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Materials Annual Fee Billing Handbook (NUREG/BR-0238, Rev. 15)

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Publication Information

Date Published: October 2007

Office of the Chief Financial Officer
U.S. Nuclear Regulatory Commission
Washington, DC 20555-0001

Availability Notice

Table of Contents

Questions About Your Materials Annual Fee

General Questions

Certification of Small Entity Status

Termination Requests

NRC's Fee Schedules

Payment Due Date

Payment Methods

Terms and Conditions

Procedures for Extending Payment Dates

Procedures for Electronic Funds Transfer

Small Entity Compliance Guide

To Contact Us in Writing

To Contact Us by Phone

APPROVED BY OBM: NO. 3150-0190
EXPIRES: 03/31/2008
Estimated burden per response to comply with this voluntary information collection request: 5 minutes. Requested information will allow respondents to transfer funds electronically. Send comments estimate to the Records and FOIA/Privacy Services Branch (T-5 F52), U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001, or by internet e-mail to INFOCOLLECTS.Resource@nrc.gov, and to the Desk Officer, Office of Information and Regulatory Affairs, NEOB-10202, (3150-0180), Office of Management and Budget, Washington, DC 20503. If a means used to impose an information collection does not display a currently valid OMB control number, the NRC may not conduct or sponsor, and a person is not required to respond to, the information collection.

Questions About Your Materials Annual Fee

General Questions

Q. What is the invoice for?

A.The invoice is for the FY 2008 ANNUAL FEE for the license identified on the invoice.

Q. What period does this invoice cover?

A. It covers the period from October 1, 2007, through September 30, 2008.

Q. What is the anniversary month?

A. The anniversary month is the month the license was originally issued.

Q. We have more than one license; why didn't we get invoices for all of them?

A. If you have multiple licenses or approvals and they have different anniversary months, invoices will be issued for the anniversary month of each license or approval.

Annual Certification of Small Entity Status for the Purposes of Annual Fees Imposed under 10 CFR Part 171 (Also See Pages 11-14)

Q. What is it?

A. Licensees that meet the U.S. Nuclear Regulatory Commission's (NRC's) size standards for a small entity must complete the enclosed NRC Form 526 in order to qualify for a reduced annual fee. The size standards increased effective October 24, 2007.

Q. If we qualified last year, why is this year's bill for the full amount?

A. A new form is required for each year and for each invoice you receive. Because a licensee's "size," or the size standards, may change from year to year, the invoice reflects the full fee and licensees must complete and return to the NRC a new form in order for the fee to be reduced to the small entity fee. YOU WILL NOT RECEIVE A NEW INVOICE FOR THE REDUCED AMOUNT. Mail the completed form, the payment for the appropriate small entity fee, and the "Payment Copy" of the invoice to the address listed on the invoice.

PLEASE CAREFULLY READ THE INSTRUCTIONS ON THE BACK OF NRC FORM 526 BEFORE COMPLETING THE FORM.

Q. We do not qualify as a small entity; should we complete the form, and what do we do with the form if we don't qualify?

A. Licensees that do not meet the NRC's size standards for a small entity should disregard NRC Form 526 and send payment for the invoiced amount, together with the "Payment Copy" of the invoice, to the address listed on the invoice.

Termination Requests

Q. Our license was terminated; why did we receive an invoice?

A. THE ANNUAL FEE IS NOT WAIVED FOR TERMINATION REQUESTS FILED AFTER OCTOBER 1, 2007. The full invoiced amount is due. However, if you file a termination request between October 1, 2007, and March 31, 2008, the NRC will prorate the fee 50 percent and will process a refund for any overpayment. The NRC will not prorate the annual fee for termination requests that are filed after March 31, 2008.

Q. How can we avoid the annual fee for next year?

A. To avoid the annual fee for FY 2009 (October 1, 2008, through September 30, 2009) you must request termination, or an amendment for possession or storage only, before October 1, 2008, and must permanently cease licensed activities before this date.

NRC's Fee Schedules

Our fee schedules are published for notice and comment rulemaking in the Federal Register.

The proposed and final fee schedule's are available on the internet (for 90 days after the effective date) at http://ruleforum.llnl.gov/. The proposed fee schedule is also mailed to each licensee.

If you need a copy of the current fee schedule, please ask the telephone receptionist or the license fee staff and we will be glad to furnish one to you.

You can also e-mail us at FEES.Resource@nrc.gov.

Payment Due Date

Q. When is the payment due?

A. The payment is due on the invoice date. The NRC will charge interest for any payments that are not received within 30 days of the invoice date.

FAILURE TO MAKE THE PAYMENT AND SEND THE "PAYMENT COPY" OF THE INVOICE TO THE ADDRESS ON THE INVOICE MAY RESULT IN LATE CHARGES.

Payment Methods

Q. How do I pay the invoice?

A. Payments can be made as follows:

EDI/ACH Payments
The NRC can accept electronic payments using electronic data interchange (EDI) through the Automated Clearinghouse (ACH) Network. A Financial EDI Authorization Form is enclosed with each invoice. If you have any questions about EDI/ACH payments, please contact our depositary bank, U.S. Bank, at 314-418-1073.

Credit Card Payments
The NRC can accept credit card applications for payment of annual fees. An authorization form is enclosed with each invoice. Complete and mail the authorization form to our lockbox bank:

U.S. Nuclear Regulatory Commission
Accounts Receivable
P.O. Box 979051
St. Louis, MO 63197-9000

Check Payments
Send checks to our lockbox bank at the address above.

Since the payment address is a post office lockbox for the bank, only regular mail or U.S. Postal Service Express Mail can be accepted.

Federal Express/Overnight Delivery
Send to:

U.S. Nuclear Regulatory Commission
U.S. Bank/Government Lockbox
SL-MO-C2GL
1005 Convention Plaza
St. Louis, MO 63101

Fedwire/TFCS Payments
To send a Fedwire through a Federal Reserve Bank for credit to our account at the U.S. Treasury, see the section of this brochure entitled "Procedures for Electronic Funds Transfer."

Late Payment Charges
See "Interest," "Penalty," and "Administrative Charge" in the section entitled "Terms and Conditions."

Disputed Debts
See the section entitled "Procedures for Extending Payment Dates of Annual Fee Invoices."

Terms and Conditions

NOTICE: This invoice shows the annual fee assessed for your licensed program. Fees are assessed in accordance with the schedules in 10 CFR Part 171. The suspension, revocation, or termination of a license does not relieve the licensee of its responsibility for any debt(s). The fee(s) and associated interest, penalties, and administrative costs, if any, constitute a debt to the United States pursuant to Federal law, and the invoice is the demand for payment required under Federal law and implementing regulations. The NRC will not accept or execute any purchase order submitted by a licensee as a condition to the licensee's paying the debt. The NRC also reserves the right not to accept or execute any claim form or other document submitted by a licensee as a condition to the licensee's paying the debt.

TERMS: Payment is due immediately and should be made payable to the U.S. Nuclear Regulatory Commission by credit card, check, draft, money order, or electronically (Electronic Data Interchange, Automated Clearinghouse Electronic Funds Transfer). Where specific payment instructions are provided on the bills, payment should be made accordingly, e.g., bills of $5,000 or more will normally indicate payment by electronic funds transfer. With respect to Federal agencies, payment by the Intragovernmental Payment and Collection System (IPAC) will be accepted.

INTEREST: Interest will be assessed to the extent authorized under common law or in accordance with 31 U.S.C 3717, and will accrue from the invoice date. The interest rate charged will be the Treasury Current Value of Funds Rate which is available at www.fms.treas.gov/cvfr/index.html .

PENALTY: A penalty charge will be assessed on any portion of a debt that is subject to the provisions of 31 U.S.C. 3717 and is delinquent for more than 90 days (at the annual rate of 6 percent). This charge will be calculated on or after the 91st day of delinquency, but will accrue from the date the debt became delinquent. For this purpose, a debt is delinquent if it has not been paid by the invoice date.

ADMINISTRATIVE CHARGE: The NRC is required to assess an administrative charge incurred as a result of a delinquent debt subject to the provisions of 31 U.S.C. 3717. Administrative costs may include costs incurred in obtaining a credit report or in using a private debt collector, to the extent they are attributable to the delinquency. The minimum administrative charge is $5 a month.

USE OF CONSUMER REPORTING AGENCIES AND CONTRACTING FOR COLLECTION SERVICES: In addition to assessing interest, penalties, and administrative costs, the NRC may report a debt that is current or delinquent to a consumer reporting agency (credit bureau) and may refer the delinquent debt to a private debt collection contractor in order to recover the delinquent debt. The debt collection contractor is entitled to add its collection fee to the debt. The NRC may also pursue collection or litigation of delinquent debt through the Department of Justice, the Internal Revenue Service, and the Department of the Treasury for administrative offset and tax refund offset. The debtor will be liable for all collection fees incurred with the collection of this debt.

10 CFR 170.41 FAILURE BY LICENSEE TO PAY PRESCRIBED FEES AND 10 CFR 171.23 ENFORCEMENT: When the Commission finds that a licensee has failed to pay a prescribed fee or files a false certification with respect to qualifying as a small entity under the Regulatory Flexibility Criteria, the Commission will not process any application and may suspend or revoke any license or approval issued to the licensee or may issue an order with respect to licensed activities as the Commission determines to be appropriate or necessary to carry out the provisions of these parts. The filing of a false certification to qualify as a small entity under subsection 171.16(c) of 10 CFR Part 171 may also result in punitive action pursuant to 18 U.S.C. 1001.

RIGHT TO REVIEW AND APPEAL OF PRESCRIBED FEES: All debtors' requests for review of the fees assessed and appeal or disagreement with the prescribed fee must be submitted in writing in accordance with the provisions of 10 CFR 15.31, "Disputed Debts."

Procedures for Extending Payment Dates of Annual Fee Notices

Annual fees are billed in accordance with the schedules contained in 10 CFR Part 171. Interest on the amount billed accrues from the invoice date but will be waived if the amount due is paid within 30 days after said date. If the 30-day period is extended, interest will be waived provided the debt is paid before the expiration of the extended period. The 30-day period may be extended, at NRC's discretion, in accordance with the following procedures:

1. The NRC must receive the debtor's written request for an extension of the period before expiration of the 30-day period. The request should explain why the debt is incorrect in fact or in law (10 CFR 15.31). If the request is not received within the 30-day period, it will automatically be denied. Telephone requests for extensions will not be considered. Requests for extensions of the 30-day period should be submitted to the:

U. S. Nuclear Regulatory Commission
Office of the Chief Financial Officer
Division of Financial Management
License Fee Team Mail Stop T9 E10
Washington, DC 20555-0001

2. The debtor's explanation must have merit for the NRC to extend the 30-day period. A request is deemed to have merit if it causes the NRC to question whether the amount originally billed is correct.

1. If the explanation has merit, the NRC will notify the debtor in writing that the request is granted and that the 30-day period will be extended to a certain date. This date will be stated on the revised invoice and will be approximately 30 days after the date the revised invoice is mailed. The amount on the revised invoice will constitute a final determination of the existence or amount of the debt. A final determination by the NRC for this purpose need not await the outcome of litigation or further administrative review. Further extensions of this date stated on the revised invoice will not be granted. If the amount on the revised invoice is not paid on or before the date stated on the invoice, interest from the date of the original invoice will become due and payable.

2. The NRC may, at its discretion, meet with the debtor's representatives to receive further evidence or arguments supporting the debtor's contentions.

3. A request for an extension may be granted either with respect to the entire amount originally billed or with respect to a portion of the amount originally billed. In the latter case, the remainder of such amount will remain due and payable as originally billed and if not paid on or before that date, interest from the date of the original invoice will become due and payable.

4. If the debtor's explanation does not have merit and does not cause the NRC to question whether the amount originally billed is correct, the request will be denied. Failure of the NRC to notify a debtor before the end of the 30-day period that a request for an extension has been denied will not constitute grounds for a waiver of interest.

5. The assertion that the invoice is unsupported by detailed data does not constitute an explanation of why the amount billed is incorrect in fact or in law. If the debtor views information furnished with the invoice as insufficient for the purpose of a request for an extension, the debtor should seek the necessary information as soon as possible so that a request for extension can be submitted within the 30-day period.

3. If an extension of the 30-day period is granted and the amount originally billed remains unchanged, such extension will be stated on the revised invoice as provided for in item 2a.

4. NRC records in support of billed fees are not subject to audit by nongovernmental entities. However, copies of records desired by a debtor can be made available to the debtor if they are reproduced at the debtor's expense. For any charges that may be assessed, refer to 10 CFR Part 9.

5. The NRC will refund to a debtor any amount that is later determined to be an overpayment, including interest, if any, that was paid by the debtor on such amount. The NRC is not authorized to pay interest on any part of an annual fee that was paid to the NRC and is later refunded.

Procedures For Electronic Funds Transfer By Fedwire

The NRC can receive funds through the U.S. Department of the Treasury (Treasury) Fedwire Deposit System. The basic wire message format below complies with the Federal Reserve Board's standard structured third-party format for all electronic funds transfer (EFT) messages. A sample of an EFT message to Treasury and a narrative description of each field follow:

For the description of a field click the number.

Small Entity Compliance Guide

Introduction

The Congressional Review Act requires all Federal agencies to prepare a written guide for each "major" final rule, as defined by the Act. The NRC's fee rule, published annually to comply with the Omnibus Budget Reconciliation Act of 1990 (OBRA-90), as amended, is considered a "major" rule under the Congressional Review Act. Therefore, in compliance with the law, this guide has been prepared to assist NRC materials licensees in complying with the fee rule.

Licensees may use this guide to determine whether they qualify as a small entity under NRC regulations and are eligible to pay reduced annual fees assessed under 10 CFR Part 171. The NRC has established two tiers of annual fees for those materials licensees who qualify as small entities under the NRC's size standards.

Licensees who meet the NRC's size standards for a small entity (listed in 10 CFR 2.810) must submit a completed NRC Form 526 "Certification of Small Entity Status for the Purposes of Annual Fees Imposed Under 10 CFR Part 171" to qualify for the reduced annual fee. This form can be accessed on the NRC's website at http://www.nrc.gov. The form can then be accessed by selecting "Who We Are", then "License Fees" and under "Forms" selecting NRC Form 526. For licensees who cannot access the NRC's website, NRC Form 526 may be obtained through the local point of contact listed in the NRC's "Materials Annual Fee Billing Handbook," NUREG/BR-0238, which is enclosed with each annual fee billing. Alternatively, the form may be obtained by calling the fee staff at 301-415-7554, or by e-mailing the fee staff at FEES.Resource@nrc.gov. The completed form, the appropriate small entity fee, and the payment copy of the invoice should be mailed to the U.S. Nuclear Regulatory Commission, License Fee Team, at the address indicated on the invoice. Failure to file the NRC small entity certification Form 526 in a timely manner may result in the denial of any refund that might otherwise be due.

NRC Definition of Small Entity

For purposes of compliance with its regulations (10 CFR 2.810), the NRC has defined a small entity as follows:

1. Small business - a for-profit concern that provides a service, or a concern that is not engaged in manufacturing, with average gross receipts of $6.5 million or less over its last 3 completed fiscal years;

2. Manufacturing industry - a manufacturing concern with an average of 500 or fewer employees based on employment during each pay period for the preceding 12 calendar months;

3. Small organization - a not-for-profit organization that is independently owned and operated and has annual gross receipts of $6.5 million or less;

4. Small governmental jurisdiction - a government of a city, county, town, township, village, school district or special district, with a population of less than 50,000;

5. Small educational institution - an educational institution supported by a qualifying small governmental jurisdiction, or one that is not State or publicly supported and has 500 or fewer employees¹

¹ An educational institution referred to in the size standards is an entity whose primary function is education, whose programs are accredited by a nationally recognized accrediting agency or association, who is legally authorized to provide a program of organized instruction or study, who provides an educational program for which it awards academic degrees, and whose educational programs are available to the public.

To further assist licensees in determining if they qualify as a small entity, the following guidelines are provided, which are based on the Small Business Administration's regulations (13 CFR part 121).

1. A small business concern is an independently owned and operated entity which is not considered dominant in its field of operations.

2. The number of employees means the total number of employees in the parent company, any subsidiaries and/or affiliates, including both foreign and domestic locations (i.e., not solely the number of employees working for the licensee or conducting NRC licensed activities for the company).

3. Gross annual receipts includes all revenue received or accrued from any source, including receipts of the parent company, any subsidiaries and/or affiliates, and account for both foreign and domestic locations. Receipts include all revenues from sales of products and services, interest, rent, fees, and commissions, from whatever sources derived (i.e., not solely receipts from NRC licensed activities).

4. A licensee who is a subsidiary of a large entity does not qualify as a small entity.

NRC Small Entity Fees

In 10 CFR 171.16 (c), the NRC has established two tiers of small-entity fees for licensees that qualify under the NRC's size standards. These fees are as follows:

Instructions for Completing NRC Form 526

1. Complete all items on NRC Form 526 as follows:

   • Enter the license number and invoice number exactly as they appear on the annual fee invoice.

   • Enter the North American Industry Classification System (NAICS) code.

   • Enter the licensee's name and address exactly as they appear on the invoice. Annotate name and/or address changes for billing purposes on the payment copy of the invoice -- include contact's name, telephone number, e-mail address, and company web site address. Correcting the name and/or address on NRC Form 526 or on the invoice does not constitute a request to amend the license.

   • Check the appropriate size standard under which the licensee qualifies as a small entity. Check one box only. Note the following:

     1. A licensee who is a subsidiary of a large entity, including foreign entities, does not qualify as a small entity. The calculation of a firm's size includes the employees or receipts of all affiliates. Affiliation with another concern is based on the power to control, whether exercised or not. Such factors as common ownership, common management and identity of interest (often found in members of the same family), among others, are indications of affiliation. The affiliated business concerns need not be in the same line of business (67 CFR part 59).

     2. Gross annual receipts, as used in the size standards, include all revenue received or accrued by your company from all sources, regardless of the form of the revenue and not solely receipts from licensed activities.

     3. NRC's size standards on small entity are based on the Small Business Administration's regulations (13 CFR part 121).

     4. The size standards apply to the licensee, not to the individual

2. If the invoice states the “Amount Billed Represents 50% Proration,” the amount due is not the prorated amount
   shown on the invoice but rather one-half of the maximum small entity annual fee shown on NRC Form 526
   for the size standard under which the licensee qualifies If the invoice amount is less than the reduced small
   entity annual fee shown on this form, pay the amount on the invoice; there is no further reduction. In this case, do not file NRC Form 526 . However, if the invoice amount is greater than the reduced small entity annual fee, file NRC Form 526 and pay the amount applicable to the size standard you checked on the form.
   

3. The completed NRC Form 526 must be submitted with the required annual fee payment and the “Payment
   Copy” of the invoice to the address shown on the invoice.
   

4. 10 CFR 171.16(c)(3) states licensees shall submit a new certification with its annual fee payment each year. Failure to submit NRC Form 526 at the time the annual fee is paid will require the licensee to pay the full amount of the invoice.

The NRC sends invoices to its licensees for the full annual fee, even though some licensees qualify for reduced fees as small entities. Licensees who qualify as small entities and file NRC Form 526 , which certifies eligibility for small entity fees, may pay the reduced fee, which is either $2,300 or $500 for a full year, depending on the size of the entity, for each fee category shown on the invoice. Licensees granted a license during the first 6 months of the fiscal year, and licensees who file for termination or for a "possession only" license and permanently cease licensed activities during the first 6 months of the fiscal year, pay only 50 percent of the annual fee for that year. Such invoices state that the "amount billed represents 50% proration."

Licensees must file a new small entity form (NRC Form 526 ) with the NRC each fiscal year to qualify for reduced fees in that year. Because a licensee's "size," or the size standards, may change from year to year, the invoice reflects the full fee and licensees must complete and return NRC Form 526 for the fee to be reduced to the small entity fee amount. LICENSEES WILL NOT RECEIVE A NEW INVOICE FOR THE REDUCED AMOUNT. The completed NRC Form 526 , the payment of the appropriate small entity fee, and the "Payment Copy" of the invoice should be mailed to the U. S. Nuclear Regulatory Commission, License Fee Team at the address indicated on the invoice.

If you have questions regarding the NRC's annual fees, please contact the license fee staff at 301-415-7554, e-mail the fee staff at FEES.Resource@nrc.gov, or write to the U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001, Attention: Office of the Chief Financial Officer.

False certification of small entity status could result in civil sanctions being imposed by the NRC under the Program Fraud Civil Remedies Act, 31 U.S.C. 3801 et. seq. NRC's implementing regulations are found at 10 CFR Part 13.

To Contact Us In Writing

LETTERS (DO NOT SEND ANNUAL FEE PAYMENTS OR SMALL ENTITY FORMS TO THIS ADDRESS)

If you have other questions, please write to the

U.S. Nuclear Regulatory Commission
Office of the Chief Financial Officer
Division of Financial Management
License Fee Team Mail Stop T9 E10
Washington, DC 20555-0001

To assist us in providing a prompt response, please include your license number, invoice number, if applicable, and a daytime number (including the area code) where you can be reached.

E-mail us at FEES.Resource@nrc.gov.

To Contact Us By Phone

Our license fee staff can help you with questions concerning fees for your license, registration, or approval, including small entity questions.

ALL GENERAL LICENSE FEE INQUIRIES: 301-415-7554

NUREG/BR-0238, Rev. 15
October 2007

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