program Code(s): $4,300.
03254, 03255].
I. Licenses issued under Subpart A
of part 32 of this chapter to
distribute items containing
byproduct material or quantities of
byproduct material that do not
require device evaluation to
persons exempt from the licensing
requirements of part 30 of this
chapter. This category does not
include specific licenses
authorizing redistribution of items
that have been authorized for
distribution to persons exempt from
the licensing requirements of part
30 of this chapter.
Application [Program Code(s): $11,400.
03250, 03251, 03252, 03253,
03256].
J. Licenses issued under Subpart B
of part 32 of this chapter to
distribute items containing
byproduct material that require
sealed source and/or device review
to persons generally licensed under
part 31 of this chapter. This
category does not include specific
licenses authorizing redistribution
of items that have been authorized
for distribution to persons
generally licensed under part 31 of
this chapter.
Application [Program Code(s): $2,000.
03240, 03241, 03243].
K. Licenses issued under Subpart B
of part 32 of this chapter to
distribute items containing
byproduct material or quantities of
byproduct material that do not
require sealed source and/or device
review to persons generally
licensed under part 31 of this
chapter. This category does not
include specific licenses
authorizing redistribution of items
that have been authorized for
distribution to persons generally
licensed under part 31 of this
chapter.
Application [Program Code(s): $1,100.
03242, 03244].
L. Licenses of broad scope for
possession and use of byproduct
material issued under parts 30 and
33 of this chapter for research and
development that do not authorize
commercial distribution.
Application [Program Code(s): $5,400.
01100, 01110, 01120, 03610,
03611, 03612, 03613].
M. Other licenses for possession and
use of byproduct material issued
under part 30 of this chapter for
research and development that do
not authorize commercial
distribution.
Application [Program Code(s): $3,500.
03620].
N. Licenses that authorize services
for other licensees, except:
(1) Licenses that authorize only
calibration and/or leak testing
services are subject to the
fees specified in fee Category
3.P.; and
(2) Licenses that authorize
waste disposal services are
subject to the fees specified
in fee Categories 4.A., 4.B.,
and 4.C.
Application [Program $6,400.
Code(s): 03219, 03225,
03226].
O. Licenses for possession and use
of byproduct material issued under
part 34 of this chapter for
industrial radiography operations.
Application [Program Code(s): $4,000.
03310, 03320].
P. All other specific byproduct
material licenses, except those in
Categories 4.A. through 9.D.
Application [Program Code(s): $1,500.
02400, 02410, 03120, 03121,
03122, 03123, 03124, 03220,
03221, 03222, 03800, 03810,
22130].
Q. Registration of a device(s)
generally licensed under part 31 of
this chapter.
Registration.................... $400.
R. Possession of items or products
containing radium-226 identified in
10 CFR 31.12 which exceed the
number of items or limits specified
in that section.\5\
1. Possession of quantities
exceeding the number of items
or limits in 10 CFR
31.12(a)(4), or (5) but less
than or equal to 10 times the
number of items or limits
specified.
Application [Program $2,500.
Code(s): 02700].
2. Possession of quantities
exceeding 10 times the number
of items or limits specified in
10 CFR 31.12(a)(4), or (5).
Application [Program $1,500.
Code(s): 02710].
S. Licenses for production of
accelerator-produced radionuclides.
Application [Program Code(s): $6,500.
03210].
4. Waste disposal and processing:
[[Page 14765]]
A. Licenses specifically authorizing Full Cost.
the receipt of waste byproduct
material, source material, or
special nuclear material from other
persons for the purpose of
contingency storage or commercial
land disposal by the licensee; or
licenses authorizing contingency
storage of low-level radioactive
waste at the site of nuclear power
reactors; or licenses for receipt
of waste from other persons for
incineration or other treatment,
packaging of resulting waste and
residues, and transfer of packages
to another person authorized to
receive or dispose of
Application [Program Code(s):
03231, 03233, 03235, 03236,
06100, 06101].
B. Licenses specifically authorizing
the receipt of waste byproduct
material, source material, or
special nuclear material from other
persons for the purpose of
packaging or repackaging the
material. The licensee will dispose
of the material by transfer to
another person authorized to
receive or dispose of the material.
Application [Program Code(s): $8,400.
03234].
C. Licenses specifically authorizing
the receipt of prepackaged waste
byproduct material, source
material, or special nuclear
material from other persons. The
licensee will dispose of the
material by transfer to another
person authorized to receive or
dispose of the material.
Application [Program Code(s): $4,900.
03232].
5. Well logging:
A. Licenses for possession and use
of byproduct material, source
material, and/or special nuclear
material for well logging, well
surveys, and tracer studies other
than field flooding tracer studies.
Application [Program Code(s): $3,300.
03110, 03111, 03112].
B. Licenses for possession and use
of byproduct material for field
flooding tracer studies.
Licensing [Program Code(s): Full Cost.
03113].
6. Nuclear laundries:
A. Licenses for commercial
collection and laundry of items
contaminated with byproduct
material, source material, or
special nuclear material.
Application [Program Code(s): $21,800.
03218].
7. Medical licenses:
A. Licenses issued under parts 30,
35, 40, and 70 of this chapter for
human use of byproduct material,
source material, or special nuclear
material in sealed sources
contained in gamma stereotactic
radiosurgery units, teletherapy
devices, or similar beam therapy
devices.
Application [Program Code(s): $8,800.
02300, 02310].
B. Licenses of broad scope issued to
medical institutions or two or more
physicians under parts 30, 33, 35,
40, and 70 of this chapter
authorizing research and
development, including human use of
byproduct material, except licenses
for byproduct material, source
material, or special nuclear
material in sealed sources
contained in teletherapy devices.
This category also includes the
possession and use of source
material for shielding when
authorized on the same license.
Application [Program Code(s): $8,500.
02110].
C. Other licenses issued under parts
30, 35, 40, and 70 of this chapter
for human use of byproduct
material, source material, and/or
special nuclear material, except
licenses for byproduct material,
source material, or special nuclear
material in sealed sources
contained in teletherapy devices.
Application [Program Code(s): $2,700.
02120, 02121, 02200, 02201,
02210, 02220, 02230, 02231,
02240, 22160].
8. Civil defense:
A. Licenses for possession and use
of byproduct material, source
material, or special nuclear
material for civil defense
activities.
Application [Program Code(s): $2,500.
03710].
9. Device, product, or sealed source
safety evaluation:
A. Safety evaluation of devices or
products containing byproduct
material, source material, or
special nuclear material, except
reactor fuel devices, for
commercial distribution.
Application--each device........ $7,600.
B. Safety evaluation of devices or
products containing byproduct
material, source material, or
special nuclear material
manufactured in accordance with the
unique specifications of, and for
use by, a single applicant, except
reactor fuel devices.
Application--each device........ $8,800.
C. Safety evaluation of sealed
sources containing byproduct
material, source material, or
special nuclear material, except
reactor fuel, for commercial
distribution.
Application--each source........ $10,300.
D. Safety evaluation of sealed
sources containing byproduct
material, source material, or
special nuclear material,
manufactured in accordance with the
unique specifications of, and for
use by, a single applicant, except
reactor fuel.
Application--each source........ $1,040.
10. Transportation of radioactive
material:
A. Evaluation of casks, packages,
and shipping containers.
1. Spent Fuel, High-Level Waste, Full Cost.
and plutonium air packages.
2. Other Casks.................. Full Cost.
B. Quality assurance program
approvals issued under part 71 of
this chapter.
1. Users and Fabricators........
Application................. $3,900.
Inspections................. Full Cost.
2. Users........................
Application................. $3,900.
Inspections................. Full Cost.
C. Evaluation of security plans, Full Cost.
route approvals, route surveys, and
transportation security devices
(including immobilization devices).
11. Review of standardized spent fuel Full Cost.
facilities.
12. Special projects: Full Cost.
[[Page 14766]]
Including approvals, preapplication/
licensing activities, and
inspections.
13. A. Spent fuel storage cask Full Cost.
Certificate of Compliance.
B. Inspections related to storage of Full Cost.
spent fuel under Sec. 72.210 of
this chapter.
14. A. Byproduct, source, or special Full Cost.
nuclear material licenses and other
approvals authorizing decommissioning,
decontamination, reclamation, or site
restoration activities under parts 30,
40, 70, 72, and 76 of this chapter.
B. Site-specific decommissioning Full Cost.
activities associated with
unlicensed sites, regardless of
whether or not the sites have been
previously licensed.
15. Import and Export licenses:
Licenses issued under part 110 of this
chapter for the import and export only
of special nuclear material, source
material, tritium and other byproduct
material, and the export only of heavy
water, or nuclear grade graphite (fee
categories 15.A. through 15.E.)
A. Application for export or import
of nuclear materials, including
radioactive waste requiring
Commission and Executive Branch
review, for example, those actions
under 10 CFR 110.40(b).
Application--new license, or $17,700.
amendment; or license exemption
request.
B. Application for export or import
of nuclear material, including
radioactive waste, requiring
Executive Branch review, but not
Commission review. This category
includes applications for the
export and import of radioactive
waste and requires NRC to consult
with domestic host state
authorities (i.e., Low-Level
Radioactive Waste Compact
Commission, the U.S. Environmental
Protection Agency, etc.).
Application B--new license, or $9,600.
amendment; or license exemption
request.
C. Application for export of nuclear
material, for example, routine
reloads of low enriched uranium
reactor fuel and/or natural uranium
source material requiring the
assistance of the Executive Branch
to obtain foreign government
assurances.
Application--new license, or $4,400.
amendment; or license exemption
request.
D. Application for export or import
of nuclear material, including
radioactive waste, not requiring
Commission or Executive Branch
review, or obtaining foreign
government assurances. This
category includes applications for
export or import of radioactive
waste where the NRC has previously
authorized the export or import of
the same form of waste to or from
the same or similar parties located
in the same country, requiring only
confirmation from the receiving
facility and licensing authorities
that the shipments may proceed
according to previously agreed
understandings and procedures.
Application--new license, or $2,700.
amendment; or license exemption
request.
E. Minor amendment of any active
export or import license, for
example, to extend the expiration
date, change domestic information,
or make other revisions which do
not involve any substantive changes
to license terms and conditions or
to the type/quantity/chemical
composition of the material
authorized for export and,
therefore, do not require in-depth
analysis, review, or consultations
with other Executive Branch, U.S.
host state, or foreign government
authorities.
Minor amendment................. $1,400.
Licenses issued under part 110 of
this chapter for the import and
export only of Category 1 and
Category 2 quantities of
radioactive material listed in
Appendix P to part 110 of this
chapter (fee categories 15.F.
through 15.R.).
Category 1 (Appendix P, 10 CFR Part 110)
Exports:
F. Application for export of
Category 1 materials involving an
exceptional circumstances review
under 10 CFR 110.42(e)(4).
Application--new license, or $15,000.
amendment; or license exemption
request.
G. Application for export of
Category 1 materials requiring
Executive Branch review, Commission
review, and/or government-to-
government consent.
Application--new license, or $8,700.
amendment; or license exemption
request.
H. Application for export of
Category 1 materials requiring
government-to-government consent.
Application--new license, or $5,500.
amendment; or license exemption
request.
I. Requests for additional
government-to-government consent
requests in support of an export
license application or active
export license.
Application--new license, or $270.
amendment; or license exemption
request.
Category 2 (Appendix P, 10 CFR part 110)
Exports:
J. Application for export of
Category 2 materials involving an
exceptional circumstances review
under 10 CFR 110.42(e)(4).
Application--new license, or $15,000.
amendment; or license exemption
request.
K. Applications for export of
Category 2 materials requiring
Executive Branch review and/or
Commission review.
Application--new license, or $8,700.
amendment; or license exemption
request.
L. Application for the export of
Category 2 materials.
Application--new license, or $5,500.
amendment; or license exemption
request.
M. [Reserved]....................... N/A \6\.
N. [Reserved]....................... N/A \6\.
O. [Reserved]....................... N/A \6\.
P. [Reserved]....................... N/A \6\.
Q. [Reserved]....................... N/A \6\.
Minor Amendments (Category 1 and 2,
Appendix P, 10 CFR part 110, Export and
Imports):
R. Minor amendment of any active
export or import license, for
example, to extend the expiration
date, change domestic information,
or make other revisions which do
not involve any substantive changes
to license terms and conditions or
to the type/quantity/chemical
composition of the material
authorized for export and,
therefore, do not require in-depth
analysis, review, or consultations
with other Executive Branch, U.S.
host state, or foreign authorities.
Minor amendment................. $1,400.
16. Reciprocity:
Agreement State licensees who conduct
activities under the reciprocity
provisions of 10 CFR 150.20.
Application......................... $2,300.
17. Master materials licenses of broad
scope issued to Government agencies.
Application [Program Code(s): 03614] Full Cost.
[[Page 14767]]
18. Department of Energy.
A. Certificates of Compliance. Full Cost.
Evaluation of casks, packages, and
shipping containers (including
spent fuel, high-level waste, and
other casks, and plutonium air
packages).
B. Uranium Mill Tailings Radiation Full Cost.
Control Act (UMTRCA) activities..
------------------------------------------------------------------------
\1\ Types of fees--Separate charges, as shown in the schedule, will be
assessed for preapplication consultations and reviews; applications
for new licenses, approvals, or license terminations; possession-only
licenses; issuances of new licenses and approvals; certain amendments
and renewals to existing licenses and approvals; safety evaluations of
sealed sources and devices; generally licensed device registrations;
and certain inspections. The following guidelines apply to these
charges:
(a) Application and registration fees. Applications for new materials
licenses and export and import licenses; applications to reinstate
expired, terminated, or inactive licenses, except those subject to
fees assessed at full costs; applications filed by Agreement State
licensees to register under the general license provisions of 10 CFR
150.20; and applications for amendments to materials licenses that
would place the license in a higher fee category or add a new fee
category must be accompanied by the prescribed application fee for
each category.
(1) Applications for licenses covering more than one fee category of
special nuclear material or source material must be accompanied by the
prescribed application fee for the highest fee category.
(2) Applications for new licenses that cover both byproduct material and
special nuclear material in sealed sources for use in gauging devices
will pay the appropriate application fee for fee Category 1.C. only.
(b) Licensing fees. Fees for reviews of applications for new licenses,
renewals, and amendments to existing licenses, preapplication
consultations and other documents submitted to the NRC for review, and
project manager time for fee categories subject to full cost fees are
due upon notification by the Commission in accordance with Sec.
170.12(b).
(c) Amendment fees. Applications for amendments to export and import
licenses must be accompanied by the prescribed amendment fee for each
license affected. An application for an amendment to an export or
import license or approval classified in more than one fee category
must be accompanied by the prescribed amendment fee for the category
affected by the amendment, unless the amendment is applicable to two
or more fee categories, in which case the amendment fee for the
highest fee category would apply.
(d) Inspection fees. Inspections resulting from investigations conducted
by the Office of Investigations and nonroutine inspections that result
from third-party allegations are not subject to fees. Inspection fees
are due upon notification by the Commission in accordance with
170.12(c).
(e) Generally licensed device registrations under 10 CFR 31.5.
Submittals of registration information must be accompanied by the
prescribed fee.
\2\ Fees will not be charged for orders related to civil penalties or
other civil sanctions issued by the Commission under 10 CFR 2.202 or
for amendments resulting specifically from the requirements of these
orders. For orders unrelated to civil penalties or other civil
sanctions, fees will be charged for any resulting licensee-specific
activities not otherwise exempted from fees under this chapter. 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., 10 CFR 30.11, 40.14, 70.14, 73.5, and
any other sections in effect now or in the future), regardless of
whether the approval is in the form of a license amendment, letter of
approval, safety evaluation report, or other form. In addition to the
fee shown, an applicant may be assessed an additional fee for sealed
source and device evaluations as shown in Categories 9.A. through 9.D.
\3\ Full cost fees will be determined based on the professional staff
time multiplied by the appropriate professional hourly rate
established in Sec. 170.20 in effect when the service is provided,
and the appropriate contractual support services expended. For
applications currently on file for which review costs have reached an
applicable fee ceiling established by the June 20, 1984, and July 2,
1990, rules, but are still pending completion of the review, the cost
incurred after any applicable ceiling was reached 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 assessed at the applicable rates established by Sec. 170.20, as
appropriate, except for topical reports for which costs exceed
$50,000. Costs which exceed $50,000 for each topical report,
amendment, revision, or supplement to a topical report completed or
under review from January 30, 1989, through August 8, 1991, will not
be billed to the applicant. Any professional hours expended on or
after August 9, 1991, will be assessed at the applicable rate
established in Sec. 170.20.
\4\ Licensees paying fees under Categories 1.A., 1.B., and 1.E. are not
subject to fees under Categories 1.C. and 1.D. for sealed sources
authorized in the same license, except for an application that deals
only with the sealed sources authorized by the license.
\5\ Persons who possess radium sources that are used for operational
purposes in another fee category are not also subject to the fees in
this category. (This exception does not apply if the radium sources
are possessed for storage only.)
\6\ There are no existing NRC licenses in the fee category.
PART 171--ANNUAL FEES FOR REACTOR LICENSES AND FUEL CYCLE LICENSES
AND MATERIALS LICENSES, INCLUDING HOLDERS OF CERTIFICATES OF
COMPLIANCE, REGISTRATIONS, AND QUALITY ASSURANCE PROGRAM APPROVALS
AND GOVERNMENT AGENCIES LICENSED BY THE NRC
6. The authority citation for part 171 continues to read as
follows:
Authority: Section 7601, Pub. L. 99-272, 100 Stat. 146, as
amended by sec. 5601, Pub. L. 100-203, 101 Stat. 1330, as amended by
sec. 3201, Pub. L. 101-239, 103 Stat. 2132, as amended by sec. 6101,
Pub. L. 101-508, 104 Stat. 1388, as amended by sec. 2903a, Pub. L.
102-486, 106 Stat. 3125 (42 U.S.C. 2213, 2214), and as amended by
Title IV, Pub. L. 109-103, 119 Stat. 2283 (42 U.S.C. 2214); sec.
301, Pub. L. 92-314, 86 Stat. 227 (42 U.S.C. 2201w); sec. 201, Pub.
L. 93-438, 88 Stat. 1242, as amended (42 U.S.C. 5841); sec. 1704,
112 Stat. 2750 (44 U.S.C. 3504 note), sec. 651(e), Pub. L.109-58,
119 Stat. 806-810 (42 U.S.C. 2014, 2021, 2021b, 2111).
7. In Sec. 171.15, paragraph (b)(1), paragraph (b)(2) introductory
text, paragraph (c)(1), paragraph (c)(2) introductory text, paragraph
(d)(1) introductory text, and paragraphs (d)(2), (d)(3), and (e), are
revised to read as follows:
Sec. 171.15 Annual fees: Reactor licenses and independent spent fuel
storage licenses.
* * * * *
(b)(1) The FY 2011 annual fee for each operating power reactor
which must be collected by September 30, 2011, is $4,669,000.
(2) The FY 2011 annual fee is comprised of a base annual fee for
power reactors licensed to operate, a base spent fuel storage/reactor
decommissioning annual fee, and associated additional charges (fee-
relief adjustment). The activities comprising the spent storage/reactor
decommissioning base annual fee are shown in paragraphs (c)(2)(i) and
(ii) of this section. The activities comprising the FY 2011 fee-relief
adjustment are shown in paragraph (d)(1) of this section. The
activities comprising the FY 2011 base annual fee for operating power
reactors are as follows:
* * * * *
(c)(1) The FY 2011 annual fee for each power reactor holding a 10
CFR part 50 license that is in a decommissioning or possession-only
status and has spent fuel onsite, and for each independent spent fuel
storage 10 CFR part 72 licensee who does not hold a 10 CFR part 50
license, is $234,000.
[[Page 14768]]
(2) The FY 2011 annual fee is comprised of a base spent fuel
storage/reactor decommissioning annual fee (which is also included in
the operating power reactor annual fee shown in paragraph (b) of this
section) and an additional charge (fee-relief adjustment). The
activities comprising the FY 2011 fee-relief adjustment are shown in
paragraph (d)(1) of this section. The activities comprising the FY 2011
spent fuel storage/reactor decommissioning rebaselined annual fee are:
* * * * *
(d)(1) The fee-relief adjustment allocated to annual fees includes
a surcharge for the activities listed in paragraph (d)(1)(i) of this
section, plus the amount remaining after total budgeted resources for
the activities included in paragraphs (d)(1)(ii) and (iii) of this
section are reduced by the appropriations the NRC receives for these
types of activities. If the NRC's appropriations for these types of
activities are greater than the budgeted resources for the activities
included in paragraphs (d)(1)(ii) and (iii) of this section for a given
FY, annual fees will be reduced. The activities comprising the FY 2011
fee-relief adjustment are as follows:
* * * * *
(2) The total FY 2011 fee-relief adjustment allocated to the
operating power reactor class of licenses is -$3.4 million, not
including the amount allocated to the spent fuel storage/reactor
decommissioning class. The FY 2011 operating power reactor fee-relief
adjustment to be assessed to each operating power reactor is
approximately -$32,248. This amount is calculated by dividing the total
operating power reactor fee-relief adjustment (-$3.4 million) by the
number of operating power reactors (104).
(3) The FY 2011 fee-relief adjustment allocated to the spent fuel
storage/reactor decommissioning class of licenses is -$236,572. The FY
2011 spent fuel storage/reactor decommissioning fee-relief adjustment
to be assessed to each operating power reactor, each power reactor in
decommissioning or possession-only status that has spent fuel onsite,
and to each independent spent fuel storage 10 CFR part 72 licensee who
does not hold a 10 CFR part 50 license, is approximately -$1,923. This
amount is calculated by dividing the total fee-relief adjustment costs
allocated to this class by the total number of power reactor licenses,
except those that permanently ceased operations and have no fuel
onsite, and 10 CFR part 72 licensees who do not hold a 10 CFR part 50
license.
(e) The FY 2011 annual fees for licensees authorized to operate a
research and test (nonpower) reactor licensed under part 50 of this
chapter, unless the reactor is exempted from fees under Sec.
171.11(a), are as follows:
Research reactor--$86,100.
Test reactor--$86,100.
8. In Sec. 171.16, paragraph (b) introductory text, paragraphs (c)
and (d), and paragraph (e) introductory text are revised to read as
follows:
Sec. 171.16 Annual fees: Materials licensees, 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.
* * * * *
(c) A licensee who is required to pay an annual fee under this
section may qualify as a small entity. If a licensee qualifies as a
small entity and provides the Commission with the proper certification
along with its annual fee payment, the licensee may pay reduced annual
fees as shown in the following table. Failure to file a small entity
certification in a timely manner could result in the receipt of a
delinquent invoice requesting the outstanding balance due and/or denial
of any refund that might otherwise be due. The small entity fees are as
follows:
------------------------------------------------------------------------
Maximum annual fee per
licensed category
------------------------------------------------------------------------
Small Businesses Not Engaged in
Manufacturing (Average gross receipts
over last 3 completed fiscal years):
$450,000 to $6.5 million.............. $2,300
Less than $450,000.................... 500
Small Not-For-Profit Organizations (Annual
Gross Receipts):
$450,000 to $6.5 million.............. 2,300
Less than $450,000.................... 500
Manufacturing entities that have an
average of 500 employees or fewer:
35 to 500 employees................... 2,300
Fewer than 35 employees............... 500
Small Governmental Jurisdictions
(Including publicly supported educational
institutions) (Population):
20,000 to 50,000...................... 2,300
Fewer than 20,000..................... 500
Educational Institutions that are not
State or Publicly Supported, and have 500
Employees or Fewer:
35 to 500 employees................... 2,300
Fewer than 35 employees............... 500
------------------------------------------------------------------------
(d) The FY 2011 annual fees are comprised of a base annual fee and
an allocation for fee-relief adjustment. The activities comprising the
FY 2011 fee-relief adjustment are shown for convenience in paragraph
(e) of this section. The FY 2011 annual fees for materials licensees
and holders of certificates, registrations, or approvals subject to
fees under this section are shown in the following table:
Schedule of Materials Annual Fees and Fees for Government Agencies
Licensed by NRC
[See footnotes at end of table]
------------------------------------------------------------------------
Annual fees 1, 2,
Category of materials licenses 3
------------------------------------------------------------------------
1. Special nuclear material:
A. (1) Licenses for possession and use of U-235
or plutonium for fuel fabrication activities.
(a) Strategic Special Nuclear Material (High $6,078,000
Enriched Uranium) [Program Code(s): 21130]..
[[Page 14769]]
(b) Low Enriched Uranium in Dispersible Form 2,287,000
Used for Fabrication of Power Reactor Fuel
[Program Code(s): 21210]....................
(2) All other special nuclear materials licenses
not included in Category 1.A.(1) which are
licensed for fuel cycle activities.
(a) Facilities with limited operations 752,000
[Program Code(s): 21310, 21320].............
(b) Gas centrifuge enrichment demonstration 1,176,000
facilities..................................
(c) Others, including hot cell facilities.... 588,000
B. Licenses for receipt and storage of spent fuel N/A \11\
and reactor-related Greater than Class C (GTCC)
waste at an independent spent fuel storage
installation (ISFSI) [Program Code(s): 23200]...
C. Licenses for possession and use of special 3,600
nuclear material in sealed sources contained in
devices used in industrial measuring systems,
including x-ray fluorescence analyzers [Program
Code(s): 22140].................................
D. All other special nuclear material licenses, 6,900
except licenses authorizing special nuclear
material in unsealed form in combination that
would constitute a critical quantity, as defined
in Sec. 150.11 of this chapter, for which the
licensee shall pay the same fees as those for
Category 1.A.(2) [Program Code(s): 22110, 22111,
22120, 22131, 22136, 22150, 22151, 22161, 22163,
22170, 23100, 23300, 23310].....................
E. Licenses or certificates for the operation of 3,268,000
a uranium enrichment facility [Program Code(s):
21200]..........................................
2. Source material:
A. (1) Licenses for possession and use of source 1,242,000
material for refining uranium mill concentrates
to uranium hexafluoride [Program Code(s): 11400]
(2) Licenses for possession and use of source
material in recovery operations such as milling,
in-situ recovery, heap-leaching, ore buying
stations, ion-exchange facilities and in-
processing of ores containing source material
for extraction of metals other than uranium or
thorium, including licenses authorizing the
possession of byproduct waste material
(tailings) from source material recovery
operations, as well as licenses authorizing the
possession and maintenance of a facility in a
standby mode.
(a) Conventional and Heap Leach facilities 31,900
[Program Code(s): 11100]....................
(b) Basic In Situ Recovery facilities 30,300
[Program Code(s): 11500]....................
(c) Expanded In Situ Recovery facilities 34,300
[Program Code(s): 11510]....................
(d) In Situ Recovery Resin facilities 28,800
[Program Code(s): 11550]....................
(e) Resin Toll Milling facilities [Program N/A \5\
Code(s): 11555].............................
(f) Other facilities \4\ [Program Code(s): N/A \5\
11700]......................................
(3) Licenses that authorize the receipt of N/A \5\
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 the fees in Category
2.A.(2) or Category 2.A.(4) [Program Code(s):
11600, 12000]...................................
(4) Licenses that authorize the receipt of 10,400
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 licensee's milling operations,
except those licenses subject to the fees in
Category 2.A.(2) [Program Code(s): 12010].......
(5) Licenses that authorize the possession of 7,200
source material related to removal of
contaminants (source material) from drinking
water [Program Code(s): 11820]..................
B. Licenses that authorize only the possession, 1,700
use, and/or installation of source material for
shielding [Program Code(s): 11210]..............
C. All other source material licenses [Program 11,900
Code(s): 11200, 11220, 11221, 11230, 11300,
11800, 11810]...................................
3. Byproduct material:
A. Licenses of broad scope for possession and use 42,600
of byproduct material issued under parts 30 and
33 of this chapter for processing or
manufacturing of items containing byproduct
material for commercial distribution [Program
Code(s): 03211, 03212, 03213]...................
B. Other licenses for possession and use of 11,900
byproduct material issued under part 30 of this
chapter for processing or manufacturing of items
containing byproduct material for commercial
distribution [Program Code(s): 03214, 03215,
22135, 22162]...................................
C. Licenses issued under Sec. Sec. 32.72 and/ 16,200
or 32.74 of this chapter authorizing the
processing or manufacturing and distribution or
redistribution of radiopharmaceuticals,
generators, reagent kits, and/or sources and
devices containing byproduct material. This
category also includes the possession and use of
source material for shielding authorized under
part 40 of this chapter when included on the
same license. This category does not apply to
licenses issued to nonprofit educational
institutions whose processing or manufacturing
is exempt under Sec. 171.11(a)(1). [Program
Code(s): 02500, 02511, 02513]...................
D. [Reserved].................................... N/A \5\
E. Licenses for possession and use of byproduct 8,700
material in sealed sources for irradiation of
materials in which the source is not removed
from its shield (self-shielded units) [Program
Code(s): 03510, 03520]..........................
F. Licenses for possession and use of less than 15,200
10,000 curies of byproduct material in sealed
sources for irradiation of materials in which
the source is exposed for irradiation purposes.
This category also includes underwater
irradiators for irradiation of materials in
which the source is not exposed for irradiation
purposes [Program Code(s): 03511]...............
G. Licenses for possession and use of 10,000 137,500
curies or more of byproduct material in sealed
sources for irradiation of materials in which
the source is exposed for irradiation purposes.
This category also includes underwater
irradiators for irradiation of materials in
which the source is not exposed for irradiation
purposes [Program Code(s): 03521]...............
H. Licenses issued under Subpart A of part 32 of 8,100
this chapter to distribute items containing
byproduct material that require device review to
persons exempt from the licensing requirements
of part 30 of this chapter, except specific
licenses authorizing redistribution of items
that have been authorized for distribution to
persons exempt from the licensing requirements
of part 30 of this chapter [Program Code(s):
03254, 03255]...................................
[[Page 14770]]
I. Licenses issued under Subpart A of part 32 of 19,600
this chapter to distribute items containing
byproduct material or quantities of byproduct
material that do not require device evaluation
to persons exempt from the licensing
requirements of part 30 of this chapter, except
for specific licenses authorizing redistribution
of items that have been authorized for
distribution to persons exempt from the
licensing requirements of part 30 of this
chapter [Program Code(s): 03250, 03251, 03252,
03253, 03256]...................................
J. Licenses issued under Subpart B of part 32 of 4,700
this chapter to distribute items containing
byproduct material that require sealed source
and/or device review to persons generally
licensed under part 31 of this chapter, except
specific licenses authorizing redistribution of
items that have been authorized for distribution
to persons generally licensed under part 31 of
this chapter [Program Code(s): 03240, 03241,
03243]..........................................
K. Licenses issued under Subpart B of part 32 of 3,100
this chapter to distribute items containing
byproduct material or quantities of byproduct
material that do not require sealed source and/
or device review to persons generally licensed
under part 31 of this chapter, except specific
licenses authorizing redistribution of items
that have been authorized for distribution to
persons generally licensed under part 31 of this
chapter [Program Code(s): 03242, 03244].........
L. Licenses of broad scope for possession and use 14,100
of byproduct material issued under parts 30 and
33 of this chapter for research and development
that do not authorize commercial distribution
[Program Code(s): 01100, 01110, 01120, 03610,
03611, 03612, 03613]............................
M. Other licenses for possession and use of 8,100
byproduct material issued under part 30 of this
chapter for research and development that do not
authorize commercial distribution [Program
Code(s): 03620].................................
N. Licenses that authorize services for other 14,300
licensees, except: (1) Licenses that authorize
only calibration and/or leak testing services
are subject to the fees specified in fee
Category 3.P.; and (2) Licenses that authorize
waste disposal services are subject to the fees
specified in fee categories 4.A., 4.B., and 4.C.
[Program Code(s): 03219, 03225, 03226]..........
O. Licenses for possession and use of byproduct 25,700
material issued under part 34 of this chapter
for industrial radiography operations. This
category also includes the possession and use of
source material for shielding authorized under
part 40 of this chapter when authorized on the
same license [Program Code(s): 03310, 03320]....
P. All other specific byproduct material 4,800
licenses, except those in Categories 4.A.
through 9.D. [Program Code(s): 02400, 02410,
03120, 03121, 03122, 03123, 03124, 03220, 03221,
03222, 03800, 03810, 22130].....................
Q. Registration of devices generally licensed N/A \13\
under part 31 of this chapter...................
R. Possession of items or products containing
radium-226 identified in 10 CFR 31.12 which
exceed the number of items or limits specified
in that section: \14\
1. Possession of quantities exceeding the 8,900
number of items or limits in 10 CFR
31.12(a)(4), or (5) but less than or equal
to 10 times the number of items or limits
specified [Program Code(s): 02700]..........
2. Possession of quantities exceeding 10 4,800
times the number of items or limits
specified in 10 CFR 31.12(a)(4), or (5)
[Program Code(s): 02710]....................
S. Licenses for production of accelerator- 15,300
produced radionuclides [Program Code(s): 03210].
4. Waste disposal and processing:
A. Licenses specifically authorizing the receipt N/A \5\
of waste byproduct material, source material, or
special nuclear material from other persons for
the purpose of contingency storage or commercial
land disposal by the licensee; or licenses
authorizing contingency storage of low-level
radioactive waste at the site of nuclear power
reactors; or licenses for receipt of waste from
other persons for incineration or other
treatment, packaging of resulting waste and
residues, and transfer of packages to another
person authorized to receive or dispose of waste
material [Program Code(s): 03231, 03233, 03235,
03236, 06100, 06101]............................
B. Licenses specifically authorizing the receipt 31,300
of waste byproduct material, source material, or
special nuclear material from other persons for
the purpose of packaging or repackaging the
material. The licensee will dispose of the
material by transfer to another person
authorized to receive or dispose of the material
[Program Code(s): 03234]........................
C. Licenses specifically authorizing the receipt 14,400
of prepackaged waste byproduct material, source
material, or special nuclear material from other
persons. The licensee will dispose of the
material by transfer to another person
authorized to receive or dispose of the material
[Program Code(s): 03232]........................
5. Well logging:
A. Licenses for possession and use of byproduct 9,900
material, source material, and/or special
nuclear material for well logging, well surveys,
and tracer studies other than field flooding
tracer studies [Program Code(s): 03110, 03111,
03112]..........................................
B. Licenses for possession and use of byproduct N/A \5\
material for field flooding tracer studies
[Program Code(s): 03113]........................
6. Nuclear laundries:
A. Licenses for commercial collection and laundry 44,900
of items contaminated with byproduct material,
source material, or special nuclear material
[Program Code(s): 03218]........................
7. Medical licenses:
A. Licenses issued under parts 30, 35, 40, and 70 17,600
of this chapter for human use of byproduct
material, source material, or special nuclear
material in sealed sources contained in gamma
stereotactic radiosurgery units, teletherapy
devices, or similar beam therapy devices. This
category also includes the possession and use of
source material for shielding when authorized on
the same license [Program Code(s): 02300, 02310]
B. Licenses of broad scope issued to medical 45,000
institutions or two or more physicians under
parts 30, 33, 35, 40, and 70 of this chapter
authorizing research and development, including
human use of byproduct material, except licenses
for byproduct material, source material, or
special nuclear material in sealed sources
contained in teletherapy devices. This category
also includes the possession and use of source
material for shielding when authorized on the
same license.\9\ [Program Code(s): 02110].......
C. Other licenses issued under parts 30, 35, 40, 8,400
and 70 of this chapter for human use of
byproduct material, source material, and/or
special nuclear material, except licenses for
byproduct material, source material, or special
nuclear material in sealed sources contained in
teletherapy devices. This category also includes
the possession and use of source material for
shielding when authorized on the same
license.\9\ [Program Code(s): 02120, 02121,
02200, 02201, 02210, 02220, 02230, 02231, 02240,
22160]..........................................
[[Page 14771]]
8. Civil defense:
A. Licenses for possession and use of byproduct 8,900
material, source material, or special nuclear
material for civil defense activities [Program
Code(s): 03710].................................
9. Device, product, or sealed source safety
evaluation:
A. Registrations issued for the safety evaluation 11,500
of devices or products containing byproduct
material, source material, or special nuclear
material, except reactor fuel devices, for
commercial distribution.........................
B. Registrations issued for the safety evaluation 13,300
of devices or products containing byproduct
material, source material, or special nuclear
material manufactured in accordance with the
unique specifications of, and for use by, a
single applicant, except reactor fuel devices...
C. Registrations issued for the safety evaluation 15,600
of sealed sources containing byproduct material,
source material, or special nuclear material,
except reactor fuel, for commercial distribution
D. Registrations issued for the safety evaluation 1,600
of sealed sources containing byproduct material,
source material, or special nuclear material,
manufactured in accordance with the unique
specifications of, and for use by, a single
applicant, except reactor fuel..................
10. Transportation of radioactive material:
A. Certificates of Compliance or other package
approvals issued for design of casks, packages,
and shipping containers.........................
1. Spent Fuel, High-Level Waste, and N/A \6\
plutonium air packages......................
2. Other Casks............................... N/A \6\
B. Quality assurance program approvals issued
under part 71 of this chapter...................
1. Users and Fabricators..................... N/A \6\
2. Users..................................... N/A \6\
C. Evaluation of security plans, route approvals, N/A \6\
route surveys, and transportation security
devices (including immobilization devices)......
11. Standardized spent fuel facilities............... N/A \6\
12. Special Projects................................. N/A \6\
13. A. Spent fuel storage cask Certificate of N/A \6\
Compliance..........................................
B. General licenses for storage of spent fuel N/A \12\
under 10 CFR 72.210.............................
14. Decommissioning/Reclamation:
A. Byproduct, source, or special nuclear material N/A \7\
licenses and other approvals authorizing
decommissioning, decontamination, reclamation,
or site restoration activities under parts 30,
40, 70, 72, and 76 of this chapter..............
B. Site-specific decommissioning activities N/A \7\
associated with unlicensed sites, whether or not
the sites have been previously licensed.........
15. Import and Export licenses....................... N/A \8\
16. Reciprocity...................................... N/A \8\
17. Master materials licenses of broad scope issued 476,000
to Government agencies [Program Code(s): 03710].....
18. Department of Energy:
A. Certificates of Compliance.................... 1,028,000 \10\
B. Uranium Mill Tailings Radiation Control Act 771,000
(UMTRCA) activities.............................
------------------------------------------------------------------------
\1\ Annual fees will be assessed based on whether a licensee held a
valid license with the NRC authorizing possession and use of
radioactive material during the current FY. The annual fee is waived
for those materials licenses and holders of certificates,
registrations, and approvals who either filed for termination of their
licenses or approvals or filed for possession only/storage licenses
before October 1, 2010, and permanently ceased licensed activities
entirely before this date. Annual fees for licensees who filed for
termination of a license, downgrade of a license, or for a possession-
only license during the FY and for new licenses issued during the FY
will be prorated in accordance with the provisions of Sec. 171.17.
If a person holds more than one license, certificate, registration, or
approval, the annual fee(s) will be assessed for each license,
certificate, registration, or approval held by that person. For
licenses that authorize more than one activity on a single license
(e.g., human use and irradiator activities), annual fees will be
assessed for each category applicable to the license. Licensees paying
annual fees under Category 1.A.(1) are not subject to the annual fees
for Categories 1.C. and 1.D. for sealed sources authorized in the
license.
\2\ Payment of the prescribed annual fee does not automatically renew
the license, certificate, registration, or approval for which the fee
is paid. Renewal applications must be filed in accordance with the
requirements of parts 30, 40, 70, 71, 72, or 76 of this chapter.
\3\ Each FY, fees for these materials licenses will be calculated and
assessed in accordance with Sec. 171.13 and will be published in the
Federal Register for notice and comment.
\4\ Other facilities include licenses for extraction of metals, heavy
metals, and rare earths.
\5\ There are no existing NRC licenses in these fee categories. If NRC
issues a license for these categories, the Commission will consider
establishing an annual fee for this type of license.
\6\ Standardized spent fuel facilities, 10 CFR parts 71 and 72
Certificates of Compliance and related Quality Assurance program
approvals, and special reviews, such as topical reports, are not
assessed an annual fee because the generic costs of regulating these
activities are primarily attributable to users of the designs,
certificates, and topical reports.
\7\ Licensees in this category are not assessed an annual fee because
they are charged an annual fee in other categories while they are
licensed to operate.
\8\ No annual fee is charged because it is not practical to administer
due to the relatively short life or temporary nature of the license.
\9\ Separate annual fees will not be assessed for pacemaker licenses
issued to medical institutions that also hold nuclear medicine
licenses under Categories 7.B. or 7.C.
\10\ This includes Certificates of Compliance issued to the Department
of Energy that are not funded from the Nuclear Waste Fund.
\11\ See Sec. 171.15(c).
\12\ See Sec. 171.15(c).
\13\ No annual fee is charged for this category because the cost of the
general license registration program applicable to licenses in this
category will be recovered through 10 CFR part 170 fees.
\14\ Persons who possess radium sources that are used for operational
purposes in another fee category are not also subject to the fees in
this category. (This exception does not apply if the radium sources
are possessed for storage only.)
[[Page 14772]]
(e) The fee-relief adjustment allocated to annual fees includes the
budgeted resources for the activities listed in paragraph (e)(1) of
this section, plus the total budgeted resources for the activities
included in paragraphs (e)(2) and (e)(3) of this section, as reduced by
the appropriations NRC receives for these types of activities. If the
NRC's appropriations for these types of activities are greater than the
budgeted resources for the activities included in paragraphs (e)(2) and
(e)(3) of this section for a given FY, a negative fee-relief adjustment
(or annual fee reduction) will be allocated to annual fees. The
activities comprising the FY 2011 fee-relief adjustment are as follows:
* * * * *
Dated at Rockville, Maryland, this 2nd day of March 2011.
For the Nuclear Regulatory Commission.
J.E. Dyer,
Chief Financial Officer.
Note: This Appendix Will Not Appear in the Code of Federal
Regulations.
Appendix A to Proposed Rule, Revision of Fee Schedules; Fee Recovery
for Fiscal Year 2011--Regulatory Flexibility Analysis for the Final
Amendments to 10 CFR Part 170 (License Fees) and 10 CFR Part 171
(Annual Fees)
I. Background
The Regulatory Flexibility Act (RFA), as amended at 5 U.S.C. 601
et seq., requires that agencies consider the impact of their
rulemakings on small entities and, consistent with applicable
statutes, consider alternatives to minimize these impacts on the
businesses, organizations, and government jurisdictions to which
they apply.
The Nuclear Regulatory Commission (NRC or the Commission) has
established standards for determining which NRC licensees qualify as
small entities (Title 10 of the Code of Federal Regulations (10 CFR)
2.810). These standards were based on the Small Business
Administration's most common receipts-based size standards and
provides for business concerns that are manufacturing entities. The
NRC uses the size standards to reduce the impact of annual fees on
small entities by establishing a licensee's eligibility to qualify
for a maximum small entity fee. The small entity fee categories in
Sec. 171.16(c) of this proposed rule are based on the NRC's size
standards.
The NRC is required each year, under the Omnibus Budget
Reconciliation Act of 1990 (OBRA-90), as amended, to recover
approximately 90 percent of its budget authority (less amounts
appropriated from the Nuclear Waste Fund (NWF) and for other
activities specifically removed from the fee base), through fees to
NRC licensees and applicants. The OBRA-90 requires that the schedule
of charges established by rulemaking should fairly and equitably
allocate the total amount to be recovered from the NRC's licensees
and be assessed under the principle that licensees who require the
greatest expenditure of agency resources pay the greatest annual
charges. Since FY 1991, the NRC has complied with OBRA-90 by issuing
a final rule that amends its fee regulations. These final rules have
established the methodology used by the NRC in identifying and
determining the fees to be assessed and collected in any given FY.
The Commission is proposing to rebaseline its 10 CFR Part 171
annual fees in FY 2011. As compared with FY 2010 annual fees, the FY
2011 proposed rebaselined fees are higher for four classes of
licensees (spent fuel storage and reactors in decommissioning
facilities, research and test reactors, fuel facilities, and
transportation), and lower for one class of licensees (power
reactors). Within the uranium recovery fee class, the proposed
annual fees for most licensees decrease, while the proposed annual
fee for one fee category increases. The annual fee increases for
most fee categories in the materials users' fee class.
The Small Business Regulatory Enforcement Fairness Act (SBREFA)
provides Congress with the opportunity to review agency rules before
they go into effect. Under this legislation, the NRC annual fee rule
is considered a ``major'' rule and must be reviewed by Congress and
the Comptroller General before the rule becomes effective.
The SBREFA also requires that an agency prepare a written
compliance guide to assist small entities in complying with each
rule for which a Regulatory Flexibilty Analysis (RFA) is prepared.
As required by law, this analysis and the small entity compliance
guide (Attachment 1) have been prepared for the FY 2011 fee rule.
II. Impact on Small Entities
The fee rule results in substantial fees charged to those
individuals, organizations, and companies licensed by the NRC,
including those licensed under the NRC materials program. Comments
received on previous proposed fee rules and the small entity
certifications in response to previous final fee rules indicate that
licensees qualifying as small entities under the NRC's size
standards are primarily materials licensees. Therefore, this
analysis will focus on the economic impact of fees on materials
licensees. In FY 2010, about 29 percent of these licensees
(approximately 921 licensees) qualified as small entities.
Commenters on previous fee rulemakings consistently indicated
that the following would occur if the proposed annual fees were not
modified:
1. Large firms would gain an unfair competitive advantage over
small entities. Commenters noted that small and very small companies
(``Mom and Pop'' operations) would find it more difficult to absorb
the annual fee than a large corporation or a high-volume type of
operation. In competitive markets, such as soil testing, annual fees
would put small licensees at an extreme competitive disadvantage
with their much larger competitors because the proposed fees would
be identical for both small and large firms.
2. Some firms would be forced to cancel their licenses. A
licensee with receipts of less than $500,000 per year stated that
the proposed rule would, in effect, force it to relinquish its soil
density gauge and license, thereby reducing its ability to do its
work effectively. Other licensees, especially well-loggers, noted
that the increased fees would force small businesses to abandon the
materials license altogether. Commenters estimated that the proposed
rule would cause roughly 10 percent of the well-logging licensees to
terminate their licenses immediately and approximately 25 percent to
terminate before the next annual assessment.
3. Some companies would go out of business.
4. Some companies would have budget problems. Many medical
licensees noted that, along with reduced reimbursements, the
proposed increase of the existing fees and the introduction of
additional fees would significantly affect their budgets. Others
noted that, in view of the cuts by Medicare and other third party
carriers, the fees would produce a hardship difficult for some
facilities to meet.
Over 3,000 licenses, approvals, and registration terminations
have been requested since the NRC first established annual fees for
materials licenses. Although some terminations were requested
because the license was no longer needed or could be combined with
registrations, indications are that the economic impact of the fees
caused other terminations.
To alleviate the significant impact of the annual fees on a
substantial number of small entities, the NRC considered the
following alternatives in accordance with the RFA in developing each
of its fee rules since FY 1991.
1. Base fees on some measure of the amount of radioactivity
possessed by the licensee (e.g., number of sources).
2. Base fees on frequency of use of licensed radioactive
material (e.g., volume of patients).
3. Base fees on the NRC size standards for small entities.
The NRC has reexamined its previous evaluations of these
alternatives and continues to believe that a maximum fee for small
entities is the most appropriate and effective option for reducing
the impact of fees on small entities.
III. Maximum Fee
The SBREFA and its implementing guidance do not provide specific
guidelines on what constitutes a significant economic impact on a
small entity. In developing the maximum small entity annual fee in
FY 1991, the NRC examined 10 CFR Part 170 licensing and inspection
fees and Agreement State fees for fee categories which were expected
to have a substantial number of small entities. Six Agreement States
(Washington, Texas, Illinois, Nebraska, New York, and Utah) were
used as benchmarks in the establishment of the maximum small entity
annual fee in FY 1991.
The NRC maximum small entity fee was established as an annual
fee only. In addition to the annual fee, NRC small entity licensees
were required to pay amendment, renewal
[[Page 14773]]
and inspection fees. In setting the small entity annual fee, NRC
ensured that the total amount small entities paid would not exceed
the maximum paid in the six benchmark Agreement States.
Of the six benchmark States, the NRC used Washington's maximum
Agreement State fee of $3,800 as the ceiling for total fees. Thus,
the NRC's small entity fee was developed to ensure that the total
fees paid by NRC small entities would not exceed $3,800. Given the
NRC's FY 1991 fee structure for inspections, amendments, and
renewals, a small entity annual fee established at $1,800 allowed
the total fee (small entity annual fee plus yearly average for
inspections, amendments, and renewal fees) for all categories to
fall under the $3,800 ceiling.
In FY 1992, the NRC introduced a second, lower tier to the small
entity fee in response to concerns that the $1,800 fee, when added
to the license and inspection fees, still imposed a significant
impact on small entities with relatively low gross annual receipts.
For purposes of the annual fee, each small entity size standard was
divided into an upper and lower tier. Small entity licensees in the
upper tier continued to pay an annual fee of $1,800, while those in
the lower tier paid an annual fee of $400.
Based on the changes that had occurred since FY 1991, the NRC
reanalyzed its maximum small entity annual fees in FY 2000 and
determined that the small entity fees should be increased by 25
percent to reflect the increase in the average fees paid by other
materials licensees since FY 1991, as well as changes in the fee
structure for materials licensees. The structure of fees NRC charged
its materials licensees changed during the period between 1991 and
1999. Costs for materials license inspections, renewals, and
amendments, which were previously recovered through Part 170 fees
for services, are now included in the Part 171 annual fees assessed
to materials licensees. Because of the 25 percent increase, in FY
2000 the maximum small entity annual fee increased from $1,800 to
$2,300. However, despite the increase, total fees for many small
entities were reduced because they no longer paid Part 170 fees.
Costs not recovered from small entities were allocated to other
materials licensees and to power reactors.
While reducing the impact on many small entities, the NRC
determined that the maximum annual fee of $2,300 for small entities
could continue to have a significant impact on materials licensees
with relatively low annual gross receipts. Therefore, the NRC
continued to provide the lower-tier small entity annual fee for
small entities with relatively low gross annual receipts,
manufacturing concerns, and for educational institutions not State
or publicly supported with fewer than 35 employees. The NRC also
increased the lower-tier small entity fee by 25 percent, the same
percentage increase to the maximum small entity annual fee,
resulting in the lower-tier small entity fee increasing from $400 to
$500 in FY 2000.
The NRC stated in the RFA for the FY 2001 final fee rule that it
would reexamine the small entity fees every 2 years, in the same
years in which it conducts the biennial review of fees as required
by the Chief Financial Officers Act. Accordingly, the NRC examined
the small entity fees again in FY 2003 and FY 2005, determining that
a change was not warranted to those fees established in FY 2001.
As part of the small entity review in FY 2007, the NRC also
considered whether it should establish reduced fees for small
entities under Part 170. The NRC received one comment requesting
that small entity fees be considered for certain export licenses,
particularly in light of the recent increases to Part 170 fees for
these licenses. Because the NRC's Part 170 fees are not assessed to
a licensee or applicant on a regular basis (i.e., they are only
assessed when a licensee or applicant requests a specific service
from the NRC), the NRC does not believe that the impact of its Part
170 fees warrants a fee reduction for small entities, in addition to
the Part 171 small entity fee reduction. Regarding export licenses,
the NRC notes that interested parties can submit a single
application for a broad scope, multi-year license that permits
exports to multiple countries. Because the NRC charges fees per
application, this process minimizes the fees for export applicants.
Because a single NRC fee can cover numerous exports, and because
there are a limited number of entities who apply for these licenses,
the NRC does not anticipate that the Part 170 export fees will have
a significant impact on a substantial number of small entities.
Therefore, the NRC retained the $2,300 small entity annual fee and
the $500 lower-tier small entity annual fee for FY 2007 and FY 2008.
The NRC conducted an in-depth biennial review of the FY 2009
small entity fees. The review noted significant changes between FY
2000 and FY 2008 in both the external and internal environment which
impacted fees for NRC's materials users licensees. Since FY 2000,
small entity licensees in the upper tier had increased approximately
53 percent. In addition, due to changes in the law, NRC is now
required to recover only 90 percent of its budget authority compared
to 100 percent recovery required in FY 2000. This 10 percent fee-
relief has influenced the materials users' annual fees. A decrease
in the NRC's budget allocation to the materials users also
influenced annual fees in FY 2007 and FY 2008.
Based on the review, the NRC changed the methodology for
reviewing small entity fees. The NRC determined the maximum small
entity fee should be adjusted each biennial year using a fixed
percentage of 39 percent applied to the prior 2-year weighted
average of materials users fees for all fee categories which have
small entity licensees. The 39 percent was based on the small entity
annual fee for FY 2005, which was the first year the NRC was
required to recover only 90 percent of its budget authority. The FY
2005 small entity annual fee of $2,300 was 39 percent of the 2-year
weighted average for all fee categories in FY 2005 and FY 2006 that
had an upper-tier small entity licensee. The new methodology allows
small entity licensees to be able to predict changes in their fee in
the biennial year based on the materials users' fees for the
previous 2 years. Using a 2-year weighted average smoothes the
fluctuations caused by programmatic and budget variables and
reflects the importance of the fee categories with the majority of
small entities. The agency also determined the lower-tier annual fee
should remain at 22 percent of the maximum small entity annual fee.
In FY 2009, the NRC decreased the maximum small entity fee from
$2,300 to $1,900 and decreased the lower-tier annual fee from $500
to $400.
In FY 2011, the NRC reexamined the small entity fee, including
the new methodology developed in FY 2009. Per the methodology used
in FY 2009, the agency computed the small entity fee by using a
fixed percentage of 39 percent applied to the prior 2-year weighted
average of materials users' fees. This resulted in an upper-tier
small entity fee amount that was 7 percent higher than the current
fee of $1,900, a reflection of the increase in annual fees for the
materials users licensees for the past 2 years. Implementing this
increase would have a disproportionate impact upon small NRC
licensees. Therefore in FY 2011, NRC has decided to limit the
increase for upper tier fees to $2,300, a 21 percent increase, and
the lower tier fee to $500, a 25 percent increase. This increase in
the small entity fee partially reflects the changes to the annual
fee for the materials users for the previous 2 years.
IV. Summary
The NRC has determined that the 10 CFR Part 171 annual fees
significantly impact a substantial number of small entities. A
maximum fee for small entities strikes a balance between the
requirement to recover 90 percent of the NRC budget and the
requirement to consider means of reducing the impact of the fee on
small entities. Based on its RFA, the NRC concludes that a maximum
annual fee of $2,300 for small entities and a lower-tier small
entity annual fee of $500 for small businesses and not-for-profit
organizations with gross annual receipts of less than $450,000,
small governmental jurisdictions with a population of fewer than
20,000, small manufacturing entities that have fewer than 35
employees, and educational institutions that are not State or
publicly supported and have fewer than 35 employees, reduces the
impact on small entities. At the same time, these reduced annual
fees are consistent with the objectives of OBRA-90. Thus, the fees
for small entities maintain a balance between the objectives of
OBRA-90 and the RFA.
Attachment 1 to Appendix A--U.S. Nuclear Regulatory Commission Small
Entity Compliance Guide; Fiscal Year 2011
Contents
I. Introduction
II. NRC Definition of Small Entity
III. NRC Small Entity Fees
IV. Instructions for Completing NRC Form 526
I. Introduction
The Small Business Regulatory Enforcement Fairness Act (SBREFA)
requires all Federal agencies to prepare a written compliance guide
for each rule for which the agency is required by U.S.C. 604 to
prepare a regulatory flexibility analysis. Therefore, in
[[Page 14774]]
compliance with the law, Attachment 1 to the Regulatory Flexibility
Analysis is the small entity compliance guide for FY 2011.
Licensees may use this guide to determine whether they qualify
as a small entity under NRC regulations and are eligible to pay
reduced FY 2011 annual fees assessed under Title 10 of the Code of
Federal Regulations (10 CFR) Part 171. The U.S. Nuclear Regulatory
Commission (NRC) has established two tiers of annual fees for those
materials licensees who qualify as small entities under the NRC's
size standards.
Licensees who meet the NRC's size standards for a small entity
(listed in 10 CFR 2.810) must submit a completed NRC Form 526
``Certification of Small Entity Status for the Purposes of Annual
Fees Imposed under 10 CFR Part 171'' to qualify for the reduced
annual fee. This form can be accessed on the NRC's Web site at
http://www.nrc.gov. The form can then be accessed by selecting
``Business with NRC,'' then ``NRC Forms,'' selecting NRC Form 526.
For licensees who cannot access the NRC's Web site, NRC Form 526 may
be obtained through the local point of contact listed in the NRC's
``Materials Annual Fee Billing Handbook,'' NUREG/BR-0238, which is
enclosed with each annual fee billing. Alternatively, the form may
be obtained by calling the fee staff at 301-415-7554, or by e-
mailing the fee staff at [email protected].
The completed form, the appropriate small entity fee, and the
payment copy of the invoice should be mailed to the U.S. Nuclear
Regulatory Commission, Accounts Receivable/Payable Branch, at the
address indicated on the invoice. Failure to file the NRC small
entity certification Form 526 in a timely manner may result in the
denial of any refund that might otherwise be due.
II. NRC Definition of Small Entity
For purposes of compliance with its regulations (10 CFR 2.810),
the NRC has defined a small entity as follows:
(1) Small business--a for-profit concern that (a) provides a
service, or a concern that is not engaged in manufacturing, with
average gross receipts of $6.5 million or less over its last 3
completed fiscal years; or (b) a manufacturing concern with an
average number of 500 or fewer employees based on employment during
each pay period for the preceding 12 calendar months;
(2) Small organizations--a not-for-profit organization which is
independently owned and operated and has annual gross receipts of
$6.5 million or less;
(3) 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; and
(4) Small educational institution--an educational institution
that is (a) supported by a qualifying small governmental
jurisdiction, or (b) one that is not State or publicly supported and
has 500 or fewer employees.\1\
---------------------------------------------------------------------------
\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.
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To further assist licensees in determining if they qualify as a
small entity, the following guidelines are provided, which are based
on the Small Business Administration's regulations (13 CFR Part
121).
(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 foreign 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 from 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 from sales of
products and services, interest, rent, fees, and commissions from
whatever sources derived (i.e., not solely receipts from NRC-
licensed activities).
(4) A licensee who is a subsidiary of a large entity, including
a foreign entity, does not qualify as a small entity.
III. NRC Small Entity Fees
In 10 CFR 171.16(c), the NRC has established two tiers of fees
for licensees that qualify as a small entity under the NRC's size
standards. The fees are as follows:
------------------------------------------------------------------------
Maximum annual
fee per licensed
category
------------------------------------------------------------------------
Small Businesses Not Engaged in Manufacturing
(Average gross receipts over last 3 completed fiscal
years):
$450,000 to $6.5 million......................... $2,300
Less than $450,000............................... 500
Small Not-For-Profit Organizations (Annual Gross
Receipts):
$450,000 to $6.5 million......................... 2,300
Less than $450,000............................... 500
Manufacturing entities that have an average of 500
employees or fewer:
35 to 500 employees.............................. 2,300
Fewer than 35 employees.......................... 500
Small Governmental Jurisdictions (Including publicly
supported educational institutions) (Population):
20,000 to 50,000................................. 2,300
Fewer than 20,000................................ 500
Educational Institutions that are not State or
Publicly Supported, and have 500 Employees or Fewer
35 to 500 employees................................ 2,300
Fewer than 35 employees.......................... 500
Fewer than 20,000................................ 500
------------------------------------------------------------------------
IV. Instructions for Completing NRC Small Entity Form 526
1. Complete all items on NRC Form 526 as follows: (Note:
Incomplete or improperly completed forms will be returned as
unacceptable.)
(a) Enter the license number and invoice number exactly as they
appear on the annual fee invoice.
(b) Enter the North American Industry Classification System.
(c) Enter the licensee's name and address exactly as they appear
on the invoice. Annotate name and/or address changes for billing
purposes on the payment copy of the invoice--include contact's name,
telephone number, e-mail address, and company Web site address.
Correcting the name and/or address on NRC Form 526 or on the invoice
does not constitute a request to amend the license.
(d) Check the appropriate size standard under which the licensee
qualifies as a small entity. Check one box only. Note the following:
(i) A licensee who is a subsidiary of a large entity, including
foreign entities, does not qualify as a small entity. The
calculation of a firm's size includes the employees or receipts of
all affiliates. Affiliation with another concern is based on the
power to control, whether exercised or not. Such factors as common
ownership, common management, and identity of interest (often found
in members of the same family),
[[Page 14775]]
among others, are indications of affiliation. The affiliated
business concerns need not be in the same line of business.
(ii) Gross annual receipts, as used in the size standards,
include all revenue received or accrued by your company from all
sources, regardless of the form of the revenue and not solely
receipts from licensed activities.
(iii) NRC's size standards on a small entity are based on the
Small Business Administration's regulations (13 CFR Part 121).
(iv) The size standards apply to the licensee, not to the
individual authorized users who may be listed in the license.
2. If the invoice states the ``Amount Billed Represents 50%
Proration,'' the amount due is not the prorated amount shown on the
invoice but rather one-half of the maximum small entity annual fee
shown on NRC Form 526 for the size standard under which the licensee
qualifies (either $1,150 or $250) for each category billed.
3. If the invoice amount is less than the reduced small entity
annual fee shown on this form, pay the amount on the invoice; there
is no further reduction. In this case, do not file NRC Form 526.
However, if the invoice amount is greater than the reduced small
entity annual fee, file NRC Form 526 and pay the amount applicable
to the size standard you checked on the form.
4. The completed NRC Form 526 must be submitted with the
required annual fee payment and the ``Payment Copy'' of the invoice
to the address shown on the invoice.
5. Section 171.16(c) states licensees shall submit a proper
certification with its annual fee payment each year. Failure to
submit NRC Form 526 at the time the annual fee is paid will require
the licensee to pay the full amount of the invoice.
The NRC sends invoices to its licensees for the full annual fee,
even though some licensees qualify for reduced fees as small
entities. Licensees who qualify as small entities and file NRC Form
526, which certifies eligibility for small entity fees, may pay the
reduced fee, which is either $2,300 or $500 for a full year,
depending on the size of the entity, for each fee category shown on
the invoice. Licensees granted a license during the first 6 months
of the fiscal year, and licensees who file for termination or for a
``possession-only'' license and permanently cease licensed
activities during the first 6 months of the fiscal year, pay only 50
percent of the annual fee for that year. Such invoices state that
the ``amount billed represents 50% proration.''
Licensees must file a new small entity form (NRC Form 526) with
the NRC each fiscal year to qualify for reduced fees in that year.
Because a licensee's ``size,'' or the size standards, may change
from year to year, the invoice reflects the full fee, and licensees
must complete and return NRC Form 526 for the fee to be reduced to
the small entity fee amount. Licensees will not receive 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, Accounts Receivable/Payable Branch, at the
address indicated on the invoice.
If you have questions regarding the NRC's annual fees, please
contact the license fee staff at 301-415-7554, e-mail the fee staff
at [email protected], or write to the U.S. Nuclear Regulatory
Commission, Washington, DC 20555-0001, Attention: Office 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 of 1986, 31 U.S.C. 3801 et seq. NRC's implementing
regulations are found at 10 CFR Part 13.
[FR Doc. 2011-5968 Filed 3-16-11; 8:45 am]
BILLING CODE 7590-01-P