DT-24-03, Management Directive 4.6, License Fee Management Program

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Management Directive 4.6, License Fee Management Program
ML24065A054
Person / Time
Issue date: 03/14/2024
From: Eric Benner
NRC/OCFO
To:
Shared Package
ML24065A051 List:
References
DT-24-03 MD 4.6
Download: ML24065A054 (1)
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Text

U.S. NUCLEAR REGULATORY COMMISSION MANAGEMENT DIRECTIVE (MD)

For updates or revisions to policies contained in this MD that were issued after the MD was signed, please see the Yellow Announcement to Management Directive index (YA-to-MD index).

MD 4.6 LICENSE FEE MANAGEMENT PROGRAM DT-24-03 Volume 4:

Financial Management Approved By:

Eric Benner, Acting Deputy Chief Financial Officer Date Approved:

March 14, 2024 Cert. Date:

N/A, for the latest version of any NRC directive or handbook, see the online MD Catalog.

Issuing Office:

Office of the Chief Financial Officer Division of the Comptroller Contact Name:

Stephanie Tluanga EXECUTIVE

SUMMARY

Management Directive 4.6, License Fee Management Program, is revised to reflect the change in organization structure within the Office of the Chief Financial Officer (OCFO) and to update with administrative changes.

TABLE OF CONTENTS I.

POLICY................................................................................................................................ 2 II.

OBJECTIVES...................................................................................................................... 2 III.

ORGANIZATIONAL RESPONSIBILITIES AND DELEGATIONS OF AUTHORITY........... 2 A. The Commission............................................................................................................ 2 B. Chief Financial Officer (CFO)......................................................................................... 2 C. Chief Information Officer (CIO)....................................................................................... 3 D. Office Directors and Regional Administrators................................................................ 3 E. Director, Division of Budget (DOB), OCFO.................................................................... 4 F. Comptroller, Division of the Comptroller (DOC), OCFO................................................. 4 IV.

GENERAL INFORMATION................................................................................................. 4 V.

RECORDS SUPPORTING FEES ASSESSED................................................................... 5 VI.

APPLICABILITY.................................................................................................................. 5 VII. DIRECTIVE HANDBOOK.................................................................................................... 6 VIII. REFERENCES..................................................................................................................... 6

MD 4.6 LICENSE FEE MANAGEMENT PROGRAM Date Approved: 3/14/2024 For the latest version of any NRC directive or handbook, see the online MD Catalog.

2 I. POLICY It is the policy of the U.S. Nuclear Regulatory Commission (NRC) to assess fees as required by Title V of the Independent Offices Appropriations Act, 1952 (IOAA) and Nuclear Energy Innovation and Modernization Act (NEIMA), and to perform a biennial review of fees assessed as required by the Chief Financial Officers Act of 1990 (CFO Act).

II. OBJECTIVES Establish regulations and develop procedures by which the NRC meets the statutory requirements to assess fees.

Capture and produce financial information to support the assessment of fees and address questions raised concerning these fees.

Ensure that the fees assessed are current and the information used as the basis for the fees is complete, accurate, and verifiable.

Ensure adherence to appropriate internal control over fee-billable costs.

III. ORGANIZATIONAL RESPONSIBILITIES AND DELEGATIONS OF AUTHORITY A. The Commission Approves changes in policy and regulations for the assessment of fees.

B. Chief Financial Officer (CFO)

1. Establishes, maintains, and oversees the implementation and interpretation of license fee policies and regulations.
2. Recommends to the Commission fee policy changes, including amendments to Title 10 of the Code of Federal Regulations (CFR) Part 170, Fees for Facilities, Materials, Import and Export Licenses, and Other Regulatory Services Under the Atomic Energy Act of 1954, as amended, and 10 CFR Part 171, Annual Fees for Reactor Licenses and Fuel Cycle Licenses and Materials Licenses, Including Holders of Certificates of Compliance, Registrations, and Quality Assurance Program Approvals and Government Agencies Licensed by the NRC.
3. Approves fee policy changes, other than policy changes, including amendments to 10 CFR Parts 170 and 171 in accordance with Management Directive (MD) 6.3, The Rulemaking Process.
4. Grants or denies requests for exemptions from the annual fees as imposed pursuant to NEIMA and as implemented through 10 CFR Part 171.

MD 4.6 LICENSE FEE MANAGEMENT PROGRAM Date Approved: 3/14/2024 For the latest version of any NRC directive or handbook, see the online MD Catalog.

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5. Grants or denies requests for exemptions from the fees imposed pursuant to the IOAA and as implemented through 10 CFR Part 170.
6. Issues orders suspending or revoking licenses for nonpayment of assessed fees.
7. Biennially reviews fees assessed pursuant to 10 CFR Part 170 to ensure that the fees reflect the costs incurred in providing the services as required by the CFO Act and in support of the CFOs responsibility to review all agency fees set forth in MD 4.1, Accounting Policy and Practices,Section III.A.3.

C. Chief Information Officer (CIO)

Develops and implements an agencywide framework that includes policies, processes, and procedures for information technology (IT) capital investments, enterprise architecture, information management, and IT security as specified in MD 2.8, Integrated Information Technology/Information Management (IT/IM) Governance Framework, and MD 12.5, NRC Cybersecurity Program.

D. Office Directors and Regional Administrators

1. Ensure that staff hours are entered into and approved in the appropriate agency system in accordance with the agencys time and labor reporting policies to support the assessment of fees under 10 CFR Part 170.
2. Ensure that fee-recoverable contract costs are reviewed and approved in accordance with MD 11.1, NRC Acquisition of Supplies and Services, to support the assessment of fees under 10 CFR Part 170.
3. Ensure that systems data supporting fee billing are complete and accurate and provide a monthly certification statement of staff hours and contract cost data expended, if applicable, on application reviews and inspections to the Chief of Labor Administration and Fee Billing Branch (LAFBB), Division of the Comptroller (DOC),

Office of the Chief Financial Officer (OCFO). This responsibility may not be redelegated below the level of division director, unless otherwise approved by the Chief of LAFBB, DOC, OCFO.

4. Ensure that appropriate internal control over fee-billable costs is established and consistently adhered to as specified in MD 4.4, Enterprise Risk Management and Internal Control.
5. Submit verified staff-hour data on a biennial basis to the CFO to support the determination of flat fees used for the assessment of materials license fees under the IOAA and 10 CFR Part 170.
6. Provide copies of applications that are subject to fees under 10 CFR Part 170 and the resulting licensing actions to DOC, OCFO.

MD 4.6 LICENSE FEE MANAGEMENT PROGRAM Date Approved: 3/14/2024 For the latest version of any NRC directive or handbook, see the online MD Catalog.

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7. Provide support for evaluating 10 CFR Part 170 and Part 171 fee exemption requests.
8. Provide support for identifying and eliminating the causes of errors in the assessment of fees.

E. Director, Division of Budget (DOB), OCFO

1. Oversees the calculation of fees for the NRC.
2. Drafts fee rules, including the fee schedules for 10 CFR Parts 170 and 171.
3. Recommends fee policy changes to the CFO.
4. Provides the CFO with recommendations on requests for exemptions from the annual fees assessed under 10 CFR Part 171 and requests for exemptions under 10 CFR Part 170.
5. Provides project management leadership and oversight to ensure the biennial reviews of fees are performed in accordance with Section 205 of the CFO Act.

F. Comptroller, Division of the Comptroller (DOC), OCFO

1. Administers the billing and collection of fees for the NRC.
2. Administers the fiscal and accounting functions needed to support the assessment and collection of fees (see MD 4.1,Section II.F.1).
3. Provides oversight, monitoring, and testing of financial management internal control for fee billing.
4. Ensures that financial systems provide complete, reliable, consistent, timely, and useful information and adhere to applicable NRC policies and Federal regulations, as specified in MD 4.3, Financial Management Systems.
5. Periodically processes license fee collection transfer transactions with the U.S. Treasury to offset the NRC fiscal year appropriation accounts in accordance with the enacted appropriations legislation for current fiscal year.

IV. GENERAL INFORMATION Pursuant to the IOAA, the NRC assesses licensing, inspection, and special project fees to recover the costs of providing individually identifiable services to specific applicants and holders of licenses and approvals. NEIMA requires the NRC to recover, to the maximum extent practicable, approximately 100 percent of the Commissions total budget authority for the fiscal year, not including budget authority for excluded activities. Excluded activities identified in NEIMA include any fee-relief activity as identified by the Commission; costs for activities related to the development of regulatory infrastructure for advanced nuclear

MD 4.6 LICENSE FEE MANAGEMENT PROGRAM Date Approved: 3/14/2024 For the latest version of any NRC directive or handbook, see the online MD Catalog.

5 reactor technologies; amounts appropriated from the Nuclear Waste Fund; and amounts appropriated for waste incidental to reprocessing activities, generic homeland security activities, Inspector General services for the Defense Nuclear Facilities Safety Board, research and development at universities in areas relevant to the Commission's mission, and a nuclear science and engineering grant program. The CFO Act requires the NRC to perform a biennial review of license fees and other charges imposed for services and things of value and to revise those fees and charges to reflect the costs incurred in providing those services and things of value. This review is mandated by MD 4.1.

V. RECORDS SUPPORTING FEES ASSESSED A. The provisions of this directive apply to data that are used as a basis to determine the fees assessed under 10 CFR Parts 170 and 171.

B. The CFO retains

1. Billing data for 6 years in accordance with General Records Schedule (GRS) 1.1, item 010.
2. Electronic records from the license fee billing module in the agencys core financial accounting system until the data are no longer needed in accordance with the NRC Comprehensive Records Disposition Schedule (NRCS) (NUREG-0910, Revision 4) are as follows:

(a) Part 5, "Records of Office of Chief Financial Officer" (2.5.1).

(b) Item 6, "Integrated Financial Management Information Systems (IFMIS)" (2.5.15).

(c) Item 8, "Payroll System (PAY)" (2.5.16).

C. Program offices and regions retain

1. Any certified hard copy cost data used to determine fees for 6 years in accordance with GRS 1.1, item 010.
2. Input/source records used to update staffing reporting systems until the information has been converted to an electronic medium and verified in accordance with GRS 5.2, item 020.
3. Hardcopy contract data to support fees for 6 years after final contract/agreement closeout and payment in accordance with GRS 1.1, item 010.

VI. APPLICABILITY The policy and guidance in this directive apply to all NRC employees.

MD 4.6 LICENSE FEE MANAGEMENT PROGRAM Date Approved: 3/14/2024 For the latest version of any NRC directive or handbook, see the online MD Catalog.

6 VII. DIRECTIVE HANDBOOK This directive does not have an associated handbook.

VIII. REFERENCES Code of Federal Regulations 10 CFR Part 170, Fees for Facilities, Materials, Import and Export Licenses, and Other Regulatory Services Under the Atomic Energy Act of 1954, as amended.

10 CFR Part 171, Annual Fees for Reactor Licenses and Fuel Cycle Licenses and Materials Licenses, Including Holders of Certificates of Compliance, Registrations, and Quality Assurance Program Approvals and Government Agencies Licensed by the NRC.

National Archives and Records Administration General Records Schedule (GRS) 1.1, item 010.

General Records Schedule (GRS) 5.2, item 020.

Nuclear Regulatory Commission Documents Management Directives 2.8, Integrated Information Technology/Information Management (IT/IM)

Governance Framework.

4.1, Accounting Policy and Practices.

4.3, Financial Management Systems.

4.4, Enterprise Risk Management and Internal Control.

6.3, The Rulemaking Process.

11.1, NRC Acquisition of Supplies and Services.

12.5, NRC Cybersecurity Program.

NUREG0910, NRC Comprehensive Records Disposition Schedule.

Office of Management and Budget (OMB)

OMB Circular A25, Transmittal Memorandum No. 1, User Charges, July 8, 1993.

United States Code Chief Financial Officers Act of 1990 (31 U.S.C. 501506, 901903).

MD 4.6 LICENSE FEE MANAGEMENT PROGRAM Date Approved: 3/14/2024 For the latest version of any NRC directive or handbook, see the online MD Catalog.

7 Independent Offices Appropriations Act, 1952, Title V (31 U.S.C. 9701).

Nuclear Energy Innovation and Modernization Act (42 U.S.C. 2215).

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