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Department of Energy Pt. 810

is brought about as a result of cir- posed on the borrower by Federal, cumstances largely beyond the control State and local government agencies in of the borrower, or is deemed by, the connection with permits, licenses, or Secretary to be insubstantial, the Sec- other authorizations to conduct or fi- retary may elect, at the Secretary’s nance its business. option, to defer such performance and/ or restructure the repayment required § 800.307 Appeals. by the loan agreement in any mutually Any dispute concerning questions of acceptable manner. fact arising under the loan agreement (e) Should the borrower fail to pay shall be decided in writing by the con- after demand as provided in paragraph tracting officer. The borrower may re- (c) of this section, and no deferral or quest the contracting officer to recon- restructuring is agreed to by the Sec- sider any such decision, which recon- retary as provided in paragraph (d) of sideration shall be promptly under- this section, the Secretary shall undertaken. If not satisfied with the con- take collection in accordance with the tracting officer’s final decision, the terms of the loan agreement and the borrower, upon receipt of such written applicable law. decision, may appeal the decision within 60 days in writing to the Chairman, § 800.305 Disclosure. Financial Assistance Appeals Board Information received from an appli- (FAAB), Department of Energy, Wash- cant by DOE may be available to the ington, DC 20585. The Board shall pro- public subject to the provision of 5 ceed in accordance with the Depart- U.S.C. 552, 18 U.S.C. 1905 and 10 CFR ment of Energy’s rules and regulations part 1004; provided that: for such purpose. The decision of the (a) Subject to the requirements of Board with respect to such appeals law, information such as trade secrets, shall be the final decision of the Sec- commercial and financial information, retary. and other information concerning the minority business enterprise that the PART 810—ASSISTANCE TO FOR- enterprise submits to DOE in writing, EIGN ATOMIC ENERGY ACTIVI- in an application, or at other times TIES throughout the duration of the loan on a privileged or confidential basis, will Sec. not be disclosed without prior notice to 810.1 Purpose. submitter in accordance with DOE reg- 810.2 Scope. ulations concerning public disclosure 810.3 Definitions. of information. Any submitter assert- 810.4 Communications. ing that the information is privileged 810.5 Interpretations. or confidential should appropriately 810.6 Generally authorized activities. identify and mark such information. 810.7 Activities requiring specific authorization. (b) Upon a showing satisfactory to 810.8 Restrictions on general and specific the Secretary that any information or authorization. portion thereof obtained under this 810.9 Grant of specific authorization. regulation would, if made public, di- 810.10 Revocation, suspension, or modifica- vulge trade secrets or other propri- tion of authorization. etary information of the minority busi- 810.11 Information required in an applica- ness enterprise, the Secretary may not tion for specific authorization. disclose such information. 810.12 Reports. 810.13 Additional information. (c) This section shall not be con- 810.14 Special provision regarding Ukraine. strued as authority to withhold infor- 810.15 Violations. mation from Congress or from any 810.16 Effective date and savings clause. committee of Congress upon request of APPENDIX A TO PART 810—GENERALLY AU- the Chairman. THORIZED DESTINATIONS § 800.306 Noninterference with other AUTHORITY: Secs. 57, 127, 128, 129, 161, 222, laws. and 232 Atomic Energy Act of 1954, as amended by the Nuclear Nonproliferation Act of Nothing in this regulation shall be 1978, Pub. L. 95–242, 68 Stat. 932, 948, 950, 958, construed to modify requirements im- 92 Stat. 126, 136, 137, 138 (42 U.S.C. 2077, 2156,

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2157, 2158, 2201, 2272, 2280), and the Intel- (2) Chemical conversion and purifi- ligence Reform and Terrorism Prevention cation of plutonium and neptunium; Act of 2004, Pub. L. 108–458, 118 Stat. 3768; (3) Nuclear fuel fabrication, including Sec. 104 of the Energy Reorganization Act of 1974, Pub. L. 93–438; Sec. 301, Department of preparation of fuel elements, fuel as- Energy Organization Act, Pub. L. 95–91; Na- semblies and cladding thereof; tional Nuclear Security Administration Act, (4) Uranium isotope separation (ura- Pub. L. 106–65, 50 U.S.C. 2401 et seq., as nium enrichment), plutonium isotope amended. separation, and isotope separation of SOURCE: 80 FR 9375, Feb. 23, 2015, unless any other elements (including stable otherwise noted. isotope separation) when the technology or process can be applied di- § 810.1 Purpose. rectly or indirectly to uranium or plu- The regulations in this part imple- tonium; ment section 57 b.(2) of the Atomic En- (5) Nuclear reactor development, pro- ergy Act, which empowers the Sec- duction or use of the components with- retary, with the concurrence of the De- in or attached directly to the reactor partment of State, and after consulta- vessel, the equipment that controls the tion with the Nuclear Regulatory Com- level of power in the core, and the mission, the Department of Commerce, equipment or components that nor- and the Department of Defense, to au- mally contain or come in direct con- thorize persons to directly or indi- tact with or control the primary cool- rectly engage or participate in the de- ant of the reactor core; velopment or production of special nu- (6) Development, production or use of clear material outside the United production accelerator-driven subcrit- States. The purpose of the regulations ical assembly systems; in this part is to: (7) Heavy water production and hy- (a) Identify activities that are gen- drogen isotope separation when the erally authorized by the Secretary and technology or process has reasonable thus require no other authorization potential for large-scale separation of under this part; deuterium (2H) from protium (1H); (b) Identify activities that require (8) Reprocessing of irradiated nuclear specific authorization by the Secretary fuel or targets containing special nu- and explain how to request authoriza- clear material, and post-irradiation ex- tion; and amination of fuel elements, fuel assem- (c) Specify reporting requirements blies and cladding thereof, if it is part for authorized activities. of a reprocessing program; and § 810.2 Scope. (9) The transfer of technology for the (a) Part 810 (this part) applies to: development, production, or use of (1) All persons subject to the jurisdic- equipment or material especially de- tion of the United States who directly signed or prepared for any of the above or indirectly engage or participate in listed activities. (See Nuclear Regu- the development or production of any latory Commission regulations at 10 special nuclear material outside the CFR part 110, Appendices A through K, United States; and and O, for an illustrative list of items (2) The transfer of technology that considered to be especially designed or involves any of the activities listed in prepared for certain listed nuclear ac- paragraph (b) of this section either in tivities.) the United States or abroad by such (c) This part does not apply to: persons or by licensees, contractors or (1) Exports authorized by the Nuclear subsidiaries under their direction, su- Regulatory Commission, Department pervision, responsibility, or control. of State, or Department of Commerce; (b) The activities referred to in para- (2) Transfer of publicly available in- graph (a) of this section are: formation, publicly available tech- (1) Chemical conversion and purifi- nology, or the results of fundamental cation of uranium and thorium from research; milling plant concentrates and in all (3) Uranium and thorium mining and subsequent steps in the nuclear fuel milling (e.g., production of impure cycle; source material concentrates such as

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uranium yellowcake and all activities Development means any activity re- prior to that production step); lated to all phases before production (4) Nuclear fusion reactors per se, ex- such as: Design, design research, design cept for supporting systems involving analysis, design concepts, assembly hydrogen isotope separation tech- and testing of prototypes, pilot produc- nologies within the scope defined in tion schemes, design data, process of paragraph (b)(7) of this section and transforming design data into a prod- § 810.7(c)(3); uct, configuration design, integration (5) Production or extraction of radio- design, and layouts. pharmaceutical isotopes when the DOE means the U.S. Department of process does not involve special nu- Energy. clear material; and Enrichment means isotope separation (6) Transfer of technology to any in- of uranium or isotope separation of dividual who is lawfully admitted for plutonium, regardless of the type of permanent residence in the United process or separation mechanism used. States or is a protected individual Fissile material means isotopes that under the Immigration and Naturaliza- readily fission after absorbing a neu- tion Act (8 U.S.C. 1324b(a)(3)). tron of any energy, either fast or slow. (d) Persons under U.S. jurisdiction Fissile materials are uranium-235, ura- are responsible for their foreign licens- nium-233, plutonium-239, and pluto- ees, contractors, or subsidiaries to the nium-241. extent that the former have control Foreign national means an individual over the activities of the latter. who is not a citizen or national of the § 810.3 Definitions. United States, but excludes U.S. lawful permanent residents and protected in- As used in this part 810: dividuals under the Immigration and Agreement for cooperation means an Naturalization Act (8 U.S.C. agreement with another nation or 1324b(a)(3)). group of nations concluded under sec- Fundamental research means basic tions 123 or 124 of the Atomic Energy and applied research in science and en- Act. gineering, the results of which ordi- Assistance means assistance in such narily are published and shared broadly forms as instruction, skills, training, within the scientific community, as working knowledge, consulting serv- distinguished from proprietary re- ices, or any other assistance as deter- search and from industrial develop- mined by the Secretary. Assistance ment, design, production, and product may involve the transfer of technical utilization, the results of which ordi- data. narily are restricted for proprietary or Atomic Energy Act means the Atomic national security reasons. Energy Act of 1954, as amended. Classified information means national General authorization means an au- security information classified under thorization granted by the Secretary Executive Order 13526 or any prede- under section 57 b.(2) of the Atomic En- cessor or superseding order, and Re- ergy Act to provide assistance or tech- stricted Data classified under the nology to foreign atomic energy activi- Atomic Energy Act. ties subject to this part and which does Cooperative enrichment enterprise not require a request for, or the Sec- means a multi-country or multi-com- retary’s issuance of, a specific author- pany (where at least two of the compa- ization. nies are incorporated in different coun- IAEA means the International Atom- tries) joint development or production ic Energy Agency. effort. The term includes a consortium NNPA means the Nuclear Non-Pro- of countries or companies or a multi- liferation Act of 1978, 22 U.S.C. 3201 et national corporation. seq. Country, as well as government, na- NPT means the Treaty on the Non- tion, state, and similar entity, shall be Proliferation of Nuclear Weapons, done read to include Taiwan, consistent on July 1, 1968. with section 4 of the Taiwan Relations Nuclear reactor means an apparatus, Act (22 U.S.C. 3303). other than a nuclear explosive device,

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designed or used to sustain nuclear fis- terial or special nuclear material to sion in a self-sustaining chain reaction. produce a nuclear fission chain reac- Operational safety means the capa- tion that is not self-sustaining and bility of a reactor to be operated in a that is especially designed, used, or in- manner that complies with national tended for the production of plutonium standards or requirements or widely- or uranium-233. accepted international standards and Publicly available information means recommendations to prevent uncon- information in any form that is gen- trolled or inadvertent criticality, pre- erally accessible, without restriction, vent or mitigate uncontrolled release to the public. of radioactivity to the environment, Publicly available technology means monitor and limit staff exposure to ra- technology that is already published or diation and radioactivity, and protect has been prepared for publication; off-site population from exposure to ra- arises during, or results from, funda- diation or radioactivity. Operational mental research; or is included in an safety may be enhanced by providing application filed with the U.S. Patent expert advice, equipment, instrumenta- Office and eligible for foreign filing tion, technology, software, services, under 35 U.S.C. 184. analyses, procedures, training, or other Restricted Data means all data con- assistance that improves the capability cerning: of the reactor to be operated in compli- (1) Design, manufacture, or utiliza- ance with such standards, require- tion of atomic weapons; ments or recommendations. (2) The production of special nuclear Person means: material; or (1) Any individual, corporation, part- (3) The use of special nuclear mate- nership, firm, association, trust, es- rial in the production of energy, but tate, public or private institution; shall not include data declassified or (2) Any group, government agency removed from the Restricted Data cat- other than DOE, or any State or polit- egory pursuant to section 142 of the ical entity within a State; and Atomic Energy Act. (3) Any legal successor, representa- Secretary means the Secretary of En- tive, agent, or agency of the foregoing. ergy. Production means all production Sensitive nuclear technology means phases such as: Construction, produc- any information (including information engineering, manufacture, inte- tion incorporated in a production or gration, assembly or mounting, inspec- utilization facility or important com- tion, testing, and quality assurance. ponent part thereof) which is not avail- Production accelerator means a par- able to the public (see definition of ticle accelerator especially designed, ‘‘publicly available information’’) and used, or intended for use with a produc- which is important to the design, con- tion subcritical assembly. struction, fabrication, operation, or Production accelerator-driven subcrit- maintenance of a uranium enrichment ical assembly system means a system or nuclear fuel reprocessing facility or comprised of a production subcritical a facility for the production of heavy assembly and a production accelerator water, but shall not include Restricted and which is especially designed, used, Data controlled pursuant to chapter 12 or intended for the production of pluto- of the Atomic Energy Act. The infor- nium or uranium-233. In such a system, mation may take a tangible form such the production accelerator target pro- as a model, prototype, blueprint, or op- vides a source of neutrons used to ef- eration manual or an intangible form fect special nuclear material produc- such as assistance. tion in the production subcritical as- Source material means: sembly. (1) Uranium or thorium, other than Production reactor means a nuclear re- special nuclear material; or actor especially designed or used pri- (2) Ores that contain by weight 0.05 marily for the production of plutonium percent or more of uranium or tho- or uranium-233. rium, or any combination of these ma- Production subcritical assembly means terials. an apparatus that contains source ma- Special nuclear material means:

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(1) Plutonium, cations regarding activity in the (2) Uranium-233, or Ukraine should be delivered by email (3) Uranium enriched above 0.711 per- to: [email protected]. cent by weight in the isotope uranium- 235. § 810.5 Interpretations. Specific authorization means an au- (a) The advice of the DOE Office of thorization granted by the Secretary Nonproliferation and Arms Control under section 57b.(2) of the Atomic En- may be requested on whether a pro- ergy Act, in response to an application posed activity falls outside the scope of filed under this part, to engage in spe- this part, is generally authorized under cifically authorized nuclear activities § 810.6, or requires a specific authoriza- subject to this part. tion under § 810.7. However, unless au- Technical data means data in such thorized by the Secretary in writing, forms as blueprints, plans, diagrams, no interpretation of the regulations in models, formulae, engineering designs, specifications, manuals, and instruc- this part other than a written interpre- tions written or recorded on other tation by the DOE General Counsel is media or devices such as disks, tapes, binding upon DOE. read-only memories, and computa- (b) When advice is requested from the tional methodologies, algorithms, and DOE Office of Nonproliferation and computer codes that can directly or in- Arms Control, or a binding, written de- directly affect the production of spe- termination is requested from the DOE cial nuclear material. General Counsel, a response normally Technology means assistance or tech- will be made within 30 calendar days nical data required for the develop- and, if this is not feasible, an interim ment, production or use of any plant, response will explain the reason for the facility, or especially designed or pre- delay. pared equipment for the activities de- (c) The DOE Office of Nonprolifera- scribed in § 810.2(b). tion and Arms Control may periodi- Use means operation, installation (in- cally publish abstracts of general or cluding on-site installation), mainte- specific authorizations that may be of nance (checking), repair, overhaul, or general interest, exclusive of propri- refurbishing. etary business-confidential data sub- United States, when used in a geo- mitted to DOE or other information graphical sense, includes Puerto Rico protected by law from unauthorized and all territories and possessions of disclosure. the United States. § 810.6 Generally authorized activities. § 810.4 Communications. The Secretary has determined that (a) All communications concerning the following activities are generally the regulations in this part should be authorized, provided that no sensitive addressed to: U.S. Department of En- nuclear technology or assistance de- ergy, Washington, DC 20585. Attention: scribed in § 810.7 is involved: Senior Policy Advisor, National Nu- clear Security Administration/Office of (a) Engaging directly or indirectly in Nonproliferation and Arms Control the production of special nuclear mate- (NPAC), Telephone (202) 586–1007. rial at facilities in countries or with (b) Communications also may be de- entities listed in the Appendix to this livered to DOE’s headquarters at 1000 part; Independence Avenue SW., Washington, (b) Transfer of technology to a cit- DC 20585. All clearly marked propri- izen or national of a country other etary information will be given the than the United States not listed in maximum protection allowed by law. the Appendix to this part and working (c) Communications may also be de- at an NRC-licensed facility, provided: livered by email to: (1) The foreign national is lawfully [email protected]. For ‘‘fast track’’ employed by or contracted to work for activities described in §§ 810.6(c)(1) and a U.S. employer in the United States; (c)(2) emails should be sent to: Part810- (2) The foreign national executes a [email protected]. Notifi- confidentiality agreement with the

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U.S. employer to safeguard the tech- (f) Activities carried out by persons nology from unauthorized use or dis- who are full-time employees of the closure; IAEA or whose employment by or work (3) The foreign national has been for the IAEA is sponsored or approved granted unescorted access in accord- by the Department of State or DOE; or ance with NRC regulations at an NRC- (g) Extraction of Molybdenum-99 for licensed facility; and medical use from irradiated targets of (4) The foreign national’s U.S. em- enriched uranium, provided that the ployer authorizing access to the tech- activity does not also involve purifi- nology complies with the reporting re- cation and recovery of enriched ura- quirements in § 810.12(g). nium materials, and provided further, (c) Activities at any safeguarded or that the technology used does not in- NRC-licensed facility to: volve significant components relevant for reprocessing spent nuclear reactor (1) Prevent or correct a current or fuel (e.g., high-speed centrifugal imminent radiological emergency pos- contactors, pulsed columns). ing a significant danger to the health and safety of the off-site population, § 810.7 Activities requiring specific au- which emergency in DOE’s assessment thorization. cannot be met by other means, pro- Any person requires a specific au- vided DOE is notified in writing in ad- thorization by the Secretary before: vance and does not object within 48 (a) Engaging in any of the activities hours of receipt of the advance notifi- listed in § 810.2(b) with any foreign cation; country or entity not specified in the (2) Furnish operational safety infor- Appendix to this part; mation or assistance to existing safe- (b) Providing or transferring sen- guarded civilian nuclear reactors out- sitive nuclear technology to any for- side the United States in countries eign country or entity; or with safeguards agreements with the (c) Engaging in or providing tech- IAEA or an equivalent voluntary offer, nology (including assistance) for any of provided DOE is notified in writing and the following activities with respect to approves the activity in writing within any foreign country or entity (or a cit- 45 calendar days of the notice. The ap- izen or national of that country other plicant should provide all the informa- than U.S. lawful permanent residents tion required under § 810.11 and specific or protected individuals under the Im- references to the national or inter- migration and Naturalization Act (8 national safety standards or require- U.S.C. 1324b(a)(3)): ments for operational safety for nu- (1) Uranium isotope separation (ura- clear reactors that will be addressed by nium enrichment), plutonium isotope the assistance; or separation, or isotope separation of (3) Furnish operational safety infor- any other elements (including stable mation or assistance to existing, pro- isotope separation) when the tech- posed, or new-build civilian nuclear fa- nology or process can be applied di- cilities in the United States, provided rectly or indirectly to uranium or plu- DOE is notified by certified mail return tonium; receipt requested and approves the ac- (2) Fabrication of nuclear fuel con- tivity in writing within 45 calendar taining plutonium, including prepara- days of the notice. The applicant tion of fuel elements, fuel assemblies, should provide all the information re- and cladding thereof; quired under § 810.11. (3) Heavy water production, and hy- (d) Participation in exchange pro- drogen isotope separation, when the grams approved by the Department of technology or process has reasonable State in consultation with DOE; potential for large-scale separation of (e) Activities carried out in the deuterium (2H) from protium (1H); course of implementation of the (4) Development, production or use of ‘‘Agreement between the United States a production accelerator-driven sub- of America and the IAEA for the Appli- critical assembly system; cation of Safeguards in the United (5) Development, production or use of States,’’ done on December 9, 1980; a production reactor; or

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(6) Reprocessing of irradiated nuclear (4) Whether the country is in full fuel or targets containing special nu- compliance with its obligations under clear material. the NPT; (5) Whether the country has accepted § 810.8 Restrictions on general and IAEA safeguards obligations on all nu- specific authorization. clear materials used for peaceful pur- A general or specific authorization poses and has them in force; granted by the Secretary under this (6) Whether other nonproliferation part: controls or conditions exist on the pro- (a) Is limited to activities involving posed activity, including that the re- only unclassified information and does cipient is duly authorized by the coun- not permit furnishing classified infor- try to receive and use the technology mation; sought to be transferred; (b) Does not relieve a person from (7) Significance of the assistance or complying with the relevant laws or transferred technology relative to the the regulations of other U.S. Govern- existing nuclear capabilities of the ment agencies applicable to exports; country; and (8) Whether the transferred tech- (c) Does not authorize a person to en- nology is part of an existing coopera- gage in any activity when the person tive enrichment enterprise or the sup- knows or has reason to know that the ply chain of such an enterprise; activity is intended to provide assist- (9) The availability of comparable as- ance in designing, developing, fabri- sistance or technology from other cating, or testing a nuclear explosive sources; and device. (10) Any other factors that may bear upon the political, economic, competi- § 810.9 Grant of specific authorization. tiveness, or security interests of the (a) An application for authorization United States, including the obliga- to engage in activities for which spe- tions of the United States under trea- cific authorization is required under ties or other international agreements, § 810.7 should be made to the U.S. De- and the obligations of the country partment of Energy, National Nuclear under treaties or other international Security Administration, Washington, agreements. DC 20585, Attention: Senior Policy Ad- (c) If the proposed activity involves visor, Office of Nonproliferation and the export of sensitive nuclear tech- Arms Control (NPAC). nology, the requirements of sections 127 and 128 of the Atomic Energy Act (b) The Secretary will approve an ap- and of any applicable United States plication for specific authorization if it international commitments must also is determined, with the concurrence of be met. For the export of sensitive nu- the Department of State and after con- clear technology, in addition to the sultation with the Nuclear Regulatory factors in paragraph (b) of this section, Commission, Department of Com- the Secretary will take into account: merce, and Department of Defense, (1) Whether the country has signed, that the activity will not be inimical ratified, and is implementing a com- to the interest of the United States. In prehensive safeguards agreement with making such a determination, the Sec- the IAEA and has in force an Addi- retary will take into account the fol- tional Protocol based on the Model Ad- lowing factors: ditional Protocol, or, pending this, in (1) Whether the United States has an the case of a regional accounting and agreement for cooperation in force cov- control arrangement for nuclear mate- ering exports to the country or entity rials, is implementing, in cooperation involved; with the IAEA, a safeguards agreement (2) Whether the country is a party to, approved by the IAEA Board of Gov- or has otherwise adhered to, the NPT; ernors prior to the publication of (3) Whether the country is in good INFCIRC/540 (September 1997); or alter- standing with its acknowledged non- natively whether comprehensive safe- proliferation commitments; guards, including the measures of the

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Model Additional Protocol, are being (4) That there are in place appro- applied in the country; priate security arrangements to pro- (2) Whether the country has not been tect the activity from use or transfer identified in a report by the IAEA Sec- inconsistent with the country’s na- retariat that is under consideration by tional laws. the IAEA Board of Governors, as being (e) Approximately 30 calendar days in breach of obligations to comply with after the Secretary’s grant of a specific the applicable safeguards agreement, authorization, a copy of the Sec- nor continues to be the subject of retary’s determination may be pro- Board of Governors decisions calling vided to any person requesting it at upon it to take additional steps to DOE’s Public Reading Room, unless comply with its safeguards obligations the applicant submits information or to build confidence in the peaceful demonstrating that public disclosure nature of its nuclear program, nor as will cause substantial harm to its com- to which the IAEA Secretariat has re- petitive position. This provision does ported that it is unable to implement not affect any other authority provided the applicable safeguards agreement. by law for the non-disclosure of infor- This criterion would not apply in cases mation. where the IAEA Board of Governors or the United Nations Security Council § 810.10 Revocation, suspension, or subsequently decides that adequate as- modification of authorization. surances exist as to the peaceful pur- The Secretary may revoke, suspend, poses of the country’s nuclear program or modify a general or specific author- and its compliance with the applicable ization: safeguards agreements. For the pur- (a) For any material false statement poses of this paragraph, ‘‘breach’’ re- in an application for specific authoriza- fers only to serious breaches of pro- tion or in any additional information liferation concern; submitted in its support; (3) Whether the country is adhering (b) For failing to provide a report or to the Nuclear Suppliers Group Guide- for any material false statement in a lines and, where applicable, has re- report submitted pursuant to § 810.12; ported to the Security Council of the (c) If any authorization governed by United Nations that it is implementing this part is subsequently determined effective export controls as identified by the Secretary to be inimical to the by Security Council Resolution 1540; interest of the United States or other- and wise no longer meets the legal criteria (4) Whether the country adheres to for approval; or international safety conventions relat- (d) Pursuant to section 129 of the ing to nuclear or other radioactive ma- Atomic Energy Act. terials or facilities. (d) Unless otherwise prohibited by § 810.11 Information required in an ap- U.S. law, the Secretary may grant an plication for specific authorization. application for specific authorization (a) An application letter must infor activities related to the enrichment clude the following information: of source material and special nuclear (1) The name, address, and citizen- material, provided that: ship of the applicant, and complete dis- (1) The U.S. Government has received closure of all real parties in interest; if written nonproliferation assurances the applicant is a corporation or other from the government of the country; legal entity, where it is incorporated or (2) That it/they accept(s) the sen- organized; the location of its principal sitive enrichment equipment and ena- office; and the degree of any control or bling technologies or an operable en- ownership by any foreign individual, richment facility under conditions that corporation, partnership, firm, associa- do not permit or enable unauthorized tion, trust, estate, public or private in- replication of the facilities; stitution or government agency; (3) That the subject enrichment ac- (2) The country or entity to receive tivity will not result in the production the assistance or technology; the name of uranium enriched to greater than and location of any facility or project 20% in the isotope uranium-235; and involved; and the name and address of

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the person for which or whom the ac- tion; and will not, at any time during tivity is to be performed; or after his/her employment with the (3) A description of the assistance or applicant, use the applicant’s tech- technology to be provided, including a nology for any nuclear explosive de- complete description of the proposed vice, for research on or development of activity, its approximate monetary any nuclear explosive device, or in fur- value, and a detailed description of any therance of any military purpose. specific project to which the activity (c) An applicant for a specific author- relates as specified in §§ 810.9(b)(7), (8), ization related to the enrichment of and (9); and fissile material must submit informa- (4) The designation of any information that demonstrates that the pro- tion that if publicly disclosed would posed transfer will avoid, so far as cause substantial harm to the competi- practicable, the transfer of enabling tive position of the applicant. design or manufacturing technology (b) Except as provided in § 810.6(b), an associated with such items; and that applicant seeking to employ a citizen the applicant will share with the re- or national of a country not listed in cipient only information required for the Appendix in a position that could the regulatory purposes of the recipi- result in the transfer of technology ent country or to ensure the safe in- subject to § 810.2, or seeking to employ stallation and operation of a resulting any foreign national in the United enrichment facility, without divulging States or in a foreign country that enabling technology. could result in the export of assistance or transfer of technology subject to § 810.12 Reports. § 810.7 must request a specific author- (a) Each person who has received a ization. The applicant must provide, specific authorization shall, within 30 with respect to each foreign national calendar days after beginning the au- to whom access to technology will be thorized activity, provide to DOE a granted, the following: written report containing the following (1) A description of the technology information: that would be made available to the (1) The name, address, and citizen- foreign national; ship of the person submitting the re- (2) The purpose of the proposed trans- port; fer, a description of the applicant’s technology control program, and any (2) The name, address, and citizen- Nuclear Regulatory Commission stand- ship of the person for whom or which ards applicable to the employer’s grant the activity is being performed; of access to the technology; (3) A description of the activity, the (3) A copy of any confidentiality date it began, its location, status, and agreement to safeguard the technology anticipated date of completion; and from unauthorized use or disclosure be- (4) A copy of the DOE letter author- tween the applicant and the foreign na- izing the activity. tional; (b) Each person carrying out a spe- (4) Background information about cifically authorized activity shall in- the foreign national, including the inform DOE, in writing within 30 cal- dividual’s citizenship, all countries endar days, of completion of the activ- where the individual has resided for ity or of its termination before comple- more than six months, the training or tion. educational background of the indi- (c) Each person granted a specific au- vidual, all work experience, any other thorization shall inform DOE, in writ- known affiliations with persons en- ing within 30 calendar days, when it is gaged in activities subject to this part, known that the proposed activity will and any current immigration or visa not be undertaken and the granted au- status in the United States; and thorization will not be used. (5) A statement signed by the foreign (d) DOE may require reports to in- national that he/she will comply with clude such additional information that the regulations under this part; will may be required by applicable U.S. law, not disclose the applicant’s technology regulation, or policy with respect to without DOE’s prior written authoriza- the specific nuclear activity or country

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for which specific authorization is re- Ukraine shall provide to DOE at least quired. ten days prior to beginning that activ- (e) Each person, within 30 calendar ity a report containing the following days after beginning any generally au- information: thorized activity under § 810.6, shall (1) The name, address, and citizen- provide to DOE: ship of the person submitting the noti- (1) The name, address, and citizen- fication; ship of the person submitting the re- (2) The name, address, and citizen- port; ship of the person for which the activ- (2) The name, address, and citizen- ity is to be performed; ship of the person for whom or which (3) A description of the activity, the the activity is being performed; date it is proposed to begin, its loca- (3) A description of the activity, the tion, status, and anticipated date of date it began, its location, status, and completion; and anticipated date of completion; and (4) A written assurance that the per- (4) A written assurance that the ap- son that is to perform the activity has plicant has an agreement with the re- an agreement with the recipient that cipient ensuring that any subsequent any subsequent transfer of technology transfer of materials, equipment, or or information transferred under gen- technology transferred under general eral authorization will not be trans- authorization under circumstances in ferred to a country that is not listed in which the conditions in § 810.6 would the Appendix to this part without the not be met will take place only if the prior written approval of DOE. applicant obtains DOE’s prior written (b) Post-activity reporting requirements. approval. Every person completing a generally (f) Individuals engaging in generally authorized activity in Ukraine shall authorized activities as employees of provide to DOE within ten days fol- persons required to report are not lowing the original transfer of tech- themselves required to submit the re- nology or information written con- ports described in paragraph (e) of this firmation that such transfer was com- section. pleted in accordance with the descrip- (g) Persons engaging in generally au- tion of the activity provided as re- thorized activities under § 810.6(b) are quired by paragraph (a) of this section. required to notify DOE that a citizen or national of a country not listed in § 810.15 Violations. the Appendix to this part has been (a) The Atomic Energy Act provides granted access to information subject that: to § 810.2 in accordance with Nuclear (1) In accordance with section 232 of Regulatory Commission access require- the AEA, permanent or temporary in- ments. The report should contain the junctions, restraining or other orders information required in § 810.11(b). may be granted to prevent a violation (h) All reports should be sent to: U.S. of any provision of the Atomic Energy Department of Energy, National Nu- Act or any regulation or order issued clear Security Administration, Wash- thereunder. ington, DC 20585, Attention: Senior (2) In accordance with section 222 of Policy Advisor, Office of Nonprolifera- the AEA, whoever willfully violates, tion and Arms Control (NPAC). attempts to violate, or conspires to violate any provision of section 57 of § 810.13 Additional information. the Atomic Energy Act may be fined DOE may at any time require a per- up to $10,000 or imprisoned up to 10 son engaging in any generally or spe- years, or both. If the offense is com- cifically authorized activity to submit mitted with intent to injure the United additional information. States or to aid any foreign nation, the penalty could be up to life imprison- § 810.14 Special provisions regarding ment or a $20,000 fine, or both. Ukraine. (b) In accordance with Title 18 of the (a) Pre-activity notification require- United States Code, section 1001, who- ments. Any person beginning any gen- ever knowingly and willfully falsifies, erally authorized activity involving conceals, or covers up a material fact

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or makes or uses false, fictitious or PART 820—PROCEDURAL RULES fraudulent statements or representa- FOR DOE NUCLEAR ACTIVITIES tions shall be fined under that title or imprisoned up to five or eight years de- Subpart A—General pending on the crime, or both. Sec. § 810.16 Effective date and savings 820.1 Purpose and scope. clause. 820.2 Definitions. 820.3 Separation of functions. (a) The regulations in this part are 820.4 Conflict of interest. effective March 25, 2015. 820.5 Service. (b) Except for actions that may be 820.6 Computation and extension of time. taken by DOE pursuant to § 810.10, the 820.7 Questions of policy or law. regulations in this part do not affect 820.8 Evidentiary matters. the validity or terms of any specific 820.9 Special assistant. authorizations granted under regula- 820.10 Office of the docketing clerk. 820.11 Information requirements. tions in effect before March 25, 2015 or 820.12 Classified, confidential, and con- generally authorized activities under trolled information. those regulations for which the con- 820.13 Direction to NNSA contractors. tracts, purchase orders, or licensing ar- 820.14 Whistleblower protection. rangements were already in effect. Per- sons engaging in activities that were Subpart B—Enforcement Process generally authorized under regulations 820.20 Purpose and scope. in effect before March 25, 2015, but that 820.21 Investigations. require specific authorization under 820.22 Informal conference. the regulations in this part, must re- 820.23 Consent order. quest specific authorization by August 820.24 Preliminary notice of violation. 24, 2015 and may continue their activi- 820.25 Final notice of violation. ties until DOE acts on the request. 820.26 Enforcement adjudication. 820.27 Answer. APPENDIX A TO PART 810—GENERALLY 820.28 Prehearing actions. 820.29 Hearing. AUTHORIZED DESTINATIONS 820.30 Post-hearing filings. Argentina Latvia 820.31 Initial decision. Australia Lithuania 820.32 Final order. Austria Luxembourg 820.33 Default order. Belgium Malta 820.34 Accelerated decision. Brazil Mexico (For all 820.35 Ex parte discussions. Bulgaria activities related 820.36 Filing, form, and service of docu- Canada to INFCIRC/203 ments. Chile (For all Parts 1 and 2 and 820.37 Participation in an adjudication. activities related INFCIRC/825 only) 820.38 Consolidation and severance. to INFCIRC/834 Morocco 820.39 Motions. only) Netherlands Colombia Norway Subpart C—Compliance Orders Croatia Poland 820.40 Purpose and scope. Cyprus Portugal 820.41 Compliance order. Czech Republic Romania 820.42 Final order. Denmark Slovakia 820.43 Appeal. Egypt Slovenia Estonia South Africa Subpart D—Interpretations Finland Spain France Sweden 820.50 Purpose and scope. Germany Switzerland 820.51 General Counsel. Greece Taiwan 820.52 Procedures. Hungary Turkey Indonesia Ukraine (Refer to Subpart E—Exemption Relief International Atomic § 810.14 for specific Energy Agency information and 820.60 Purpose and scope. Ireland requirements) 820.61 Secretarial officer. Italy United Arab 820.62 Criteria. Japan Emirates 820.63 Procedures. Kazakhstan United Kingdom 820.64 Terms and conditions. Korea, Republic of Vietnam 820.65 Implementation plan.

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