[Federal Register Volume 59, Number 89 (Tuesday, May 10, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-10916]
[[Page Unknown]]
[Federal Register: May 10, 1994]
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NUCLEAR REGULATORY COMMISSION
10 CFR Parts 170 and 171
RIN 3150-AF03
Revision of Fee Schedules; 100% Fee Recovery, FY 1994
AGENCY: Nuclear Regulatory Commission.
ACTION: Proposed rule.
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SUMMARY: The Nuclear Regulatory Commission (NRC) is proposing to amend
the licensing, inspection, and annual fees charged to its applicants
and licensees. The proposed amendments are necessary to implement
Public Law 101-508, enacted November 5, 1990, which mandates that the
NRC recover approximately 100 percent of its budget authority in Fiscal
Year (FY) 1994 less amounts appropriated from the Nuclear Waste Fund
(NWF). The amount to be recovered for FY 1994 is approximately $513
million.
DATES: The comment period expires June 9, 1994. Comments received after
this date will be considered if it is practical to do so, but the NRC
is able to ensure only that comments received on or before this date
will be considered. Because Public Law 101-508 requires that NRC
collect the FY 1994 fees by September 30, 1994, requests for extensions
of the comment period will not be granted.
ADDRESSES: Submit written comments to: Secretary, U.S. Nuclear
Regulatory Commission, Washington, DC 20555, ATTN: Docketing and
Service Branch.
Hand deliver comments to: 11555 Rockville Pike, Rockville, Maryland
20852, between 7:30 am and 4:15 pm Federal workdays. (Telephone 301-
504-1678).
Copies of comments received and the agency workpapers that support
these proposed changes to 10 CFR parts 170 and 171 may be examined at
the NRC Public Document Room at 2120 L Street NW. (Lower Level),
Washington, DC 20555.
FOR FURTHER INFORMATION CONTACT: C. James Holloway, Jr., Office of the
Controller, U.S. Nuclear Regulatory Commission, Washington, DC 20555,
Telephone 301-492-4301.
SUPPLEMENTARY INFORMATION:
I. Background.
II. Proposed Action.
III. Section-by-Section Analysis.
IV. Environmental Impact: Categorical Exclusion.
V. Paperwork Reduction Act Statement.
VI. Regulatory Analysis.
VII. Regulatory Flexibility Analysis.
VIII. Backfit Analysis.
I. Background
Public Law 101-508, the Omnibus Budget Reconciliation Act of 1990
(OBRA-90), enacted November 5, 1990, requires that the NRC recover
approximately 100 percent of its budget authority less the amount
appropriated from the Department of Energy (DOE) administered NWF for
FYs 1991 through 1995 by assessing fees. OBRA-90 was amended in 1993 to
extend the NRC's 100 percent fee recovery requirement through 1998.
The NRC assesses two types of fees to recover its budget authority.
First, license and inspection fees, established in 10 CFR part 170
under the authority of the Independent Offices Appropriation Act
(IOAA), 31 U.S.C. 9701, recover the NRC's costs of providing
individually identifiable services to specific applicants and
licensees. The services provided by the NRC for which these fees are
assessed include the review of applications for the issuance of new
licenses or approvals, amendments to or renewal of licenses or
approvals, and inspections of licensed activities. Second, annual fees,
established in 10 CFR part 171 under the authority of OBRA-90, recover
generic and other regulatory costs not recovered through 10 CFR part
170 fees.
Subsequent to enactment of OBRA-90, the NRC published five final
fee rules after evaluation of public comments. On July 10, 1991 (56 FR
31472), the NRC published a final rule in the Federal Register that
established the Part 170 professional hourly rate and the materials
licensing and inspection fees, as well as the Part 171 annual fees, to
be assessed to recover approximately 100 percent of the FY 1991 budget.
In addition to establishing the FY 1991 fees, the final rule
established the underlying basis and methodology for determining both
the 10 CFR part 170 hourly rate and fees and the 10 CFR part 171 annual
fees. The FY 1991 rule was challenged in Federal court by several
parties; the U.S. Court of Appeals for the District of Columbia Circuit
rendered its decision on March 16, 1993, remanding two issues to the
NRC for further consideration (988 F.2d 146 (D.C. Cir. 1993)). The
court decision was also extended to cover the FY 1992 fee rule by court
order dated April 30, 1993.
On April 17, 1992 (57 FR 13625), the NRC published in the Federal
Register two limited changes to 10 CFR parts 170 and 171. The limited
changes became effective May 18, 1992. The limited change to 10 CFR
part 170 allowed the NRC to bill quarterly for those license fees that
were previously billed every six months. The limited change to 10 CFR
part 171 lowered in some cases the maximum annual fee of $1,800
assessed a materials licensee who qualifies as a small entity under the
NRC's size standards. A lower tier small entity fee of $400 per
licensed category was established for small business and non-profit
organizations with gross annual receipts of less than $250,000 and
small governmental jurisdictions with a population of less than 20,000.
On July 23, 1992 (57 FR 32691), and July 20, 1993 (58 FR 38666),
the NRC published final rules in the Federal Register that established
the licensing, inspection, and annual fees necessary for the NRC to
recover approximately 100 percent of its budget authority for FY 1992
and FY 1993 respectively. The basic methodology used in the FY 1992 and
FY 1993 final rules was unchanged from that used to calculate the 10
CFR part 170 professional hourly rate, the specific materials licensing
and inspection fees in 10 CFR part 170, and the 10 CFR part 171 annual
fees in the final rule published July 10, 1991 (56 FR 31472). The
methodology for assessing low-level waste (LLW) costs was changed in FY
1993 in response to the judicial decision mentioned earlier. This
change was explained in detail in the FY 1993 final rule published July
20, 1993 (58 FR 38669-72). The NRC created two groups--large waste
generators and small waste generators. Licensees within each group are
charged a uniform flat fee.
On March 17, 1994 (59 FR 12539), the NRC reinstated the annual fee
exemption for nonprofit educational institutions after notice and
comment. In response to the March 16, 1993 judicial decision, the
exemption had been eliminated in the final rule published by NRC on
July 20, 1993 (58 FR 38666).
The American College of Nuclear Physicians and the Society of
Nuclear Medicine filed a Petition for Rulemaking which included a
request that the Commission exempt medical licensees from fees for
services provided in nonprofit institutions. The Commission denied that
request on March 17, 1994, (59 FR 12555).
Section 2903(c) of the Energy Policy Act of 1992 required the NRC
to undertake a broad review of its annual fee policies under section
6101(c) of OBRA-90, solicit public comment on the need for policy
changes, and recommend changes in existing law to the Congress that the
NRC found were needed to prevent the placement of an unfair burden on
certain NRC licensees. To comply with the Energy Policy Act
requirements, the NRC reviewed more than 500 public comments submitted
in response to the request for comment published in the Federal
Register on April 19, 1993 (58 FR 21116), and sent its report to
Congress on February 23, 1994. A copy of this report has been placed in
the Public Document Room.
II. Proposed Action
The NRC is proposing to amend its licensing, inspection, and annual
fees for FY 1994. OBRA-90 requires that the NRC recover approximately
100 percent of its FY 1994 budget authority, including the budget
authority for its Office of the Inspector General, less the
appropriations received from the NWF, by assessing licensing,
inspection, and annual fees.
For FY 1994, the NRC's budget authority was originally $547.7
million. The Commission, in its effort to streamline operations,
proposed a $12.7 million rescission to the original appropriation for
FY 1994. Congress approved this NRC proposed reduction resulting in a
revised budget authority of $535.0 million. Approximately $22.0 million
of the revised budget was appropriated from the NWF. Therefore, OBRA-90
requires that the NRC collect approximately $513.0 million in FY 1994
through 10 CFR part 170 licensing and inspection fees and 10 CFR part
171 annual fees. This amount for FY 1994 is about $6 million less than
the total amount for FY 1993. The NRC estimates that approximately
$116.2 million will be recovered in FY 1994 from the fees assessed
under 10 CFR part 170. The remaining $396.8 million will be recovered
through the 10 CFR part 171 annual fees established for FY 1994.
The NRC has not changed the basic approach, policies, or
methodology for calculating the 10 CFR part 170 professional hourly
rate, the specific materials licensing and inspection fees in 10 CFR
part 170, and the 10 CFR part 171 annual fees set forth in the final
rules published July 10, 1991 (56 FR 31472), July 23, 1992 (57 FR
32691), and July 20, 1993 (58 FR 38666) with the following exceptions.
The Commission has reinstated the annual fee exemption for nonprofit
educational institutions. In this proposed rule, the NRC has directly
assigned additional effort to the reactor and materials programs for
the Office of Investigations, the Office of Enforcement, the Advisory
Committee on Reactor Safeguards, and the Advisory Committee on Nuclear
Waste. Resources for these activities had previously been included in
overhead, but are now assigned directly to the class of licenses that
they support. As a result of this direct assignment, the cost per
direct FTE is about 3% less than it would have been without the
additional direct assignment.
The NRC contemplates that any fees to be collected as a result of
this proposed rule will be assessed on an expedited basis to ensure
collection of the required fees by September 30, 1994, as stipulated in
the Public Law. Therefore, as in FY 1991, FY 1992, and FY 1993, the
fees, if adopted, will become effective 30 days after publication of
the final rule in the Federal Register. The NRC will send a bill for
the amount of the annual fee to the licensee or certificate,
registration, or approval holder upon publication of the final rule.
Payment is due on the effective date of the FY 1994 rule, which is
estimated to be August 1, 1994.
A. Amendments to 10 CFR part 170: Fees for Facilities, Materials,
Import and Export Licenses, and Other Regulatory Services
The NRC proposes four amendments to part 170. These amendments do
not change the underlying basis for the regulation--that fees be
assessed to applicants, persons, and licensees for specific
identifiable services rendered. These revisions also comply with the
guidance in the Conference Committee Report on OBRA-90 that fees
assessed under the Independent Offices Appropriation Act (IOAA) recover
the full cost to the NRC of all identifiable regulatory services each
applicant or licensee receives.
First, the NRC proposes that the agency-wide professional hourly
rate, which is used to determine the part 170 fees, be increased from
$132 per hour to $133 per hour ($231,216 per direct FTE). The rate is
based on the FY 1994 direct FTEs and that portion of the FY 1994 budget
that is not direct program support (contractual services costs) and not
recovered through the appropriation from the NWF. As indicated earlier,
the decrease in the FY 1994 budget compared to the FY 1993 budget is
primarily for direct program support which is not included in the
hourly rate. Thus, the reduction in the budget has limited impact on
the hourly rate but will show as a direct reduction to the amount
allocated to the various classes of licensees.
Second, the NRC proposes that the current part 170 licensing and
inspection fees in Secs. 170.21 and 170.31 for all applicants and
licensees be adjusted to reflect the very small increase in the hourly
rate.
Third, the NRC is also proposing to revise the definition of
special projects as provided in Sec. 170.3 of the regulations. This
change is proposed because of (1) our experience in implementing the
100 percent fee recovery program during the past three years and (2)
the NRC's most recent fee policy review that was required by the Energy
Policy Act of 1992. The NRC believes that the costs for some requests
or reports being filed with NRC are more appropriately captured in the
10 CFR part 171 annual fees rather than assessing specific fees under
10 CFR part 170. These reports, although submitted by a specific
organization, support NRC's development of generic guidance and
regulations (e.g., rules, regulatory guides and policy statements), and
resolution of safety issues applicable to a class of licensees such as
those addressed in generic letters. Therefore, the NRC proposes that
the definition in Sec. 170.3 as well as the footnotes in Secs. 170.21
and 170.31 be revised to indicate that 10 CFR part 170 fees will not be
assessed for requests/reports which have been submitted to the NRC:
(1) In response to a Generic Letter or NRC Bulletin that does not
result in an amendment to the license, does not result in the review of
an alternate method or reanalysis to meet the requirements of the
Generic Letter or does not involve an unreviewed safety issue;
(2) In response to an NRC request (at the Associate Office Director
level or above) to resolve an identified safety or environmental issue,
or to assist NRC in developing a rule, regulatory guide, policy
statement, generic letter, or bulletin; or
(3) As a means of exchanging information between industry
organizations and the NRC for the purpose of supporting generic
regulatory improvements or efforts.
Fourth, the NRC is proposing to amend Category 16 of Sec. 170.31,
reciprocity, to include a fee to recover the costs expended by the NRC
for the review of revisions to the information submitted on the NRC
Form 241 filed by 10 CFR 150.20 general licensees during the remainder
of the calendar year. Persons engaging in activities in a non-Agreement
State under the reciprocity provisions of Sec. 150.20 are required to
file an NRC Form 241 for the initial application in a calendar year.
Revisions to the initial NRC Form 241 are filed for review and
authorization in lieu of filing additional Forms 241 when persons using
the 10 CFR 150.20 general license either add locations of work, use
different radioactive material or perform additional work activities in
a non-Agreement State.
B. Amendments to 10 CFR part 171: Annual Fees for Reactor Operating
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 NRC
The NRC proposes six amendments to 10 CFR Part 171. First, the NRC
is proposing to amend Sec. 171.11(a)(2) to provide that State-owned
research reactors used primarily for education and training and
academic research purposes will be exempt from the annual fee. The NRC
believes that this proposed change is consistent with the legislative
intent of the Energy Policy Act of 1992 that government-owned research
reactors be exempt from annual fees if they meet the technical design
criteria of the exemption and are used primarily for educational
training and research purposes.
Second, NRC proposes to amend Secs. 171.15 and 171.16 to revise the
annual fees for FY 1994 to recover approximately 100 percent of the FY
1994 budget authority less fees collected under 10 CFR Part 170 and
funds appropriated from the NWF.
Third, NRC proposes to amend fee Category 18 of Sec. 171.16(d) to
assess fees to the Department of Energy (DOE) for the general license
in 10 CFR 40.27. The general license fulfills a requirement of the
Uranium Mill Tailings Radiation Control Act of 1978 (UMTRCA) (Pub. L.
95-604) that the perpetual custodian of reclaimed uranium mill tailings
piles be licensed by the NRC. The general license provided for in the
regulation covers only post-reclamation closure custody and site
surveillance. Based on NRC's acceptance of DOE's Long Term Surveillance
Plan for the Spook, Wyoming site on September 21, 1993, the site is now
subject to the general license in 10 CFR 40.27. Because DOE now holds
an NRC license, it is subject to annual fees. The NRC had previously
indicated its intent to bill DOE for UMTRCA costs once post-closure was
achieved and the sites were licensed by the Government (56 FR 31481,
July 10, 1991). As a result, DOE would be billed for the costs
associated with NRC's UMTRCA review of all activities associated with
the facilities assigned to DOE under UMTRCA. As with other licensees,
the annual fee for this class of licensees (DOE UMTRCA facilities) will
recover the generic and other regulatory costs not recovered through 10
CFR Part 170 fees. Since DOE, as a Federal agency, cannot be assessed
Part 170 fees under the Independent Offices Appropriation Act of 1952
(IOAA), the result is that NRC proposes to assess annual fees for the
total costs of DOE UMTRCA activities to DOE.
Fourth, the NRC is proposing to amend 10 CFR 171.17 to add a
proration provision for materials licenses and to revise the proration
provision for reactors. The annual fee for materials licensees would be
prorated based on applications filed after October 1 of the fiscal year
either to reduce the scope of a license or to terminate a license.
Those materials licensees who file applications between October 1 and
March 31 of the fiscal year to downgrade the license or terminate the
license would pay one-half the annual fee stated in Sec. 171.16(d) for
the affected fee category(ies). Those materials licensees filing
applications on or after April 1 of the fiscal year to downgrade or
terminate a license would pay the full annual fee. Those licensees who
file for termination or downgrade must also permanently cease
operations of those licensed activities during the periods mentioned
for the fees to be reduced. Similarly, materials licensees who were
issued new licenses or licenses of increased scope during the fiscal
year would also be charged a prorated annual fee based on the date of
issuance of the new license or license amendment increasing its scope.
New materials licenses issued during the period October 1 through March
31 would be assessed one-half of the annual fee stated in
Sec. 171.16(d) for the applicable fee category(ies). New licenses
issued on or after April 1 would not be assessed an annual fee.
In addition, materials licenses amended during the period from
October 1 through March 31 to increase the scope would be assessed one-
half the annual fee for the new fee category(ies). Materials licenses
amended on or after April 1 to increase the scope of the license would
not be assessed the annual fee for the new fee category(ies).
The NRC proposes to amend the proration provision in Sec. 171.17
applicable to reactors to provide that for licensees who have requested
amendment to withdraw operating authority permanently during the FY the
annual fee will be prorated based on the number of days during the FY
the operating license was in effect before the possession only license
was issued or the license was terminated.
Fifth, the NRC is proposing to modify Footnote 1 of 10 CFR
171.16(d) to provide for a waiver of the annual fees for those
materials licensees, and holders of certificates, registrations, and
approvals who either filed for termination of their license or approval
or filed for a possession only/storage license prior to October 1,
1993, and permanently ceased licensed activities entirely by September
30, 1993. All other licensees and approval holders who held a license
or approval on October 1, 1993, would be subject to FY 1994 annual
fees. This change is in recognition of the fact that since the final FY
1993 rule was published in July 1993, licensees have continued to file
requests for termination of their licenses or certificates with the
NRC. Other licensees have either called or written to the NRC since the
FY 1993 final rule became effective requesting further clarification
and information concerning the annual fees assessed. The NRC is
responding to these requests as quickly as possible. However, the NRC
was unable to respond and take action on all of the requests before the
end of the fiscal year on September 30, 1993. Similar situations
existed after the FY 1991 and FY 1992 rules were published, and in
those cases NRC provided an exemption from the requirement that the
annual fee is waived only where a license is terminated before October
1 of each fiscal year.
Sixth, the NRC is proposing to amend Sec. 171.19 to credit the
quarterly partial payments already made by certain licensees in FY 1994
either toward their total annual fee to be assessed or to make refunds,
if necessary.
The proposed 10 CFR part 171 annual fees have been determined using
the same method used to determine the FY 1991, FY 1992, and FY 1993
annual fees. The amounts to be collected through annual fees in the
amendments to 10 CFR part 171 are based on the increased professional
hourly rate. The proposed amendments to 10 CFR part 171 do not change
the underlying basis for 10 CFR part 171; that is, charging a class of
licensees for NRC costs attributable to that class of licensees. The
changes are consistent with the Congressional guidance in the
Conference Committee Report on OBRA-90, which states that the
``conferees contemplate that the NRC will continue to allocate generic
costs that are attributable to a given class of licensee to such
class'' and the ``conferees intend that the NRC assess the annual
charge under the principle that licensees who require the greatest
expenditures of the agency's resources should pay the greatest annual
fee'' (136 Cong. Rec., at H12692-93).
During the past three years, many licensees have indicated that
although they held a valid NRC license authorizing the possession and
use of special nuclear, source, or byproduct material, they were in
fact either not using the material to conduct operations or had
disposed of the material and no longer needed the license. In
responding to licensees about this matter, the NRC has stated that
annual fees are assessed based on whether a licensee holds a valid NRC
license that authorizes possession and use of radioactive material.
Whether or not a licensee is actually conducting operations using the
material is a matter of licensee discretion. The NRC cannot control
whether a licensee elects to possess and use radioactive material once
it receives a license from the NRC. Therefore, the NRC reemphasizes
once again that annual fees will be assessed based on whether a
licensee holds a valid license with the NRC that authorizes possession
and use of radioactive material. To remove any uncertainties regarding
agency policy on this issue, the NRC amended 10 CFR 171.16, footnotes 1
and 7 on July 20, 1993.
C. FY 1994 Budgeted Costs
The FY 1994 budgeted costs, by major activity, to be recovered
through 10 CFR parts 170 and 171 fees, are shown in Table I.
Table I.--Recovery of NRC's FY 1994 Budget Authority
(Dollars in-millions)
------------------------------------------------------------------------
Estimated
Recovery method amount
------------------------------------------------------------------------
Nuclear waste fund........................................... $22.0
Part 170 (license and inspection fees)....................... 116.2
Other receipts............................................... .1
Part 171 (annual fees):
Power reactors............................................. 306.0
Nonpower reactors.......................................... .4
Fuel facilities............................................ 16.8
Spent fuel storage......................................... 2.2
Uranium recovery........................................... 2.1
Transportation............................................. 4.0
Material users............................................. \1\38.6
----------
Subtotal part 171...................................... 370.1
==========
Costs remaining to be recovered not identified above......... $26.6
----------
Total.................................................. 535.0
------------------------------------------------------------------------
\1\Includes $6.3 million that will not be recovered from small materials
licensees because of the reduced small entity fees.
The NRC is proposing that the $26.6 million identified for those
activities which are not identified as either 10 CFR Parts 170 or 171
or the NWF in Table I be distributed among the classes of licensees as
follows:
$24.4 million to operating power reactors;
$.7 million to fuel facilities; and
$1.5 million to other materials licensees.
In addition, approximately $6.3 million must be collected as a
result of continuing the $1,800 maximum fee for small entities and the
lower tier small entity fee of $400 for certain licensees. In order for
the NRC to recover 100 percent of its FY 1994 budget authority in
accordance with OBRA-90, the NRC is proposing to recover $5.3 million
of the $6.3 million from operating power reactors and the remaining
$1.0 million from other nonreactor entities that do not meet NRC small
entity size standards.
This distribution results in an additional charge (surcharge) of
approximately $275,000 per operating power reactor; $55,600 for each
HEU, LEU, UF6 and each other fuel facility license; $1,500 for
each materials license in a category that generates a significant
amount of low level waste; and $170 for other materials licenses. When
added to the base annual fee of approximately $2.8 million per reactor,
this will result in an annual fee of approximately $3.1 million per
operating power reactor. The total fuel facility annual fee would be
between approximately $1.2 million and $3.2 million. The total annual
fee for materials licenses would vary depending on the fee
category(ies) assigned to the license.
The proposed additional charges not directly or solely attributable
to a specific class of NRC licensees and costs not recovered from all
NRC licensees on the basis of previous Commission policy decisions
would be recovered from the designated classes of licensees previously
identified. A further discussion and breakdown of the specific costs by
major classes of licensees are shown in Section III of this proposed
rule.
III. Section-by-Section Analysis
The following analysis of those sections that are affected under
this proposed rule provides additional explanatory information. All
references are to Title 10, Chapter I, U.S. Code of Federal
Regulations.
Part 170
Section 170.3 Definitions
This section would be amended to revise the definition of special
projects. This proposed change is based on our experience during the
past three years in implementing the 100 percent fee recovery program
and the fee policy review required by the Energy Policy Act of 1992.
The NRC believes that the costs for some requests or reports being
filed with NRC are more appropriately captured in the 10 CFR Part 171
annual fees instead of assessing specific fees under 10 CFR Part 170.
Therefore, it is proposed that the definition in Sec. 170.3, as well as
the footnotes in Secs. 170.21 and 170.31, be revised to indicate that
10 CFR Part 170 fees will not be assessed for requests/reports which
have been submitted to the NRC:
1. In response to a Generic Letter or NRC Bulletin that does not
result in an amendment to the license, does not result in the review of
an alternate method or reanalysis to meet the requirements of the
Generic Letter, or does not involve an unreviewed safety issue;
2. In response to an NRC request (at the Associate Office Director
level or above) to resolve an identified safety or environmental issue,
or to assist NRC in developing a rule, regulatory guide, policy
statement, generic letter, or bulletin; or
3. As a means of exchanging information between industry
organizations and the NRC for the purpose of supporting generic
regulatory improvements or efforts.
Section 170.20 Average Cost per Professional Staff Hour
This section would be amended to reflect an agency-wide,
professional staff-hour rate based on FY 1994 budgeted costs.
Accordingly, the NRC professional staff-hour rate for FY 1994 for all
fee categories that are based on full cost is $133 per hour, or
$231,216 per direct FTE. The rate is based on the FY 1994 direct FTEs
and NRC budgeted costs that are not recovered through the appropriation
from the NWF. The rate is calculated using the identical method
established for FY 1991, FY 1992, and FY 1993. The method is as
follows:
1. All direct FTEs are identified in Table II by major program. It
is noted that for FY 1994 the NRC has traced additional direct effort
to the reactor and materials programs for the Office of Investigations,
the Office of Enforcement, the Advisory Committee on Reactor
Safeguards, and the Advisory Committee on Nuclear Waste. The cost for
these activities had previously been included in overhead, but are now
being directly assigned to the class of licensees that they support.
Table II.--Allocation of Direct FTEs by Major Program
------------------------------------------------------------------------
Number
of
Major program direct
FTEs\1\
------------------------------------------------------------------------
Reactor Safety & Safeguards Regulation........................ 1,034.4
Reactor Safety Research....................................... 111.3
Nuclear Material & Low-Level Waste Safety & Safeguards
Regulation................................................... 352.5
Reactor Special and Independent Reviews, Investigations, and
Enforcement.................................................. 111.7
Nuclear Material Management and Support....................... 19.0
---------
Total direct FTE........................................ \2\1,628
.9
------------------------------------------------------------------------
\1\FTE (full time equivalent) is one person working for a full year.
Regional employees are counted in the office of the program each
supports.
\2\In FY 1994, 1,628.9 FTEs of the total 3,223 FTEs are considered to be
in direct support of NRC non-NWF programs. The remaining 1,594.1 FTEs
are considered overhead and general and administrative.
2. NRC FY 1994 budgeted costs are allocated, in Table III, to the
following four major categories:
(a) Salaries and benefits.
(b) Administrative support.
(c) Travel.
(d) Program support.
3. Direct program support, which is the use of contract or other
services in support of the line organization's direct program, is
excluded because these costs are charged directly through the various
categories of fees.
4. All other costs (i.e., Salaries and Benefits, Travel,
Administrative Support, and Program Support contracts/services for G&A
activities) represent ``in-house'' costs and are to be collected by
allocating them uniformly over the total number of direct FTEs.
Using this method, which was described in the final rules published
July 10, 1991 (56 FR 31472), July 23, 1992 (57 FR 32691), and July 20,
1993 (58 FR 38666), and excluding direct Program Support funds,
allocating the remaining $376.6 million uniformly to the direct FTEs
(1,628.9) results in a rate of $231,216 per FTE for FY 1994. The Direct
FTE Hourly Rate is $133 per hour (rounded to the nearest whole dollar).
This rate is calculated by dividing $376.6 million by the number of
direct FTEs (1,628.9 FTE) and the number of productive hours in one
year (1744 hours) as indicated in OMB Circular A-76, ``Performance of
Commercial Activities.''
Table III.--FY 1994 Budget Authority by Major Category
[Dollars in millions]
Salaries and benefits......................................... $259.5
Administrative support........................................ 86.7
Travel........................................................ 15.9
---------
Total nonprogram support obligations.......................... 362.1
=========
Program support............................................... 150.9
---------
Total Budget Authority...................................... 513.0
=========
Less direct program support and offsetting receipts........... 136.4
---------
Budget Allocated to Direct FTE................................ 376.6
=========
Professional Hourly Rate...................................... 133
Section 170.21 Schedule of Fees for Production and Utilization
Facilities, Review of Standard Reference Design Approvals, Special
Projects, Inspections and Import and Export Licenses.
The NRC is proposing to revise the licensing and inspection fees in
this section, which are based on full-cost recovery, to reflect the FY
1994 budgeted costs and to recover costs incurred by the NRC in
providing licensing and inspection services to identifiable recipients.
The fees assessed for services provided under the schedule are based on
the professional hourly rate as shown in Sec. 170.20 and any direct
program support (contractual services) costs expended by the NRC. Any
professional hours expended on or after the effective date of this rule
would be assessed at the FY 1994 rate shown in Sec. 170.20. The amount
of the import and export licensing fees in Sec. 170.21, facility
Category K, has not changed from FY 1993 as a result of the very small
increase in the hourly rate from $132 per hour to $133 per hour.
Although the amount of the fees did not change, they are being
published for purposes of convenience.
For those applications currently on file and pending completion,
the NRC is proposing to revise footnote 2 of Sec. 170.21 to provide
that the professional hours expended up to the effective date of this
rule will be assessed at the professional rates established for the
rules that became effective on June 20, 1984, January 30, 1989, July 2,
1990, August 9, 1991, August 24, 1992, and August 19, 1993, as
appropriate. For topical report applications currently on file which
are still pending completion of the review and for which review costs
have reached the applicable fee ceiling established by the July 2,
1990, rule, the costs incurred after any applicable ceiling was reached
through August 8, 1991, will not be billed to the applicant. Any
professional hours expended for the review of topical report
applications, amendments, revisions, or supplements to a topical report
on or after August 9, 1991, are assessed at the applicable rate
established by Sec. 170.20.
Section 170.31 Schedule of Fees for Materials Licenses and Other
Regulatory Services, Including Inspections and Import and Export
Licenses.
The licensing and inspection fees in this section would be modified
to recover the FY 1994 costs incurred by the Commission in providing
licensing and inspection services to identifiable recipients. Those
flat fees, which are based on the average time to review an application
or conduct an inspection, are adjusted to reflect the very small
increase in the professional hourly rate from $132 per hour in FY 1993
to $133 per hour in FY 1994. In many cases, the fees for FY 1994 are
the same as those assessed in FY 1993.
The amounts of the licensing and inspection flat fees were rounded
by applying standard rules of arithmetic so that the amounts rounded
would be de minimus and convenient to the user. Fees that are greater
than $1,000 are rounded to the nearest $100. Fees under $1,000 are
rounded to the nearest $10.
The proposed fees are applicable to fee categories 1.C and 1.D; 2.B
and 2.C; 3.A through 3.P; 4.B through 9.D, 10.B, 15A through 15E and
16. The fees will be assessed for applications filed or inspections
conducted on or after the effective date of this rule.
The NRC is proposing to amend Category 16, reciprocity, to include
a fee to recover the costs incurred by the NRC for the review of
revisions to the information submitted on the NRC Form-241 filed by the
10 CFR 150.20 general licensees during the remainder of the calendar
year. Persons engaging in activities in a non-Agreement State under the
reciprocity provision of Sec. 150.20 are required to file an NRC Form
241 for the initial application in a calendar year. Revisions to the
initial NRC Form 241 are filed for review and authorization in lieu of
filing additional Forms 241 when persons using the 10 CFR 150.20
general license either add locations of work, use different radioactive
material or perform additional work activities in a non-Agreement
State.
For those licensing, inspection, and review fees assessed that are
based on full-cost recovery (cost for professional staff hours plus any
contractual services), the revised hourly rate of $133, as shown in
Sec. 170.20, applies to those professional staff hours expended on or
after the effective date of this rule.
Part 171
Section 171.11 Exemptions
Paragraph (a)(2) of this section would be amended to exempt State-
owned reactors used primarily for educational training and research
purposes from annual fees. The NRC believes that this proposed change
is consistent with the legislative intent of the Energy Policy Act of
1992 that government-owned research reactors be exempt from annual fees
if they meet the technical design criteria of the exemption and are
used primarily for educational training and research purposes. There is
one research reactor, owned by the Rhode Island Atomic Energy
Commission, that would be exempt under this proposed amendment to
Sec. 171.11.
Section 171.15 Annual Fee: Reactor Operating Licenses
The annual fees in this section would be revised to reflect FY 1994
budgeted costs. Paragraphs (a), (b)(3), (c)(2), (d), and (e) would be
revised to comply with the requirement of OBRA-90 to recover
approximately 100 percent of the NRC budget for FY 1994. Table IV shows
the budgeted costs that have been allocated to operating power
reactors. They have been expressed in terms of the NRC's FY 1994
programs and program elements. The resulting total base annual fee
amount for power reactors is also shown.
Table IV.--Allocation of NRC FY 1994 Budget to Power Reactors' Base
Fees\1\
------------------------------------------------------------------------
Program element total Allocated to power
-------------------------- reactors
-------------------------
Program Program
support Direct FTE support Direct FTE
($,K) ($,K)
------------------------------------------------------------------------
Reactor safety and
safeguards
regulation (RSSR):
Standard reactor
designs........ $9,531 96.3 $9,361 92.8
Reactor license
renewal........ 600 33.9 600 33.9
Reactor and site
licensing...... 1,810 34.7 1,810 29.8
Resident
inspections.... ........... 207.0 ........... 207.0
Region-based
inspections.... 2,780 235.0 2,780 229.8
Interns (HQ and
regions)....... ........... 23.0 ........... 23.0
Special
inspections.... 970 42.7 970 42.7
License
maintenance and
safety
evaluations.... 4,142 208.5 4,142 208.5
Plant
performance.... 927 52.1 927 52.1
Human
performance.... 4,760 54.7 4,403 51.1
Other safety
reviews and
assistance..... 3,443 46.5 3,213 38.8
---------------------------------------------------
RSSR program
total........ ........... ........... 28,206 1,009.5
Reactor safety
research (RSR):
Standard reactor
designs........ 16,676 29.3 16,676 29.3
Reactor aging
and license
renewal........ 23,273 13.7 22,573 13.6
Plant
performance.... 3,173 4.2 3,173 4.2
Human
reliability.... 4,428 7.0 4,428 7.0
Reactor accident
analysis....... 20,284 26.7 20,284 26.7
Safety issue
resolution and
regulatory
improvements... 10,240 30.4 10,240 30.4
---------------------------------------------------
RSR program
total........ ........... ........... 77,374 111.2
Nuclear material and
low level (NMLL)
NMLL (NMSS):
Fuel cycle
safety and
safeguards..... 4,783 85.8 1,494 2.8
LLW licensing
and inspection. 592 14.3 ........... 1.4
Uranium recovery
licensing and
inspection..... 265 14.4 21 0
Decommissioning. 2,215 30.8 9 6.7
NMLL (RES):
Environmental
policy and
decommissioning 2,410 9.0 964 3.6
---------------------------------------------------
NMLL program
total........ ........... ........... 2,488 14.5
Reactor special and
independent
reviews,
investigations, and
enforcement
AEOD:
Diagnostic
evaluations.... 288 5.0 288 5.0
Incident
investigations. 26 1.0 26 1.0
NRC incident
response....... 1,854 26.0 1,854 24.0
Operational
experience
evaluation..... 5,447 30.0 5,447 29.0
Committee to
review generic
requirements... ........... 2.0 ........... 2.0
---------------------------------------------------
AEOD subtotal. ........... ........... 7,615 61.0
Advisory
committee on
reactor
safeguards..... ........... ........... 181 20.5
Office of
investigations. ........... ........... ........... 17.0
Office of
enforcement.... ........... ........... 10 7.0
---------------------------------------------------
RSIRIE program
total........ ........... ........... 7,806 105.5
---------------------------------------------------
Total base fee
amount
allocated to
power
reactors..... ........... ........... 402.7 ...........
million\2\ ...........
Less estimated
part 170 power
reactor fees... ........... ........... 96.7 ...........
million ...........
---------------------------------------------------
Part 171 base
fees for
operating
power
reactors..... ........... ........... 306.0 ...........
million ...........
------------------------------------------------------------------------
\1\Base annual fees include all costs attributable to the operating
power reactor class of licensees. The base fees do not include costs
allocated to power reactors for policy reasons.
\2\Amount is obtained by multiplying the direct FTE times the rate per
FTE and adding the program support funds.
Based on the information in Table IV, the base annual fees to be
assessed for FY 1994 are the amounts shown in Table V below for each
nuclear power operating license.
Table V.--Base Annual Fees for Operating Power Reactors
----------------------------------------------------------------------------------------------------------------
Reactors Containment type Annual fee
----------------------------------------------------------------------------------------------------------------
Westinghouse:
1. Beaver Valley 1....................................... PWR large dry containment........ $2,841,000
2. Beaver Valley 2....................................... ......do......................... 2,841,000
3. Braidwood 1........................................... ......do......................... 2,841,000
4. Braidwood 2........................................... ......do......................... 2,841,000
5. Byron 1............................................... ......do......................... 2,841,000
6. Byron 2............................................... ......do......................... 2,841,000
7. Callaway 1............................................ ......do......................... 2,841,000
8. Comanche Peak 1....................................... ......do......................... 2,841,000
9. Comanche Peak 2....................................... ......do......................... 2,841,000
10. Diablo Canyon 1...................................... ......do......................... 2,839,000
11. Diablo Canyon 2...................................... ......do......................... 2,839,000
12. Farley 1............................................. ......do......................... 2,841,000
13. Farley 2............................................. ......do......................... 2,841,000
14. Ginna................................................ ......do......................... 2,841,000
15. Haddam Neck.......................................... ......do......................... 2,841,000
16. Harris 1............................................. ......do......................... 2,841,000
17. Indian Point 2....................................... ......do......................... 2,841,000
18. Indian Point 3....................................... ......do......................... 2,841,000
19. Kewaunee............................................. ......do......................... 2,841,000
20. Millstone 3.......................................... ......do......................... 2,841,000
21. North Anna 1......................................... ......do......................... 2,841,000
22. North Anna 2......................................... ......do......................... 2,841,000
23. Point Beach 1........................................ ......do......................... 2,841,000
24. Point Beach 2........................................ ......do......................... 2,841,000
25. Prairie Island 1..................................... ......do......................... 2,841,000
26. Prairie Island 2..................................... ......do......................... 2,841,000
27. Robinson 2........................................... ......do......................... 2,841,000
28. Salem 1.............................................. ......do......................... 2,841,000
29. Salem 2.............................................. ......do......................... 2,841,000
30. Seabrook 1........................................... ......do......................... 2,841,000
31. South Texas 1........................................ ......do......................... 2,841,000
32. South Texas 2........................................ ......do......................... 2,841,000
33. Summer 1............................................. ......do......................... 2,841,000
34. Surry 1.............................................. ......do......................... 2,841,000
35. Surry 2.............................................. ......do......................... 2,841,000
36. Turkey Point 3....................................... ......do......................... 2,841,000
37. Turkey Point 4....................................... ......do......................... 2,841,000
38. Vogtle 1............................................. ......do......................... 2,841,000
39. Vogtle 2............................................. ......do......................... 2,841,000
40. Wolf Creek 1......................................... ......do......................... 2,841,000
41. Zion 1............................................... ......do......................... 2,841,000
42. Zion 2............................................... ......do......................... 2,841,000
43. Catawba 1............................................ PWR--Ice condenser............... 2,840,000
44. Catawba 2............................................ ......do......................... 2,840,000
45. Cook 1............................................... ......do......................... 2,840,000
46. Cook 2............................................... ......do......................... 2,840,000
47. McGuire 1............................................ ......do......................... 2,840,000
48. McGuire 2............................................ ......do......................... 2,840,000
49. Sequoyah 1........................................... ......do......................... 2,840,000
50. Sequoyah 2........................................... ......do......................... 2,840,000
Combustion engineering:
1. Arkansas 2............................................ PWR large dry containment........ 2,840,000
2. Calvert Cliffs 1...................................... ......do......................... 2,840,000
3. Calvert Cliffs 2...................................... ......do......................... 2,840,000
4. Ft. Calhoun 1......................................... ......do......................... 2,840,000
5. Maine Yankee.......................................... ......do......................... 2,840,000
6. Millstone 2........................................... ......do......................... 2,840,000
7. Palisades............................................. ......do......................... 2,840,000
8. Palo Verde 1.......................................... ......do......................... 2,838,000
9. Palo Verde 2.......................................... ......do......................... 2,838,000
10. Palo Verde 3......................................... ......do......................... 2,838,000
11. San Onofre 2......................................... ......do......................... 2,838,000
12. San Onofre 3......................................... ......do......................... 2,838,000
13. St. Lucie 1.......................................... ......do......................... 2,840,000
14. St. Lucie 2.......................................... ......do......................... 2,840,000
15. Waterford 3.......................................... ......do......................... 2,840,000
Babcock & Wilcox:
1. Arkansas 1............................................ ......do......................... 2,840,000
2. Crystal River 3....................................... ......do......................... 2,840,000
3. Davis Besse 1......................................... ......do......................... 2,840,000
4. Oconee 1.............................................. ......do......................... 2,840,000
5. Oconee 2.............................................. ......do......................... 2,840,000
6. Oconee 3.............................................. ......do......................... 2,840,000
7. Three Mile Island 1................................... ......do......................... 2,840,000
General Electric:
1. Browns Ferry 1........................................ Mark I........................... 2,821,000
2. Browns Ferry 2........................................ ......do......................... 2,821,000
3. Browns Ferry 3........................................ ......do......................... 2,821,000
4. Brunswick 1........................................... ......do......................... 2,821,000
5. Brunswick 2........................................... ......do......................... 2,821,000
6. Clinton 1............................................. Mark III......................... 2,821,000
7. Cooper................................................ Mark I........................... 2,821,000
8. Dresden 2............................................. ......do......................... 2,821,000
9. Dresden 3............................................. ......do......................... 2,821,000
10. Duane Arnold......................................... ......do......................... 2,821,000
11. Fermi 2.............................................. ......do......................... 2,821,000
12. Fitzpatrick.......................................... ......do......................... 2,821,000
13. Grand Gulf 1......................................... Mark III......................... 2,821,000
14. Hatch 1.............................................. Mark I........................... 2,821,000
15. Hatch 2.............................................. ......do......................... 2,821,000
16. Hope Creek 1......................................... ......do......................... 2,821,000
17. LaSalle 1............................................ Mark II.......................... 2,821,000
18. LaSalle 2............................................ ......do......................... 2,821,000
19. Limerick 1........................................... ......do......................... 2,821,000
20. Limerick 2........................................... ......do......................... 2,821,000
21. Millstone 1.......................................... Mark I........................... 2,821,000
22. Monticello........................................... ......do......................... 2,821,000
23. Nine Mile Point 1.................................... ......do......................... 2,821,000
24. Nine Mile Point 2.................................... Mark II.......................... 2,821,000
25. Oyster Creek......................................... Mark I........................... 2,821,000
26. Peach Bottom 2....................................... ......do......................... 2,821,000
27. Peach Bottom 3....................................... ......do......................... 2,821,000
28. Perry 1.............................................. Mark III......................... 2,821,000
29. Pilgrim.............................................. Mark I........................... 2,821,000
30. Quad Cities 1........................................ ......do......................... 2,821,000
31. Quad Cities 2........................................ ......do......................... 2,821,000
32. River Bend 1......................................... Mark III......................... 2,821,000
33. Susquehanna 1........................................ Mark II.......................... 2,821,000
34. Susquehanna 2........................................ ......do......................... 2,821,000
35. Vermont Yankee....................................... Mark I........................... 2,821,000
36. Washington Nuclear 2................................. Mark II.......................... 2,818,000
Other Reactor:
1. Big Rock Point........................................ GE dry containment............... 2,821,000
----------------------------------------------------------------------------------------------------------------
The ``Other Reactor'' listed in Table V was not included in the fee
base because historically Big Rock Point has been granted a partial
exemption from the annual fees. The NRC proposes to grant a similar
partial exemption in FY 1994 to Big Rock Point, a smaller older
reactor, based on a request filed with the NRC in accordance with
Sec. 171.11.
Paragraph (b)(3) would be revised to change the fiscal year
references from FY 1993 to FY 1994. Paragraph (c)(2) would be amended
to show the amount of the surcharge for FY 1994. This surcharge is
added to the base annual fee for each operating power reactor shown in
Table V. The purpose of this surcharge is to recover those NRC budgeted
costs that are not directly or solely attributable to operating power
reactors but nevertheless must be recovered to comply with the
requirements of OBRA-90. The NRC has continued its previous policy
decision to recover these costs from operating power reactors.
The FY 1994 budgeted costs related to the additional charge and the
amount of the charge are calculated as follows:
------------------------------------------------------------------------
FY 1994
Category of costs budgeted
costs
------------------------------------------------------------------------
1. Activities not attributable to an existing NRC licensee or
class of licensee:
a. reviews for DOE/DOD reactor projects, and West Valley
Demonstration Project; $2.4
b. international cooperative safety program and
international safeguards activities; and 8.2
c. low level waste disposal generic activities;............. 6.0
2. Activities not assessed Part 170 licensing and inspection
fees or Part 171 annual fees based on Commission policy:
a. Licensing and inspection activities associated with
nonprofit educational institutions; and 7.8
b. costs not recovered from Part 171 for small entities..... 5.3
---------
Total budgeted costs.................................... $29.7
------------------------------------------------------------------------
The annual additional charge is determined as follows:
TP10MY94.001
On the basis of this calculation, an operating power reactor,
Beaver Valley 1, for example, would pay a base annual fee of $2,841,000
and an additional charge of $275,000 for a total annual fee of
$3,116,000 for FY 1994.
Paragraph (d) would be revised to show, in summary form, the amount
of the total FY 1994 annual fee, including the surcharge, to be
assessed for each major type of operating power reactor.
Paragraph (e) would be revised to show the amount of the FY 1994
annual fee for nonpower (test and research) reactors. In FY 1994,
$373,000 in costs are attributable to those commercial and non-exempt
Federal government organizations that are licensed to operate test and
research reactors. Applying these costs uniformly to those nonpower
reactors subject to fees results in an annual fee of $62,200 per
operating license. The Energy Policy Act establishes an exemption for
certain Federally-owned research reactors that are used primarily for
educational training and academic research purposes where the design of
the reactor satisfies certain technical specifications set forth in the
legislation. Consistent with this legislative requirement, the NRC
granted an exemption from annual fees for FY 1992 and FY 1993 to the
Veterans Administration Medical Center in Omaha, Nebraska, the U.S.
Geological Survey for its reactor in Denver, Colorado, and the Armed
Forces Radiobiological Institute in Bethesda, Maryland for its research
reactor. This exemption was initially codified in the July 20, 1993 (58
FR 38695), final fee rule at Sec. 171.11(a) and more recently in the
March 17, 1994 (59 FR 12543) final rule at Sec. 171.11(a)(2). The NRC
intends to continue to grant exemptions from the annual fee to those
Federally owned reactors who meet the exemption criteria as specified
in Sec. 171.11. The NRC is proposing to amend Sec. 171.11(a)(2) to
exempt from annual fees the research reactor owned by the Rhode Island
Atomic Energy Commission.
Section 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.
Sec. 171.16(c) covers the fees assessed for those licensees that
can qualify as small entities under NRC size standards. Currently, the
NRC assesses two fees for licensees that qualify as small entities
under the NRC's size standards. In general, licensees with gross annual
receipts of $250,000 to $3.5 million pay a maximum annual fee of
$1,800. A second or lower-tier small entity fee of $400 is in place for
small entities with gross annual receipts of less than $250,000 and
small governmental jurisdictions with a population of less than 20,000.
Paragraph (d) would be revised to reflect the FY 1994 budgeted
costs for materials licensees, including Government agencies, licensed
by the NRC. These fees are necessary to recover the FY 1994 generic
costs totalling $63.7 million that apply to fuel facilities, uranium
recovery facilities, spent fuel facilities, holders of transportation
certificates and QA program approvals, and other materials licensees,
including holders of sealed source and device registrations.
Fee Category 18 would be amended to assess fees to the Department
of Energy (DOE) for use of the general license provided under 10 CFR
40.27. Currently, DOE is billed for the issuance of transportation
Certificates of Compliance. The general license fulfills a requirement
of the Uranium Mill Tailings Radiation Control Act of 1978 (UMTRCA)
(Pub. L. 95-604) that the perpetual custodian of reclaimed uranium mill
tailings piles be licensed by the NRC. The Sec. 40.27 general license
covers only post-reclamation closure custody and site surveillance. In
September 1993, DOE became a general licensee of the NRC because post-
reclamation closure of the Spook, Wyoming site had been achieved.
Because DOE now holds an NRC license, it is subject to annual fees. The
NRC had previously indicated its intent in the FY 1991 final fee rule
to bill DOE for UMTRCA costs once post-closure was achieved and the
sites were licensed by the Government (56 FR 31481, July 10, 1991). As
a result, DOE would be billed for the costs associated with NRC's
UMTRCA review of all activities associated with the facilities assigned
to DOE under UMTRCA. As with other licensees, the annual fee for this
class of licensees (DOE UMTRCA facilities) will recover the generic and
other regulatory costs not recovered through 10 CFR part 170 fees.
Because DOE, as a Federal agency, cannot be assessed Part 170 fees
under the IOAA, the NRC proposes to assess annual fees for the total
costs of DOE UMTRCA activities to DOE.
Tables VI and VII show the NRC program elements and resources that
are attributable to fuel facilities and materials users, respectively.
The costs attributable to the uranium recovery class of licensees are
those associated with uranium recovery licensing and inspection. For
transportation, the costs are those budgeted for transportation
research, licensing, and inspection. Similarly, the budgeted costs for
spent fuel storage are those for spent fuel storage research,
licensing, and inspection.
Table VI.--Allocation of NRC FY 1994 Budget to Fuel Facility Base
Fees\1\
------------------------------------------------------------------------
Total program element Allocated to fuel
-------------------------- facility
-------------------------
Program FTE Program
support $,K support $,K FTE
------------------------------------------------------------------------
NMLL (research):
Radiation
protection/heal
th effects..... $1,575 5.3 315 1.1
Environmental
policy and
Decommissioning 2,410 9.0 241 .9
--------------------------------------
NMLL (RES)
program total ........... ........... 556 2.0
======================================
NMLL (NMSS)
Fuel cycle
safety and
safeguards..... 4,783 85.8 2,432 57.1
Event evaluation 0 14.9 0 4.2
Decommissioning. 2,215 30.8 309 10.5
Uranium recovery
(DAM SAFETY)... 250 7.6 3 0
--------------------------------------
NMLL (NMSS)
program total ........... ........... 2,744 71.8
======================================
NMLL (MSIRIE)...
Incident
response....... ........... ........... 0 1.0
Enforcement..... ........... ........... 0 1.2
--------------------------------------
NMLL MSIRIE
program total ........... ........... 0 2.2
---------------------------------------------------
Total NMLL.. ........... ........... 3,300 76.0
--------------------------------------
Total base fee
amount
allocated to
fuel
facilities... ........... ........... $20.8
\2\million
Less part 170
fuel facility
fees......... ........... ........... 4.0
million
-------------
Part 171 base fees
for fuel facilities ........... ........... 16.8
million
------------------------------------------------------------------------
\1\Base annual fee includes all costs attributable to the fuel facility
class of licensees. The base fee does not include costs allocated to
fuel facilities for policy reasons.
\2\Amount is obtained by multiplying the direct FTE times the rate per
FTE and adding the program support funds.
Table VII.--Allocation of FY 1994 Budget to Material Users' Base Fees\1\
------------------------------------------------------------------------
Total Allocated to materials
-------------------------- users
-------------------------
Program Program
support $,K FTE support $,K FTE
------------------------------------------------------------------------
NMLL (Research):
Materials
licensee
performance.... $450 1.2 $405 1.1
Materials
regulatory
standards...... 1,495 12.2 1,346 11.0
Radiation
protection/heal
th effects..... 1,575 5.3 1,134 3.8
Environmental
policy and
decommissioning 2,410 9.0 1,085 4.1
--------------------------------------
Total NMLL
(RES)........ ........... ........... 3,970 20.0
======================================
NMLL (NMSS):
Licensing/inspec
tion of
materials users $965 109.3 869 99.5
Event Evaluation ........... 16.2 ........... 11.4
Information
technology--NMS
S.............. 1,100 ........... 89 ...........
Decommissioning. 2,215 30.8 1,707 12.0
Low level waste--
on site
disposal....... 592 14.3 71 2.3
--------------------------------------
Total NMLL
(NMSS)....... ........... ........... 2,736 125.2
======================================
NMLL (MSIRIE):
Analysis and
evaluation of
operational
data........... $186 6.0 167 4.5
Office of
Investigations. ........... 7.0 ........... 6.3
Office of
Enforcement.... 10 6.8 9 5.0
--------------------------------------
Total NMLL
program...... ........... ........... $6,882 161.0
======================================
Base amount
allocated to
materials users
($,M).......... ........... ........... 44.1
........... ........... \2\million
Less part 170
material users
fees........... 5.5
million
Part 171 base
fees for
material users. 38.6
million
------------------------------------------------------------------------
\1\Base annual fee includes all costs attributable to the materials
class of licensees. The base fee does not include costs allocated to
materials licensees for policy reasons.
\2\Amount is obtained by multiplying the direct FTE times the rate per
FTE and adding the program support funds.
The allocation of the NRC's $16.8 million in budgeted costs to the
individual fuel facilities is based, as in FY 1991, FY 1992, and FY
1993, primarily on the OBRA-90 conferees' guidance that licensees who
require the greatest expenditure of NRC resources should pay the
greatest annual fee. Because the two high-enriched fuel manufacturing
facilities possess strategic quantities of nuclear materials, more NRC
safeguards costs (e.g., physical security) are attributable to these
facilities. Likewise, more of the safety licensing and inspection costs
are allocated to the HEU facilities because more of these resources are
used for HEU facilities as compared to other facilities. However,
safety program assessment and safety event evaluation costs for fuel
facilities are uniformly allocated to HEU and LEU facilities because
these activities apply equally to each of the HEU and LEU facilities.
Using this approach, the base annual fee for each facility is shown
below.
Annual Fee
------------------------------------------------------------------------
Safeguards
and safety
------------------------------------------------------------------------
High enriched fuel:
Nuclear fuel services................................... $3,176,000
Babcock and Wilcox...................................... 3,176,000
-------------
Subtotal.............................................. 6,352,000
=============
Low Enriched Fuel:
Siemens Nuclear Power................................... 1,429,000
Babcock and Wilcox...................................... 1,429,000
General Electric........................................ 1,429,000
Westinghouse............................................ 1,429,000
Combustion Engineering (Hematite)....................... 1,429,000
General Atomic.......................................... 1,429,000
-------------
Subtotal............................................ 8,574,000
=============
UF6 Conversion
Allied Signal Corp...................................... 1,114,000
Other fuel facilities (3 facilities at $254,000 each)... 762,000
-------------
Total............................................... 16,802,000
------------------------------------------------------------------------
One of Combustion Engineering's (CE) low enriched uranium fuel
facilities has not been included in the fee base because of the D.C.
Circuit Court of Appeals decision of March 16, 1993, directing the NRC
to grant an exemption for FY 1991 to Combustion Engineering for one of
its two facilities. As a result of the Court's decision, the NRC
proposes to grant an exemption to one of CE's low enriched uranium fuel
facilities for FY 1994. The NRC will therefore exclude this facility
from the calculation of the FY 1994 annual fees for the low enriched
fuel category.
Of the $2.1 million attributable to the uranium recovery class of
licensees, about $1.5 million will be assessed to the Department of
Energy (DOE) to recover the costs associated with DOE facilities under
the Uranium Mill Tailings Radiation Control Act of 1978 (UMTRCA). These
costs were previously recovered from operating power reactors because
DOE was not an NRC licensee prior to September 1993 and therefore could
not be billed under Part 171. In September 1993, DOE became a general
licensee of the NRC because post-reclamation closure of the Spook
Wyoming site had been achieved. It is estimated that approximately 44
percent of the remaining costs of $639,000 for uranium recovery is
attributable to uranium mills (Class I facilities). Approximately 39
percent of the $639,000 for uranium recovery is attributable to those
solution mining licensees who do not generate uranium mill tailings
(Class II facilities). The remaining 17 percent is allocated to the
other uranium recovery facilities (e.g. extraction of metals and rare
earths). The resulting annual fees for each class of licensee are:
Class I facilities--$94,300
Class II facilities--$41,200
Other facilities-- $36,200
The annual fees for FY 1994 for the uranium recovery class of
licensees are about 40 percent less than the FY 1992 fees and are about
60 percent higher than the FY 1993 annual fees. The total amount of
fees that must be recovered from the uranium recovery class has
decreased by about 10 percent compared to FY 1993; however, the annual
fee per facility has increased for two basic reasons. First the amount
that is expected to be recovered through Part 170 fees has decreased as
a result of completing the licensing of the Envirocare 11.e(2)
byproduct disposal facility. This requires relatively more costs to be
recovered through annual fees. The second cause of the increases is a
decrease in the number of licensees in the class to be assessed annual
fees for FY 1994.
For spent fuel storage licenses, the generic costs of $2.2 million
have been spread uniformly among those licensees who hold specific or
general licenses for receipt and storage of spent fuel at an ISFSI.
This results in an annual fee of $363,500.
To equitably and fairly allocate the $38.6 million attributable to
the approximately 6,500 diverse material users and registrants, the NRC
has continued to base the annual fee on the Part 170 application and
inspection fees. Because the application and inspection fees are
indicative of the complexity of the license, this approach continues to
provide a proxy for allocating the costs to the diverse categories of
licensees based on how much it costs NRC to regulate each category. The
fee calculation also continues to consider the inspection frequency.
Inspection frequency is indicative of the safety risk and resulting
regulatory costs associated with the categories of licensees. In
summary, the annual fee for these categories of licenses is developed
as follows:
Annual Fee=(Application Fee+Inspection Fee/Inspection
Priority) x Constant+ (Unique Category Costs).
The constant is the multiple necessary to recover $38.6 million and
is 2.6 for FY 1994. The unique costs are any special costs that the NRC
has budgeted for a specific category of licensees. For FY 1994, unique
costs of approximately $2.6 million were identified for the medical
improvement program which is attributable to medical licensees.
Materials annual fees for FY 1994 are 13-17% higher compared to the FY
1993 annual fees. There are two basic reasons for the changes in the
fees from FY 1993. First, the FY 1994 budgeted amount attributable to
materials licensees is about 10 percent higher than the comparable FY
1993 amount. Second, the number of licensees to be assessed annual fees
in FY 1994 has decreased (from about 6,800 to about 6,500 resulting in
a 4% increase in fees). The materials fees must be established at the
proposed levels in order to comply with the mandate of OBRA-90 to
recover approximately 100 percent of the NRC's FY 1994 budget
authority. A materials licensee may pay a reduced annual fee if the
licensee qualifies as a small entity under the NRC's size standards and
certifies that it is a small entity using NRC Form 526.
To recover the $4.0 million attributable to the transportation
class of licensees, about $923,000 would be assessed to the Department
of Energy (DOE) to cover all of its transportation casks under Category
18. The remaining transportation costs for generic activities ($3.1
million) are allocated to holders of approved QA plans. The annual fee
for approved QA plans is $64,700 for users and fabricators and $900 for
users only.
The amount or range of the FY 1994 base annual fees for all
materials licensees is summarized as follows:
Materials Licenses Base Annual Fee Ranges
------------------------------------------------------------------------
Category of license Annual fees
------------------------------------------------------------------------
Part 70--High enriched fuel........ $3.2 million.
Part 70--Low enriched fuel......... $1.4 million.
Part 40--UF6 conversion............ $1.1 million.
Part 40--Uranium recovery.......... $36,200 to $94,300.
Part 30--Byproduct material........ \1\$970 to $30,900.
Part 71--Transportation of $900 to $64,700.
radioactive material.
Part 72--Independent storage of $363,500.
spent nuclear fuel.
------------------------------------------------------------------------
\1\Excludes the annual fee for a few military ``master'' materials
licenses of broad-scope issued to Government agencies, which is
$430,500.
Paragraph (e) would be amended to establish the additional charge
which is to be added to the base annual fees shown in paragraph (d) of
this final rule. The Commission is continuing the approach used in FY
1993 so as to assess the budgeted LLW costs to two broad categories of
licensees (large LLW generators and small LLW generators) based on
historical disposal data. This surcharge continues to be shown, for
convenience, with the applicable categories in paragraph (d). Although
these NRC LLW disposal regulatory activities are not directly
attributable to regulation of NRC materials licensees, the costs
nevertheless must be recovered in order to comply with the requirements
of OBRA-90. For FY 1994, the additional charge recovers approximately
18 percent of the NRC budgeted costs of $8.1 million relating to LLW
disposal generic activities from small generators, which are comprised
of materials licensees that dispose of LLW. The percentage distribution
reflects the deletion of LLW disposed by Agreement State licensees. The
FY 1994 budgeted costs related to the additional charge for LLW and the
amount of the charge are calculated as follows:
------------------------------------------------------------------------
FY 1994
budgeted
Category of costs costs
(millions)
------------------------------------------------------------------------
1. Activities not attributable to an existing NRC licensee
or class of licensee, i.e., LLW disposal generic activities $8.1
------------------------------------------------------------------------
Of the $8.1 million in budgeted costs shown above for LLW
activities, 82 percent of the amount ($6.7 million) are allocated to
the 120 large waste generators (reactors and fuel facilities) included
in 10 CFR Part 171. This results in an additional charge of $55,600 per
facility. Thus, the LLW charge will be $55,600 per HEU, LEU, UF6
facility, and each of the other 3 fuel facilities. The remaining $1.4
million is allocated to the material licensees in categories that
generate low level waste (965 licensees) as follows: $1,500 per
materials license except for those in Category 17. Those licensees that
generate a significant amount of low level waste for purposes of the
calculation of the $1,500 surcharge are in fee Categories 1.B, 1.D,
2.C, 3.A, 3.B, 3.C, 3.L, 3.M, 3.N, 4.A, 4.B, 4.C, 4.D, 5.B, 6.A, and
7.B. The surcharge for licenses in fee Category 17, which also generate
and/or dispose of low level waste, is $22,800.
Of the $6.3 million not recovered from small entities, $1.0 million
would be allocated to fuel facilities and other materials licensees.
This results in a surcharge of $170 per category for each fuel facility
and materials licensee that is not eligible for the small entity fee.
On the basis of this calculation, a fuel facility (a high enriched
fuel fabrication licensee, for example) would pay a base annual fee of
$3,176,000 and an additional charge of $55,770 for LLW activities and
small entity costs. A medical center with a broad-scope program would
pay a base annual fee of $30,900 and an additional charge of $1,670,
for a total FY 1994 annual fee of $32,570.
Section 171.17 Proration
10 CFR 171.17 would be amended to add a proration provision for
materials licenses and to revise the provision for reactors. The annual
fee for materials licenses would be prorated based on applications
filed after October 1 of the fiscal year either to reduce the scope of
a license or to terminate a license. Those materials licensees who file
applications between October 1 and March 31 of the fiscal year to
downgrade the license or terminate the license would pay one-half the
annual fee stated in Sec. 171.16(d) for the affected fee category(ies).
Those materials licensees filing applications to downgrade or terminate
a license on or after April 1 of the fiscal year would pay the full
annual fee. Those licensees who file for termination or downgrade must
also permanently cease operations of those licensed activities during
the periods mentioned for the fee to be reduced. Similarly, materials
licensees who were issued new licenses or licenses of increased scope
during the fiscal year would also be charged a prorated annual fee
based on the date of issuance of the new license or license amendment
increasing the scope. New materials licenses issued during the period
October 1 through March 31 would be assessed one-half of the FY 1994
annual fee stated in Sec. 171.16(d) for the applicable fee categories.
New licenses issued on or after April 1 would not be assessed the FY
1994 annual fee. Materials licenses amended during the period October 1
through March 31 to increase the scope would be assessed one-half the
annual fee for the new fee category(ies). Materials licenses amended on
or after April 1 to increase the scope would not be assessed the annual
fee for the new fee category(ies).
The NRC proposes to amend the proration provision in Sec. 171.17
applicable to reactors to provide that for licensees who have requested
a license amendment to withdraw operating authority permanently during
the FY the annual fee will be prorated based on the number of days
during the FY the operating license was in effect before the
possession-only license was issued or the license was terminated.
Footnote 1 of 10 CFR 171.16(d) would be amended to provide for a
waiver of the annual fees for those licensees, and holders of
certificates, registrations, and approvals who either filed for
termination of their licenses or approvals or filed for possession
only/storage only licenses before October 1, 1993, and permanently
cease licensed activities entirely by September 30, 1993. All other
licensees and approval holders who held a license or approval on
October 1, 1993 would be subject to the FY 1994 annual fees.
Section 171.19 Payment
This section would be revised to give credit for partial payments
made by certain licensees in FY 1994 toward their FY 1994 annual fees.
The NRC anticipates that the first, second, and third quarterly
payments for FY 1994 will have been made by operating power reactor
licensees and some materials licensees before the final rule is
effective. Therefore, NRC will credit payments received for those three
quarters toward the total annual fee to be assessed. The NRC will
adjust the fourth quarterly bill in order to recover the full amount of
the revised annual fee or to make refunds, as necessary. As in FY 1993,
payment of the annual fee is due on the effective date of the rule and
interest accrues from the effective date of the rule. However, interest
will be waived if payment is received within 30 days from the effective
date of the rule.
During the past three years many licensees have indicated that
although they held a valid NRC license authorizing the possession and
use of special nuclear, source, or byproduct material, they were in
fact either not using the material to conduct operations or had
disposed of the material and no longer needed the license. In
responding to licensees about this matter, the NRC has stated that
annual fees are assessed based on whether a licensee holds a valid NRC
license that authorizes possession and use of radioactive material.
Whether or not a licensee is actually conducting operations using the
material is a matter of licensee discretion. The NRC cannot control
whether a licensee elects to possess and use radioactive material once
it receives a license from the NRC. Therefore, the NRC reemphasizes
that the annual fee will be assessed based on whether a licensee holds
a valid NRC license that authorizes possession and use of radioactive
material. To remove any uncertainty, the NRC issued minor clarifying
amendments to 10 CFR 171.16, footnotes 1 and 7 on July 20, 1993 (58 FR
38700).
IV. 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 impact statement nor an
environmental impact assessment has been prepared for the proposed
regulation.
V. Paperwork Reduction Act Statement
This proposed rule contains no information collection requirements
and, therefore, is not subject to the requirements of the Paperwork
Reduction Act of 1980 (44 U.S.C. 3501 et seq.).
VI. Regulatory Analysis
With respect to 10 CFR Part 170, this proposed rule was developed
pursuant to Title V of the Independent Offices Appropriation Act of
1952 (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 its decision of
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 (D.C. Cir. 1976);
National Association of Broadcasters v. Federal Communications
Commission, 554 F.2d 1118 (D.C. 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 (D.C. Cir. 1976). These
decisions of the Courts enabled the Commission to develop fee
guidelines that are still used for cost recovery and fee development
purposes.
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). The 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 and with applicable regulations;
(3) The NRC could charge for costs incurred in conducting
environmental reviews required by NEPA;
(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 Public Law 101-508, the Omnibus Budget Reconciliation Act of
1990 (OBRA-90) which required that for FYs 1991 through 1995,
approximately 100 percent of the NRC budget authority be recovered
through the assessment of fees. OBRA-90 was amended in 1993 to extend
the 100 percent fee recovery requirement for NRC through 1998. To
accomplish this statutory requirement, the NRC, in accordance with
Sec. 171.13, is publishing the proposed amount of the FY 1994 annual
fees for operating reactor licensees, fuel cycle licensees, materials
licensees, and holders of Certificates of Compliance, registrations of
sealed source and devices and QA program approvals, and Government
agencies. OBRA-90 and the Conference Committee Report specifically
state that--
(1) The annual fees be based on the Commission's FY 1994 budget of
$535.0 million less the amounts collected from Part 170 fees and the
funds directly appropriated from the NWF to cover the NRC's high level
waste program;
(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.
Therefore, when developing the annual fees for operating power
reactors the NRC continued to consider the various reactor vendors, the
types of containment, and the location of the operating power reactors.
The annual fees for fuel cycle licensees, materials licensees, and
holders of certificates, registrations and approvals and for licenses
issued to Government agencies take into account the type of facility or
approval and the classes of the licensees.
10 CFR 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 (D.C. Cir. 1988), cert. denied,
490 U.S. 1045 (1989).
10 CFR Parts 170 and 171, which established fees based on the FY
1989 budget, were also legally challenged. As a result of the Supreme
Court decision in Skinner v. Mid-American Pipeline Co., 109 S. Ct. 1726
(1989), and the denial of certiorari in Florida Power and Light, all of
the lawsuits were withdrawn.
The NRC's FY 1991 annual fee rule was largely upheld by the D.C.
Circuit Court of Appeals in Allied Signal v. NRC, 988 F.2d 146 (D.C.
Cir. 1993).
VII. Regulatory Flexibility Analysis
The NRC is required by the Omnibus Budget Reconciliation Act of
1990 to recover approximately 100 percent of its budget authority
through the assessment of user fees. OBRA-90 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 establishes the schedules of fees that are
necessary to implement the Congressional mandate for FY 1994. The
proposed rule results in an increase in the fees charged to most
licensees, and holders of certificates, registrations, and approvals,
including those licensees who are classified as small entities under
the Regulatory Flexibility Act. The Regulatory Flexibility Analysis,
prepared in accordance with 5 U.S.C. 604, is included as Appendix A to
this proposed rule.
VIII. 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 proposed amendments do not require the modification of or
additions to systems, structures, components, or 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
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.
For the reasons set out in the preamble and under the authority of
the Atomic Energy Act of 1954, as amended, and 5 U.S.C. 553, 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: 31 U.S.C. 9701, 96 Stat. 1051; sec. 301, Pub. L. 92-
314, 86 Stat. 222 (42 U.S.C. 2201w); sec. 201, 88 Stat. 1242, as
amended (42 U.S.C. 5841); sec. 205, Pub. L. 101-576, 104 Stat. 2842,
(31 U.S.C. 902).
2. In Sec. 170.3, the definition special projects is revised to
read as follows:
Sec. 170.3 Definitions.
* * * * *
Special projects means those requests submitted to the Commission
for review for which fees are not otherwise specified in this chapter.
Examples of special projects include, but are not limited to, topical
and other report reviews, early site reviews, waste solidification
facilities, route approvals for shipment of radioactive materials, and
services provided to certify licensee, vendor, or other private
industry personnel as instructors for part 55 reactor operators. As
used in this part, special projects does not include requests/reports
submitted to the NRC:
(1) In response to a Generic Letter or NRC Bulletin which does not
result in an amendment to the license, does not result in the review of
an alternate method or reanalysis to meet the requirements of the
Generic Letter or does not involve an unreviewed safety issue;
(2) In response to an NRC request (at the Associate Office Director
level or above) to resolve an identified safety or environmental issue,
or to assist NRC in developing a rule, regulatory guide, policy
statement, generic letter, or bulletin; or
(3) As a means of exchanging information between industry
organizations and the NRC for the purpose of supporting generic
regulatory improvements or efforts.
* * * * *
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,
part 55 requalification and replacement examinations and tests, other
required reviews, approvals, and inspections under Secs. 170.21 and
170.31 that are based upon the full costs for the review or inspection
will be calculated using a professional staff-hour rate equivalent to
the sum of the average cost to the agency for a professional staff
member, including salary and benefits, administrative support, travel,
and certain program support. The professional staff-hour rate for the
NRC based on the FY 1994 budget is $133 per hour.
4. In Sec. 170.21, the introductory paragraph, Category J, Category
K, and footnotes 1 and 2 to the table are revised and a new footnote 4
is added 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.
Applicants for construction permits, manufacturing licenses,
operating licenses, import and export licenses, approvals of facility
standard reference designs, requalification and replacement
examinations for reactor operators, and special projects and holders of
construction permits, licenses, and other approvals shall pay fees for
the following categories of services.
Schedule of Facility Fees
[See footnotes at end of table]
------------------------------------------------------------------------
Facility categories and type of fees Fees\1\ \2\
------------------------------------------------------------------------
* * * * * * *
J. Special Projects:\4\
Approvals and preapplication/licensing Full cost
activities..
Inspections........................... Full Cost.
K. Import and export licenses:
Licenses for the import and export
only of production and utilization
facilities or the import and export
only of components for production and
utilization facilities issued
pursuant to 10 CFR part 110.
1. Application for import or export of
reactors and other facilities and
components which must be reviewed by
the Commission and the Executive
Branch, for example, actions under 10
CFR 110.40(b).
Application--new license............ $8,600.
Amendment........................... $8,600.
2. Application for import or export of
reactor components and initial
exports of other equipment requiring
Executive Branch review only, for
example, those actions under 10 CFR
110.41(a)(1)-(8).
Application--new license............ $5,300.
Amendment........................... $5,300.
3. Application for export of
components requiring foreign
government assurances only.
Application--new license............ $3,300.
Amendment........................... $3,300.
4. Application for export or import of
other facility components and
equipment not requiring Commission
review, Executive Branch review, or
foreign government assurances.
Application--new license............ $1,300.
Amendment........................... $1,300.
5. Minor amendment of any export or
import license to extend the
expiration date, change domestic
information, or make other revisions
which do not require analysis or
review.
Amendment........................... $130
------------------------------------------------------------------------
\1\Fees will not be charged for orders issued by the Commission pursuant
to Sec. 2.202 of this chapter or for amendments resulting specifically
from the requirements of these types of Commission orders. Fees will
be charged for approvals issued under a specific exemption provision
of the Commission's regulations under Title 10 of the Code of Federal
Regulations (e.g. Secs. 50.12, 73.5) and any other sections now or
hereafter in effect regardless of whether the approval is in the form
of a license amendment, letter of approval, safety evaluation report,
or other form. Fees for licenses in this schedule that are initially
issued for less than full power are based on review through the
issuance of a full power license (generally full power is considered
100 percent of the facility's full rated power). Thus, if a licensee
received a low power license or a temporary license for less than full
power and subsequently receives full power authority (by way of
license amendment or otherwise), the total costs for the license will
be determined through that period when authority is granted for full
power operation. If a situation arises in which the Commission
determines that full operating power for a particular facility should
be less than 100 percent of full rated power, the total costs for the
license will be at that determined lower operating power level and not
at the 100 percent capacity.
\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
this rule will be determined at the professional rates established for
the rules that became effective on June 20, 1984, January 30, 1989,
July 2, 1990, August 9, 1991, August 24, 1992, and August 19, 1993, as
appropriate. 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. In no event will the total review costs be
less than twice the hourly rate shown in Sec. 170.20.
* * * * * * *
\4\Fees will not be assessed for requests/reports submitted to the NRC:
1. In response to a Generic Letter or NRC Bulletin that does not result
in an amendment to the license, does not result in the review of an
alternate method or reanalysis to meet the requirements of the Generic
Letter or does not involve an unreviewed safety issue;
2. In response to an NRC request (at the Associate Office Director level
or above) to resolve an identified safety or environmental issue, or
to assist NRC in developing a rule, regulatory guide, policy
statement, generic letter, or bulletin; or
3. As a means of exchanging information between industry organizations
and the NRC for the purpose of supporting generic regulatory
improvements or efforts.
5. Section 170.31 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.
Applicants for materials licenses, import and export licenses, and
other regulatory services and holders of materials licenses, or import
and export licenses shall pay fees for the following categories of
services. This schedule includes fees for health and safety and
safeguards inspections where applicable.
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. Licenses for possession and use of
200 grams or more of plutonium in
unsealed form or 350 grams or more of
contained U-235 in unsealed form or
200 grams or more of U-233 in
unsealed form. This includes
applications to terminate licenses as
well as licenses authorizing
possession only:
License, Renewal, Amendment....... Full Cost.
Inspections....................... Full Cost.
B. Licenses for receipt and storage of
spent fuel at an independent spent
fuel storage installation (ISFSI):
License, Renewal, Amendment....... Full Cost.
Inspections....................... Full Cost.
C. Licenses for possession and use of
special nuclear material in sealed
sources contained in devices used in
industrial measuring systems,
including x-ray fluorescence
analyzers:\4\
Application--New license.......... $570
Renewal........................... 680
Amendment......................... 360
Inspections....................... 670
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 for
Category 1A:\4\
Application--New license.......... 600
Renewal........................... 430
Amendment......................... 330
Inspections....................... 1,200
E. Licenses for construction and
operation of a uranium enrichment
facility.
Application....................... 125,000
License, Renewal, Amendment....... Full Cost.
Inspections....................... Full Cost.
2. Source material:
A. Licenses for possession and use of
source material in recovery
operations such as milling, in-situ
leaching, heap-leaching, refining
uranium mill concentrates to uranium
hexafluoride, ore buying stations,
ion exchange facilities and in
processing of ores containing 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:
License, Renewal, Amendment....... Full Cost.
Inspections....................... Full Cost.
B. Licenses which authorize only the
possession, use and/or installation
of source material for shielding:
Application--New license.......... 230
Renewal........................... 160
Amendment......................... 270
Inspections....................... 560
C. All other source material licenses:
Application--New license.......... 2,500
Renewal........................... 1,400
Amendment......................... 450
Inspections....................... 2,500
3. Byproduct material:
A. Licenses of broad scope for
possession and use of byproduct
material issued pursuant to parts 30
and 33 of this chapter for processing
or manufacturing of items containing
byproduct material for commercial
distribution:
Application--New license.......... 2,700
Renewal........................... 1,700
Amendment......................... 470
Inspections....................... 9,800\5\
B. Other licenses for possession and
use of byproduct material issued
pursuant to part 30 of this chapter
for processing or manufacturing of
items containing byproduct material
for commercial distribution:
Application--New license.......... 1,300
Renewal........................... 2,200
Amendment......................... 600
Inspections....................... 3,000\5\
C. Licenses issued pursuant to Secs.
32.72, 32.73, and/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:
Application--New license.......... 3,500
Renewal........................... 3,000
Amendment......................... 490
Inspections....................... 3,400
D. Licenses and approvals issued
pursuant to Secs. 32.72, 32.73, and/
or 32.74 of this chapter authorizing
distribution or redistribution of
radiopharmaceuticals, generators,
reagent kits and/or sources or
devices not involving processing of
byproduct material:
Application--New license.......... 1,300
Renewal........................... 550
Amendment......................... 370
Inspections....................... 3,000
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--New license.......... 930
Renewal........................... 760
Amendment......................... 330
Inspections....................... 1,200
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--New license.......... 1,300
Renewal........................... 1,000
Amendment......................... 330
Inspections....................... 1,300
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--New license.......... 5,300
Renewal........................... 4,800
Amendment......................... 640
Inspections....................... 4,100
H. Licenses issued pursuant to 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, 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:
Application--New license.......... 2,400
Renewal........................... 2,300
Amendment......................... 800
Inspections....................... 1,100
I. Licenses issued pursuant to 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, 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:
Application--New license.......... 4,600
Renewal........................... 2,700
Amendment......................... 1,100
Inspections....................... 1,000
J. Licenses issued pursuant to 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, except specific
licenses authorizing redistribution
of items that have been authorized
for distribution to persons generally
licensed under part 31 of this
chapter:
Application--New license.......... 2,100
Renewal........................... 1,400
Amendment......................... 370
Inspections....................... 1,800
K. Licenses issued pursuant to 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, except specific
licenses authorizing redistribution
of items that have been authorized
for distribution to persons generally
licensed under part 31 of this
chapter:
Application--New license.......... 2,000
Renewal........................... 1,400
Amendment......................... 270
Inspections....................... 1,000
L. Licenses of broad scope for
possession and use of byproduct
material issued pursuant to parts 30
and 33 of this chapter for research
and development that do not authorize
commercial distribution:
Application--New license.......... 4,100
Renewal........................... 2,200
Amendment......................... 630
Inspections....................... 4,700
M. Other licenses for possession and
use of byproduct material issued
pursuant to part 30 of this chapter
for research and development that do
not authorize commercial
distribution:
Application--New license.......... 1,400
Renewal........................... 1,500
Amendment......................... 690
Inspections....................... 2,200
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 3P, and (2)
licenses that authorize waste
disposal services are subject to the
fees specified in fee Categories 4A,
4B, 4C, and 4D:
Application--New license.......... 1,700
Renewal........................... 2,100
Amendment......................... 680
Inspections....................... 2,400
O. Licenses for possession and use of
byproduct material issued pursuant to
part 34 of this chapter for
industrial radiography operations:
Application--New license.......... 3,800
Renewal........................... 2,900
Amendment......................... 690
Inspections....................... 3,500\5\
P. All other specific byproduct
material licenses, except those in
Categories 4A through 9D:
Application--New license.......... 570
Renewal........................... 680
Amendment......................... 360
Inspections....................... 1,500
4. Waste disposal and processing:
A. Licenses specifically authorizing
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 waste material:
License, renewal, amendment....... Full Cost.
Inspections....................... Full Cost.
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--New license.......... 4,000
Renewal........................... 2,100
Amendment......................... 430
Inspections....................... 2,300
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--New license.......... 1,500
Renewal........................... 1,100
Amendment......................... 250
Inspections....................... 2,800
D. Licenses specifically authorizing
the receipt from other persons of
byproduct material as defined in
Section 11.e.(2) of the Atomic Energy
Act for possession and disposal
except those licenses subject to fees
in Category 2.A.
License, renewal, amendment....... Full Cost.
Inspections....................... Full Cost.
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--New license.......... 3,700
Renewal........................... 3,900
Amendment......................... 650
Inspections....................... 3,600
B. Licenses for possession and use of
byproduct material for field flooding
tracer studies:
License, renewal, amendment....... Full Cost.
Inspections....................... 1,300
6. Nuclear laundries:
A. Licenses for commercial collection
and laundry of items contaminated
with byproduct material, source
material, or special nuclear
material:
Application--New license.......... 4,500
Renewal........................... 2,900
Amendment......................... 700
Inspections....................... 4,500
7. Human use of byproduct, source, or
special nuclear material:
A. Licenses issued pursuant to 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 teletherapy devices:
Application--New license.......... 3,700
Renewal........................... 1,200
Amendment......................... 560
Inspections....................... 2,300
B. Licenses of broad scope issued to
medical institutions or two or more
physicians pursuant to 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:
Application--New license.......... 2,700
Renewal........................... 3,500
Amendment......................... 500
Inspections....................... 8,700
C. Other licenses issued pursuant to
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--New license.......... 1,100
Renewal........................... 1,400
Amendment......................... 500
Inspections....................... 2,100
8. Civil defense:
A. Licenses for possession and use of
byproduct material, source material,
or special nuclear material for civil
defense activities:
Application--New license.......... 670
Renewal........................... 700
Amendment......................... 480
Inspections....................... 1,100
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.......... 3,700
Amendment--each device............ 1,300
Inspections....................... Full Cost
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.......... 1,900
Amendment--each device............ 670
Inspections....................... Full Cost.
C. Safety evaluation of sealed sources
containing byproduct material, source
material, or special nuclear
material, except reactor fuel, for
commercial distribution:
Application--each source.......... 800
Amendment--each source............ 270
Inspections....................... Full Cost.
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.......... 400
Amendment--each source............ 130
Inspections....................... Full Cost.
10. Transportation of radioactive
material:
A. Evaluation of casks, packages, and
shipping containers:
Approval, Renewal, Amendment...... Full Cost.
Inspections....................... Full Cost.
B. Evaluation of 10 CFR part 71
quality assurance programs:
Application--Approval............. 370
Renewal........................... 280
Amendment......................... 320
Inspections....................... Full Cost.
11. Review of standardized spent fuel
facilities:
Approval, Renewal, Amendment...... Full Cost.
Inspections....................... Full Cost.
12. Special projects:\6\
Approvals and preapplication/ Full Cost.
licensing activities.
Inspections....................... Full Cost.
13. A. Spent fuel storage cask Certificate
of Compliance:
Approvals......................... Full Cost.
Amendments, revisions, and Full Cost.
supplements.
Reapproval........................ Full Cost.
B. Inspections related to spent fuel Full Cost.
storage cask Certificate of
Compliance.
C. Inspections related to storage of Full Cost.
spent fuel under Sec. 72.210 of this
chapter.
14. Byproduct, source, or special nuclear
material licenses and other approvals
authorizing decommissioning,
decontamination, reclamation, or site
restoration activities pursuant to 10 CFR
parts 30, 40, 70, and 72 of this chapter:
Approval, Renewal, Amendment...... Full Cost.
Inspections....................... Full Cost.
15. Import and Export licenses:
Licenses issued pursuant to 10 CFR
part 110 of this chapter for the
import and export only of special
nuclear material, source material,
byproduct material, heavy water,
tritium, or nuclear grade graphite.
A. Application for import or export of
HEU and other materials which must be
reviewed by the Commission and the
Executive Branch, for example, those
actions under 10 CFR 110.40(b).
Application-new license........... 8,600
Amendment......................... 8,600
B. Application for import or export of
special nuclear material, heavy
water, nuclear grade graphite,
tritium, and source material, and
initial exports of materials
requiring Executive Branch review
only, for example, those actions
under 10 CFR 110.41(a)(2)-(8).
Application-new license........... 5,300
Amendment......................... 5,300
C. Application for export of routine
reloads of LEU reactor fuel and
exports of source material requiring
foreign government assurances only.
Application-new license........... 3,300
Amendment......................... 3,300
D. Application for export or import of
other materials not requiring
Commission review, Executive Branch
review or foreign government
assurances.
Application-new license........... 1,300
Amendment......................... 1,300
E. Minor amendment of any export or
import license to extend the
expiration date, change domestic
information or make other revisions
which do not require analysis or
review.
Amendment......................... 130
16. Reciprocity:
Agreement State licensees who conduct
activities in a non-Agreement State
under the reciprocity provisions of
10 CFR 150.20.
Application (each filing of Form 700
241).
Renewal........................... N/A
Revisions......................... 200
Inspections....................... Fees as specified in
appropriate fee categories
in this section.
------------------------------------------------------------------------
\1\Types of fees--Separate charges, as shown in the schedule, will be
assessed for preapplication consultations and reviews and applications
for new licenses and approvals, issuance of new licenses and
approvals, amendments and renewals to existing licenses and approvals,
safety evaluations of sealed sources and devices, and inspections. The
following guidelines apply to these charges:
(a) Application fees--Applications for new materials licenses and
approvals; applications to reinstate expired, terminated or inactive
licenses and approvals except those subject to fees assessed at full
cost; and applications filed by Agreement State licensees to register
under the general license provisions of 10 CFR 150.20, must be
accompanied by the prescribed application fee for each category,
except that: (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; and (2) applications for licenses under Category 1E must be
accompanied by an application fee of $125,000.
(b) License/approval/review fees--Fees for applications for new licenses
and approvals and for preapplication consultations and reviews subject
to full cost fees (fee Categories 1A, 1B, 1E, 2A, 4A, 4D, 5B, 10A, 11,
12, 13A, and 14) are due upon notification by the Commission in
accordance with Sec. 170.12(b), (e), and (f).
(c) Renewal/reapproval fees--Applications for renewal of licenses and
approvals must be accompanied by the prescribed renewal fee for each
category, except that fees for applications for renewal of licenses
and approvals subject to full cost fees (fee Categories 1A, 1B, 1E,
2A, 4A, 4D, 5B, 10A, 11, 12, 13A, and 14) are due upon notification by
the Commission in accordance with Sec. 170.12(d).
(d) Amendment fees--
(1) Applications for amendments to licenses and approvals, except those
subject to fees assessed at full costs, must be accompanied by the
prescribed amendment fee for each license affected. An application for
an amendment to a 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. For those licenses and approvals
subject to full costs (fee Categories 1A, 1B, 1E, 2A, 4A, 4D, 5B, 10A,
11, 12, 13A, and 14), amendment fees are due upon notification by the
Commission in accordance with Sec. 170.12(c).
(2) An application for amendment to a materials license or approval that
would place the license or approval in a higher fee category or add a
new fee category must be accompanied by the prescribed application fee
for the new category.
(3) An application for amendment to a license or approval that would
reduce the scope of a licensee's program to a lower fee category must
be accompanied by the prescribed amendment fee for the lower fee
category.
(4) Applications to terminate licenses authorizing small materials
programs, when no dismantling or decontamination procedure is
required, are not subject to fees.
(e) Inspection fees--Although a single inspection fee is shown in the
regulation, separate charges will be assessed for each routine and
nonroutine inspection performed, including inspections conducted by
the NRC of Agreement State licensees who conduct activities in non-
Agreement States under the reciprocity provisions of 10 CFR 150.20.
Inspections resulting from investigations conducted by the Office of
Investigations and nonroutine inspections that result from third-party
allegations are not subject to fees. If a licensee holds more than one
materials license at a single location, a fee equal to the highest fee
category covered by the licenses will be assessed if the inspections
are conducted at the same time unless the inspection fees are based on
the full cost to conduct the inspection. The fees assessed at full
cost will be determined based on the professional staff time required
to conduct the inspection multiplied by the rate established under
Sec. 170.20 plus any applicable contractual support services costs
incurred. Licenses covering more than one category will be charged a
fee equal to the highest fee category covered by the license.
Inspection fees are due upon notification by the Commission in
accordance with Sec. 170.12(g). See Footnote 5 and 6 for other
inspection notes.
\2\Fees will not be charged for orders issued by the Commission pursuant
to 10 CFR 2.202 or for amendments resulting specifically from the
requirements of these types of Commission orders. However, 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 now or hereafter in effect) 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 9A through 9D.
\3\Full cost fees will be determined based on the professional staff
time and appropriate contractual support services expended. For those
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
this rule will be determined at the professional rates established for
the final rules that became effective on June 20, 1984, January 30,
1989, July 2, 1990, August 9, 1991, August 24, 1992, and August 19,
1993 rules, as appropriate. 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 whose 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. The
minimum total review cost is twice the hourly rate shown in Sec.
170.20.
\4\Licensees paying fees under Categories 1A, 1B, and 1E are not subject
to fees under Categories 1C and 1D for sealed sources authorized in
the same license except in those instances in which an application
deals only with the sealed sources authorized by the license.
Applicants for new licenses or renewal of existing licenses that cover
both byproduct material and special nuclear material in sealed sources
for use in gauging devices will pay the appropriate application or
renewal fee for fee Category 1C only.
\5\For a license authorizing shielded radiographic installations or
manufacturing installations at more than one address, a separate fee
will be assessed for inspection of each location, except that if the
multiple installations are inspected during a single visit, a single
inspection fee will be assessed.
\6\Fees will not be assessed for requests/reports submitted to the NRC:
1. In response to a Generic Letter or NRC Bulletin that does not result
in an amendment to the license, does not result in the review of an
alternate method or reanalysis to meet the requirements of the Generic
Letter or does not involve an unreviewed safety issue;
2. In response to an NRC request (at the Associate Office Director level
or above) to resolve an identified safety or environmental issue, or
to assist NRC in developing a rule, regulatory guide, policy
statement, generic letter, or bulletin; or
3. As a means of exchanging information between industry organizations
and the NRC for the purpose of supporting generic regulatory
improvements or efforts.
PART 171--ANNUAL FEES FOR REACTOR OPERATING 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: Sec. 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. 2106 as amended by sec. 6101, Pub.
L. 101-508, 104 Stat. 1388, (42 U.S.C. 2213); sec. 301, Pub. L. 92-
314, 86 Stat. 222 (42 U.S.C. 2201(w)); sec. 201, 88 Stat. 1242, as
amended (42 U.S.C. 5841); sec. 2903, Pub. L. 102-486, 106 Stat.
3125, (42 U.S.C. 2214 note).
7. In Sec. 171.11, paragraph (a)(2) is revised to read as follows:
Sec. 171.11 Exemptions.
(a) * * *
* * * * *
(2) Federally-owned and State-owned research reactors used
primarily for educational training and academic research purposes. For
purposes of this exemption, the term research reactor means a nuclear
reactor that--
(i) Is licensed by the Nuclear Regulatory Commission under section
104c. of the Atomic Energy Act of 1954 (42 U.S.C. 2134(c)) for
operation at a thermal power level of 10 megawatts or less; and
(ii) If so licensed for operation at a thermal power level of more
than 1 megawatt, does not contain--
(A) A circulating loop through the core in which the licensee
conducts fuel experiments;
(B) A liquid fuel loading; or
(C) An experimental facility in the core in excess of 16 square
inches in cross-section.
* * * * *
8. In Sec. 171.15, paragraphs (a), (b)(3), (c)(2), (d), and (e) are
revised to read as follows:
Sec. 171.15 Annual Fees: Reactor operating licenses.
(a) Each person licensed to operate a power, test, or research
reactor shall pay the annual fee for each unit for which the person
holds an operating license at any time during the Federal FY in which
the fee is due, except for those test and research reactors exempted in
Sec. 171.11(a)(1) and (a)(2).
(b) * * *
(3) Generic activities required largely for NRC to regulate power
reactors, e.g., updating part 50 of this chapter, or operating the
Incident Response Center. The base FY 1994 annual fees for each
operating power reactor subject to fees under this section and which
must be collected before September 30, 1994, are shown in paragraph (d)
of this section.
(c) * * *
(2) The FY 1994 surcharge to be added to each operating power
reactor is $275,000. This amount is calculated by dividing the total
cost for these activities ($29.7 million) by the number of operating
power reactors (108).
(d) The FY 1994 part 171 annual fees for operating power reactors
are as follows:
Part 171 Annual Fees by Reactor Category\1\
[Fees in thousands]
----------------------------------------------------------------------------------------------------------------
Added Total fee Estimated
Reactor vendor Number Base fee charge collections
----------------------------------------------------------------------------------------------------------------
Babcock/Wilcox............................................. 7 $2,840 275 $3,115 $21,805
Combustion Eng............................................. 15 2,840 275 3,115 46,725
GE Mark I.................................................. 24 2,821 275 3,096 74,304
GE Mark II................................................. 8 2,821 275 3,096 24,768
GE Mark III................................................ 4 2,821 275 3,096 12,384
Westinghouse............................................... 50 2,841 275 3,116 $155,800
--------- ------------
Totals................................................. 108 $335,786
----------------------------------------------------------------------------------------------------------------
\1\Fees assessed will vary for plants west of the Rocky Mountains and for Westinghouse plants with ice
condensers.
(e) The annual fees for licensees authorized to operate a nonpower
(test and research) reactor licensed under part 50 of this chapter,
except for those reactors exempted from fees under Sec. 171.11(a), are
as follows:
Research reactor............................................. $62,200
Test reactor................................................. $62,200
* * * * *
9. In Sec. 171.16, the introductory text of paragraph (c) and
paragraphs (c)(4), (d), and (e) 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,
the licensee may pay reduced annual fees for FY 1994 as follows:
------------------------------------------------------------------------
Maximum
annual fee
per
licensed
category
------------------------------------------------------------------------
Small Businesses and Small not-for-profit Organizations
(Gross Annual Receipts):
$250,000 to $3.5 million................................. $1,800
Less than $250,000....................................... 400
Private Practice Physicians (Gross Annual Receipts):
$250,000 to $1.0 million................................. 1,800
Less than $250,000....................................... 400
Small Governmental Jurisdictions (Including publicly
supported educational institutions) (Population):
20,000 to 50,000......................................... 1,800
Less than 20,000......................................... 400
Educational Institutions that are not State or Publicly
Supported, and have 500 Employees or Less................. 1,800
------------------------------------------------------------------------
* * * * *
(4) For FY 1994, the maximum annual fee (base annual fee plus
surcharge) a small entity is required to pay is $1,800 for each
category applicable to the license(s).
(d) The FY 1994 annual fees for materials licensees and holders of
certificates, registrations or approvals subject to fees under this
section are as follows:
Schedule of Materials Annual Fees and Fees for Government Agencies
Licensed by NRC
[See footnotes at end of table]
------------------------------------------------------------------------
Annual
Category of materials licenses Fees\1\\2\\3\
------------------------------------------------------------------------
1. Special nuclear material:
A.(1) Licenses for possession and use of U-235 or
plutonium for fuel fabrication activities.
------------------------------------------------------------------------
High Enriched Fuel License No. Docket No.
Babcock and Wilcox....................................... SNM-42 70-27 $3,176,000
Nuclear Fuel Services.................................... SNM-124 70-143 3,176,000
Low Enriched Fuel:
B&W Fuel Company..................................... SNM-1168 70-1201 1,429,000
Combustion Engineering (Hematite).................... SNM-33 70-36 1,429,000
General Electric Company............................. SNM-1097 70-1113 1,429,000
Siemens Nuclear Power................................ SNM-1227 70-1257 1,429,000
Westinghouse Electric Company........................ SNM-1107 70-1151 1,429,000
General Atomic....................................... SNM-696 70-734 1,429,000
Surcharge.................................... 55,770
A. (2) All other special nuclear materials
licenses not included in 1.A.(1) above for
possession and use of 200 grams or more of
plutonium in unsealed form or 350 grams or more
of contained U-235 in unsealed form or 200 grams
or more of U-233 in unsealed form............... 254,000
Surcharge.................................... 55,770
B. Licenses for receipt and storage of spent fuel
at an independent spent fuel storage
installation (ISFSI)............................ 363,500
Surcharge.................................... 1,670
C. Licenses for possession and use of special
nuclear material in sealed sources contained in
devices used in industrial measuring systems,
including x-ray fluorescence analyzers.......... 1,800
Surcharge.................................... 170
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 for
Category 1.A.(2)................................ 2,200
Surcharge.................................... 1,670
E. Licenses for the operation of a uranium
enrichment facility............................. \11\N/A
2. Source material:
A.(1) Licenses for possession and use of source
material for refining uranium mill concentrates
to uranium hexafluoride......................... 1,114,000
Surcharge.................................... 55,770
(2) Licenses for possession and use of source
material in recovery operations such as
milling, in-situ leaching, 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.
Class I facilities\4\.................... 94,300
Class II facilities\4\................... 41,200
Other facilities......................... 36,200
Surcharge............................ 170
B. Licenses which authorize only the possession,
use and/or installation of source material for
shielding....................................... 800
Surcharge.................................... 170
C. All other source material licenses............ 8,700
Surcharge.................................... 1,670
3. Byproduct material:
A. Licenses of broad scope for possession and use
of byproduct material issued pursuant to parts
30 and 33 of this chapter for processing or
manufacturing of items containing byproduct
material for commercial distribution............ 19,700
Surcharge.................................... 1,670
B. Other licenses for possession and use of
byproduct material issued pursuant to part 30 of
this chapter for processing or manufacturing of
items containing byproduct material for
commercial distribution......................... 6,000
Surcharge.................................... 1,670
C. Licenses issued pursuant to Secs. 32.72,
32.73, and/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
pursuant to part 40 of this chapter when
included on the same license.................... 12,000
Surcharge.................................... 1,670
D. Licenses and approvals issued pursuant to
Secs. 32.72, 32.73, and/or 32.74 of this chapter
authorizing distribution or redistribution of
radiopharmaceuticals, generators, reagent kits
and/or sources or devices not involving
processing of byproduct material. This category
also includes the possession and use of source
material for shielding authorized pursuant to
part 40 of this chapter when included on the
same license.................................... 6,000
Surcharge.................................... 170
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)........... 3,500
Surcharge.................................... 170
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 in
which the source is not exposed for irradiation
purposes........................................ 4,500
Surcharge.................................... 170
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 in
which the source is not exposed for irradiation
purposes........................................ 24,400
Surcharge.................................... 170
H. Licenses issued pursuant to 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, 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.................................... 6,800
Surcharge.................................... 170
I. Licenses issued pursuant to 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, 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......................................... 12,500
Surcharge.................................... 170
J. Licenses issued pursuant to 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, except specific licenses authorizing
redistribution of items that have been
authorized for distribution to persons generally
licensed under part 31 of this chapter.......... 6,600
Surcharge.................................... 170
K. Licenses issued pursuant to subpart B of part
31 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, except
specific licenses authorizing redistribution of
items that have been authorized for distribution
to persons generally licensed under part 31 of
this chapter.................................... 6,100
Surcharge.................................... 170
L. Licenses of broad scope for possession and use
of byproduct material issued pursuant to part 30
and 33 of this chapter for research and
development that do not authorize commercial
distribution.................................... 14,700
Surcharge.................................... 1,670
M. Other licenses for possession and use of
byproduct material issued pursuant to part 30 of
this chapter for research and development that
do not authorize commercial distribution........ 5,100
Surcharge.................................... 1,670
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 3P, and (2) licenses that authorize
waste disposal services are subject to the fees
specified in fee Categories 4A, 4B, 4C, and 4D.. 6,000
Surcharge.................................... 1,670
O. Licenses for possession and use of byproduct
material issued pursuant to part 34 of this
chapter for industrial radiography operations.
This category also includes the possession and
use of source material for shielding authorized
pursuant to part 40 of this chapter when
authorized on the same license.................. 19,000
Surcharge.................................... 170
P. All other specific byproduct material
licenses, except those in Categories 4A through
9D.............................................. 2,300
Surcharge.................................... 170
4. Waste disposal and processing:
A. Licenses specifically authorizing 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 waste
material........................................ 130,200\5\
Surcharge.................................... 1,670
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 16,400
Surcharge.................................... 1,670
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 7,500
Surcharge.................................... 1,670
D. Licenses specifically authorizing the receipt,
from other persons, of byproduct material as
defined in Section 11.e.(2) of the Atomic Energy
Act for possession and disposal except those
licenses subject to the fees in Category 2.A.(2) 8,700
Surcharge.................................... 1,670
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.................................. 12,700
Surcharge.................................... 170
B. Licenses for possession and use of byproduct
material for field flooding tracer studies...... 15,400
Surcharge........................................ 1,670
6. Nuclear laundries:
A. Licenses for commercial collection and laundry
of items contaminated with byproduct material,
source material, or special nuclear material.... 15,600
Surcharge.................................... 1,670
7. Human use of byproduct, source, or special nuclear
material:
A. Licenses issued pursuant to 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
teletherapy devices. This category also includes
the possession and use of source material for
shielding when authorized on the same license... 16,900
Surcharge.................................... 170
B. Licenses of broad scope issued to medical
institutions or two or more physicians pursuant
to 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\................................. 30,900
Surcharge.................................... 1,670
C. Other licenses issued pursuant to 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. This category also includes
the possession and use of source material for
shielding when authorized on the same license\9\ 5,900
Surcharge.................................... 170
8. Civil defense:
A. Licenses for possession and use of byproduct
material, source material, or special nuclear
material for civil defense activities........... 2,100
Surcharge.................................... 170
9. Device, product, or sealed source safety
evaluation:
A. Registrations issued for the safety evaluation
of devices or products containing byproduct
material, source material, or special nuclear
material, except reactor fuel devices, for
commercial distribution......................... 9,600
Surcharge.................................... 170
B. Registrations issued for the 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... 4,900
Surcharge.................................... 170
C. Registrations issued for the safety evaluation
of sealed sources containing byproduct material,
source material, or special nuclear material,
except reactor fuel, for commercial distribution 2,100
Surcharge.................................... 170
D. Registrations issued for the 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.................. 1,000
Surcharge.................................... 170
10. Transportation of radioactive material:
A. Certificates of Compliance or other package
approvals issued for design of casks, packages,
and shipping containers. Spent Fuel, High-Level
Waste, and plutonium air packages............... \6\N/A
Other Casks...................................... \6\N/A
B. Approvals issued of 10 CFR part 71 quality
assurance programs.
Users and Fabricators............................ 64,700
Users............................................ 900
Surcharge.................................... 170
11. Standardized spent fuel facilities............... \6\N/A
12. Special Projects................................. \6\N/A
13. A. Spent fuel storage cask Certificate of
Compliance.......................................... \6\N/A
B. General licenses for storage of spent fuel
under 10 CFR 72.210............................. 363,500
Surcharge.................................... 170
14. Byproduct, source, or special nuclear material
licenses and other approvals authorizing
decommissioning, decontamination, reclamation, or
site restoration activities pursuant to 10 CFR Parts
30, 40, 70, and 72.................................. \7\N/A
15. Import and Export licenses....................... \8\N/A
16. Reciprocity...................................... \8\N/A
17. Master materials licenses of broad scope issued
to Government agencies.............................. 430,500
Surcharge.................................... 22,970
18. Department of Energy:
a. Certificates of Compliance.................... \10\923,000
b. Uranium Mill Tailing Radiation Control Act
(UMTRCA) actions................................ 1,449,000
Surcharge.................................... 170
\1\Annual fees will be assessed based on whether a licensee holds a
valid license with the NRC which authorizes possession and use of
radioactive material. Annual fees for licenses terminated or
downgraded during the fiscal year and for new licenses issued or
licenses whose scope increased during the fiscal year 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 of category 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, or 72 of this chapter.
\3\For FYs 1995 through 1998, 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\A Class I license includes mill licenses issued for the extraction of
uranium from uranium ore. A Class II license includes solution mining
licenses (in-situ and heap leach) issued for the extraction of uranium
from uranium ores including research and development licenses. An
``other'' license includes licenses for extraction of metals, heavy
metals, and rare earths.
\5\Two licenses have been issued by NRC for land disposal of special
nuclear material. Once NRC issues a LLW disposal license for byproduct
and source material, the Commission will consider establishing an
annual fee for this type of license.
\6\Standardized spent fuel facilities, part 71 and 72 Certificates of
Compliance, 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 the 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 who also hold nuclear medicine licenses
under Categories 7B or 7C.
\10\This includes Certificates of Compliance issued to DOE that are not
under the Nuclear Waste Fund.
\11\No annual fee has been established because there are currently no
licensees in this particular fee category.
(e) A surcharge is proposed for each category, for which a base
annual fee is required. The surcharge consists of the following:
(1) To recover costs relating to LLW disposal generic activities,
an additional charge of $55,600 has been added to fee Categories
1.A.(1), 1.A.(2) and 2.A.(1); an additional charge of $1,500 has been
added to fee Categories 1.B., 1.D., 2.C., 3.A., 3.B., 3.C., 3.L., 3.M.,
3.N., 4.A., 4.B., 4.C., 4.D., 5.B., 6.A., and 7.B.; and an additional
charge of $22,800 has been added to fee Category 17.
(2) To recoup those costs not recovered from small entities, an
additional charge of $170 has been added to each fee Category, except
Categories 1E, 10.A., 11., 12., 13.A., 14., 15. and 16., since there is
no annual fee for these categories. Licensees who qualify as small
entities under the provisions of Sec. 171.16(c) and who submit a
completed NRC Form 526 are not subject to the $170 additional charge.
* * * * *
10. Section 171.17 is revised to read as follows:
Sec. 171.17 Proration.
Annual fees will be prorated for NRC licensees as follows:
(a) Reactors. The annual fee for a reactor (power or nonpower)
licensee that is subject to fees under this part that is granted a
license to operate on or after October 1 of a FY is prorated on the
basis of the number of days remaining in the FY. Thereafter, the full
fee is due and payable each subsequent FY. Licensee who have requested
amendment to withdraw operating authority permanently during the FY
will be prorated based on the number of days during the FY the license
was in effect before the possession only license was issued or the
license was terminated.
(b) Materials licenses. The annual fee for a materials license that
is subject to fees under this part that is granted a license on or
after October 1 of a FY is prorated on the basis of when the NRC issues
the new license. New licenses issued during the period October 1
through March 31 of the FY will be assessed one-half the annual fee for
that FY. New licenses issued on or after April 1 of the FY will not be
assessed an annual fee for that FY. Similarly, licenses amended during
the period from October 1 through March 31 to increase the scope will
be assessed one-half the annual fee for the new category(ies) for that
FY. Licenses amended on or after April 1 to increase the scope of the
license will not be assessed an annual fee for the new category(ies)
for that FY. Thereafter, the full fee is due and payable each
subsequent FY. Licenses that are downgraded or terminated after October
1 of a FY will be prorated on the basis of when the application for
downgrade or termination is filed with the NRC. Licenses for which
applications for downgrade or termination are filed during the period
October 1 through March 31 of the FY are assessed one-half the annual
fee for the applicable category(ies) for that FY. Licenses for which
applications for downgrade or termination are filed on or after April 1
of the FY are assessed the full annual fee for that FY.
11. In Sec. 171.19, paragraphs (b) and (c) are revised to read as
follows:
Sec. 171.19 Payment.
* * * * *
(b) For FY 1994 through FY 1998, the Commission will adjust the
fourth quarterly bill for operating power reactors and certain
materials licensees to recover the full amount of the revised annual
fee. If the amounts collected in the first three quarters exceed the
amount of the revised annual fee, the overpayment will be refunded. All
other licensees, or holders of a certificate, registration, or approval
of a QA program will be sent a bill for the full amount of the annual
fee upon publication of the final rule. Payment is due on the effective
date of the final rule and interest accrues from the effective date of
the final rule. However, interest will be waived if payment is received
within 30 days from the effective date of the final rule.
(c) For FYs 1994 through 1998, annual fees in the amount of
$100,000 or more and described in the Federal Register Notice pursuant
to Sec. 171.13, must be paid in quarterly installments of 25 percent as
billed by the NRC. The quarters begin on October 1, January 1, April 1,
and July 1 of each fiscal year. Annual fees of less than $100,000 must
be paid once a year as billed by the NRC.
Dated at Rockville, Maryland, this 29th day of April, 1994.
For the Nuclear Regulatory Commission.
James M. Taylor,
Executive Director for Operations.
Appendix A to This Proposed Rule Regulatory Flexibility Analysis for
the Amendments to 10 CFR Part 170 (License Fees) and 10 CFR Part 171
(Annual Fees)
I. Background
The Regulatory Flexibility Act of 1980 (5 U.S.C. 601 et seq.)
establishes as a principle of regulatory practice that agencies
endeavor to fit regulatory and informational requirements, consistent
with applicable statutes, to a scale commensurate with the businesses,
organizations, and government jurisdictions to which they apply. To
achieve this principle, the Act requires that agencies consider the
impact of their actions on small entities. If the agency cannot certify
that a rule will not significantly impact a substantial number of small
entities, then a regulatory flexibility analysis is required to examine
the impacts on small entities and the alternatives to minimize these
impacts.
To assist in considering these impacts under the Regulatory
Flexibility Act, the NRC adopted size standards for determining which
NRC licensees qualify as small entities (50 FR 50241, December 9,
1985). These size standards were clarified November 6, 1991 (56 FR
56672). The NRC size standards are as follows:
(1) A small business is a business with annual receipts of $3.5
million or less except private practice physicians for which the
standard is annual receipts of $1 million or less.
(2) A small organization is a not-for-profit organization which is
independently owned and operated and has annual receipts of $3.5
million or less.
(3) Small governmental jurisdictions are governments of cities,
counties, towns, townships, villages, school districts, or special
districts with a population of less than 50,000.
(4) A small educational institution is one that is (1) supported by
a qualifying small governmental jurisdiction, or (2) one that is not
state or publicly supported and has 500 employees or less.
Public Law 101-508, the Omnibus Budget Reconciliation Act of 1990
(OBRA-90), requires that the NRC recover approximately 100 percent of
its budget authority, less appropriations from the Nuclear Waste Fund,
for Fiscal Years (FY) 1991 through 1995 by
assessing license and annual fees. OBRA-90 was amended in 1993 to
extend the 100 percent recovery requirement for NRC through 1998. For
FY 1991, the amount collected was approximately $445 million; for FY
1992, approximately $492.5 million; for FY 1993 about $518.9 million
and the amount to be collected in FY 1994 is approximately $513
million.
To comply with OBRA-90, the Commission amended its fee regulations
in 10 CFR parts 170 and 171 in FY 1991 (56 FR 31472; July 10, 1991) in
FY 1992, (57 FR 32691; July 23, 1992) and in FY 1993 (58 FR 38666; July
20, 1993) based on a careful evaluation of over 1,000 comments. These
final rules established the methodology used by NRC in identifying and
determining the fees assessed and collected in FY 1991, FY 1992, and FY
1993. The NRC has used the same methodology established in the FY 1991,
FY 1992, and FY 1993 rulemakings to establish the proposed fees to be
assessed for FY 1994. The methodology for assessing low-level waste
(LLW) costs was changed in FY 1993 based on the U.S. Court of Appeals
decision dated March 16, 1993 (988 F.2d 146, D.C. Cir. 1993). The FY
1993 LLW allocation method has been continued in the FY 1994 proposed
rule.
II. Impact On Small Entities
The comments received on the proposed FY 1991, FY 1992, and FY 1993
fee rule revisions and the small entity certifications received in
response to the final FY 1991, FY 1992, and FY 1993 fee rules indicate
that NRC licensees qualifying as small entities under the NRC's size
standards are primarily those licensed under the NRC's materials
program. Therefore, this analysis will focus on the economic impact of
the annual fees on materials licensees.
The Commission's fee regulations result in substantial fees being
charged to those individuals, organizations, and companies that are
licensed under the NRC materials program. Of these materials licensees,
the NRC estimates that about 18 percent (approximately 1,300 licensees)
qualify as small entities. This estimate is based on the number of
small entity certifications filed in response to the FY 1991, FY 1992,
and FY 1993 fee rules. In FY 1993, the NRC conducted a survey of its
materials licensees. The results of this survey indicated that about 25
percent of these licensees could qualify as small entities under the
current NRC size standards.
The commenters on the FY 1991, FY 1992, and FY 1993 proposed fee
rules indicated the following results if the proposed annual fees were
not modified:
--Large firms would gain an unfair competitive advantage over small
entities. One commenter noted that a small well-logging company (a
``Mom and Pop'' type of operation) would find it difficult to absorb
the annual fee, while a large corporation would find it easier. Another
commenter noted that the fee increase could be more easily absorbed by
a high-volume nuclear medicine clinic. A gauge licensee noted that, in
the very competitive soils testing market, the annual fees would put it
at an extreme disadvantage with its much larger competitors because the
proposed fees would be the same for a two-person licensee as for a
large firm with thousands of employees.
--Some firms would be forced to cancel their licenses. One commenter,
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.
Another commenter noted that the rule would force the company and many
other small businesses to get rid of the materials license altogether.
Commenters stated that the proposed rule would result in about 10
percent of the well logging licensees terminating their licenses
immediately and approximately 25 percent terminating their licenses
before the next annual assessment.
--Some companies would go out of business. One commenter noted that the
proposal would put it, and several other small companies, out of
business or, at the very least, make it hard to survive.
--Some companies would have budget problems. Many medical licensees
commented that, in these times of slashed reimbursements, the proposed
increase of the existing fees and the introduction of additional fees
would significantly affect their budgets. Another noted that, in view
of the cuts by Medicare and other third party carriers, the fees would
produce a hardship and some facilities would experience a great deal of
difficulty in meeting this additional burden.
Over the past three years, approximately 2,600 license, approval,
and registration terminations have been requested. Although some of
these terminations were requested because the license was no longer
needed or licenses or registrations could be combined, indications are
that other termination requests were due to the economic impact of the
fees.
The NRC continues to receive written and oral comments from small
materials licensees. These comments indicate that the $3.5 million
threshold for small entities is not representative of small businesses
with gross receipts in the thousands of dollars. These commenters
believe that the $1,800 maximum annual fee represents a relatively high
percentage of gross annual receipts for these ``Mom and Pop'' type
businesses. Therefore, even the reduced annual fee could have a
significant impact on the ability of these types of businesses to
continue to operate.
To alleviate the continuing significant impact of the annual fees
on a substantial number of small entities, the NRC considered
alternatives, in accordance with the RFA. These alternatives were
evaluated in the FY 1991 rule (56 FR 31472, July 10, 1991) in the FY
1992 rule (57 FR 32691, July 23, 1992 and in the FY 1993 rule (58 FR
38666, July 20, 1993). The alternatives considered by the NRC can be
summarized as follows.
--Base fees on some measure of the amount of radioactivity possessed by
the licensee (e.g., number of sources).
--Base fees on the frequency of use of the licensed radioactive
material (e.g., volume of patients).
--Base fees on the NRC size standards for small entities.
The NRC has reexamined the FY 1991, FY 1992, and FY 1993 evaluation
of the these alternatives. Based on that reexamination, the NRC
continues to support the previous conclusion. That is, the NRC
continues to believe that establishment of a maximum fee for small
entities is the most appropriate option to reduce the impact on small
entities.
The NRC established, and is proposing to continue for FY 1993, a
maximum annual fee for small entities. The RFA and its implementing
guidance do not provide specific guidelines on what constitutes a
significant economic impact on a small entity. Therefore, the NRC has
no benchmark to assist it in determining the amount or the percent of
gross receipts that should be charged to a small entity. For FY 1994,
the NRC proposes to rely on the analysis previously completed that
established a maximum annual fee for a small entity by comparing NRC
license and inspection fees under 10 CFR Part 170 with Agreement State
fees for those fee categories that are expected to have a substantial
number of small entities. Because these fees have been charged to small
entities, the NRC continues to believe that these fees, or any
adjustments to these fees during the past year, do not have a
significant impact on them. In issuing this proposed rule for FY 1994,
the NRC concludes that the proposed materials license and inspection
fees do not have a significant impact on a substantial number of small
entities and that the maximum small entity fee of $1,800 be maintained
to alleviate the impact of the fees on small entities.
By maintaining the maximum annual fee for small entities at $1,800,
the annual fee for many small entities will be reduced while at the
same time materials licensees, including small entities, pay for most
of the FY 1994 costs ($33.3 million of the total $38.6 million)
attributable to them. Therefore, the NRC is proposing to continue, for
FY 1994, the maximum annual fee (base annual fee plus surcharge) for
certain small entities at $1,800 for each fee category covered by each
license issued to a small entity. Note that the costs not recovered
from small entities are allocated to other materials licensees and to
operating power reactors.
While reducing the impact on many small entities, the Commission
agrees that the current maximum annual fee of $1,800 for small
entities, when added to the part 170 license and inspection fees, may
continue to have a significant impact on materials licensees with
annual gross receipts in the thousands of dollars. Therefore, as in FY
1992 and FY 1993, the NRC will continue the lower-tier small entity fee
of $400 for small entities with relatively low gross annual receipts
for FY 1994. This lower-tier small entity fee was established in the
final rule published in the Federal Register of April 17, 1992 (57 FR
13625).
In establishing the annual fee for lower tier small entities, the
NRC continues to retain a balance between the objectives of the RFA and
OBRA-90. This balance can be measured by (1) the amount of costs
attributable to small entities that is transferred to larger entities
(the small entity subsidy); (2) the total annual fee small entities
pay, relative to this subsidy; and (3) how much the annual fee is for a
lower tier small entity. Nuclear gauge users were used to measure the
reduction in fees because they represent about 40 percent of the
materials licensees and most likely would include a larger percentage
of lower tier small entities than would other classes of materials
licensees. The Commission is continuing an annual fee of $400 for the
lower tier small entities to ensure that the lower tier small entities
receive a reduction (75 percent for small gauge users) substantial
enough to mitigate any severe impact. Although other reduced fees would
result in lower subsidies, the Commission believes that the amount of
the associated annual fees, when added to the license and inspection
fees, would still be considerable for small businesses and
organizations with gross receipts of less than $250,000 or for
governmental entities in jurisdictions with a population of less than
20,000.
III. Summary
The NRC has determined the annual fee significantly impacts a
substantial number of small entities. A maximum fee for small entities
strikes a balance between the requirement to collect 100 percent of the
NRC budget and the requirement to consider means of reducing the impact
of the proposed fee on small entities. On the basis of its regulatory
flexibility analyses, the NRC concludes that a maximum annual fee of
$1,800 for small entities and a lower tier small entity annual fee of
$400 for small businesses and non-profit organizations with gross
annual receipts of less than $250,000, and small governmental entities
with a population of less than 20,000, will reduce the impact on small
entities. At the same time, these reduced annual fees are consistent
with the objectives of OBRA-90. Thus, the revised fees for small
entities maintain a balance between the objectives of OBRA-90 and the
RFA. The NRC has used the methodology and procedures developed for the
FY 1991, the FY 1992, and the FY 1993 fee rules in this proposed rule
establishing the FY 1994 fees. Therefore, the analysis and conclusions
established in the FY 1991, the FY 1992, and the FY 1993 rules remain
valid for this proposed rule for FY 1994.
[FR Doc. 94-10916 Filed 5-9-94; 8:45 am]
BILLING CODE 7590-01-P
