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Pt. 110 10 CFR Ch. I (1–1–21 Edition)

Subpart C—Licenses 110.19 Types of licenses. 110.20 General license information. 110.21 General license for the export of spe- cial . 110.22 General license for the export of source material. 110.23 General license for the export of by- product material. 110.24 General license for the export of deu- terium. 110.25 [Reserved] 110.26 General license for the export of nu- clear reactor components. 110.27 General license for imports. 110.28 Embargoed destinations. 110.29 Restricted destinations. 110.30 Members of the Nuclear Suppliers . FIGURE 1—DIAGRAMMATIC ILLUSTRATION OF 110.31 Application for a specific license. DELINEATION OF WIDTH OF ZONE REQUIRING 110.32 Information required in an applica- DETAILED FAULTING INVESTIGATIONS FOR tion for a specific license/NRC Form 7. SPECIFIC PLANT LOCATION. Subpart D—Review of License Applications (Sec. 201, Pub. L. 93–438, 88 Stat. 1243 (42 110.40 Commission review. U.S.C. 5841)) 110.41 Executive Branch review. [38 FR 31281, Nov. 13, 1973, as amended at 38 110.42 Export licensing criteria. FR 32575, Nov. 27, 1973; 42 FR 2052, Jan. 10, 110.43 Import licensing criteria. 1977; 78 FR 34250, June 7, 2013] 110.44 Physical security standards. 110.45 Issuance or denial of licenses. 110.46 Conduct resulting in termination of PART 110—EXPORT AND IMPORT nuclear exports. OF NUCLEAR EQUIPMENT AND MATERIAL Subpart E—License Terms and Related Provisions Subpart A—General Provisions 110.50 Terms. 110.51 Amendment and renewal of licenses. Sec. 110.52 Revocation, suspension, and modi- 110.1 Purpose and scope. fication. 110.2 Definitions. 110.53 address, records, and 110.3 Interpretations. inspections. 110.4 Communications. 110.54 Reporting requirements. 110.5 Licensing requirements. 110.6 Retransfers. Subpart F—Violations and Enforcement 110.7 Information collection requirements: 110.60 Violations. OMB approval. 110.61 Notice of violation. 110.7a Completeness and accuracy of infor- 110.62 Order to show cause. mation. 110.63 Order for revocation, suspension, or 110.7b Deliberate misconduct. modification. 110.8 List of nuclear facilities and equip- 110.64 Civil penalty. ment under NRC export licensing author- 110.65 Settlement and compromise. ity. 110.66 Enforcement hearing. 110.9 List of Nuclear Material under NRC 110.67 Criminal penalties. export licensing authority. Subpart G—Public Notification and 110.9a List of nuclear equipment and mate- Availability of Documents and Records rial under NRC import licensing author- ity. 110.70 Public notice of receipt of an applica- tion. Subpart B—Exemptions 110.71 Notice of withdrawal of an applica- tion. 110.10 General. 110.72 Public availability of documents. 110.11 Export of IAEA safeguards samples. 110.73 Availability of NRC records.

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Subpart H—Public Participation Procedures APPENDIX C TO PART 110—ILLUSTRATIVE LIST Concerning License Applications OF GASEOUS ENRICHMENT PLANT ASSEMBLIES AND COMPONENTS 110.80 Basis for hearings. UNDER NRC EXPORT LICENSING AUTHOR- 110.81 Written comments. ITY 110.82 Hearing request or intervention peti- APPENDIX D TO PART 110—ILLUSTRATIVE LIST tion. OF AERODYNAMIC ENRICHMENT PLANT 110.83 Answers and replies. EQUIPMENT AND COMPONENTS UNDER NRC 110.84 Commission action on a hearing re- EXPORT LICENSING AUTHORITY quest or intervention petition. APPENDIX E TO PART 110—ILLUSTRATIVE LIST 110.85 Notice of hearing consisting of writ- OF CHEMICAL EXCHANGE OR EXCHANGE ten comments. ENRICHMENT PLANT EQUIPMENT AND COM- 110.86 Notice of oral hearing. PONENTS UNDER NRC EXPORT LICENSING 110.87 Conditions in a notice or order. AUTHORITY 110.88 Authority of the Secretary. APPENDIX F TO PART 110—ILLUSTRATIVE LIST 110.89 Filing and service. OF LASER-BASED ENRICHMENT PLANT 110.90 Computation of time. EQUIPMENT AND COMPONENTS UNDER NRC 110.91 Commission consultations. EXPORT LICENSING AUTHORITY Subpart I—Hearings APPENDIX G TO PART 110—ILLUSTRATIVE LIST OF PLASMA SEPARATION ENRICHMENT 110.100 Public hearings. PLANT EQUIPMENT AND COMPONENTS 110.101 Filing and service. UNDER NRC EXPORT LICENSING AUTHOR- 110.102 Hearing docket. ITY 110.103 Acceptance of hearing documents. APPENDIX H TO PART 110—ILLUSTRATIVE LIST 110.104 Presiding officer. OF ELECTROMAGNETIC ENRICHMENT PLANT 110.105 Responsibility and power of the pre- EQUIPMENT AND COMPONENTS UNDER NRC siding officer in an oral hearing. EXPORT LICENSING AUTHORITY 110.106 Participation in a hearing. APPENDIX I TO PART 110—ILLUSTRATIVE LIST 110.107 Presentation of testimony in an oral OF REPROCESSING PLANT COMPONENTS hearing. UNDER NRC EXPORT LICENSING AUTHOR- 110.108 Appearance in an oral hearing. ITY 110.109 Motions and requests. APPENDIX J TO PART 110—ILLUSTRATIVE LIST 110.110 Default. OF CONVERSION PLANT EQUIP- 110.111 Waiver of a rule or regulation. MENT AND CONVERSION PLANT 110.112 Reporter and transcript for an oral EQUIPMENT UNDER NRC EXPORT LICENS- hearing. ING AUTHORITY 110.113 Commission action. APPENDIX K TO PART 110—ILLUSTRATIVE LIST Subpart J—Special Procedures for OF EQUIPMENT AND COMPONENTS UNDER NRC EXPORT LICENSING AUTHORITY FOR Classified Information in Hearings USE IN A PLANT FOR THE PRODUCTION OF 110.120 Purpose and scope. , AND DEUTE- 110.121 Security clearances and access to RIUM COMPOUNDS classified information. APPENDIX L TO PART 110—ILLUSTRATIVE LIST 110.122 Classification assistance. OF BYPRODUCT MATERIALS UNDER NRC 110.123 Notice of intent to introduce classi- EXPORT/IMPORT LICENSING AUTHORITY fied information. APPENDIX M TO PART 110—CATEGORIZATION OF 110.124 Rearrangement or suspension of a NUCLEAR MATERIAL hearing. APPENDIX N TO PART 110—ILLUSTRATIVE LIST 110.125 Unclassified statements required. OF SEPARATION FACILI- 110.126 Protection of classified information. TIES, PLANTS AND EQUIPMENT UNDER NRC’S EXPORT LICENSING AUTHORITY Subpart K—Rulemaking APPENDIX O TO PART 110—ILLUSTRATIVE LIST OF ELEMENT FABRICATION PLANT 110.130 Initiation of rulemaking. EQUIPMENT AND COMPONENTS UNDER 110.131 Petition for rulemaking. NRC’S EXPORT LICENSING AUTHORITY 110.132 Commission action on a petition. APPENDIX P TO PART 110—CATEGORY 1 AND 2 110.133 Notice of proposed rulemaking. 110.134 Public participation. RADIOACTIVE MATERIAL 110.135 Notice of rulemaking. AUTHORITY: Atomic Energy Act of 1954, APPENDIX A TO PART 110—ILLUSTRATIVE LIST secs. 11, 51, 53, 54, 57, 62, 63, 64, 65, 81, 82, 103, OF EQUIPMENT UNDER 104, 109, 111, 121, 122, 123, 124, 126, 127, 128, 129, NRC EXPORT LICENSING AUTHORITY 133, 134, 161, 170H, 181, 182, 183, 184, 186, 187, APPENDIX B TO PART 110—ILLUSTRATIVE LIST 189, 223, 234 (42 U.S.C. 2014, 2071, 2073, 2074, OF GAS CENTRIFUGE ENRICHMENT PLANT 2077, 2092, 2093, 2094, 2095, 2111, 2112, 2133, 2134, COMPONENTS UNDER NRC’S EXPORT LI- 2139, 2141, 2151, 2152, 2153, 2154, 2155, 2156, 2157, CENSING AUTHORITY 2158, 2160c, 2160d, 2201, 2210h, 2231, 2232, 2233,

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2234, 2236, 2237, 2239, 2273, 2282); Energy Reor- as authorized by section 110 of the ganization Act of 1974, sec. 201 (42 U.S.C. International Security and Develop- 5841); Administrative Procedure Act (5 U.S.C. ment Cooperation Act of 1980. 552, 553); 42 U.S.C. 2139a, 2155a; 44 U.S.C. 3504 note. (2) Persons who export uranium de- Section 110.1(b) also issued under 22 U.S.C. pleted in the isotope-235 and incor- 2403; 22 U.S.C. 2778a; 50 App. U.S.C. 2401 et seq. porated in commodities solely to take Sections 110.1(b)(2) and 110.1(b)(3) also advantage of high or issued under 22 U.S.C. 2403. pyrophoric characteristics. These per- Section 110.11 also issued under Atomic En- sons are subject to the controls of the ergy Act secs. 54(c), 57(d), 122 (42 U.S.C. 2074, 2152). Department of Commerce under the Section 110.50(b)(3) also issued under - Export Administration Act, as contin- ic Energy Act sec. 123 (42 U.S.C. 2153). ued in force under Executive Order Section 110.51 also issued under Atomic En- 13222 (August 22, 2001), as extended; ergy Act sec. 184 (42 U.S.C. 2234). (3) Persons who export nuclear refer- Section 110.52 also issued under Atomic En- ral list commodities such as bulk zir- ergy Act sec. 186, (42 U.S.C. 2236). conium, rotor and bellows equipment, Sections 110.80–110.113 also issued under 5 U.S.C. 552, 554. maraging steel, nuclear reactor related Sections 110.130–110.135 also issued under 5 equipment, including process control U.S.C. 553. systems and simulators. These persons Sections 110.2 and 110.42(a)(9) also issued are subject to the licensing authority under Intelligence Authorization Act sec. 903 of the Department of Commerce pursu- (42 U.S.C. 2151 et seq.). ant to 15 CFR part 730 et seq.; SOURCE: 43 FR 21641, May 19, 1978, unless (4) Persons who import deuterium, otherwise noted. nuclear grade graphite, or nuclear equipment other than production or Subpart A—General Provisions utilization facilities. A uranium en- richment facility is not a production § 110.1 Purpose and scope. facility for the purposes of import; and (a) The regulations in this part pre- (5) Shipments which are only passing scribe licensing, enforcement, and rule- through the U.S. (in bond shipments) making procedures and criteria, under do not require an NRC import or export the Atomic Energy Act, for the export license; however, they must comply of nuclear equipment and material, as with the Department of Transpor- set out in §§ 110.8 and 110.9, and the im- tation/IAEA packaging, and State port of nuclear equipment and mate- transportation requirements. rial, as set out in § 110.9a. This part also gives notice to all persons who know- [49 FR 47197, Dec. 3, 1984; 49 FR 49841, Dec. 24, ingly provide to any licensee, appli- 1984, as amended at 55 FR 34519, Aug. 23, 1990; 56 FR 40692, Aug. 15, 1991; 58 FR 13001, Mar. 9, cant, contractor, or subcontractor, 1993; 61 FR 35602, July 8, 1996; 63 FR 1900, Jan. components, equipment, materials, or 13, 1998; 65 FR 70289, Nov. 22, 2000; 75 FR 44085, other goods or services, that relate to a July 28, 2010] licensee’s or applicant’s activities sub- ject to this part, that they may be in- § 110.2 Definitions. dividually subject to NRC enforcement As used in this part, action for violation of § 110.7b. (b) The regulations in this part apply Accelerator-produced radioactive mate- to all persons in the United States ex- rial means any material made radio- cept: active by a . (1) Persons who import or export U.S. Agreement for cooperation means any Munitions List nuclear items such as agreement with another nation or uranium depleted in the isotope-235 and group of nations concluded under sec- incorporated in defense articles. These tion 123 of the Atomic Energy Act. persons are subject to the regulations Atomic Energy Act means the Atomic promulgated pursuant to the Arms Ex- Energy Act of 1954, as amended (42 port Control Act and administered by U.S.C. 2011 et seq.). the Department of State, Directorate Bulk material means any quantity of of Defense Trade Controls, and the De- any one or more of the partment of Justice, Bureau of Alco- listed in Table 1 of Appendix P to this hol, Tobacco, Firearms and Explosives, part in a form that is:

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(1) Not a Category 1 radioactive Common defense and security means source; the common defense and security of (2) Not a Category 2 radioactive the United States. source; Conversion facility means any facility (3) Not plutonium-238; and for the transformation from one ura- (4) Deemed to pose a risk similar to nium chemical species to another, in- or greater than a Category 2 radio- cluding conversion of uranium con- active source. centrates to uranium trioxide (UO3), Byproduct material means conversion of UO3 to uranium dioxide (1) Any radioactive material (except (UO2), conversion of uranium oxides to ) yielded in, or uranium tetrafluoride (UF4) or ura- made radioactive by, exposure to the nium hexafluoride (UF6), conversion of incident to the process of UF4 to UF6, conversion of UF6 to UF4, producing or utilizing special nuclear conversion of UF4 to uranium , material; and conversion of uranium to (2) The tailings or wastes produced UO2. by the extraction or concentration of means uranium uranium or from ore (see 10 having a percentage of uranium-235 less CFR 20.1003); than the naturally occurring distribu- (3)(i) Any discrete source of - tion of uranium-235 found in natural 226 that is produced, extracted, or con- uranium (less than 0.711 weight percent verted after extraction, before, on, or uranium-235). It is obtained from spent after August 8, 2005, for use for a com- (used) fuel elements or as byproduct mercial, medical, or research activity; tails or residues from uranium isotope or separation. (ii) Any material that has been made Deuterium means deuterium and any radioactive by use of a particle accel- deuterium compound, including heavy erator and is produced, extracted, or water, in which the ratio of deuterium converted after extraction, before, on, to atoms exceeds or after August 8, 2005 for use for a 1:5000. commercial, medical, or research ac- Discrete source means a tivity; and that has been processed so that its con- (4) Any discrete source of naturally centration within a material has been occurring radioactive material, other purposely increased for use for com- than source material, that— mercial, medical, or research activi- (i) The Commission, in consultation ties. with the Administrator of the Environ- Disposal means permanent isolation mental Protection Agency, the Sec- of radioactive material from the sur- retary of Energy, the Secretary of rounding environment. Homeland Security, and the head of any other appropriate Federal agency, Dual-use means equipment and mate- determines would pose a threat similar rials that may be used in nuclear or to the threat posed by a discrete source non-nuclear applications. of radium-226 to the public health and Effective of special nuclear safety or the common defense and secu- material means: rity; and (1) For plutonium and uranium-233, (ii) Before, on, or after August 8, 2005 their weight in kilograms; is extracted or converted after extrac- (2) For uranium enriched 1 percent or tion for use in a commercial, medical, greater in the isotope uranium-235, its or research activity. element weight in kilograms multi- Classified Information means Classi- plied by the square of its enrichment fied National Security Information expressed as a decimal weight fraction; under Executive Order 13526, as amend- and ed, or any predecessor or successor Ex- (3) For uranium enriched below 1 per- ecutive Order and Restricted Data cent in the isotope uranium-235, its ele- under the Atomic Energy Act. ment weight in kilograms multiplied Commission means the United States by 0.0001. Nuclear Regulatory Commission or its Embargoed means that no nuclear ma- duly authorized representatives. terial or equipment can be exported to

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certain countries under an NRC gen- IAEA means the International Atom- eral license. Exports to embargoed ic Energy Agency. countries must be pursuant to a spe- Import means import into the United cific license issued by the NRC and re- States. quire Executive Branch review pursu- Individual shipment means a shipment ant to § 110.41. consisting of one lot of freight tendered Exceptional circumstances means, with to a carrier by one consignor at one respect to exports from the United place at one time for delivery to one States of radioactive material listed in consignee on one bill of lading. This lot Table 1 of Appendix P of this part: may consist of: (1) Cases of considerable health or (1) Only one item or medical need as acknowledged by the (2) A number of containers all listed U.S. Government and the government on the same set of shipping documents. of the importing country; This one lot of freight or ‘‘distinct’’ (2) Cases where there is an imminent shipment can be transported on the radiological hazard or security threat same carrier with other distinct ship- presented by one or more radioactive ments containing the same items as sources; and long as each shipment is covered by (3) Cases in which the exporting facil- separate sets of shipping documents. ity or U.S. Government maintains con- The phrase introduced into a hearing trol of the radioactive material means the introduction or incorpora- throughout the the material is tion of testimony or documentary mat- outside of the U.S. and removes the ter into the record of a hearing. material at the conclusion of this pe- License means a general or specific riod. export or import license issued pursu- Executive Branch means the Depart- ant to this part. ments of State, Energy, Defense and Licensee means a person authorized Commerce. by a specific or a general license to ex- Export means to physically transfer port or import nuclear equipment or nuclear equipment or material to a material pursuant to this part. person or an international organization Low- means uranium in a foreign country, except DOE dis- enriched below 20 percent in the iso- tributions as authorized in Section 111 tope uranium-235. of the Atomic Energy Act or Section Low-level waste compact, as used in 110 of the International Security and this part, means a compact entered Development Cooperation Act of 1980. into by two or more States pursuant to General license means an export or the Low-Level Pol- import license effective without the fil- icy Amendments Act of 1985. ing of a specific application with the Management means storage, pack- Commission or the issuance of licens- aging, or treatment of radioactive ing documents to a particular person. waste. A general license is a type of license Medical isotope, for the purposes of issued through rulemaking by the NRC § 110.42(a)(9), includes molybdenum-99, and is not an exemption from the re- iodine-131, xenon-133, and other radio- quirements in this part. A general li- active materials used to produce a cense does not relieve a person from radiopharmaceutical for diagnostic, complying with other applicable NRC, therapeutic procedures or for research Federal, and State requirements. and development. Heels means small quantities of nat- Natural uranium means uranium as ural, depleted or low-enriched uranium found in nature, containing about 0.711 (to a maximum of 20 percent), in the percent of uranium-235, 99.283 percent form of uranium hexafluoride (UF6) of uranium-238, and a trace (0.006 per- left in emptied transport cylinders cent) of uranium-234. being returned to suppliers after deliv- NPT means the Treaty on the Non- ery of the product. Proliferation of Nuclear Weapons High-enriched uranium means ura- (TIAS 6839). nium enriched to 20 percent or greater Non- State means any in the isotope uranium-235. State not a nuclear weapon State as

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defined in the Treaty on the Non-Pro- Nuclear grade graphite for nuclear end liferation of Nuclear Weapons. Nuclear use means graphite having a purity weapon state means any State which level better than (i.e., less than) 5 parts has manufactured and exploded a nu- per million equivalent, as meas- clear weapon or other nuclear explosive ured according to ASTM standard device prior to January 1, 1967 (, C1233–98 and intended for use in a nu- , Russia, , clear reactor. (Nuclear grade graphite United States). for non-nuclear end use is regulated by Non-Proliferation Act means the Nu- the Department of Commerce.) clear Non-Proliferation Act of 1978 Nuclear reactor means an apparatus, (Pub. L. 95–242). other than an atomic weapon or nu- NRC Public Document Room means the clear explosive device, designed or used facility at One White Flint North, 11555 to sustain in a self-sup- Rockville Pike (first floor), Rockville, porting chain reaction. Maryland, where certain public records Nuclear reactor internals means the of the NRC that were made available major structures within a reactor ves- for public inspection in paper or micro- sel that have one or more functions fiche prior to the implementation of such as supporting the core, maintain- the NRC Agencywide Documents Ac- ing fuel alignment, directing primary cess and Management System, com- coolant flow, providing radiation monly referred to as ADAMS, will re- shields for the reactor vessel, and guid- main available for public inspection. It ing in-core instrumentation. is also the place where NRC makes Nuclear Referral List (NRL) means the computer terminals available to access nuclear-related, dual-use commodities the Publicly Available Records System on the Commerce Control List that are (PARS) component of ADAMS on the subject to the nuclear non-prolifera- NRC Web site, http://www.nrc.gov, and tion export licensing controls of the where copies can be viewed or ordered Department of Commerce. They are for a fee as set forth in § 9.35 of this contained in 15 CFR part 774 of the De- chapter. The facility is staffed with partment of Commerce’s Export Ad- reference librarians to assist the public ministration Regulations and are des- in identifying and locating documents ignated by the symbol (NP) as the rea- and in using the NRC Website and son for control. ADAMS. The NRC Public Document Nuclear Suppliers Group (NSG) is a Room is open from 7:45 a.m. to 4:15 group of nuclear supplier countries p.m., Monday through Friday, except which seeks to contribute to the non- on Federal holidays. Reference service proliferation of nuclear weapons and access to documents may also be through the implementation of Guide- requested by telephone (301–415–4737 or lines for nuclear exports and nuclear- 800–397–4209) between 8:00 a.m. and 4:00 related exports. p.m., or by e-mail Obligations means the commitments ([email protected]), facsimile (301– undertaken by the U.S. Government or 415–3548), or letter (NRC Public Docu- by foreign governments or groups of ment Room, One White Flint North, nations with respect to imports or ex- 11555 Rockville Pike (first floor), Rock- ports of nuclear material (except by- ville, Maryland 20852–2738). product material) and equipment listed NRC records means any documentary in §§ 110.8 and 110.9. Imports and exports material made by, in the possession of, of material or equipment subject to or under the control of the Commission these commitments involve conditions under Federal law or in connection placed on the transfer of the material with the transaction of public business or equipment, such as peaceful end-use as evidence of any of the Commission’s assurances, prior consent for re- activities. transfer, and exchanges of information NRC Web site, http://www.nrc.gov, is on the import or export. The U.S. Gov- the Internet uniform resource locator ernment informs the licensee of obliga- name for the Internet address of the tions attached to material or equip- Web site where NRC will ordinarily ment being imported into the United make available its public records for States and approves changes to those inspection. obligations.

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Packaging means one or more recep- used to produce special nuclear mate- tacles and wrappers and their contents, rial through the irradiation of source excluding any special nuclear material, material or special nuclear material, source material or byproduct material, the chemical reprocessing of irradiated but including absorbent material, spac- source or special nuclear material, or ing structures, thermal insulation, ra- the separation of , other than a diation shielding, devices for cooling uranium enrichment facility for pur- and for absorbing mechanical shock, poses of import. external fittings, moderators, Public health and safety means the nonfissile neutron absorbers and other public health and safety of the United supplementary equipment. States. Participant means a person, identified Radioactive material means source, by- in a hearing notice or other Commis- product, or special nuclear material. sion order, who takes part in a hearing conducted by the Commission under Radioactive waste, for the purposes of this part, including any person to this part, means any material that whom the Commission grants a hearing contains or is contaminated with or leave to intervene in an export or source, byproduct, or special nuclear import licensing hearing, either as a material that by its possession would matter of right or as a matter of dis- require a specific radioactive material cretion. license in accordance with this Chapter Particle accelerator means any ma- and is imported or exported for the chine capable of accelerating , purposes of disposal in a land disposal , deuterons, or other charged facility as defined in 10 CFR part 61, a particles in a vacuum and of dis- disposal area as defined in Appendix A charging the resultant particulate or to 10 CFR part 40, or an equivalent fa- other radiation into a medium at ener- cility; or recycling, waste treatment or gies usually in excess of 1 other waste management process that megaelectron volt. For purposes of this generates radioactive material for dis- definition, ‘‘accelerator’’ is an equiva- posal in a land disposal facility as de- lent term. fined in 10 CFR part 61, a disposal area Person means any individual, cor- as defined in Appendix A to 10 CFR poration, partnership, firm, associa- part 40, or an equivalent facility. Ra- tion, trust, estate, public or private in- dioactive waste does not include radio- stitution, group, Government agency, active material that is— other than the Commission or the De- (1) Of U.S. origin and contained in a partment of Energy, except that the sealed source, or device containing a Department of Energy shall be consid- sealed source, that is being returned to ered a person within the meaning of a manufacturer, distributor or other the regulations in this part to the ex- entity which is authorized to receive tent that its activities are subject to and possess the sealed source or the de- the licensing and related regulatory vice containing a sealed source; authority of the Commission pursuant to section 111 of the Atomic Energy (2) A contaminant on any non-radio- Act; any State or political subdivision active material (including service tools of, or any political entity within a and protective clothing) used in a nu- State, any foreign government or na- clear facility (an NRC- or Agreement tion or any political subdivision of any State-licensed facility (or equivalent such government or nation, or other facility) or activity authorized to pos- entity; and any legal successor, rep- sess or use radioactive material), if the resentative, agent, or agency of the material is being shipped solely for re- foregoing. covery and beneficial reuse of the non- Physical security or Physical protection radioactive material in a nuclear facil- means measures to reasonably ensure ity and not for waste management pur- that source or special nuclear material poses or disposal; will only be used for authorized pur- (3) Exempted from regulation by the poses and to prevent theft or sabotage. Nuclear Regulatory Commission or Production facility means any nuclear equivalent Agreement State regula- reactor or plant specially designed or tions;

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(4) Generated or used in a U.S. Gov- (1) Natural or depleted uranium, or ernment waste research and develop- thorium, other than special nuclear ment testing program under inter- material; or national arrangements; (2) that contain by weight 0.05 (5) Being returned by or for the U.S. percent or more of uranium, thorium Government or military to a facility or depleted uranium. that is authorized to possess the mate- Special nuclear material means pluto- rial; or nium, uranium-233 or uranium enriched (6) Imported solely for the purposes above 0.711 percent by weight in the of recycling and not for waste manage- isotope uranium-235. ment or disposal where there is a mar- means the radioac- ket for the recycled material and evi- tivity of a radionuclide per unit mass dence of a contract or business agree- of that nuclide, expressed in the SI ment can be produced upon request by unit of terabecquerels per gram (TBq/ the NRC. g). Values of specific activity are found NOTE: The definition of radioactive waste in in Appendix A to part 71 of this chap- this part does not include spent or irradiated ter. fuel. Specific license means an export or import license document issued to a Radiopharmaceutical, for the purposes named person and authorizing the ex- of § 110.42(a)(9), means a radioactive port or import of specified nuclear isotope that contains byproduct mate- equipment or materials based upon the rial combined with chemical or biologi- review and approval of an NRC Form 7 cal material and is designed to accu- application filed pursuant to this part mulate temporarily in a part of the and other related submittals in support body for therapeutic purposes or for en- of the application. abling the production of a useful image for use in a diagnosis of a medical con- Storage means the temporary holding dition. of radioactive material. Recipient country, for the purposes of Target means material subjected to § 110.42(a)(9), means , Belgium, irradiation in an accelerator or nuclear France, Germany, and the Netherlands. reactor to induce a reaction or produce Restricted destinations means coun- nuclear material. tries that are listed in § 110.29 based on Transfer means the transfer of posses- recommendations from the Executive sion from one person to another per- Branch. These countries may receive son. exports of certain materials and quan- Transport means the physical move- tities under a general license, but some ment of material from one location to exports to restricted destinations will another. require issuance of a specific license by Treatment means any method, tech- the NRC including Executive Branch nique, or process, including storage for review pursuant to § 110.41. , designed to change Retransfer means the transport from the physical, chemical or biological one foreign country to another of nu- characteristics or composition of any clear equipment or nuclear material radioactive material. previously exported from the United means not only tritium but States, or of special nuclear material also includes compounds and mixtures produced through the use of source ma- containing tritium in which the ratio terial or special nuclear material pre- of tritium to hydrogen by atoms ex- viously exported from the United ceeds one part in 1,000. States. United States, when used in a geo- Sealed source means any special nu- graphical sense, includes Puerto Rico clear material or byproduct material and all territories and possessions of encased in a capsule designed to pre- the United States. vent leakage or escape of that nuclear Uranium enrichment facility means: material. (1) Any facility used for separating Secretary means the Secretary of the the or enriching Commission. uranium in the isotope 235, except lab- Source material means: oratory scale facilities designed or

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used for experimental or analytical and archive the submission, and proc- purposes only; or ess and retrieve it a single page at a (2) Any equipment or device, or im- time. Detailed guidance on making portant component part especially de- electronic submissions can be obtained signed for such equipment or device, by visiting the NRC’s Web site at http:// capable of separating the isotopes of www.nrc.gov/site-help/e-submittals.html; uranium or enriching uranium in the by e-mail to [email protected]; isotope 235. or by writing the Office of the Chief In- Utilization facility means: formation Officer, U.S. Nuclear Regu- (1) Any nuclear reactor, other than latory Commission, Washington, DC one that is a production facility and (2) Any of the following major com- 20555–0001. The guidance discusses, ponents of a nuclear reactor: among other topics, the formats the (i) Reactor pressure vessel (designed NRC can accept, the use of electronic to contain the core of a nuclear reac- signatures, and the treatment of non- tor); public information. (ii) Reactor primary coolant pump or [68 FR 58824, Oct. 10, 2003, as amended at 74 circulator; FR 62686, Dec. 1, 2009; 80 FR 74982, Dec. 1, (iii) ‘‘On-line’’ reactor fuel charging 2015; 83 FR 58466, Nov. 20, 2018] and discharging machine; and (iv) Complete reactor sys- § 110.5 Licensing requirements. tem. (3) A utilization facility does not in- Except as provided under subpart B clude the steam turbine generator por- of this part, no person may export any tion of a . nuclear equipment or material listed in § 110.8 and § 110.9, or import any nuclear [43 FR 21691, May 19, 1978] equipment or material listed in § 110.9a, EDITORIAL NOTE: For FEDERAL REGISTER ci- unless authorized by a general or spe- tations affecting § 110.2, see the List of CFR cific license issued under this part. Sections Affected, which appears in the Finding Aids section of the printed volume [56 FR 24684, May 31, 1991, as amended at 58 and at www.govinfo.gov. FR 13002, Mar. 9, 1993]

§ 110.3 Interpretations. § 110.6 Retransfers. Except as authorized by the Commis- (a) Retransfer of any nuclear equip- sion in writing, no interpretation of ment or material listed in §§ 110.8 and the meaning of the regulations in this 110.9 (except byproduct material), in- part other than a written interpreta- cluding special nuclear material pro- tion by the Commission’s General Counsel is binding upon the Commis- duced through the use of equipment, sion. source material, or special nuclear ma- terial bearing obligations to the United § 110.4 Communications. States pursuant to an agreement for Except where otherwise specified in cooperation, requires authorization by this part, all communications and re- the Department of Energy, unless the ports concerning the regulations in export to the new destination is au- this part should be addressed to the thorized by the NRC under a specific or Deputy Director of the NRC’s Office of general license or an exemption from International Programs, either by tele- licensing requirements. See definition phone to 301-287-9057; by mail to the of ‘‘obligations’’ in § 110.2. U.S. Nuclear Regulatory Commission, (b) Requests for authority to re- Washington, DC 20555–0001; by hand de- transfer are processed by the Depart- livery to the NRC’s offices at 11555 ment of Energy, National Nuclear Se- Rockville Pike, Rockville, Maryland; curity Administration, Office of Non- or, where practicable, by electronic proliferation and Arms Control, Wash- submission, for example, via Electronic ington, DC 20585. Information Exchange, or CD-ROM. Electronic submissions must be made [75 FR 44087, July 28, 2010, as amended at 83 in a manner that enables the NRC to FR 58466, Nov. 20, 2018] receive, read, authenticate, distribute,

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§ 110.7 Information collection require- fense and security. Notification shall ments: OMB approval. be provided to the Administrator of the (a) The Nuclear Regulatory Commis- appropriate Regional Office within two sion has submitted the information working days of identifying the infor- collection requirements contained in mation. This requirement is not appli- this part to the Office of Management cable to information which is already and Budget (OMB) for approval as re- required to be provided to the Commis- quired by the Paperwork Reduction sion by other reporting or updating re- Act (44 U.S.C. 3501 et seq.). The NRC quirements. may not conduct or sponsor, and a per- son is not required to respond to, a col- [52 FR 49374, Dec. 31, 1987, as amended at 75 lection of information unless it dis- FR 44087, July 28, 2010] plays a currently valid OMB control number. OMB has approved the infor- § 110.7b Deliberate misconduct. mation collection requirements con- (a) Any licensee, applicant for a li- tained in this part under control num- cense, employee of a licensee or appli- bers 3150–0036. cant; or any contractor (including a (b) The approved information re- supplier or consultant), subcontractor, quirements contained in this part ap- employee of a contractor or subcon- pear in §§ 110.7a, 110.10, 110.27, 110.32, tractor of any licensee or applicant for 110.50, 110.52, 110.53, and 110.54. a license, who knowingly provides to (c) This part contains information any licensee, applicant, contractor, or collection requirements in addition to subcontractor, any components, equip- those approved under the control num- ment, materials, or other goods or ber specified in paragraph (a) of this services that relate to a licensee’s or section. The information collection re- applicant’s activities in this part, may quirements contained in §§ 110.19, 110.20, 110.21, 110.22, 110.23, 110.31, 110.32, and not: 110.51, and NRC Form 7 are approved (1) Engage in deliberate misconduct under control number 3150–0027. that causes or would have caused, if not detected, a licensee or applicant to [62 FR 52190, Oct. 6, 1997, as amended at 65 FR be in violation of any rule, regulation, 70290, Nov. 22, 2000; 67 FR 67101, Nov. 4, 2002; 71 FR 19104, Apr. 13, 2006; 75 FR 44087, July 28, or order; or any term, condition, or 2010; 76 FR 72087, Nov. 22, 2011; 85 FR 65664, limitation of any license issued by the Oct. 16, 2020] Commission; or (2) Deliberately submit to the NRC, a § 110.7a Completeness and accuracy of licensee, an applicant, or a licensee’s information. or applicant’s contractor or subcon- (a) Information provided to the Com- tractor, information that the person mission by an applicant for a license or submitting the information knows to by a licensee or information required be incomplete or inaccurate in some by statute or by the Commission’s reg- respect material to the NRC. ulations, orders, or license conditions (b) A person who violates paragraph to be maintained by the applicant or (a)(1) or (a)(2) of this section may be the licensee shall be complete and ac- subject to enforcement action in ac- curate in all material respects. (b) Each licensee or applicant for a li- cordance with the procedures in 10 CFR cense shall notify the Commission of part 2, subpart B. information identified by the applicant (c) For the purposes of paragraph or licensee as having, for the regulated (a)(1) of this section, deliberate mis- activity, a significant implication for conduct by a person means an inten- public health and safety or common de- tional act or omission that the person fense and security. An applicant or li- knows: censee violates this paragraph if the (1) Would cause a licensee or appli- applicant or licensee fails to notify the cant to be in violation of any rule, reg- Commission of information that the ulation, or order; or any term, condi- applicant or licensee has identified as tion, or limitation, of any license having a significant implication for issued by the Commission; or public health and safety or common de-

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(2) Constitutes a violation of a re- (g) Plants for the production, separa- quirement, procedure, instruction, con- tion, or purification of heavy water, tract, purchase order, or policy of a li- deuterium, and deuterium compounds censee, applicant, contractor, or sub- and especially designed or prepared as- contractor. semblies and components for these plants. (See Appendix K to this part.) [63 FR 1900, Jan. 13, 1998] (h) Plants for the production of spe- cial nuclear material using accel- § 110.8 List of nuclear facilities and equipment under NRC export li- erator-driven subcritical assembly sys- censing authority. tems capable of continuous operation above 5 MWe thermal. (a) Nuclear reactors and especially (i) Other nuclear-related commod- designed or prepared equipment and ities are under the export licensing au- components for nuclear reactors. (See thority of the Department of Com- Appendix A to this part.) merce. (b) Plants for the separation of iso- topes of uranium (source material or [61 FR 35602, July 8, 1996, as amended at 65 special nuclear material) including gas FR 70290, Nov. 22, 2000] centrifuge plants, gaseous diffusion § 110.9 List of Nuclear Material under plants, aerodynamic enrichment NRC export licensing authority. plants, chemical exchange or ion ex- change enrichment plants, laser based (a) Special Nuclear Material. enrichment plants, plasma separation (b) Source Material. enrichment plants, electromagnetic en- (c) Byproduct Material. (d) Deuterium. richment plants, and especially de- (e) Nuclear grade graphite for nuclear signed or prepared equipment, other end use. than analytical instruments, for the separation of isotopes of uranium. (See [55 FR 30450, July 26, 1990, as amended at 70 appendices to this part for lists of: gas FR 41939, July 21, 2005] centrifuge equipment—Appendix B; gaseous diffusion equipment—Appendix § 110.9a List of nuclear equipment and C; aerodynamic enrichment equip- material under NRC import licens- ing authority. ment—Appendix D; chemical exchange or enrichment equip- (a) Production and utilization facili- ment—Appendix E; laser based enrich- ties. ment equipment—Appendix F; plasma (b) Special nuclear material. separation enrichment equipment—Ap- (c) Source material. pendix G; and electromagnetic enrich- (d) Byproduct material. ment equipment—Appendix H.) [49 FR 47198, Dec. 3, 1984. Redesignated at 55 (c) Plants for the separation of the FR 30450, July 26, 1990, and amended at 57 FR and especially de- 18393, Apr. 30, 1992; 58 FR 13003, Mar. 9, 1993] signed or prepared assemblies and com- ponents for these plants. (See Appendix Subpart B—Exemptions N to this part.) (d) Plants for the reprocessing of ir- § 110.10 General. radiated nuclear reactor fuel elements (a) In response to a request or on its and especially designed or prepared as- own initiative, the Commission may semblies and components for these grant an exemption from the regula- plants. (See Appendix I to this part.) tions in this part, if it determines that (e) Plants for the fabrication of nu- the exemption: clear reactor fuel elements and espe- (1) Is authorized by law; cially designed or prepared assemblies (2) Is not inimical to the common de- and components for these plants. (See fense and security; and Appendix O to this part.) (3) Does not constitute an unreason- (f) Plants for the conversion of ura- able risk to the public health and safe- nium and plutonium and especially de- ty. signed or prepared assemblies and com- (b) An exemption from statutory li- ponents for these plants. (See Appendix censing requirements, as authorized by J to this part.) sections 57d, 62, and 81 of the Atomic

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Energy Act, will be granted only after tion with the Commission or the coordination with the Executive issuance of licensing documents to a Branch. particular person. A specific license is (c) The granting of an exemption issued to a named person and is effec- does not relieve any person from com- tive upon approval by the Commission plying with the regulations of other of an application filed pursuant to the U.S. Federal and/or State government regulations in this part and issuance of agencies applicable to exports or im- licensing documents to the applicant. ports under their authority. [75 FR 44087, July 28, 2010] [49 FR 47198, Dec. 3, 1984, as amended at 58 FR 13003, Mar. 9, 1993; 65 FR 70290, Nov. 22, § 110.20 General license information. 2000; 75 FR 44087, July 28, 2010] (a) A person may use an NRC general license as authority to export or im- § 110.11 Export of IAEA safeguards port nuclear equipment or material, if samples. the nuclear equipment or material to (a) A person is exempt from the re- be exported or imported is covered by quirements for a license to export spe- the NRC general licenses described in cial nuclear, source, and byproduct ma- §§ 110.21 through 110.27. If an export or terial set forth in sections 53, 54d, 64, 81 import is not covered by the NRC gen- and 82 of the Atomic Energy Act and eral licenses described in §§ 110.21 from the regulations in this part to the through 110.27, a person must file an extent that the person exports special application with the Commission for a nuclear, source, or byproduct material specific license in accordance with in IAEA safeguards samples. The sam- §§ 110.31 through 110.32. ples must be exported in accordance (b) In response to a petition or on its with § 75.8 of this chapter, or a com- own initiative, the Commission may parable U.S. Department of Energy issue a general license for export or im- order, and: port if it determines that any exports (1) For special nuclear material, be in or imports made under the general li- quantities not exceeding a combined cense will not be inimical to the com- total of 100 grams of contained pluto- mon defense and security or constitute nium, uranium-233, and uranium-235 an unreasonable risk to the public per facility per year; health and safety and otherwise meet (2) For source material, be in quan- applicable statutory requirements. A tities not exceeding 5 kilograms per fa- general license is issued as a regulation cility per year; and after a rulemaking proceeding under (3) For byproduct material, be in subpart K of this part. Issuance of a quantities not exceeding the values in general license is coordinated with the § 30.71 of this chapter per shipment. Executive Branch. (b) This exemption does not relieve (c) A general license does not relieve any person from complying with parts a person from complying with the regu- 71 or 73 of this chapter or any Commis- lations of other Government agencies sion order under section 201(a) of the applicable to exports or imports under Energy Reorganization Act of 1974 (42 their authority. U.S.C. 5841(a)). (d) A general license for export may not be used if the exporter knows, or [77 FR 27114, May 9, 2012] has reason to believe, that the material will be used in any illegal activity or Subpart C—Licenses any activity related to isotope separa- tion, chemical reprocessing, heavy SOURCE: 49 FR 47198, Dec. 3, 1984, unless water production or the fabrication of otherwise noted. containing plutonium, un- less these activities are generically au- § 110.19 Types of licenses. thorized under an appropriate agree- Licenses for the export and import of ment for cooperation. nuclear equipment and material in this (e) A person who uses an NRC general part consist of general licenses and spe- license as the authority to export or cific licenses. A general license is effec- import may cite on the shipping docu- tive without the filing of an applica- ments the section of this part which

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authorizes the described export or im- 235, or 10 kilograms of 1 percent en- port under general license, as a means riched uranium), not to exceed 0.1 ef- of expediting U.S. Customs Service’s fective per calendar year to processing of the shipment. any one country. (f) As specified in §§ 110.21 through (2) Special nuclear material in fuel 110.26, 110.28, 110.29, and 110.30 only cer- elements as replacements for damaged tain countries are eligible recipients of or defective unirradiated fuel elements equipment or material under NRC gen- previously exported under a specific li- eral licenses to export. The Commis- cense, subject to the same terms as the sion will closely monitor these coun- original export license and the condi- tries and may at any time remove a tion that the replaced fuel elements country from a general license in re- must be returned to the United States sponse to significant adverse develop- within a reasonable time period. ments in the country involved. A key (3) Uranium, enriched to less than 20 factor in this regard is the non- percent in uranium–235, in the form of proliferation credentials of the import- uranium hexafluoride (UF6) heels in ing country. cylinders being returned to suppliers in EURATOM or the United Kingdom. [49 FR 47198, Dec. 3, 1984, as amended at 58 FR 13003, Mar. 9, 1993; 59 FR 48997, Sept. 26, (c) Except as provided in paragraph 1994; 60 FR 37563, July 21, 1995; 75 FR 44087, (d) of this section, a general license is July 28, 2010] issued to any person to export pluto- nium-236 or plutonium-238 to any coun- § 110.21 General license for the export try listed in § 110.30 in individual ship- of special nuclear material. ments of 1 gram or less, not to exceed (a) Except as provided in paragraph 100 grams per calendar year to any one (d) of this section, a general license is country. issued to any person to export the fol- (d) The general licenses in para- lowing to any country not listed in graphs (a), (b), and (c) of this section do § 110.28: not authorize the export of special nu- (1) Low-enriched uranium as residual clear material in radioactive waste. contamination (17.5 parts per million [49 FR 47198, Dec. 3, 1984, as amended at 58 or less) in any item or substance. FR 13003, Mar. 9, 1993; 59 FR 48997, Sept. 26, (2) Plutonium containing 80 percent 1994; 60 FR 37563, July 21, 1995; 65 FR 70290, or more by weight of plutonium-238 in Nov. 22, 2000; 70 FR 46066, Aug. 9, 2005; 75 FR cardiac pacemakers. 44087, July 28, 2010; 85 FR 86795, Dec. 31, 2020] (3) Special nuclear material, other than plutonium-236 and plutonium-238, § 110.22 General license for the export in sensing components in instruments, of source material. if no more than 3 grams of enriched (a) Except as provided in paragraph uranium or 0.1 gram of plutonium or (e) of this section, a general license is uranium-233 are contained in each issued to any person to export the fol- sensing component. lowing to any country not listed in (4) Plutonium–236 and plutonium–238 § 110.28: when contained in a device, or a source (1) Uranium or thorium, other than for use in a device, in quantities of less uranium–230, uranium–232, thorium– than 3.7 × 10¥3 TBq (100 millicuries) of 227, and thorium–228, in any substance alpha activity (189 micrograms pluto- in concentrations of less than 0.05 per- nium–236, 5.88 milligrams plutonium– cent by weight. 238) per device or source. (2) Thorium, other than thorium–227 (b) Except as provided in paragraph and thorium–228, in incandescent gas (d) of this section, a general license is mantles or in alloys in concentrations issued to any person to export the fol- of 5 percent or less. lowing to any country not listed in (3) Thorium–227, thorium–228, ura- § 110.28 or § 110.29: nium–230, and uranium–232 when con- (1) Special nuclear material, other tained in a device, or a source for use than plutonium-236 and plutonium-238, in a device, in quantities of less than in individual shipments of 0.001 effec- 3.7 × 10¥3 TBq (100 millicuries) of alpha tive kilogram or less (e.g., 1.0 gram of activity (3.12 micrograms thorium-227, plutonium, uranium–233 or uranium– 122 micrograms thorium-228, 3.7

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micrograms uranium–230, 4.7 milli- –242m grams uranium-232) per device or –249 source. Californium–251 –245 (b) Except as provided in paragraph Curium–247 (e) of this section, a general license is issued to any person to export uranium (3) For byproduct materials listed in or thorium, other than uranium-230, Table 1 of Appendix P to this part, in- uranium-232, thorium-227, or thorium- dividual shipments under a general li- 228, in individual shipments of 10 kilo- cense for export must be less than the grams or less to any country not listed terabecquerel (TBq) values specified in in § 110.28 or § 110.29, not to exceed 1,000 Category 2 of Table 1 unless a more re- kilograms per calendar year to any one strictive requirement applies. country or 500 kilograms per calendar (4) The general license authorizes ex- year to any one country when the ura- ports of the following radionuclides nium or thorium is Canadian-obli- when contained in a device, or a source gated. for use in a device, in quantities less × ¥3 (c) Except as provided in paragraph than 3.7 10 TBq (100 millicuries) of (e) of this section, a general license is alpha activity per device or source, un- issued to any person to export uranium less the export is to a country listed in or thorium, other than uranium–230, § 110.30: uranium–232, thorium–227, or thorium– –225 228, in individual shipments of 1 kilo- Actinium–227 gram or less to any country listed in Californium–248 § 110.29, not to exceed 100 kilograms per Californium–250 calendar year to any one country. Californium–252 Californium–253 (d) Except as provided in paragraph Californium–254 (e) of this section, a general license is Curium–240 issued to any person to export ura- Curium–241 nium–230, uranium–232, thorium–227, or Curium–242 thorium–228 in individual shipments of Curium–243 10 kilograms or less to any country Curium–244 listed in § 110.30, not to exceed 1,000 –252 Einsteinium–253 kilograms per calendar year to any one Einsteinium–254 country or 500 kilograms per calendar Einsteinium–255 year to any one country when the ura- –257 nium or thorium is Canadian-obli- –148 gated. –258 (e) Paragraphs (a), (b), (c), and (d) of –235 this section do not authorize the ex- –208 Polonium–209 port under general license of source Polonium–210 material in radioactive waste. Radium–223 [75 FR 44088, July 28, 2010, as amended at 77 (5)(i) For americium–241, exports FR 27114, May 9, 2012] under the general license to a country listed in § 110.29 must not exceed 3.7 × § 110.23 General license for the export 10¥2 TBq (one ) per shipment. of byproduct material. (ii) For americium–241, exports under (a) A general license is issued to any the general license to a country listed person to export byproduct material in § 110.29 that exceed 3.7 × 10¥2 TBq (see Appendix L to this part) to any (one curie) per shipment, must be con- country not listed in § 110.28 and sub- tained in industrial process control ject to the following limitations: equipment or petroleum exploration (1) The general license in this section equipment in quantities not exceeding does not authorize the export of by- 0.60 TBq (16 curies) per device and not product material in the form of radio- exceeding 7.4 TBq/calendar year (200 cu- active waste. ries/calendar year) to any one country. (2) The general license in this section (iii) All exports of americium are does not authorize the export of the subject to the reporting requirements following radionuclides: listed in § 110.54(b).

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(6) For neptunium–235 and –237, ex- (b) A general license is issued to any ports under the general license must person to export to any country listed not exceed one gram for individual in § 110.29 deuterium in individual ship- shipment and must not exceed a cumu- ments of 1 kilogram or less (5 kilo- lative total of 10 grams per calendar grams of heavy water). No person may year to any one country. All exports of export more than 5 kilograms (25 kilo- neptunium are subject to the reporting grams of heavy water) per calendar requirements listed in § 110.54(b). year to any one country listed in (7) For polonium–210, exports under § 110.29. the general license, when contained in static eliminators, must not exceed 3.7 [75 FR 44088, July 28, 2010] TBq (100 curies) per individual ship- ment. § 110.25 [Reserved] (8)(i) For tritium in any dispersed form (e.g., luminescent light sources § 110.26 General license for the export and paint, accelerator targets, calibra- of nuclear reactor components. tion standards, labeled compounds), ex- (a) A general license is issued to any ports under the general license must person to export to a destination listed not exceed 0.37 TBq (10 curies (1.03 mil- in paragraph (b) of this section any nu- ligrams)) per item, not to exceed 37 clear reactor component of U.S. origin TBq (1,000 curies (103 milligrams)) per described in paragraphs (5) through (11) shipment, or 370 TBq (10,000 curies (1.03 of appendix A to this part if— grams)) per calendar year to any one (1) The component will be used in a country. light or heavy water-moderated power (ii) For tritium in any dispersed form or research reactor; or (e.g., luminescent light sources and (2) The component is in semi- paint, accelerator targets, calibration fabricated form and will be undergoing standards, labeled compounds), exports under the general license to the coun- final fabrication or repair in those tries listed in § 110.30 must not exceed countries for either subsequent return the quantity of 1.48 TBq (40 curies (4.12 to the United States for use in a nu- milligrams)) per item, not to exceed 37 clear power or research reactor in the TBq (1,000 curies (103 milligrams)) per United States or in one of the destina- shipment or 370 TBq (10,000 curies (1.03 tions listed in paragraph (b) of this sec- grams)) per calendar year to any one tion. country. (b) The export of nuclear reactor (iii) For tritium in luminescent safe- components under the general license ty devices installed in an aircraft, ex- established in paragraph (a) of this sec- ports under the general license must tion is approved to the following des- not exceed 1.48 TBq (40 curies (4.12 mil- tinations: ligrams)) per light source. (iv) The general license in this sec- Austria Lithuania Belgium Luxembourg tion does not authorize the export of Bulgaria Malta tritium for recovery or recycle pur- Canada Netherlands poses. Cyprus New Zealand (b) [Reserved] Czech Republic Philippines Denmark [75 FR 44088, July 28, 2010, as amended at 82 Estonia FR 52826, Nov. 15, 2017] Portugal Finland Republic of Korea France § 110.24 General license for the export Germany of deuterium. Greece Slovak Republic (a) A general license is issued to any Hungary Slovenia person to export to any country not Indonesia Spain listed in § 110.28 or § 110.29 deuterium in Ireland individual shipments of 10 kilograms or Italy Switzerland less (50 kilograms of heavy water). No Japan Latvia United Kingdom person may export more than 200 kilo- grams (1,000 kilograms of heavy water) (c) This general license does not au- per calendar year to any one country. thorize the export of components, in

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final or semi-fabricated form, for re- provide the notifications required by search reactors capable of continuous § 110.50. operation above 5 MW thermal. [51 FR 47208, Dec. 31, 1986, as amended at 56 (d) This general license does not au- FR 38336, Aug. 13, 1991; 58 FR 13003, Mar. 9, thorize the export of essentially com- 1993; 60 FR 37564, July 21, 1995; 61 FR 35602, plete reactors through piecemeal ex- July 8, 1996; 65 FR 70291, Nov. 22, 2000; 68 FR ports of facility components. When in- 31589, May 28, 2003; 70 FR 37991, July 1, 2005; dividual exports of components would 75 FR 44089, July 28, 2010; 77 FR 27114, May 9, amount in the aggregate to export of 2012] an essentially complete nuclear reac- § 110.28 Embargoed destinations. tor, a facility export license is re- quired. Cuba North Korea (e) All exports under paragraph (a) of Iran Syria Iraq Sudan this section are subject to the report- ing requirements in § 110.54(c). [58 FR 13003, Mar. 9, 1993, as amended at 61 FR 35602, July 8, 1996; 65 FR 70291, Nov. 22, NOTE TO § 110.26: U.S. Origin includes com- 2000; 70 FR 29936, May 25, 2005; 72 FR 1427, ponents produced or finished in the United Jan. 12, 2007] States, even with non-U.S. content unless the foreign content is obligated by supplier § 110.29 Restricted destinations. government conditions, such as a prior con- sent for retransfer condition. Afghanistan India Andorra Israel [75 FR 44089, July 28, 2010, as amended at 79 Angola Libya FR 39291, July 10, 2014] Burma (Myanmar) Pakistan Djibouti South Sudan § 110.27 General license for imports. [58 FR 13003, Mar. 9, 1993, as amended at 59 (a) Except as provided in paragraphs FR 48998, Sept. 26, 1994; 61 FR 35602, July 8, (b) and (c) of this section, a general li- 1996; 70 FR 29936, May 25, 2005; 72 FR 1427, cense is issued to any person to import Jan. 12, 2007; 77 FR 11385, Feb. 27, 2012; 78 FR 8361, Feb. 6, 2013] byproduct, source, or special nuclear material if the U.S. consignee is au- § 110.30 Members of the Nuclear Sup- thorized to receive and possess the ma- pliers Group. terial under the relevant NRC or Agreement State regulations. Argentina Latvia Australia Lithuania (b) The general license in paragraph Austria Luxembourg (a) of this section does not authorize Belarus Malta the import of more than 100 kilograms Belgium Mexico per shipment of source and/or special Brazil Netherlands nuclear material in the form of irradi- Bulgaria New Zealand Canada ated fuel. Norway China Poland (c) Paragraph (a) of this section does Croatia Portugal not authorize the import under a gen- Cyprus Republic of Korea Czech Republic eral license of radioactive waste. Romania (d) A person importing formula quan- Denmark Estonia Russia tities of strategic special nuclear mate- Finland Serbia rial (as defined in § 73.2 of this chapter) France Slovak Republic under this general license shall provide Germany Slovenia the notifications required by § 73.27 and Greece South Africa § 73.72 of this chapter. Hungary Spain Sweden (e) A general license is issued to any Iceland Ireland Switzerland person to import the major compo- Italy Turkey nents of a utilization facility as de- Japan Ukraine fined in § 110.2 for end-use at a utiliza- Kazakhstan United Kingdom tion facility licensed by the Commis- [59 FR 48998, Sept. 26, 1994, as amended at 61 sion. FR 35602, July 8, 1996; 65 FR 70291, Nov. 22, (f) Importers of radioactive material 2000; 75 FR 44089, July 28, 2010; 79 FR 39291, listed in appendix P to this part must July 10, 2014]

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§ 110.31 Application for a specific li- tached to material which they own or is in cense. their possession. (a) A person shall file an application (d) Names and addresses of all inter- for a specific license to export or im- mediate and ultimate consignees, other port with the Deputy Director of the than intermediate consignees per- NRC’s Office of International Pro- forming shipping services only. grams, using an appropriate method (e) Dates of proposed first and last listed in § 110.4. shipments. (b) Applications for an export, im- (f) Description of the equipment or port, amendment or renewal licenses or material including, as appropriate, the a request for an exemption from a li- following: censing requirement under this part (1) Maximum quantity of material in shall be filed on NRC Form 7. grams or kilograms (terabecquerels or (c) An application for a specific li- TBq for byproduct material) and its cense to export or import or a request chemical and physical form. for an exemption from a licensing re- (2) For enriched uranium, the max- quirement must be accompanied by the imum weight percentage of enrichment appropriate fee in accordance with the and maximum weight of contained ura- fee schedules in § 170.21 and § 170.31 of nium-235. this chapter. A license application will (3) For nuclear equipment, the name not be processed unless the specified of the facility and its total dollar fee is received. value. (d) Each application on NRC Form 7 (4) For nuclear reactors, the name of shall be signed by the applicant or li- the facility, its design power level and censee or a person duly authorized to its total dollar value. act for and on behalf of the applicant (5) For proposed exports or imports of or licensee. radioactive waste, the volume, physical (e) Each person shall provide in the and chemical characteristics, route of license application, as appropriate, the transit of shipment, classification (as information specified in § 110.32. The defined in § 61.55 of this chapter) if im- Commission also may require the sub- ported or exported for direct disposal mission of additional information if at part 61 or equivalent Agreement necessary to complete its review. State licensed facility, and ultimate (f) An application may cover mul- disposition (including forms of man- tiple shipments and destinations. agement or treatment) of the waste. (6) For proposed imports of radio- (g) The applicant shall withdraw an active waste, the industrial or other application when it is no longer need- process responsible for generation of ed. The Commission’s official files re- the waste, and the status of the ar- tain all documents related to a with- rangements for disposition, including drawn application. pertinent documentation of these ar- [75 FR 44089, July 28, 2010] rangements. (7) Description of end use by all con- § 110.32 Information required in an ap- signees in sufficient detail to permit plication for a specific license/NRC accurate evaluation of the justification Form 7. for the proposed export or import, in- (a) Name and address of applicant. cluding the need for shipment by the (b) Name and address of any other dates specified. party, including the supplier of equip- (g)(1) For proposed exports of Cat- ment or material, if different from the egory 1 quantities of material listed in applicant. Table 1 of appendix P to this part, per- (c) Country of origin of equipment or tinent documentation that the recipi- material, and any other countries that ent of the material has the necessary have processed the material prior to its authorization under the laws and regu- import into the U.S. lations of the importing country to re- NOTE: This is meant to include all obliga- ceive and possess the material. tions attached to the material, according to (2) For proposed exports of Category the definition of obligations in § 110.2. Licens- 2 quantities of material listed in Table ees must keep records of obligations at- 1 of appendix P to this part, pertinent

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documentation that the recipient of in the isotope uranium–235, and those the material has the necessary author- categories of exports which the Com- ization under the laws and regulations mission has approved in advance as of the importing country to receive and constituting permitted incidental as- possess the material. This documenta- sistance. tion must be provided to the NRC at (4) The initial export to a country least 24 hours prior to the shipment. since March 10, 1978 of source or special (3) Pertinent documentation shall nuclear material for nuclear end use. consist of a copy of the recipient’s au- (5) An initial export to any country thorization to receive and possess the listed in § 110.28 or § 110.29 involving material to be exported or a confirma- over: tion from the government of the im- (i) 10 grams of plutonium, uranium- porting country that the recipient is so 233 or high-enriched uranium; authorized. The recipient authorization (ii) 1 effective kilogram of low-en- shall include the following informa- riched uranium; tion: (iii) 250 kilograms of source material (i) Name of the recipient; or heavy water; or (ii) Recipient location and legal ad- (iv) 37 TBq (1,000 curies) of tritium. dress or principal place of business; (6) The export of radioactive material (iii) Relevant radionuclides and ra- listed in Table 1 of Appendix P of this dioactivity being imported or that the part involving: recipient is authorized to receive and (i) Exceptional circumstances in possess; § 110.42(e); or (iv) Uses, if appropriate; and (ii) Category 1 quantities of material (v) The expiration date of the recipi- to any country listed in § 110.28. ent’s authorization (if any). (c) The Commission will review ex- [75 FR 44089, July 28, 2010, as amended at 82 port and import license applications FR 52826, Nov. 15, 2017] raising significant policy issues. (d) If the Commission has not com- Subpart D—Review of License pleted action on a license application within 60 days after receipt of the Ex- Applications ecutive Branch judgment, as provided § 110.40 Commission review. for in § 110.41, or the license application when an Executive Branch judgment is (a) Immediately after receipt of a li- not required, it will inform the appli- cense application for an export or im- cant in writing of the reason for delay port requiring a specific license under and, as appropriate, provide follow-up this part, the Commission will initiate reports. its licensing review and, to the max- imum extent feasible, will expedi- [75 FR 44090, July 28, 2010, as amended at 85 tiously process the application concur- FR 86795, Dec. 31, 2020] rently with any applicable review by the Executive Branch. § 110.41 Executive Branch review. (b) The Commissioners shall review a (a) An application for a license to ex- license application for export of the port the following will be promptly for- following: warded to the Executive Branch for re- (1) A production or utilization facil- view: ity. (1) A production or utilization facil- (2) More than 5 effective kilograms of ity. high-enriched uranium, plutonium or (2) More than one effective kilogram uranium-233. of high-enriched uranium or 10 grams (3) An export involving assistance to of plutonium or uranium–233. end uses related to , (3) Nuclear grade graphite for nuclear chemical reprocessing, heavy water end use. production, advanced reactors, or the (4) More than 3.7 TBq (100 curies) of fabrication of nuclear fuel containing tritium, and deuterium oxide (heavy plutonium, except for exports of source water), other than exports of heavy material or low-enriched uranium to water to Canada. EURATOM, the United Kingdom, or (5) One kilogram or more of source or Japan for enrichment up to 5 percent special nuclear material to be exported

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under the US-IAEA Agreement for Co- § 110.42 Export licensing criteria. operation. (a) The review of license applications (6) An export involving assistance to for export for peaceful nuclear uses of end uses related to isotope separation, production or utilization facilities 1 or chemical reprocessing, heavy water for export for peaceful nuclear uses of production, advanced reactors, or the fabrication of nuclear fuel containing special nuclear or source material re- plutonium, except for exports of source quiring a specific license under this material or low-enriched uranium to part is governed by the following cri- EURATOM, the United Kingdom, or teria: Japan for enrichment up to 5 percent (1) IAEA safeguards as required by in the isotope uranium–235, and those Article III (2) of the NPT will be ap- categories of exports approved in ad- plied with respect to any such facilities vance by the Executive Branch as con- or material proposed to be exported, to stituting permitted incidental assist- any such material or facilities pre- ance. viously exported and subject to the ap- (7) The initial export of nuclear ma- plicable agreement for cooperation, terial or equipment to a foreign reac- and to any special nuclear material tor. used in or produced through the use (8) An export involving radioactive thereof. waste. (2) No such material or facilities pro- (9) An export to any country listed in posed to be exported or previously ex- § 110.28 or § 110.29. ported and subject to the applicable (10) An export raising significant pol- agreement for cooperation, and no spe- icy issues or subject to special limita- cial nuclear material produced through tions as determined by the Commission the use of such material or facilities, or the Executive Branch, including ex- will be used for any nuclear explosive ports of radioactive material listed in device or for research on or develop- Table 1 of appendix P to this part in- ment of any nuclear explosive device. volving exceptional circumstances in (3) Adequate physical security meas- § 110.42(e). ures will be maintained with respect to (b) The Executive Branch will be re- such material or facilities proposed to quested to: be exported and to any special nuclear (1) Provide its judgment as to wheth- material used in or produced through er the proposed export would be inim- the use thereof. Physical security ical to the common defense and secu- measures will be deemed adequate if rity, along with supporting rationale such measures provide a level of pro- and information. tection equivalent to that set forth in (2) Where applicable, confirm that § 110.44. the proposed export would be under the (4) No such material or facilities pro- terms of an agreement for cooperation; posed to be exported, and no special nu- and clear material produced through the (3) Address the extent to which the use of such material, will be retrans- export criteria in § 110.42 are met, if ap- ferred to the jurisdiction of any other plicable, and the extent to which the country or group of countries unless recipient country or group of countries has adhered to the provisions of any 1 Export of nuclear reactors, reactor pres- applicable agreement for cooperation. sure vessels, reactor primary coolant pumps (c) The Commission may request the and circulators, ‘‘on-line’’ reactor fuel charg- Executive Branch to address specific ing and discharging machines, and complete concerns and provide additional data reactor control rod systems, as specified in and recommendations as necessary. paragraphs (1) through (4) of appendix A to this part, are subject to the export licensing [43 FR 21641, May 19, 1978, as amended at 49 criteria in § 110.42(a). Exports of nuclear reac- FR 47200, Dec. 3, 1984; 58 FR 13004, Mar. 9, tor components, as specified in paragraphs 1993; 60 FR 37564, July 21, 1995; 61 FR 35602, (5) through (11) of appendix A to this part, July 8, 1996; 70 FR 41939, July 21, 2005; 70 FR when exported separately from the items de- 37992, July 1, 2005; 70 FR 46066, Aug. 9, 2005; 75 scribed in paragraphs (1) through (4) of ap- FR 44090, July 28, 2010; 85 FR 86795, Dec. 31, pendix A to this part, are subject to the ex- 2020] port licensing criteria in § 110.42(b).

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the prior approval of the United States fuel or target in lieu of highly-enriched is obtained for such retransfer. uranium; and (5) No such material proposed to be (C) The United States Government is exported and no special nuclear mate- actively developing an alternative nu- rial produced through the use of such clear reactor fuel or target that can be material will be reprocessed, and no ir- used in that reactor. radiated fuel elements containing such (ii) With regard to a Recipient Coun- material removed from a reactor will try, the Commission may issue a li- be altered in form or content, unless cense authorizing the export of high- the prior approval of the United States enriched uranium for medical isotope is obtained for such reprocessing or al- production, including shipment to and teration. use at intermediate and ultimate con- (6) With respect to exports of such signees, if the Commission determines material or facilities to nonnuclear that: weapon states, IAEA safeguards will be (A) The Recipient Country that sup- maintained with respect to all peaceful plies an assurance letter to the United activities in, under the jurisdiction of, States Government in connection with or carried out under the control of such the consideration by the Commission state at the time of export. This cri- of the export license application has terion will not be applied if the Com- informed the United States Govern- mission has been notified by the Presi- ment that any intermediate consignees dent in writing that failure to approve and the ultimate consignee specified in an export because this criterion has the export license application are re- not been met would be seriously preju- quired to use the high-enriched ura- dicial to the achievement of United nium solely for the production of med- States nonproliferation objectives or ical isotopes; and otherwise jeopardize the common de- (B) The high-enriched uranium will fense and security, in which case the be irradiated only in a reactor in the provisions of section 128 of the Atomic Recipient Country that— Energy Act regarding Congressional re- (1) Uses an alternative nuclear fuel; view will apply. or (7) The proposed export of a facility or of more than 0.003 effective kilo- (2) Is the subject of an agreement grams of special nuclear material, with the United States Government to other than plutonium containing 80 convert to an alternative nuclear reac- percent or more by weight of pluto- tor fuel when alternative nuclear reac- nium-238, would be under the terms of tor fuel can be used in the reactor. an agreement for cooperation. (iii) A fuel or target ‘‘can be used’’ in (8) The proposed export is not inim- a nuclear research or test reactor if— ical to the common defense and secu- (A) The fuel or target has been quali- rity and, in the case of facility exports, fied by the Reduced Enrichment Re- does not constitute an unreasonable search and Test Reactor Program of risk to the public health and safety in the Department of Energy; and the United States. (B) Use of the fuel or target will per- (9)(i) Except as provided in paragraph mit the large majority of ongoing and (a)(9)(ii) of this section, with respect to planned experiments and isotope pro- exports of high-enriched uranium to be duction to be conducted in the reactor used as a fuel or target in a nuclear re- without a large percentage increase in search or test reactor, the Commission the total cost of operating the reactor. determines that: (b) The review of license applications (A) There is no alternative nuclear for the export of nuclear equipment, reactor fuel or target enriched to less other than a production or utilization than 20 percent in the isotope U–235 facility, and for deuterium and nuclear that can be used in that reactor; grade graphite for nuclear end use, is (B) The proposed recipient of the ura- governed by the following criteria: nium has provided assurances that, (1) IAEA safeguards as required by whenever an alternative nuclear reac- Article III (2) of the NPT will be ap- tor fuel or target can be used in that plied with respect to such equipment or reactor, it will use that alternative material.

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(2) No such equipment or material (3) For proposed exports of Category will be used for any nuclear explosive 1 amounts of radioactive material list- device or for research on or develop- ed in Table 1 of Appendix P to this ment of any nuclear explosive device. part, whether the government of the (3) No such equipment or material importing country provides consent to will be retransferred to the jurisdiction the United States Government for the of any other country or group of coun- import of the material; tries without the prior consent of the (4) In cases where the importing United States. country does not have the technical (4) The proposed export is not inim- and administrative capability de- ical to the common defense and secu- scribed in paragraph (e)(2) of this sec- rity. tion, and in cases where there is insuf- (c) Except where paragraph (d) is ap- ficient evidence of the recipient’s au- plicable, the review of license applica- thorization to receive and possess the tions for export of byproduct material material to be exported, described in or for export of source material for paragraph (e)(1) of this section, wheth- non-nuclear end uses requiring a spe- er exceptional circumstances exist, and cific license under this part is governed if so, whether the export should be li- by the criterion that the proposed ex- censed in light of those exceptional cir- port is not inimical to the common de- cumstances and the risks, if any, to the fense and security. common defense and security of the (d) The review of license applications proposed export; for the export of radioactive waste re- (5) For proposed exports under excep- quiring a specific license under this tional circumstances of Category 1 or part is governed by the following cri- Category 2 amounts of radioactive ma- teria: terial listed in Table 1 of Appendix P to (1) The proposed export is not inim- this part, whether the government of ical to the common defense and secu- the importing country provides con- rity. sent to the United States Government (2) The receiving country, after being for the import of the material; advised of the information required by (6) For proposed exports of radio- § 110.32(f)(5), finds that it has the ad- active material listed in Table 1 of Ap- ministrative and technical capacity pendix P to this part under the excep- and regulatory structure to manage tional circumstance in which there is a and dispose of the waste and consents considerable health or medical need as to the receipt of the radioactive waste. acknowledged by the U.S. Government In the case of radioactive waste con- and the importing country, whether taining a nuclear material to which the United States and the importing paragraph (a) or (b) of this section is country have, to the extent prac- applicable, the criteria in this para- ticable, made arrangements for the graph (d) shall be in addition to the cri- safe and secure management of the ra- teria provided in paragraph (a) or (b) of dioactive sources during and at the end this section. of their useful life; (e) In making its findings under para- (7) Based upon the available informa- graphs (a)(8) and (c) of this section for tion, whether the foreign recipient has proposed exports of radioactive mate- engaged in clandestine or illegal pro- rial listed in Appendix P to this part, curement of radioactive material listed the NRC shall consider: in Table 1 of Appendix P to the part; (1) Whether the foreign recipient is (8) Based upon available information, authorized based on the authorization whether an import or export authoriza- or confirmation required by § 110.32(g) tion for radioactive material listed in to receive and possess the material Table 1 of Appendix P to this part has under the laws and regulations of the been denied to the recipient or import- importing country; ing country, or whether the recipient (2) Whether the importing country or importing country has diverted any has the appropriate technical and ad- import or export of radioactive mate- ministrative capability, resources and rial previously authorized; and regulatory structure to manage the (9) Based upon available information, material in a safe and secure manner; whether there is a risk of diversion or

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malicious acts involving radioactive Unit, Publishing Section, IAEA, Vi- material in Table 1 of Appendix P to enna International Centre, P.O. Box this part. 100, 1400 Vienna Austria; Fax: 43 1 2600 29302; telephone: 43 1 2600 22417; email: [49 FR 47200, Dec. 3, 1984, as amended at 55 FR 34519, Aug. 23, 1990; 58 FR 13004, Mar. 9, [email protected]; Web site: 1993; 58 FR 57964, Oct. 28, 1993; 60 FR 37564, http://www.iaea.org/books. You may in- July 21, 1995; 70 FR 37992, July 1, 2005; 70 FR spect a copy at the NRC Library, 11545 41939, July 21, 2005; 70 FR 46066, Aug. 9, 2005; Rockville Pike, Rockville, Maryland 71 FR 20339, Apr. 20, 2006; 71 FR 40003, July 14, 20852–2738, telephone: 301–415–4737 or 1– 2006; 79 FR 39291, July 10, 2014; 84 FR 63569, 800–397–4209, between 8:30 a.m. and 4:15 Nov. 18, 2019] p.m.; or at the National Archives and Records Administration (NARA). For § 110.43 Import licensing criteria. information on the availability of this The review of license applications for material at NARA, call 202–741–6030, or imports requiring a specific license go to: http://www.archives.gov/federal- under this part is governed by the fol- register/cfr/ibr-locations.html. lowing criteria: (b) Commission determinations on (a) The proposed import is not inim- the adequacy of physical security ical to the common defense and secu- measures are based on: rity. (1) Receipt by the appropriate U.S. (b) The proposed import does not con- Executive Branch Agency of written stitute an unreasonable risk to the assurances from the relevant recipient public health and safety. country government that physical se- (c) Any applicable requirements of curity measures providing protection subpart A of part 51 of this chapter are at least comparable to the rec- satisfied. ommendations set forth in INFCIRC/ (d) With respect to the import of ra- 225/Revision 5. dioactive waste, an appropriate facility (2) Information obtained through has agreed to accept and is authorized country visits, information exchanges, to possess the waste for management or other sources. Determinations are or disposal as confirmed by NRC con- made on a country-wide basis and are sultations with, as applicable, the subject to continuing review. Appendix Agreement State in which the facility M to this part describes the different is located and low-level waste compact categories of nuclear material to which commission(s). physical security measures are applied. [60 FR 37565, July 21, 1995, as amended at 70 [75 FR 44090, July 28, 2010, as amended at 79 FR 37992, July 1, 2005; 75 FR 44090, July 28, FR 39291, July 10, 2014] 2010] § 110.45 Issuance or denial of licenses. § 110.44 Physical security standards. (a) The Commission will issue an ex- (a) Physical security measures in re- port license if it has been notified by cipient countries must provide protec- the State Department that it is the tion at least comparable to the rec- judgment of the Executive Branch that ommendations in the current version the proposed export will not be inim- of IAEA publication, ‘‘Nuclear Security ical to the common defense and secu- Recommendations on Physical Protec- rity, and: tion of Nuclear Material and Nuclear (1) Finds, based upon a reasonable Facilities’’ (INFCIRC/225/Revision 5), judgment of the assurances provided January 2011, which is incorporated by and other information available to the reference in this part. This incorpora- Federal government, that the applica- tion by reference was approved by the ble criteria in § 110.42, or their equiva- Director of the Office of the Federal lent, are met. Register in accordance with 5 U.S.C. (2) Finds that there are no material 552(a) and 1 CFR part 51. Notice of any changed circumstances associated with changes made to the material incor- an export license application (except porated by reference will be published for byproduct material applications) in the FEDERAL REGISTER. Copies of from those existing at the time of INFCIRC/225/Revision 5 may be ob- issuance of a prior license to export to tained from the Marketing and Sales the same country, if the prior license

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was issued under the provisions of sion’s decision will include an expla- paragraph (a)(1) of this section. nation of the basis for the decision and (b) The Commission will issue an im- any dissenting or separate views. The port license if it finds that: provisions in this paragraph do not (1) The proposed import will not be apply to Commission decisions regard- inimical to the common defense and se- ing applications for specific licenses to curity; export byproduct material, including (2) The proposed import will not con- radioactive material listed in Table 1 stitute an unreasonable risk to the of appendix P to this part, or radio- public health and safety; active waste. (3) The requirements of subpart A of (e) The Commission will deny: (1) part 51 of this chapter (to the extent Any export license application for applicable to the proposed import) which the Executive Branch judgment have been satisfied; and does not recommend approval; (2) any (4) With respect to a proposed import byproduct material export license ap- of radioactive waste, an appropriate fa- plication for which the Commission is cility has agreed to accept and is au- unable to make the finding in para- thorized to posses the waste for man- graph (a)(1) of this section; or (3) any agement or disposal as confirmed by import license application for which NRC consultations with, as applicable, the Commission is unable to make the the Agreement State(s) in which the finding in paragraph (b) of this section. facility is located and the low-level The applicant will be notified in writ- waste compact commission(s). ing of the reason for denial. (c) With respect to a proposed import [49 FR 47201, Dec. 3, 1984. Redesignated and of radioactive material listed in Table amended at 60 FR 37565, July 21, 1995; 70 FR 1 of Appendix P to this part: 37992, July 1, 2005; 75 FR 44091, July 28, 2010] (1) If the Commission authorizes a proposed import of Category 1 or Cat- § 110.46 Conduct resulting in termi- egory 2 amounts of radioactive mate- nation of nuclear exports. rial, it will take appropriate steps to (a) Except as provided in paragraph ensure that a copy of the recipient au- (c) of this section, no license will be thorization, or confirmation by the issued to export nuclear equipment or U.S. Government that the recipient is material, other than byproduct mate- authorized to receive and possess the rial, to any non-nuclear weapon state source or sources to be exported, is pro- that is found by the President to have, vided to the Government of the export- after March 10, 1978: ing country or to the exporting facil- (1) Detonated a nuclear explosive de- ity. vice; (2) If the Commission authorizes a (2) Terminated or abrogated IAEA proposed import of Category 1 amounts safeguards; of radioactive material, it will take ap- (3) Materially violated an IAEA safe- propriate steps to ensure that a copy of guards agreement; or the consent of the United States Gov- (4) Engaged in activities involving ernment to the import is provided to source or special nuclear material and the government of the exporting coun- having direct significance for the man- try in cases where it is requested by ufacture or acquisition of nuclear ex- such government. plosive devices, and failed to take steps (d) If, after receiving the Executive which represent sufficient progress to- Branch judgment that the issuance of a ward terminating such activities. proposed export license will not be in- (b) Except as provided in paragraph imical to the common defense and se- (c) of this section, no license will be curity, the Commission does not issue issued to export nuclear equipment or the proposed license on a timely basis material, other than byproduct mate- because it is unable to make the statu- rial, to any country or group of coun- tory determinations required under the tries that is found by the President to Atomic Energy Act, the Commission have, after March 10, 1978: will publicly issue a decision to that ef- (1) Materially violated an agreement fect and will submit the license appli- for cooperation with the United States cation to the President. The Commis- or the terms of any other agreement

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under which nuclear equipment or ma- terms of the Atomic Energy Act or terial has been exported; other applicable law. (2) Assisted, encouraged or induced (3) A licensee authorized to export or any non-nuclear weapon state to en- import nuclear material is responsible gage in activities involving source or for compliance with applicable require- special nuclear material and having di- ments of this chapter, unless a domes- rect significance for the manufacture tic licensee of the Commission has as- or acquistion of nuclear explosive de- sumed that responsibility and the Com- vices, and failed to take steps which mission has been so notified. represent sufficient progress toward (4) Each license authorizes export or terminating such assistance, encour- import only and does not authorize any agement or inducement; or person to receive title to, acquire, re- (3) Entered into an agreement for the ceive, possess, deliver, use, transport or transfer of reprocessing equipment, transfer any nuclear equipment or ma- materials or technology to the sov- terial subject to this part. ereign control of a non-nuclear weapon (5) Each license issued by the NRC state, except in connection with an for the export or import of nuclear ma- international fuel cycle evaluation in terial authorizes only the export or im- which the United States is a partici- port of that nuclear material and ac- pant or pursuant to an international companying packaging, fuel element, agreement or understanding to which hardware, or other associated devices the United States subscribes. or products. (c) Under section 129 of the Atomic (6) No nuclear equipment license con- Energy Act, the President may waive fers authority to export or import nu- the requirement for the termination of clear material. exports to a country described in para- (7) Each nuclear equipment export li- graph (a) or (b) of this section after de- cense authorizes the export of only termining in writing that the cessation those items required for use in the for- of exports would seriously prejudice eign nuclear installation for which the the achievement of United States non- items are intended. proliferation objectives or otherwise (8) A licensee shall not proceed to ex- jeopardize the common defense and se- port or import and shall notify the curity. If the President makes this de- Commission promptly if he knows or termination, the Commission will issue has reason to believe that the pack- licenses to export to that country, if aging requirements of part 71 of this other applicable statutory provisions chapter have not been met. are met. (b) Specific licenses. (1) Each specific license will have an expiration date. [43 FR 21641, May 19, 1978, as amended at 49 (2) A licensee may export or import FR 47202, Dec. 3, 1984. Redesignated at 60 FR 37565, July 21, 1995] only for the purpose(s) and/or end- use(s) stated in the specific export or import license issued by NRC. Subpart E—License Terms and (3) Unless a license specifically au- Related Provisions thorizes the export of certain foreign- obligated nuclear material or equip- § 110.50 Terms. ment, a licensee may not ship such ma- (a) General and specific licenses. (1) terial or equipment until: Each license is subject to all applicable (i) The licensee has requested and the provisions of the Atomic Energy Act Commission has issued an amendment and other applicable law and to all ap- to the license authorizing such ship- plicable rules, regulations, decisions ment; or and orders of the Commission. (ii) The licensee has given at least 40 (2) Each license is subject to amend- days advance notice of the intended ment, suspension, revocation or incor- shipment in writing to the Deputy Di- poration of separate conditions when rector, Office of International Pro- required by amendments of the Atomic grams (OIP); and Energy Act or other applicable law, or (iii) The Deputy Director, OIP has: by other rules, regulations, decisions (A) Obtained confirmation, through or orders issued in accordance with the either the Department of Energy or

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State, that the foreign government in (G) Shipment date; and question has given its consent to the (H) A copy of the foreign recipient’s intended shipment pursuant to its authorization or confirmation of that agreement for cooperation with the authorization from the government of United States; and the importing country as required by (B) Communicated this in writing to § 110.32(g) unless the authorization has the licensee. already been provided to the NRC. (c) Advanced notification. (1) A li- (ii) For import notifications: censee authorized to export or import (A) Name of individual and licensee the radioactive material listed in Ap- making the notification, address, and pendix P to this part is responsible for telephone number; notifying NRC and, in cases of exports, (B) Recipient name, location, and ad- the government of the importing coun- dress (if different than above); try in advance of each shipment. A list (C) Name, location, address, contact of points of contact in importing coun- name and telephone number for export- tries is available at NRC’s Office of ing facility; International Programs Web site, ac- (D) Radionuclides and activity level cessible on the NRC Public Web site at in TBq, both for single and aggregate http://www.nrc.gov. shipments; (2) The NRC’s office responsible for (E) Make, model and serial number, receiving advance notifications for all radionuclide, and activity level for any export and import shipments is the Category 1 and 2 sealed sources, if NRC Headquarters Operations Center. available; Notifications to the NRC Headquarters (F) End use in the U.S.; Operations Center are to be submitted (G) Shipment date from exporting fa- by email (preferred method) or faxed cility and estimated arrival date at the using the contact information specified end use location; and in appendix A to 10 CFR part 73 of this (H) NRC or Agreement State license chapter. In the subject line of the number to possess the import in the email or on the fax cover page include U.S. and expiration date. ‘‘10 CFR 110.50(c) Notification.’’ To con- (4) Export notifications must be re- tact the NRC Operations Center, use ceived by the NRC at least 7 days in ad- the same email address or call the tele- vance of each shipment, to the extent phone number in appendix A to 10 CFR practical, but in no case less than 24 part 73. For questions or concerns on hours in advance of each shipment. Im- submitting these advance notifications port notifications must be received by to the NRC, please contact the Office of the NRC at least 7 days in advance of International Programs at 301–287–9056. each shipment. (3) Notifications may be electronic or (5) Advance notifications containing in writing on business stationary, and the above information must be con- must contain or be accompanied by the trolled, handled, and transmitted in ac- information which follows. cordance with § 2.390 of this chapter (i) For export notifications: and other applicable NRC requirements (A) 10 CFR part 110 export license governing protection of sensitive infor- number and expiration date; mation. (B) Name of the individual and li- (d) A specific license may be trans- censee making the notification, ad- ferred, disposed of or assigned to an- dress, and telephone number; other person only with the approval of (C) Foreign recipient name, address, the Commission by license amendment. and end use location(s) (if different [75 FR 44091, July 28, 2010, as amended at 85 than recipient’s address); FR 65664, Oct. 16, 2020] (D) Radionuclides and activity level in TBq, both for single and aggregate § 110.51 Amendment and renewal of li- shipments; censes. (E) Make, model and serial number, (a) Amendments. (1) Applications for for any Category 1 and 2 sealed sources, amendment of a specific license shall if available; be filed on NRC Form 7 in accordance (F) End use in the importing country, with §§ 110.31 and 110.32 and shall speci- if known; fy the respects in which the licensee

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desires the license to be amended and where records required by the Commis- the grounds for such amendment. sion will be maintained. (2) An amendment is not required for: (b)(1) Each license applicant or li- (i) Changes in monetary value (but censee (general or specific) shall main- not amount or quantity); tain records concerning his exports or (ii) Changes in the names and/or imports. The licensee shall retain these mailing addresses within the same records for five years after each export countries of the intermediate or ulti- or import except that byproduct mate- mate consignees listed on the license; rial records must be retained for three or years after the date of each export or (iii) The addition of intermediate import shipment. consignees in any of the importing (2) Records which must be main- countries specified in the license (for a tained pursuant to this part may be the nuclear equipment license only). original or a reproduced copy or (b) Renewals. (1) Applications for re- microform if such reproduced copy or newal of a specific license shall be filed microform is duly authenticated by au- on NRC Form 7 in accordance with thorized personnel and the microform §§ 110.31 and 110.32. (2) If an application to renew a li- is capable of producing a clear and leg- cense is submitted 30 days or more be- ible copy after storage for the period fore the license expires, the license re- specified by Commission regulations. mains valid until the Commission acts The record may also be stored in elec- on the renewal application. An expired tronic media with the capability for license is not renewable. producing legible, accurate, and com- (c) General. In considering an applica- plete records during the required reten- tion by a licensee to renew or amend a tion period. Records such as letters, license, the Commission will apply, as drawings, specifications, must include appropriate, the same procedures and all pertinent information such as criteria it uses for initial license appli- stamps, initials, and signatures. The li- cations. censee shall maintain adequate safe- guards against tampering with and loss [75 FR 44092, July 28, 2010] of records. § 110.52 Revocation, suspension, and (c) Each licensee shall permit the modification. Commission to inspect his records, premises, and activities pertaining to (a) A license may be revoked, sus- his exports and imports when nec- pended, or modified for a condition essary to fulfill the requirements of the which would warrant denial of the Atomic Energy Act. original license application. (b) The Commission may require fur- [43 FR 21641, May 19, 1978, as amended at 53 ther information from a licensee to de- FR 19263, May 27, 1988; 75 FR 44092, July 28, termine whether a license should be re- 2010] voked, suspended, or modified. (c) Except when the common defense § 110.54 Reporting requirements. and security or public health and safe- (a)(1) Reports of exports of nuclear ty requires otherwise, no license will facilities and equipment, nuclear grade be revoked, suspended, or modified be- graphite for nuclear end use, and deu- fore the licensee is informed in writing terium shipped during the previous of the grounds for such action and af- quarter must be submitted by licensees forded the opportunity to reply and be making exports under the general li- heard under procedures patterned on cense or specific license of this part by those in subpart I. January 15, April 15, July 15, and Octo- [43 FR 21641, May 19, 1978, as amended at 62 ber 15 of each year on DOC/NRC Forms FR 59277, Nov. 3, 1997] AP–M or AP–13, and associated forms. The reports must contain information § 110.53 United States address, on all nuclear facilities, equipment, records, and inspections. and non-nuclear materials (nuclear (a) Each licensee (general or specific) grade graphite for nuclear end use and shall have an office in the United deuterium) listed in Annex II of the States where papers may be served and Additional Protocol.

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(2) These required reports must be (3) A regulation or order pursuant to sent via facsimile to (202) 482–1731, those Acts. emailed to [email protected], or hand- (b) The Commission may obtain a delivered or submitted by courier to court order for the payment of a civil the Bureau of Industry and Security, in penalty imposed under section 234 of hard copy, to the following address: the Atomic Energy Act: Treaty Compliance Division, Bureau of (1) For violations of: Industry and Security, U.S. Depart- (i) Sections 53, 57, 62, 63, 81, 82, 101, ment of Commerce, Attn: AP Reports, 103, 104, 107, or 109 of the Atomic En- 14th Street and Pennsylvania Avenue, ergy Act; NW., Room 4515, Washington, DC 20230. (ii) Section 206 of the Energy Reorga- Telephone: (202) 482–1001. nization Act; (b) Persons making exports under the (iii) Any rule, regulation, or order general license established by § 110.23(a) issued pursuant to the sections speci- or under a specific license shall submit fied in paragraph (b)(1)(i) of this sec- by February 1 of each year one copy of tion; a report of all americium and neptu- (iv) Any term, condition, or limita- nium shipments during the previous tion of any license issued under the calendar year. This report shall be sub- sections specified in paragraph (b)(1)(i) mitted to the Deputy Director, Office of this section. of International Programs at the ad- (2) For any violation for which a li- dress provided in § 110.4. The report cense may be revoked under section 186 must include: of the Atomic Energy Act. (1) A description of the material, in- [75 FR 44092, July 28, 2010] cluding quantity in TBq and gram; (2) Approximate shipment dates; and § 110.61 Notice of violation. (3) A list of recipient countries, end (a) Before instituting any enforce- users, and intended use keyed to the ment action the Commission will serve items shipped. on the licensee written notice of viola- (c) Persons making exports under the tion, except as provided in paragraph general license established by § 110.26(a) (d). shall submit by February 1 of each (b) The notice will state the alleged year one copy of a report of all compo- violation; require the licensee to re- nents shipped during the previous cal- spond in writing, within 20 days or endar year. This report shall be sub- other specified time; and may also re- mitted to the Deputy Director, Office quire the licensee to state the correc- of International Programs at the ad- tive steps taken or to be taken and the dress provided in § 110.4. This report date when full compliance will be must include: achieved. (1) A description of the components (c) The notice may provide that, if an keyed to the categories listed in appen- adequate and timely reply is not re- dix A to this part. ceived, an order to show cause may be (2) Approximate shipment dates. issued pursuant to § 110.62 or a pro- (3) A list of recipient countries and ceeding instituted to impose a civil end users keyed to the items shipped. penalty pursuant to § 110.64. (d) The notice may be omitted and an [75 FR 44092, July 28, 2010, as amended at 77 order to show cause issued when the FR 27114, May 9, 2012] Commission determines that the viola- tion is willful or that the public health, Subpart F—Violations and safety, or interest so requires. Enforcement § 110.62 Order to show cause. § 110.60 Violations. (a) In response to an alleged viola- (a) The Commission may obtain an tion, described in § 110.60, the Commis- injunction or other court order to pre- sion may institute a proceeding to re- vent a violation of the provisions of— voke, suspend, or modify a license by (1) The Atomic Energy Act; issuing an order to show cause: (2) Title II of the Energy Reorganiza- (1) Stating the alleged violation and tion Act of 1974; or proposed enforcement action; and

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(2) Informing the licensee of his (3) Advising that a delinquent pay- right, within 20 days or other specified ment for a subsequently imposed pen- time, to file a written answer and de- alty may be referred to the Attorney mand a hearing. General for collection pursuant to sec- (b) An answer consenting to the pro- tion 234c. of the Atomic Energy Act. posed enforcement action shall con- (b) If an answer is not filed within stitute a waiver by the licensee of a the time specified, the Commission will hearing and of all rights to seek fur- issue an order imposing the proposed ther Commission or judicial review. penalty. (c) The order to show cause may be (c) If a timely answer is filed, the omitted and an order issued to revoke, Commission, after considering the an- suspend, or modify the license in cases swer, will issue an order dismissing the where the Commission determines that proceeding or imposing a penalty sub- the violation is willful or that the pub- lic health, safety, or interest so re- ject to any required hearing. quires. (d) If an order imposing a civil pen- alty is issued, the licensee may request § 110.63 Order for revocation, suspen- a hearing within 20 days or other speci- sion, or modification. fied time. (a) In response to an alleged violation (e) Except when the matter has been described in § 110.60, the Commission referred to the Attorney General for may revoke, suspend, or modify a li- collection, payment of penalties shall cense by issuing an order: be made by check, draft, or money (1) Stating the violation and the ef- order payable to the Treasurer of the fective date of the proposed enforce- United States, and mailed to the Sec- ment action; and retary, U.S. Nuclear Regulatory Com- (2) Informing the licensee of his mission, Washington, DC 20555–0001. right, within 20 days or other specified (f) An enforcement action to impose time, to file a written answer and de- a civil penalty will not itself revoke, mand a hearing. modify, or suspend any license under (b) If an answer is not filed within this part. the time specified, the enforcement ac- tion will become effective and perma- [43 FR 21641, May 19, 1978, as amended at 62 nent as proposed. FR 27495, May 20, 1997] (c) If a timely answer is filed, the Commission, after considering the an- § 110.65 Settlement and compromise. swer, will issue an order dismissing the At any time after issuance of an proceeding, staying the effectiveness of order for any enforcement action under the order or taking other appropriate this subpart, an agreement may be en- action. tered into for settlement of the pro- (d) The order may be made effective ceeding or compromise of a penalty. immediately, with reasons stated, Upon approval by the Commission, or pending further hearing and order, presiding officer if a hearing has been when the Commission determines that requested, the terms of the settlement the violation is willful or that the pub- or compromise will be embodied in the lic health, safety, or interest so re- order disposing of the enforcement ac- quires. tion.

§ 110.64 Civil penalty. § 110.66 Enforcement hearing. (a) In response to a violation, the (a) If the licensee demands a hearing, Commission may institute a pro- the Commission will issue an order ceeding to impose a civil penalty under specifying the time and place. section 234 of the Atomic Energy Act (b) A hearing pursuant to this sub- by issuing a notice to the licensee: part will be conducted under the proce- (1) Stating the alleged violation and dures in subpart G of part 2 of this the amount of the proposed penalty; chapter. (2) Informing the licensee of his right, within 20 days or other specified [43 FR 21641, May 19, 1978, as amended at 75 time, to file a written answer; and FR 44093, July 28, 2010]

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§ 110.67 Criminal penalties. (3) 10,000 kilograms or more of heavy water. (Note: Does not apply to exports (a) Section 223 of the Atomic Energy of heavy water to Canada.) Act provides for criminal sanctions for willful violation of, attempted viola- (4) Nuclear grade graphite for nuclear tion of, or conspiracy to violate, any end use. regulation issued under sections 161b., (5) Radioactive waste. 161i., or 161o. of the Atomic Energy (c) The Commission will also publish Act. For purposes of section 223, all the in the FEDERAL REGISTER a notice of regulations in 10 CFR part 110 are receipt of a license application, includ- issued under one or more of sections ing applications for amendment or re- 161b, 161i, or 161o, except for the sec- newal, for an import of radioactive tions listed in paragraph (b) of this sec- waste for which a specific license is re- tion. quired. (b) The regulations in part 110 that [75 FR 44093, July 28, 2010] are not issued under sections 161b, 161i, or 161o for the purposes of section 223 § 110.71 Notice of withdrawal of an ap- are as follows: §§ 110.1, 110.2, 110.3, 110.4, plication. 110.7, 110.10, 110.11, 110.30, 110.31, 110.32, The Commission will notice the with- 110.40, 110.41, 110.42, 110.43, 110.44, 110.45, drawal of an application by making a 110.46, 110.51, 110.52, 110.60, 110.61, 110.62, copy available at the NRC Web site, 110.63, 110.64, 110.65, 110.66, 110.67, 110.70, http://www.nrc.gov. 110.71, 110.72, 110.73, 110.80, 110.81, 110.82, 110.83, 110.84, 110.85, 110.86, 110.87, 110.88, [64 FR 48955, Sept. 9, 1999] 110.89, 110.90, 110.91, 110.100, 110.101, 110.102, 110.103, 110.104, 110.105, 110.106, § 110.72 Public availability of docu- 110.107, 110.108, 110.109, 110.110, 110.111, ments. 110.112, 110.113, 110.120, 110.122, 110.124, Unless exempt from disclosure under 110.130, 110.131, 110.132, 110.133, 110.134, part 9 of this chapter, the following and 110.135. documents pertaining to each license [57 FR 55080, Nov. 24, 1992; 57 FR 62605, Dec. and license application for an import 31, 1992, as amended at 60 FR 37565, July 21, or export requiring a specific license 1995; 75 FR 44093, July 28, 2010] under this part will be made available at the NRC Web site, http:// Subpart G—Public Notification www.nrc.gov, and/or at the NRC Public and Availability of Documents Document Room: and Records (a) The license application and any requests for amendments; § 110.70 Public notice of receipt of an (b) Commission correspondence with application. the applicant or licensee; (a) The Commission will notice the (c) FEDERAL REGISTER notices; receipt of each license application, in- (d) The Commission letter requesting cluding applications for amendment or Executive Branch views; renewal, for an export or import for (e) Correspondence from the State which a specific license is required by Department with Executive Branch making a copy available at the NRC views; Web site, http://www.nrc.gov. (f) Correspondence from foreign gov- (b) The Commission will also publish ernments and international organiza- in the FEDERAL REGISTER a notice of tions; receipt of each license application, in- (g) Filings pursuant to subpart I and cluding applications for amendment or Commission and Executive Branch re- renewal, to export the following: sponses, if any; (1) A production or utilization facil- (h) If a hearing is held, the hearing ity. record and decision; (2) Five effective kilograms or more (i) A statement of staff conclusions; of plutonium, high-enriched uranium and or uranium-233.

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(j) The license, requests for license cense application for an import or ex- amendments and amendments. port requiring a specific license. (b) Hearing requests and intervention [43 FR 21641, May 19, 1978, as amended at 60 FR 37565, July 21, 1995; 64 FR 48955, Sept. 9, petitions must: 1999] (1) State the name, address and tele- phone number of the requestor or peti- § 110.73 Availability of NRC records. tioner; (a) Commission records under this (2) Set forth the issues sought to be part will be made available to the pub- raised; lic only in accordance with part 9 of (3) Explain why a hearing or an inter- this chapter. vention would be in the public interest and how a hearing or intervention (b) Proprietary information provided would assist the Commission in mak- under this part may be protected under ing the determinations required by Part 9 and § 2.390(b), (c), and (d) of this § 110.45. chapter. (4) Specify, when a person asserts [43 FR 21641, May 19, 1978, as amended at 69 that his interest may be affected, both FR 2281, Jan. 14, 2004] the facts pertaining to his interest and how it may be affected, with particular Subpart H—Public Participation reference to the factors in § 110.84. Procedures Concerning Li- (c) Hearing requests and intervention cense Applications petitions will be considered timely only if filed not later than: § 110.80 Basis for hearings. (1) 30 days after notice of receipt in the FEDERAL REGISTER, for those appli- The procedures in this part will con- cations published in the FEDERAL REG- stitute the exclusive basis for hearings ISTER; on export and import license applica- (2) 30 days after publication of notice tions. on the NRC Web site at http:// [75 FR 44093, July 28, 2010] www.nrc.gov; (3) 30 days after notice of receipt in § 110.81 Written comments. the Public Document Room; or (a) The Commission encourages writ- (4) Such other time as may be pro- ten comments from the public regard- vided by the Commission. ing export and import license applica- [43 FR 21641, May 19, 1978, as amended at 49 tions. The Commission will consider FR 47202, Dec. 3, 1984; 60 FR 37565, July 21, and, if appropriate, respond to these 1995; 60 FR 55183, Oct. 30, 1995; 65 FR 70291, comments. Nov. 22, 2000; 75 FR 44093, July 28, 2010] (b) These comments should be sub- mitted within 30 days after public no- § 110.83 Answers and replies. tice of receipt of the application on the (a) Unless otherwise specified by the NRC Web site or in the FEDERAL REG- Commission, an answer to a hearing re- ISTER and addressed to the Secretary, quest or intervention petition may be U.S. Nuclear Regulatory Commission, filed within 30 days after the request or Washington, DC 20555–0001, Attention: petition has been served. Rulemakings and Adjudications Staff. (b) Unless otherwise specified by the (c) The Commission will provide the Commission, a reply to an answer may applicant with a copy of the comments be filed within 10 days after all timely and, if appropriate, a reasonable oppor- answers have been filed. tunity for response. (c) Answers and replies should ad- dress the factors in § 110.84. [43 FR 21641, May 19, 1978, as amended at 62 FR 27495, May 20, 1997; 75 FR 44093, July 28, [43 FR 21641, May 19, 1978, as amended at 49 2010] FR 47203, Dec. 3, 1984]

§ 110.82 Hearing request or interven- § 110.84 Commission action on a hear- tion petition. ing request or intervention petition. (a) A person may request a hearing or (a) In an export licensing proceeding, petition for leave to intervene on a li- or in an import licensing proceeding in

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which a hearing request or interven- (g) After consideration of the factors tion petition does not assert or estab- covered by paragraphs (a) through (f), lish an interest which may be affected, the Commission will issue a notice or the Commission will consider: order granting or denying a hearing re- (1) Whether a hearing would be in the quest or intervention petition. Upon public interest; and the affirmative vote of two Commis- (2) Whether a hearing would assist sioners a hearing will be ordered. A no- the Commission in making the statu- tice granting a hearing will be pub- tory determinations required by the lished in the FEDERAL REGISTER and Atomic Energy Act. will specify whether the hearing will be (b) If a hearing request or interven- oral or consist of written comments. A tion petition asserts an interest which denial notice will set forth the reasons may be affected, the Commission will for denial. consider: [43 FR 21641, May 19, 1978, as amended at 49 (1) The nature of the alleged interest; FR 47203, Dec. 3, 1984] (2) How that interest relates to issuance or denial; and § 110.85 Notice of hearing consisting of (3) The possible effect of any order on written comments. that interest, including whether the re- (a) A notice of hearing consisting of lief requested is within the Commis- written comments will: sion’s authority, and, if so, whether (1) State the issues to be considered; granting relief would redress the al- (2) Provide the names and addresses leged injury. of participants; (c) Untimely hearing requests or (3) Specify the time limits for par- intervention petitions may be denied ticipants and others to submit written unless good cause for failure to file on views and respond to any written com- time is established. In reviewing un- ments; and timely requests or petitions, the Com- (4) State any other instructions the mission will also consider: Commission deems appropriate. (1) The availability of other means by (b) The Secretary will give notice of which the requestor’s or petitioner’s any hearing under this section and interest, if any, will be protected or § 110.86 to any person who so requests. represented by other participants in a hearing; and § 110.86 Notice of oral hearing. (2) The extent to which the issues (a) A notice of oral hearing will: will be broadened or action on the ap- (1) State the time, place and issues to plication delayed. be considered; (d) Before granting or denying a (2) Provide names and addresses of hearing request or intervention peti- participants; tion, the Commission will review the (3) Designate the presiding officer; Executive Branch’s views on the li- (4) Specify the time limit for partici- cense application and may request fur- pants and others to indicate whether ther information from the petitioner, they wish to present views; and requester, the Commission staff, the (5) State any other instructions the Executive Branch or others. Commission deems appropriate. (e) The Commission will deny a re- (b) If the Commission is not the pre- quest or petition that pertains solely siding officer, the notice of oral hear- to matters outside its jurisdiction. ing will also state: (f) If an issue has been adequately ex- (1) When the jurisdiction of the pre- plored in a previous licensing hearing siding officer commences and termi- conducted pursuant to this part, a re- nates; quest for a new hearing in connection (2) The powers of the presiding offi- with that issue will be denied unless: cer; and (1) A hearing request or intervention (3) Instructions to the presiding offi- petition establishes that an interest cer to certify promptly the completed may be affected; or hearing record to the Commission (2) The Commission determines that without preliminary decision or find- changed circumstances or new informa- ings, unless the Commission directs tion warrant a new hearing. otherwise.

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§ 110.87 Conditions in a notice or (2) Following the requirements for E- order. Filing in 10 CFR 2.305; (a) A notice or order granting a hear- (3) Depositing it in the United States ing or permitting intervention may re- mail, express mail, or expedited deliv- strict irrelevant or duplicative testi- ery service, properly stamped and ad- mony, or require common interests to dressed; or be represented by a single spokesman. (4) Any other manner authorized by (b) If a participant’s interests do not law, when service cannot be made as extend to all the issues in the hearing, provided in paragraphs (c)(1) through the notice or order may limit his par- (3) of this section. ticipation accordingly. (d) Proof of service, stating the name (c) Unless authorized by the Commis- and address of the person served and sion, the granting of participation will the manner and date of service, shall not broaden the hearing issues. be shown, and may be made by: (1) Written acknowledgment of the § 110.88 Authority of the Secretary. person served or an authorized rep- resentative; The Secretary is authorized to pre- (2) The certificate or affidavit of the scribe time schedules and other proce- person making the service; or dural arrangements, when not covered (3) Following the requirements for E- by this part, and rule on related proce- Filing in 10 CFR 2.305. dural requests. (e) The Commission may make spe- § 110.89 Filing and service. cial provisions for service when cir- cumstances warrant. (a) Hearing requests, intervention pe- titions, answers, replies and accom- [72 FR 49154, Aug. 28, 2007] panying documents must be filed with the Commission by delivery or by mail § 110.90 Computation of time. to the Secretary, U.S. Nuclear Regu- (a) In computing any period of time, latory Commission, Washington, DC the day of the act, event, or default 20555–0001, Attention: Rulemakings and after which the designated period of Adjudications Staff or via the E-Filing time begins to run is not included. The system, following the procedure set last day of the period so computed is forth in 10 CFR 2.302. Filing by mail is included unless it is a Saturday or Sun- complete upon deposit in the mail. Fil- day, a Federal legal holiday at the ing via the E-Filing system is com- place where the action or event is to pleted by following the requirements occur, or a day upon which, because of described in 10 CFR 2.302(d). an emergency closure of the Federal (b) All filing and Commission notices government in Washington, DC, NRC and orders must be served upon the ap- Headquarters does not open for busi- plicant; the General Counsel, U.S. Nu- ness, in which event the period runs clear Regulatory Commission, Wash- until the end of the next day that is ington, DC 20555; the Executive Sec- not a Saturday, Sunday, holiday, or retary, Department of State, Wash- emergency closure. ington, DC 20520; and participants if (b) In time periods of less than seven any. Hearing requests, intervention pe- (7) days, intermediate Saturdays, Sun- titions, and answers and replies must days, Federal legal holidays, and emer- be served by the person filing those gency closures are not counted. pleadings. (c) Whenever an action is required (c) Service is completed by: within a prescribed period by a docu- (1) Delivering the paper to the per- ment served under § 110.89 of this part, son; or leaving it in his office with no additional time is added to the pre- someone in charge; or, if there is no scribed period except as set forth in 10 one in charge, leaving it in a con- CFR 2.306(b). spicuous place in the office; or, if he (d) To be considered timely, a docu- has no office or it is closed, leaving it ment must be served: at his usual place of residence with (1) By 5 p.m. Eastern Time for a doc- some occupant of suitable age and dis- ument served in person or by expedited cretion; service; and

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(2) By 11:59 p.m. Eastern Time for a § 110.104 Presiding officer. document served by the E-Filing sys- (a) The full Commission will ordi- tem. narily be the presiding officer at a [72 FR 49154, Aug. 28, 2007] hearing under this part. However, the Commission may provide in a hearing § 110.91 Commission consultations. notice that one or more Commis- The Commission may consult at any sioners, or any other person as pro- time on a license application with the vided by law, will preside. staff, the Executive Branch or other (b) A participant may submit a writ- persons. ten motion for the disqualification of any person presiding. The motion shall [49 FR 47203, Dec. 3, 1984] be supported by affidavit setting forth the alleged grounds for disqualifica- Subpart I—Hearings tion. If the presiding officer does not grant the motion or the person does § 110.100 Public hearings. not disqualify himself, the Commission will decide the matter. Hearings under this part will be pub- (c) If any presiding officer designated lic unless the Commission directs oth- by the Commission deems himself dis- erwise. qualified, he shall withdraw by notice § 110.101 Filing and service. on the record after notifying the Com- mission. Filing and service of hearing docu- (d) If a presiding officer becomes un- ments shall be pursuant to § 110.89. available, the Commission will des- ignate a replacement. § 110.102 Hearing docket. (e) Any motion concerning the des- For each hearing, the Secretary will ignation of a replacement presiding of- maintain a docket which will include ficer shall be made within 5 days after the hearing transcript, exhibits and all the designation. papers filed or issued pursuant to the (f) Unless otherwise ordered by the hearing. Commission, the jurisdiction of a pre- siding officer other than the Commis- § 110.103 Acceptance of hearing docu- sion commences as designated in the ments. hearing notice and terminates upon (a) Each document filed or issued certification of the hearing record to must be clearly legible and bear the the Commission, or when the presiding docket number, license application officer is disqualified. number, and hearing title. § 110.105 Responsibility and power of (b) Each document shall be filed in the presiding officer in an oral one original and signed by the partici- hearing. pant or their authorized representa- tive, with their address and date of sig- (a) The presiding officer in any oral nature indicated. The signature is a hearing shall conduct a fair hearing, representation that the document is develop a record that will contribute to submitted with full authority, the informed decisionmaking, and, within signer knows its contents, and that, to the framework of the Commission’s or- the best of his knowledge, the state- ders, have the power necessary to achieve these ends, including the power ments made in it are true. to: (c) Filings submitted using the E-fil- (1) Take action to avoid unnecessary ing system must follow the require- delay and maintain order; ments outlined in 10 CFR 2.304. (2) Dispose of procedural requests; (d) A document not meeting the re- (3) Question participants and wit- quirements of this section may be re- nesses, and entertain suggestions as to turned with an explanation for non- questions which may be asked of par- acceptance and, if so, will not be dock- ticipants and witnessess; eted. (4) Order consolidation of partici- [72 FR 49154, Aug. 28, 2007] pants;

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(5) Establish the order of presen- (b) Written testimony will be re- tation; ceived into evidence in exhibit form. (6) Hold conferences before or during (c) Unless proscribed under § 110.87, the hearing; members of groups which are des- (7) Establish reasonable time limits; ignated as participants may testify in (8) Limit the number of witnesses; their individual capacities. and (d) Participants may present their (9) Strike or reject duplicative or ir- own witnesses. relevant presentations. (e) Testimony by the Commission (b) Where the Commission itself does and the Executive Branch will be pre- not preside: sented only by persons officially des- (1) The presiding officer may certify ignated for that purpose. questions or refer rulings to the Com- (f) Participants and witnesses will be mission for decision; questioned orally or in writing and (2) Any hearing order may be modi- only by the presiding officer. Questions fied by the Commission; and may be addressed to individuals or to (3) The presiding officer will certify panels of participants or witnesses. the completed hearing record to the (g) The presiding officer may accept Commission, which may then issue its written testimony from a person un- opinion on the hearing or provide that able to appear at the hearing, and may additional testimony be presented. request him to respond to questions. (h) No subpoenas will be granted at § 110.106 Participation in a hearing. the request of participants for attend- (a) Unless otherwise limited by this ance and testimony of participants or part or by the Commission, partici- witnesses or the production of evi- pants in a hearing may submit: dence. (1) Initial and concluding written statements of position on the issues; § 110.108 Appearance in an oral hear- ing. (2) Written questions to the presiding officer; and (a) A participant may appear in a (3) Written responses and rebuttal hearing on his own behalf or be rep- testimony to the statements of other resented by an authorized representa- participants. tive. (b) Participants in an oral hearing (b) A person appearing shall file a may also submit oral statements, ques- written notice stating his name, ad- tions, responses and rebuttal testi- dress and telephone number, and if an mony. authorized representative, the basis of (c) A participant in an import licens- his eligibility and the name and ad- ing hearing establishing that his inter- dress of the participant on whose be- est may be affected, may be accorded half he appears. additional procedural rights under sub- (c) A person may be excluded from a part G of part 2 with respect to resolu- hearing for disorderly, dilatory or con- tion of domestic factual issues regard- temptuous conduct, provided he is in- ing the public health, safety and envi- formed of the grounds and given an op- ronment of the United States, and the portunity to respond. protection of the United States public against domestic theft, diversion or § 110.109 Motions and requests. sabotage, to the extent that such (a) Motions and requests shall be ad- issues are separable from the non- dressed to the presiding officer, and, if domestic issues associated with the li- written, also filed with the Secretary cense application. and served on other participants. (b) Other participants may respond § 110.107 Presentation of testimony in to the motion or request. Responses to an oral hearing. written motions or requests shall be (a) All direct testimony in an oral filed within 5 days after service. hearing shall be filed no later than 7 (c) When the Commission does not days before the hearing or as otherwise preside, in response to a motion or re- ordered or allowed. quest, the presiding officer may refer a

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ruling or certify a question to the Com- scripts will be made available at the mission for decision and notify the par- NRC Web site, http://www.nrc.gov, and/ ticipants. or at the NRC Public Document Room. (d) Unless otherwise ordered by the (c) Corrections of the official tran- Commission, a motion or request, or script may be made only as specified by the certification of a question or refer- the Secretary. ral of a ruling, shall not stay or extend any aspect of the hearing. [43 FR 21641, May 19, 1978, as amended at 64 FR 48955, Sept. 9, 1999; 75 FR 44093, July 28, § 110.110 Default. 2010] When a participant fails to act with- in a specified time, the presiding offi- § 110.113 Commission action. cer may consider him in default, issue (a) Upon completion of a hearing, the an appropriate ruling and proceed Commission will issue a written opin- without further notice to the default- ion including its decision on the li- ing participant. cense application, the reasons for the decision and any dissenting views. § 110.111 Waiver of a rule or regula- tion. (b) While the Commission will con- sider fully the hearing record, the li- (a) A participant may petition that a censing decision will be based on all Commission rule or regulation be relevant information, including infor- waived with respect to the license ap- mation which might go beyond that in plication under consideration. (b) The sole ground for a waiver shall the hearing record. be that, because of special cir- (c) If the Commission considers infor- cumstances concerning the subject of mation not in the hearing record in the hearing, application of a rule or reaching its licensing decision, the regulation would not serve the pur- hearing participants will be informed poses for which it was adopted. and, if not classified or otherwise privi- (c) Waiver petition shall specify why leged, the information will be made application of the rule or regulation available at the NRC Web site, http:// would not serve the purposes for which www.nrc.gov, and furnished to the par- it was adopted. ticipants. (d) Other participants may, within 10 (d) The Commission may issue a li- days, file a response to a waiver peti- cense before completion of a hearing if tion. it finds that: (e) When the Commission does not (1) Prompt issuance is required in the preside, the presiding officer will cer- public interest, particularly the com- tify the waiver petition to the Commis- mon defense and security; and sion, which, in response, will grant or (2) A participant establishing that deny the waiver or direct any further proceedings. his interest may be affected has been (f) Regardless of whether a waiver is provided a fair opportunity to present granted or denied, a separate petition his views. for rulemaking may be filed pursuant (e) The Commission may: to subpart K of this part. (1) Defer any hearing; (2) Consolidate applications for hear- [43 FR 21641, May 19, 1978, as amended at 62 FR 59277, Nov. 3, 1997] ing; (3) Narrow or broaden the hearing § 110.112 Reporter and transcript for issues; and an oral hearing. (4) Take other action, as appropriate. (a) A reporter designated by the Com- [43 FR 21641, May 19, 1978, as amended at 64 mission will record an oral hearing and FR 48955, Sept. 9, 1999] prepare the official hearing transcript. (b) Except for any portions con- taining classified information, Re- stricted Data, Safeguards Information, proprietary information, or other sen- sitive unclassified information, tran-

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Subpart J—Special Procedures for ticipant, his authorized representative Classified Information in Hearings or other persons. Access will be subject to the conditions in paragraphs (e) and § 110.120 Purpose and scope. (j) and will not be granted unless re- (a) This subpart contains special pro- quired security clearances have been cedures concerning access to, and in- obtained. troduction of, classified information (g) Once classified information has into hearings under this part. been introduced into a hearing, the (b) These procedures do not in any Commission will grant access to a par- way apply to classified information ex- ticipant, his authorized representative changed between the Executive Branch or such other persons as the Commis- and the Commission not introduced sion determines may be needed by the into a hearing. Such information will participant to prepare his position on be declassified to the maximum extent the hearing issues. Access will be sub- feasible. The public statements of the ject to the conditions in paragraphs (e) Commission staff and Executive and (j) of this section and will not be Branch will, to the extent consistent granted unless required security clear- with classification requirements, re- ances have been obtained. flect consideration of any such classi- (h) For good cause, the Commission fied information. may postpone action upon an applica- tion for access to classified informa- § 110.121 Security clearances and ac- tion. cess to classified information. (i) The Commission will grant access (a) No person without a security to classified information only up to the clearance will have access to classified level for which the persons described in information. paragraphs (f) and (g) of this section (b) Only the Commission will act are cleared and only upon an adequate upon an application for access to clas- commitment by them not to disclose sified information. such information subject to penalties (c) To the extent practicable, appli- as provided by law. cations for access to classified informa- (j) The Commission will not in any tion shall describe the information to circumstances grant access to classi- which access is desired and its level of fied information: classification (confidential, secret or (1) Unless it determines that the other); the reasons for requesting ac- grant is not inimical to the common cess; the names of individuals for defense and security; and whom access is requested; and the rea- (2) Which it has received from an- sons why access is requested for those other Government agency, without the individuals. prior consent of the originating agen- (d) The Commission will consider re- cy. quests for appropriate security clear- (k) Upon completion of a hearing, the ances in reasonable numbers; conduct Commission will terminate all security its review and grant or deny these in clearances granted pursuant to the accordance with part 10 of this chapter; hearing and may require the disposal of and make a reasonable charge to cover classified information to which access costs. has been granted or the observance of (e) The Commission will not grant se- other procedures to safeguard this in- curity clearances for access to classi- formation. fied information, unless it determines that the available unclassified infor- § 110.122 Classification assistance. mation is inadequate on the subject On the request of any hearing partic- matter involved. ipant or the presiding officer (if other (f) When an application demonstrates than the Commission), the Commission that access to classified information will designate a representative to ad- not introduced into a hearing may be vise and assist the presiding officer or needed to prepare a participant’s posi- the participants with respect to secu- tion on the hearing issues, the Com- rity classification of information and mission may issue an order granting the protective requirements to be ob- access to this information to the par- served.

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§ 110.123 Notice of intent to introduce (b) When classified information is of- classified information. fered for introduction into a hearing: (a) A participant shall seek the re- (1) The participant offering it shall, quired security clearances, where nec- to the extent consistent with classi- essary, and file with the Secretary a fication requirements, submit to the notice of intent to introduce classified presiding officer and other participants information into a hearing at the ear- an unclassified statement describing liest possible time after the notice of the substance of the classified informa- hearing. tion as accurately and completely as (b) If a participant has not filed a no- possible; tice of intent in accordance with this (2) In accordance with procedures section, he may introduce classified in- agreed upon by the participants or pre- formation only if he gives to the other scribed by the presiding officer, and participants and the Commission after notice to all participants and op- prompt written notice of intent and portunity to be heard on the notice, only as permitted by the Commission the presiding officer will determine whether an unclassified statement may when it determines that the public in- be substituted for the classified infor- terest will not be prejudiced. mation in the hearing record without (c) The notice of intent shall be un- prejudice to the interest of any partici- classified and, to the extent consistent pant or the public; with classification requirements, state: (3) If the Commission determines (1) The subject matter of the classi- that the unclassified statement (to- fied information, which it is antici- gether with such unclassified modifica- pated will be involved; tions as it finds are necessary or appro- (2) The highest level of classification priate to protect the interest of other of the information (confidential, secret participants and the public) adequately or other); (3) When it is anticipated that the in- sets forth information in the classified formation would be introduced; and matter which is relevant and material (4) The relevance and materiality of to the issues in the hearing, it will di- the information to the hearing issues. rect that the classified matter be ex- cluded from the record of the hearing; § 110.124 Rearrangement or suspen- and sion of a hearing. (4) The Commission may postpone When a participant gives notice of in- any of the procedures in this section tent to introduce classified informa- until all other evidence has been re- tion and other participants do not have ceived. However, a participant shall the required security clearances, sub- not postpone service of any unclassi- ject to § 110.121, the Commission may: fied statement required in this section. (a) Suspend or rearrange the normal § 110.126 Protection of classified infor- order of the hearing to give other par- mation. ticipants an opportunity to obtain the required security clearances with min- Nothing in this subpart shall relieve imum delay in the conduct of the hear- any person from safeguarding classified ing; or information as required by law and (b) Take such other action as it de- rules, regulations or orders of any Gov- termines to be in the public interest. ernment agency. § 110.125 Unclassified statements re- Subpart K—Rulemaking quired. (a) It is the obligation of hearing par- § 110.130 Initiation of rulemaking. ticipants to introduce information in The Commission may initiate action unclassified form wherever possible, to amend the regulations in this part and to declassify, to the maximum ex- on its own initiative or in response to tent feasible, any classified informa- a petition. tion introduced into the hearing. This obligation rests on each participant § 110.131 Petition for rulemaking. whether or not any other participant (a) A petition for rulemaking should has the required security clearances. be addressed to the Secretary of the

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Commission, for the attention of the (3) Directions for public participa- Secretary’s Rulemakings and Adju- tion; dications Staff. The petition should be (4) The time and place of any public sent using an appropriate method list- hearing; and ed in § 110.4. (5) If a hearing is to be held by other (b) The petition shall state the basis than the Commission, designating of a for the requested amendment. presiding officer and instructions for (c) The petition may request the the conduct of the hearing. Commission to suspend all or part of (c) A notice of proposed rulemaking any licensing proceeding under this will be published not less than 15 days part pending disposition of the peti- before any hearing, unless the Commis- tion. sion for good cause provides otherwise (d) The Secretary will assign a dock- in the notice. et number to the petition, place a copy in the Public Document Room and no- § 110.134 Public participation. tice its receipt in the FEDERAL REG- (a) The Commission may hold an oral ISTER. hearing on a proposed rule or permit (e) Publication may be limited by any person to participate in a rule- order of the Commission to the extent making proceeding through the sub- required by section 181 of the Atomic mission of written comments. Energy Act. (b) When it is in the public interest and is authorized by law, public rule- [43 FR 21641, May 19, 1978, as amended at 63 making procedures may be omitted and FR 15744, Apr. 1, 1998; 68 FR 58824, Oct. 10, 2003] a notice of rulemaking published pur- suant to § 110.135. § 110.132 Commission action on a peti- tion. § 110.135 Notice of rulemaking. (a) The Commission may grant or (a) Upon approval of an amendment, deny the petition in whole or in part. the Commission will publish in the (b) If the petition is granted, a notice FEDERAL REGISTER a notice of rule- of proposed rulemaking or a notice of making which includes a statement of rulemaking will be published in the its basis and purpose, effective date FEDERAL REGISTER. and, where appropriate, any significant (c) If the petition is denied, the peti- variations from the amendment as pro- tioner will be informed of the grounds. posed in any notice of proposed rule- (d) Commission action on a petition making. will normally follow, whenever appro- (b) The effective date of an amend- priate, receipt and evaluation of Exec- ment will normally be no earlier than utive Branch views. 30 days after publication of the notice (e) The Commission, in exercising the of rulemaking, unless the Commission discretion authorized by section 4(a)(1) for good cause provides otherwise in of the Administrative Procedure Act (5 the notice. U.S.C. 553(a)(1)), will decide what, if APPENDIX A TO PART 110—ILLUSTRATIVE any, public rulemaking procedures will LIST OF NUCLEAR REACTOR EQUIP- be followed. MENT UNDER NRC EXPORT LICENS- § 110.133 Notice of proposed rule- ING AUTHORITY making. NOTE: A nuclear reactor basically includes (a) When the Commission proposes to the items within or attached directly to the amend the regulations in this part, it reactor vessel, the equipment which controls will normally publish a notice of pro- the level of power in the core, and the com- posed rulemaking in the FEDERAL REG- ponents which normally contain or come in direct contact with or control the primary ISTER. coolant of the reactor core. (b) A notice of proposed rulemaking will include: (1) Reactor pressure vessels, i.e., metal ves- sels, as complete units or major shop-fab- (1) The authority for the proposed ricated parts, especially designed or prepared rule; to contain the core of a nuclear reactor and (2) The substance and purpose of the capable of withstanding the operating pres- proposed rule; sure of the primary coolant.

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(2) On-line (e.g., CANDU) reactor fuel be manufactured to very close tolerances in charging and discharging machines, i.e., ma- order to minimize the unbalance. In contrast nipulative equipment especially designed for to other centrifuges, the gas centrifuge for inserting or removing fuel in an operating uranium enrichment is characterized by hav- nuclear reactor. ing within the rotor chamber a rotating disc- (3) Complete reactor control rod system, shaped baffle(s) and a stationary tube ar- i.e., rods especially designed or prepared for rangement for feeding and extracting ura- the control of the reaction rate in a nuclear nium hexafluoride (UF6) gas and featuring at reactor, including the neutron absorbing least three separate channels of which two part and the support or suspension struc- are connected to scoops extending from the tures therefor. rotor axis towards the periphery of the rotor (4) Reactor primary coolant pumps or chamber. Also contained within the vacuum circulators, i.e., pumps or circulators espe- environment are a number of critical items cially designed or prepared for circulating which do not rotate and which, although the primary coolant in a nuclear reactor. they are especially designed, are not difficult (5) Reactor pressure tubes, i.e., tubes espe- to fabricate nor are they fabricated out of cially designed or prepared to contain both unique materials. A centrifuge facility, how- fuel elements and the primary coolant in a ever, requires a large number of these com- nuclear reactor. ponents so that quantities can provide an (6) Zirconium tubes, i.e., zirconium metal important indication of end use. and alloys in the form of tubes or assemblies of tubes especially designed or prepared for 1.1 Rotating Components use as fuel cladding in a nuclear reactor. (7) Reactor internals, e.g., core support (a) Complete Rotor Assemblies: Thin- structures, control and rod guide tubes, fuel walled cylinders, or a number of inter- channels, calandria tubes, thermal shields, connected thin-walled cylinders, manufac- baffles, core grid plates, and diffuser plates tured from one of the high strength-to-den- especially designed or prepared for use in a sity ratio materials described in the footnote nuclear reactor. to this section. (8) Reactor control rod drive mechanisms, If interconnected, the cylinders are joined including detection and measuring equip- together by flexible bellows or rings as de- ment to determine levels within scribed in § 1.1(c) of this appendix. The rotor the core of a nuclear reactor. is fitted with an internal baffle(s) and end (9) Heat exchangers, e.g., steam generators caps, as described in § 1.1(d) and (e) of this ap- especially designed or prepared for the pri- pendix, if in final form. However, the com- mary, or intermediate, coolant circuit of a plete assembly may be delivered only partly nuclear reactor or heat exchangers espe- assembled. cially designed or prepared for use in the pri- (b) Rotor Tubes: Especially designed or mary coolant circuit of a nuclear reactor. prepared thin-walled cylinders with thick- (10) External thermal shields especially de- ness of 12 mm or less, a diameter of between signed or prepared for use in a nuclear reac- 75 mm and 650 mm, and manufactured from tor for reduction of heat loss and also for one of the high strength-to-density ratio ma- containment vessel protection. terials described in the footnote to this sec- (11) Any other components especially de- tion. signed or prepared for use in a nuclear reac- (c) Rings or Bellows: Components espe- tor or in any of the components described in cially designed or prepared to give localized this appendix. support to the rotor tube or to join together a number of rotor tubes. The bellows in a [79 FR 39291, July 10, 2014] short cylinder of wall thickness 3 mm or less, a diameter of between 75 mm and 650 APPENDIX B TO PART 110—ILLUSTRATIVE mm, having a convolute, and manufactured LIST OF GAS CENTRIFUGE ENRICH- from one of the high strength-to-density MENT PLANT COMPONENTS UNDER ratio materials described in the footnote to NRC’S EXPORT LICENSING AUTHOR- this section. ITY (d) Baffles: Disc shaped components of be- tween 75 mm and 650 mm diameter especially 1. Assemblies and components especially de- designed or prepared to be mounted inside signed or prepared for use in gas centrifuges. the centrifuge rotor tube, in order to isolate NOTE: The gas centrifuge normally consists the take-off chamber from the main separa- of a thin-walled cylinder(s) of between 75 mm tion chamber and, in some cases, to assist and 650 mm diameter contained in a vacuum the UF6 gas circulation within the main sep- environment and spun at high peripheral aration chamber of the rotor tube, and man- speed (of the order of 300 m/per second and ufactured from one of the high strength-to- more) with the central axis vertical. In order density ratio materials described in the foot- to achieve high speed, the materials of con- note to this section. struction for the rotating rotor assembly, (e) Top Caps/Bottom Caps: Disc shaped and hence its individual components, have to components of between 75 mm and 650 mm

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diameter especially designed or prepared to power supply (UPS) unit in order to function fit to the ends of the rotor tube, and so con- for more than 1 hour. tain the UF6 within the rotor tube, and in (b) Bearings/Dampers: Especially designed some cases to support, retain or contain as or prepared bearings comprising a pivot/cup an integrated part, an element of the upper assembly mounted on a damper. The pivot is bearing (top cap) or to carry the rotating normally a hardened steel shaft polished into elements of the motor and lower bearing a hemisphere at one end with a means of at- (bottom cap), and manufactured from one of tachment to the bottom cap described in the high strength-to-density ratio materials § 1.1(e) of this appendix at the other. The described in the footnote to this section. shaft may, however, have a hydrodynamic bearing attached. The cup is pellet-shaped Footnote with hemispherical indentation in one sur- The materials used for centrifuge rotating face. These components are often supplied components include the following: separately to the damper. (a) Maraging steel capable of an ultimate (c) Molecular Pumps: Especially designed tensile strength of 1.95 GPa or more. or prepared cylinders having internally ma- (b) Aluminum alloys capable of an ulti- chined or extruded helical grooves and inter- mate tensile strength of 0.46 GPa or more. nally machined bores. Typical dimensions (c) Filamentary materials suitable for use are as follows: 75 mm to 650 mm internal di- in composite structures and having a specific ameter, 10 mm or more wall thickness, with modulus of 3.18 × 106 m or greater and a spe- a length equal to or greater than the diame- cific ultimate tensile strength of 7.62 × 104 m ter. The grooves are typically rectangular in or greater. cross-section and 2 mm or more in depth. (‘‘Specific Modulus’’ is the Young’s modulus (d) Motor Stators: Especially designed or in N/m2 divided by the specific weight inN/m3 prepared ring shaped stators for high speed when measured at a temperature of 23 ±20 °C multi- alternating current (AC) and a relative humidity of 50 ±5 percent. hysteresis (or reluctance) motors for syn- ‘‘Specific tensile strength’’ is the ultimate chronous operation within a vacuum at a fre- tensile strength in N/m2 divided by the spe- quency of 600 Hz or greater and a power of 40 cific weight in N/m3 when measured at a volts amps or greater. The stators may con- temperature of 23 ±20 °C and a relative hu- sist of multi-phase windings on a laminated midity of 50 ±5 percent.) low loss iron core comprised of thin layers typically 2.0 mm thick or less. 1.2 Static Components (e) Centrifuge housing/recipients: Compo- (a) Magnetic Suspension Bearings: 1. Espe- nents especially designed or prepared to con- cially designed or prepared bearing assem- tain the rotor tube assembly of a gas cen- blies consisting of an annular magnet sus- trifuge. The housing consists of a rigid cyl- pended within a housing containing a damp- inder of wall thickness up to 30 mm with pre- ing medium. The housing will be manufac- cision machined ends to locate the bearings tured from a UF6 resistant material (see and with one or more flanges for mounting. footnote to § 2 of this appendix). The magnet The machined ends are parallel to each other couples with a pole piece or a second magnet and perpendicular to the cylinder’s longitu- fitted to the top cap described in § 1.1(e) of dinal axis to within 0.05 degrees or less. The this appendix. The magnet may be ring- housing may also be a honeycomb type shaped with a relation between outer and structure to accommodate several rotor inner diameter smaller or equal to 1.6:1. The tubes. magnet may be in a form having an initial (f) Scoops: Especially designed or prepared permeability of 0.15 Henry/meter or more, or tubes for the extraction of UF6 gas from a remanence of 98.5 percent or more, or an within the rotor tube by a Pitot tube action energy product of greater than 80,000 joules/ (that is, with an aperture facing into the cir- 3 m . In addition to the usual material prop- cumferential gas flow within the rotor tube, erties, it is a prerequisite that the deviation for example by bending the end of a radially of the magnetic axes from the geometrical disposed tube) and capable of being fixed to axes is limited to very small tolerances the central gas extraction system. (lower than 0.1 mm) or that homogeneity of the material of the magnet is specially 2. Especially designed or prepared auxiliary called for. systems, equipment, and components for gas 2. Active magnetic bearings especially de- centrifuge enrichment plants. signed or prepared for use with gas cen- NOTE: The auxiliary systems, equipment, trifuges. These bearings usually have the fol- and components for a gas centrifuge enrich- lowing characteristics: ment plant are the systems of the plant (i) Designed to keep centred a rotor - needed to feed UF6 to the centrifuges to link ning at 600 Hz or more; and the individual centrifuges to each other to (ii) Associated to a reliable electrical form cascades (or stages) to allow for pro- power supply and/or to an uninterruptible gressively higher enrichments and to extract

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the product and tails of UF6 from the cen- 2. Bellows-sealed valves, manual or auto- trifuges, together with the equipment re- mated, shut-off or control, made of or pro- quired to drive the centrifuges or to control tected by materials resistant to by the plant. UF6, with an inside diameter of 10 to 160 mm, especially designed or prepared for use in Normally UF6 is evaporated from the using heated autoclaves and is distributed in main or auxiliary systems of gas centrifuge gaseous form to the centrifuges by way of enrichment plants. cascade header pipework. The ‘‘product’’ and Typical especially designed or prepared valves include bellow-sealed valves, fast act- ‘‘tails’’ of UF6 gaseous streams flowing from the centrifuges are also passed by way of cas- ing closure-types, fast acting valves, and cade header pipework to cold traps (oper- others. ating at about 203 K (¥70 °C)) where they are (d) UF6 Mass Spectrometers/Ion Sources: condensed prior to onward transfer into suit- Especially designed or prepared mass spec- able containers for transportation or stor- trometers capable of taking on-line samples age. Because an enrichment plant consists of from UF6 gas streams and having all of the many thousands of centrifuges arranged in following: cascades, there are many kilometers of cas- 1. Capable of measuring of 320 atomic cade header pipework incorporating thou- mass units or greater and having a resolu- sands of welds with a substantial amount of tion of better than 1 part in 320. repetition of layout. The equipment, compo- 2. Ion sources constructed of or protected nent and piping systems are fabricated to by nickel, nickel-copper alloys with a nickel very high vacuum and cleanliness standards. content of 60 percent or more by weight, or Some of the items listed below either come nickel-chrome alloys. 3. bombardment ionization into direct contact with the UF process gas 6 sources. or directly control the centrifuges and the 4. Having a collector system suitable for passage of the gas from centrifuge to cen- isotope analysis. trifuge and cascade to cascade. Materials re- (e) Frequency Changers: Frequency chang- sistant to corrosion by UF include copper, 6 ers (also known as converters or inverters) copper alloys, stainless steel, aluminum, alu- especially designed or prepared to supply minum oxide, aluminum alloys, nickel or al- motor stators as defined under § 1.2(d) of this loys containing 60 percent or more nickel, appendix, or parts, components, and sub- and fluorinated hydrocarbon polymers. assemblies of such frequency changers hav- (a) Feed Systems/Product and Tails With- ing all of the following characteristics: drawal Systems: Especially designed or pre- 1. A multiphase output of 600 Hz or greater; pared process systems or equipment for en- and richment plants made of or protected by ma- 2. High stability (with frequency control terials resistant to corrosion by UF includ- 6 better than 0.2 percent). ing: (f) Any other components especially de- 1. Feed autoclaves, ovens, or systems used signed or prepared for use in a gas centrifuge for passing UF6 to the enrichment process. enrichment plant or in any of the compo- 2. Desublimers, cold traps, or pumps used nents described in this appendix. to remove UF6 from the enrichment process for subsequent transfer upon heating. [79 FR 39291, July 10, 2014] 3. Solidification or liquefaction stations used to remove UF6 from the enrichment APPENDIX C TO PART 110—ILLUSTRATIVE process by compressing and converting UF6 LIST OF GASEOUS DIFFUSION ENRICH- to a liquid or solid form. MENT PLANT ASSEMBLIES AND COM- 4. ‘‘Product’’ and ‘‘tails’’ stations used for PONENTS UNDER NRC EXPORT LI- transferring UF6 into containers. CENSING AUTHORITY (b) Machine Header Piping Systems: Espe- cially designed or prepared piping systems NOTE: In the gaseous diffusion method of and header systems for handling UF6 within uranium isotope separation, the main tech- the centrifuge cascades. nological assembly is a special porous gas- This piping network is normally of the eous diffusion barrier, heat exchanger for ‘‘triple’’ header system with each centrifuge cooling the gas (which is heated by the proc- connected to each of the headers. There is ess of compression), seal valves and control therefore a substantial amount of repetition valves, and pipelines. Inasmuch as gaseous in its form. It is wholly made of or protected diffusion technology uses uranium by UF6 resistant materials (see Note to this hexafluoride (UF6), all equipment, pipeline section) and is fabricated to very high vacu- and instrumentation surfaces (that come in um and cleanliness standards. contact with the gas) must be made of mate- (c) Special shut-off and control valves: rials that remain stable in contact with UF6. 1. Shut-off valves especially designed or A gaseous diffusion facility requires a num- prepared to act on the feed, ‘‘product’’ or ber of these assemblies, so that quantities ‘‘tails’’ UF6 gaseous streams of an individual can provide an important indication of end gas centrifuge. use.

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The auxiliary systems, equipment, and or alloys containing 60 percent or more nick- components for gaseous diffusion enrichment el, aluminum oxide, or UF6-resistant fully plants are the systems of plant needed to fluorinated hydrocarbon polymers having a feed UF6 to the gaseous diffusion assembly to purity of 99.9 percent by weight or more, a link the individual assemblies to each other particle size less than 10 μm, and a high de- to form cascades (or stages) to allow for pro- gree of particle size uniformity, which are gressively higher enrichments and to extract especially prepared for the manufacture of the ‘‘product’’ and ‘‘tails’’ UF6 from the dif- gaseous diffusion barriers. fusion cascades. Because of the high inertial properties of diffusion cascades, any inter- 1.2 Diffuser Housings ruption in their operation, and especially Especially designed or prepared hermeti- their shut-down, to serious con- cally sealed vessels for containing the gas- sequences. Therefore, a strict and constant eous diffusion barrier, made of or protected maintenance of vacuum in all technological by UF6-resistant materials (See Note in § 2 of systems, automatic protection for accidents, this appendix). and precise automated regulation of the gas flow is of importance in a gaseous diffusion 1.3 Compressors and Gas Blowers plant. All this leads to a need to equip the plant with a large number of special meas- Especially designed or prepared compres- uring, regulating, and controlling systems. sors or gas blowers with a suction volume ca- 3 pacity of 1 m per minute or more of UF6, Normally UF6 is evaporated from cylinders placed within autoclaves and is distributed and with a discharge pressure of up to 500 in gaseous form to the entry point by way of kPa, designed for long-term operation in the cascade header pipework. The ‘‘product’’ and UF6 environment, as well as separate assem- blies of such compressors and gas blowers. ‘‘tails’’ UF6 gaseous streams flowing from exit points are passed by way of cascade These compressors and gas blowers have a header pipework to either cold traps or to pressure ratio of 10:1 or less and are made of, or protected by, materials resistant to UF compression stations where the UF6 gas is 6 liquified prior to onward transfer into suit- (See Note in § 2 of this appendix). able containers for transportation or stor- age. Because a gaseous diffusion enrichment 1.4 Rotary Shaft Seals plant consists of a large number of gaseous Especially designed or prepared vacuum diffusion assemblies arranged in cascades, seals, with seal feed and seal exhaust connec- there are many kilometers of cascade header tions, for sealing the shaft connecting the pipework, incorporating thousands of welds compressor or the gas blower rotor with the with substantial amounts of repetition of driver motor so as to ensure a reliable seal layout. The equipment, components, and pip- against in-leaking of air into the inner ing systems are fabricated to very high vacu- chamber of the compressor or gas blower um and cleanliness standards. which is filled with UF6. Such seals are nor- The items listed below either come into di- mally designed for a buffer gas in-leakage rect contact with the UF6 process gas or di- rate of less than 1000 cm3 per minute. rectly control the flow within the cascade. All surfaces which come into contact with 1.5 Heat Exchangers for Cooling UF6 the process gas are wholly made of, or lined Especially designed or prepared heat ex- with, UF -resistant materials. For the pur- 6 changers made of or protected by UF resist- poses of this appendix, the materials resist- 6 ant materials (see Note to § 2 of this appen- ant to corrosion by UF include copper, cop- 6 dix) and intended for a leakage pressure per alloys, stainless steel, aluminum, alu- change rate of less than 10 Pa per hour under minum oxide, aluminum alloys, nickel or al- a pressure difference of 100 kPa. loys containing 60 percent or more nickel 2. Auxiliary systems, equipment, and com- and fluorinated hydrocarbon polymers. 1. Assemblies and components especially ponents especially designed or prepared for designed or prepared for use in gaseous diffu- use in gaseous diffusion enrichment. sion enrichment. NOTE: The items listed below either come into direct contact with the UF6 process gas 1.1 Gaseous Diffusion Barriers and Barrier or directly control the flow within the cas- Materials cade. Materials resistant to corrosion by UF6 (a) Especially designed or prepared thin, include copper, copper alloys, stainless steel, porous filters, with a pore size of 10–100 nm, aluminum, aluminum oxide, aluminum al- a thickness of 5 mm or less, and for tubular loys, nickel or alloys containing 60 percent forms, a diameter of 25 mm or less, made of or more nickel, and fluorinated hydrocarbon metallic, polymer or ceramic materials re- polymers. sistant to corrosion by UF (See Note in § 2 of 6 2.1 Feed Systems/Product and Tails this appendix). Withdrawal Systems (b) Especially prepared compounds or pow- ders for the manufacture of such filters. Especially designed or prepared process Such compounds and powders include nickel systems or equipment for enrichment plants

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made of, or protected by, materials resistant APPENDIX D TO PART 110—ILLUSTRATIVE to corrosion by UF6, including: LIST OF AERODYNAMIC ENRICHMENT (1) Feed autoclaves, ovens, or systems used PLANT EQUIPMENT AND COMPONENTS for passing UF to the enrichment process; 6 UNDER NRC EXPORT LICENSING AU- (2) Desublimers, cold traps, or pumps used THORITY to remove UF6 from the enrichment process for subsequent transfer upon heating; NOTE: In aerodynamic enrichment proc- (3) Solidification or liquefaction stations esses, a mixture of gaseous UF6 and light gas used to remove UF6 from the enrichment (hydrogen or ) is compressed and then process by compressing and converting UF6 passed through separating elements wherein to a liquid or solid form; isotopic separation is accomplished by the (4) ‘‘Product’’ or ‘‘tails’’ stations used for generation of high centrifugal forces over a transferring UF6 into containers. curved-wall geometry. Two processes of this type have been successfully developed: The 2.2 Header Piping Systems separation nozzle process and the vortex Especially designed or prepared piping sys- tube process. For both processes, the main components of a separation stage included tems and header systems for handling UF6 within the gaseous diffusion cascades. This cylindrical vessels housing the special sepa- piping network is normally of the ‘‘double’’ ration elements (nozzles or vortex tubes), gas header system with each cell connected to compressors, and heat exchangers to remove each of the headers. the heat of compression. An aerodynamic plant requires a number of these stages, so 2.3 Vacuum Systems that quantities can provide an important in- dication of end use. Because aerodynamic (a) Especially designed or prepared vacuum processes use UF , all equipment, pipeline manifolds, vacuum headers and vacuum 6 and instrumentation surfaces (that come in pumps having a suction capacity of 5 m3 per contact with the gas) must be made of, or minute or more. protected by, materials that remain stable in (b) Vacuum pumps especially designed for contact with UF6. All surfaces which come service in UF6-bearing made of, into contact with the process gas are made or protected by, materials resistant to corro- of, or protected by, UF6-resistant materials; sion by UF6 (See Note to this section). These including copper, copper alloys, stainless pumps may be either rotary or positive dis- steel, aluminum, aluminum oxide, aluminum placement, may have fluorocarbon seals, and alloys, nickel or alloys containing 60 percent may have special working fluids present. or more nickel by weight, and fluorinated 2.4 Special Shut-Off and Control Valves hydrocarbon polymers. The following items either come into di- Especially designed or prepared bellows- rect contact with the UF6 process gas or di- sealed valves, manual or automated, shut-off rectly control the flow within the cascade: or control valves, made of, or protected by, (1) Separation nozzles and assemblies. materials resistant to corrosion by UF6, for Especially designed or prepared separation installation in main and auxiliary systems of nozzles and assemblies thereof. The separa- gaseous diffusion enrichment plants. tion nozzles consist of slit-shaped, curved channels having a radius of curvature less 2.5 UF6 Mass Spectrometers/Ion Sources than 1 mm, resistant to corrosion by UF6 and Especially designed or prepared mass spec- having a knife-edge within the nozzle that trometers capable of taking on-line samples separates the gas flowing through the nozzle from UF6 gas streams and having all of the into two fractions. following: (2) Vortex tubes and assemblies. (a) Capable of measuring ions of 320 atomic Especially designed or prepared vortex mass units or greater and having a resolu- tubes and assemblies thereof. The vortex tion of better than 1 part in 320; tubes are cylindrical or tapered, made of, or (b) ion sources constructed of or protected protected by, materials resistant to corro- by nickel, nickel-copper alloys with a nickel sion by UF6, and with one or more tangential content of 60 percent or more by weight, or inlets. The tubes may be equipped with noz- nickel-chrome alloys; zle-type appendages at either or both ends. (c) electron bombardment ionization The feed gas enters the vortex tube tangen- sources; and tially at one end or through swirl vanes or at (d) having a collector system suitable for numerous tangential positions along the pe- isotopic analysis. riphery of the tube. 3. Any other components especially de- (3) Compressors and gas blowers. Especially designed or prepared compres- signed or prepared for use in a gaseous diffu- sors or gas blowers made of, or protected by, sion enrichment plant or in any of the com- materials resistant to corrosion by the UF / ponents described in this appendix. 6 carrier gas (hydrogen or helium) mixture. [79 FR 39293, July 10, 2014] (4) Rotary shaft seals.

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Especially designed or prepared rotary Especially designed or prepared mass spec- shaft seals, with seal feed and seal exhaust trometers capable of taking on-line samples connections, for sealing the shaft connecting from UF6 gas streams and having all of the the compressor rotor or the gas blower rotor following: with the driver motor to ensure a reliable (i) Capable of measuring ions of 320 atomic seal against out-leakage of process gas or in- mass units or greater and having a resolu- leakage of air or seal gas into the inner tion of better than 1 part in 320; chamber of the compressor or gas blower (ii) Ion sources constructed of or protected which is filled with a UF6/carrier gas mix- by nickel, nickel-copper alloys with a nickel ture. content of 60 percent or more by weight, or (5) Heat exchangers for gas cooling. nickel-chrome alloys; Especially designed or prepared heat ex- (iii) Electron bombardment ionization changers, made of, or protected by, materials sources; and (iv) Collector system suitable for isotopic resistant to corrosion by UF6. (6) Separation element housings. analysis. Especially designed or prepared separation (12) UF6/carrier gas separation systems. element housings, made of, or protected by, Especially designed or prepared process systems for separating UF6 from carrier gas materials resistant to corrosion by UF6, for containing vortex tubes or separation noz- (hydrogen or helium). zles. These systems are designed to reduce the UF content in the carrier gas to 1 ppm or (7) Feed systems/product and tails with- 6 less and may incorporate equipment such as: drawal systems. (i) Cryogenic heat exchangers and Especially designed or prepared process cryoseparators capable of temperatures of systems or equipment for enrichment plants 153 K (–120 °C) or less; made of, or protected by, materials resistant (ii) Cryogenic refrigeration units capable to corrosion by UF6, including: of temperatures of 153 K (–120 °C) or less; (i) Feed autoclaves, ovens, or systems used (iii) Separation nozzle or vortex tube units for passing UF6 to the enrichment process; for the separation of UF6 from carrier gas; or (ii) Desublimers (or cold traps) used to re- (iv) UF6 cold traps capable of freezing out move UF6 from the enrichment process for UF6. subsequent transfer upon heating; (13) Any other components especially de- (iii) Solidification or liquefaction stations signed or prepared for use in an aerodynamic used to remove UF6 from the enrichment enrichment plant or in any of the compo- process by compressing and converting UF6 nents described in this appendix. to a liquid or solid form; and (iv) ‘‘Product’’ or ‘‘tails’’ stations used for [79 FR 39294, July 10, 2014] transferring UF6 into containers. (8) Header piping systems. APPENDIX E TO PART 110—ILLUSTRATIVE Especially designed or prepared header pip- LIST OF CHEMICAL EXCHANGE OR ION ing systems, made of or protected by mate- EXCHANGE ENRICHMENT PLANT rials resistant to corrosion by UF6, for han- EQUIPMENT AND COMPONENTS UNDER dling UF6 within the aerodynamic cascades. NRC EXPORT LICENSING AUTHORITY The piping network is normally of the ‘‘dou- ble’’ header design with each stage or group NOTE: The slight difference in mass be- of stages connected to each of the headers. tween the isotopes of uranium causes small (9) Vacuum systems and pumps. changes in chemical reaction equilibria that (i) Especially designed or prepared vacuum can be used as a basis for separation of the systems consisting of vacuum manifolds, isotopes. Two processes have been success- vacuum headers and vacuum pumps, and de- fully developed: Liquid-liquid chemical ex- signed for service in UF6-bearing change and solid-liquid ion exchange. atmospheres. A. In the liquid-liquid chemical exchange (ii) Especially designed or prepared vacu- process, immiscible liquid phases (aqueous um pumps for service in UF6-bearing and organic) are countercurrently contacted atmospheres and made of, or protected by, to give the cascading effect of thousands of materials resistant to corrosion by UF6. separation stages. The aqueous phase con- These pumps may use fluorocarbon seals and sists of uranium in hydrochloric special working fluids. ; the organic phase consists of (10) Special shut-off and control valves. an extractant containing uranium chloride Especially designed or prepared bellows- in an organic solvent. The contactors em- sealed valves, manual or automated, shut-off ployed in the separation cascade can be liq- or control valves made of, or protected by, uid-liquid exchange columns (such as pulsed materials resistant to corrosion by UF6 with columns with sieve plates) or liquid cen- a diameter of 40 mm or greater for installa- trifugal contactors. Chemical conversions tion in main and auxiliary systems of aero- (oxidation and reduction) are required at dynamic enrichment plants. both ends of the separation cascade in order (11) UF6 mass spectrometers/ion sources. to provide for the reflux requirements at 749

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each end. A major design concern is to avoid (ii) Especially designed or prepared sys- contamination of the process streams with tems at the product end of the cascade for certain metal ions. Plastic, plastic-lined (in- taking the U∂4 out of the organic stream, cluding use of fluorocarbon polymers) and/or adjusting the acid concentration, and feeding glass-lined columns and piping are therefore to the electrochemical reduction cells. used. These systems consist of solvent extrac- (1) Liquid-liquid exchange columns. tion equipment for stripping the U∂4 from Countercurrent liquid-liquid exchange col- the organic stream into an aqueous solution, umns having mechanical power input espe- evaporation and/or other equipment to ac- cially designed or prepared for uranium en- complish solution pH adjustment and con- richment using the chemical exchange proc- trol, and pumps or other transfer devices for ess. For corrosion resistance to concentrated feeding to the electrochemical reduction , these columns cells. A major design concern is to avoid con- and their internals are normally made of, or tamination of the aqueous stream with cer- protected by, suitable plastic materials tain metal ions. For those parts in contact (such as fluorinated hydrocarbon polymers) with the process stream, the system is con- or glass. The stage of the col- structed of equipment made of, or protected umns is normally designed to be 30 seconds by, materials such as glass, fluorocarbon or less. polymers, polyphenyl , polyether (2) Liquid-liquid centrifugal contactors. sulfone, and resin-impregnated graphite. (4) Feed preparation systems. Especially designed or prepared for ura- Especially designed or prepared systems nium enrichment using the chemical ex- for producing high-purity uranium chloride change process. These contactors use rota- feed solutions for chemical exchange ura- tion to achieve dispersion of the organic and nium isotope separation plants. aqueous streams and then centrifugal force These systems consist of dissolution, sol- to separate the phases. For corrosion resist- vent extraction and/or ion exchange equip- ance to concentrated hydrochloric acid solu- ment for purification and electrolytic cells tions, the contactors are normally made of, for reducing the uranium U∂6 or U∂4 to U∂3. or protected by, suitable plastic materials These systems produce uranium chloride so- (such as fluorinated hydrocarbon polymers) lutions having only a few parts per million of or glass. The stage residence time of the cen- metallic impurities such as chromium, iron, trifugal contactors is designed to be short (30 vanadium, molybdenum, and other bivalent seconds or less). or higher multi-valent cations. Materials of (3) Uranium reduction systems and equip- construction for portions of the system proc- ment. essing high-purity U∂3 include glass, (i) Especially designed or prepared electro- fluorinated hydrocarbon polymers, chemical reduction cells to reduce uranium polyphenyl sulfate or polyether sulfone plas- from one valence state to another for ura- tic-lined and resin-impregnated graphite. nium enrichment using the chemical ex- (5) Uranium oxidation systems. change process. The cell materials in contact Especially designed or prepared systems with process solutions must be corrosion re- for oxidation of U∂3 to U∂4 for return to the sistant to concentrated hydrochloric acid so- uranium isotope separation cascade in the lutions. chemical exchange enrichment process. The cell cathodic compartment must be These systems may incorporate equipment designed to prevent re-oxidation of uranium such as: to its higher valence state. To keep the ura- (i) Equipment for contacting chlorine and nium in the cathodic compartment, the cell with the aqueous effluent from the may have an impervious diaphragm mem- isotope separation equipment and extracting brane constructed of special cation exchange the resultant U∂4 into the stripped organic material. The cathode consists of a suitable stream returning from the product end of the solid conductor such as graphite. cascade; and These systems consist of solvent extrac- (ii) Equipment that separates water from tion equipment for stripping the U∂4 from hydrochloric acid so that the water and the the organic stream into an aqueous solution, concentrated hydrochloric acid may be re- evaporation and/or other equipment to ac- introduced to the process at the proper loca- complish solution pH adjustment and con- tions. trol, and pumps or other transfer devices for B. In the solid-liquid ion-exchange process, feeding to the electrochemical reduction enrichment is accomplished by uranium ad- cells. A major design concern is to avoid con- sorption/desorption on a special, fast-acting, tamination of the aqueous stream with cer- ion-exchange resin or adsorbent. A solution tain metal ions. For those parts in contact of uranium in hydrochloric acid and other with the process stream, the system is con- chemical agents is passed through cylin- structed of equipment made of, or protected drical enrichment columns containing by, materials such as glass, fluorocarbon packed beds of the adsorbent. For a contin- polymers, polyphenyl sulfate, polyether uous process, a reflux system is necessary to sulfone, and resin-impregnated graphite. release the uranium from the adsorbent back

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in the liquid flow so that ‘‘product’’ and C. Any other components especially de- ‘‘tails’’ can be collected. This is accom- signed or prepared for use in a chemical ex- plished with the use of suitable reduction/ox- change or ion exchange enrichment plant or idation chemical agents that are fully regen- in any of the components described in this erated in separate external circuits and that appendix. may be partially regenerated within the iso- [79 FR 39295, July 10, 2014] topic separation columns themselves. The presence of hot concentrated hydrochloric acid solutions in the process requires that APPENDIX F TO PART 110—ILLUSTRATIVE the equipment be made of, or protected by, LIST OF LASER-BASED ENRICHMENT special corrosion-resistant materials. PLANT EQUIPMENT AND COMPONENTS (1) Fast reacting ion exchange resins/ad- UNDER NRC EXPORT LICENSING AU- sorbents. THORITY Especially designed or prepared for ura- nium enrichment using the ion exchange NOTE: Present systems for enrichment process, including porous macroreticular res- processes using lasers fall into two cat- ins, and/or pellicular structures in which the egories: The process medium is atomic ura- active chemical exchange groups are limited nium vapor and the process medium is the to a coating on the surface of an inactive po- vapor of a uranium compound, sometimes rous support structure, and other composite mixed with another gas or gases. Common structures in any suitable form including nomenclature for these processes include: particles or fibers. These ion exchange res- First category-atomic vapor laser isotope ins/adsorbents have diameters of 0.2 mm or separation; and second category-molecular less and must be chemically resistant to con- laser isotope separation including chemical centrated hydrochloric acid solutions as well reaction by isotope selective laser activa- as physically strong enough so as not to de- tion. The systems, equipment, and compo- grade in the exchange columns. The resins/ nents for laser enrichment plants include: (a) adsorbents are especially designed to achieve Devices to feed uranium-metal vapor for se- very fast uranium isotope exchange kinetics lective photo-ionization or devices to feed (exchange rate half-time of less than 10 sec- the vapor of a uranium compound (for selec- onds) and are capable of operating at a tem- tive photo-dissociation or selective exci- perature in the range of 373 K (100 °C) to 473 tation/activation); (b) devices to collect en- K (200 °C). riched and depleted uranium metal as (2) Ion exchange columns. ‘‘product’’ and ‘‘tails’’ in the first category, Cylindrical columns greater than 1000 mm and devices to collect enriched and depleted in diameter for containing and supporting uranium compounds as ‘‘product’’ and packed beds of ion exchange resin/adsorbent, ‘‘tails’’ in the second category; (c) process especially designed or prepared for uranium laser systems to selectively excite the ura- enrichment using the ion exchange process. nium-235 species; and (d) feed preparation These columns are made of, or protected by, and product conversion equipment. The com- materials (such as titanium or fluorocarbon plexity of the spectroscopy of uranium plastics) resistant to corrosion by con- atoms and compounds may require incorpo- centrated hydrochloric acid solutions and ration of a number of available laser and are capable of operating at a temperature in laser optics technologies. the range of 373 K (100 °C) to 473 K (200 °C) All surfaces that come into direct contact and pressures above 0.7 MPa. with the uranium or UF6 are wholly made of, (3) Ion exchange reflux systems. or protected by, corrosion-resistant mate- (i) Especially designed or prepared chem- rials. For laser-based enrichment items, the ical or electrochemical reduction systems materials resistant to corrosion by the vapor for regeneration of the chemical reducing or liquid of uranium metal or uranium alloys agent(s) used in ion exchange uranium en- include yttria-coated graphite and tantalum; richment cascades. and the materials resistant to corrosion by The ion exchange enrichment process may UF6 include copper, copper alloys, stainless use, for example, trivalent titanium (Ti∂3) as steel, aluminum, aluminum oxide, aluminum a reducing cation in which case the reduc- alloys, nickel or alloys containing 60 percent tion system would regenerate Ti∂3 by reduc- or more nickel by weight, and fluorinated ing Ti∂4. hydrocarbon polymers. Many of the fol- (ii) Especially designed or prepared chem- lowing items come into direct contact with ical or electrochemical oxidation systems for uranium metal vapor or liquid or with proc- regeneration of the chemical oxidizing ess gas consisting of UF6 or a mixture of UF6 agent(s) used in ion exchange uranium en- and other gases: richment cascades. (1) Uranium vaporization systems (atomic The ion exchange enrichment process may vapor based methods). use, for example, trivalent iron (Fe∂3) as an Especially designed or prepared uranium oxidant in which case the oxidation system metal vaporization systems for use in laser would regenerate Fe∂3 by oxidizing Fe∂2. enrichment.

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These systems may contain electron beam be corrosion resistant to the UF5/UF6 envi- guns and are designed to achieve a delivered ronment. power (1 kW or greater) on the target suffi- (7) UF6/carrier gas compressors (molecular cient to generate uranium metal vapour at a based methods). rate required for the laser enrichment func- Especially designed or prepared compres- tion. sors for UF6/carrier gas mixtures, designed (2) Liquid or vapor uranium metal han- for long term operation in a UF6 environ- dling systems and components (atomic vapor ment. Components of these compressors that based methods). come into contact with process gas are made Especially designed or prepared systems of, or protected by, materials resistant to for handling molten uranium, molten ura- UF6 corrosion. nium alloys, or uranium metal vapor. (8) Rotary shaft seals (molecular based The liquid uranium metal handling sys- methods). tems may consist of crucibles and cooling Especially designed or prepared rotary equipment for the crucibles. The crucibles shaft seals, with seal feed and seal exhaust and other system parts that come into con- connections, for sealing the shaft connecting tact with molten uranium, molten uranium the compressor rotor with the driver motor alloys, or uranium metal vapor are made of, to ensure a reliable seal against out-leakage or protected by, materials of suitable corro- of process gas or in-leakage of air or seal gas sion and heat resistance, such as tantalum, into the inner chamber of the compressor yttria-coated graphite, graphite coated with which is filled with a UF6/carrier gas mix- other rare earth oxides, or mixtures thereof. ture. (3) Uranium metal ‘‘product’’ and ‘‘tails’’ (9) Fluorination systems (molecular based collector assemblies (atomic vapor based methods). methods). Especially designed or prepared systems Especially designed or prepared ‘‘product’’ for fluorinating UF (solid) to UF (gas). and ‘‘tails’’ collector assemblies for uranium 5 6 metal in liquid or solid form. These systems are designed to fluorinate Components for these assemblies are made the collected UF5 powder to UF6 for subse- of or protected by materials resistant to the quent collection in product containers or for heat and corrosion of uranium metal vapor transfer as feed for additional enrichment. In or liquid, such as yttria-coated graphite or one approach, the fluorination reaction may tantalum, and may include pipes, valves, fit- be accomplished within the isotope separa- tings, ‘‘gutters,’’ feed-throughs, heat ex- tion system to react and recover directly off changers and collector plates for magnetic, the ‘‘product’’ collectors. In another ap- electrostatic, or other separation methods. proach, the UF5 powder may be removed/ (4) Separator module housings (atomic transferred from the ‘‘product’’ collectors vapor based methods). into a suitable reaction vessel (e.g., fluid- Especially designed or prepared cylindrical ized-bed reactor, screw reactor or flame or rectangular vessels for containing the tower) for fluorination. In both approaches, uranium metal vapor source, the electron equipment is used for storage and transfer of beam gun, and the ‘‘product’’ and ‘‘tails’’ fluorine (or other suitable fluorinating collectors. These housings have multiplicity agents) and for collection and transfer of of ports for electrical and water feed- UF6. throughs, laser beam windows, vacuum pump (10) UF6 mass spectrometers/ion sources connections, and instrumentation (molecular based methods). diagnostics and monitoring with opening and Especially designed or prepared mass spec- closure provisions to allow refurbishment of trometers capable of taking on-line samples internal components. from UF6 gas streams and having all of the (5) Supersonic expansion nozzles (molec- following characteristics: ular based methods). (i) Capable of measuring ions of 320 atomic Especially designed or prepared supersonic mass units or greater and having a resolu- expansion nozzles for cooling mixtures of tion of better than 1 part in 320; UF6 and carrier gas to 150 K (¥123 °C) or less (ii) Ion sources constructed of or protected which are corrosion resistant to UF6. by nickel, nickel-copper alloys with a nickel (6) ‘‘Product’’ or ‘‘tails’’ collectors (molec- content of 60 percent or more by weight, or ular based methods). nickel-chrome alloys; Especially designed or prepared compo- (iii) Electron bombardment ionization nents or devices for collecting uranium prod- sources; and uct material or uranium tails material fol- (iv) Collector system suitable for isotopic lowing illumination with laser light. analysis. In one example of molecular laser isotope (11) Feed systems/product and tails with- separation, the product collectors serve to drawal systems (molecular based methods). collect enriched uranium pentafluoride (UF5) Especially designed or prepared process solid material. The product collectors may systems or equipment for enrichment plants consist of filter, impact, or cyclone-type col- made of or protected by materials resistant lectors, or combinations thereof, and must to corrosion by UF6, including: 752

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(i) Feed autoclaves, ovens, or systems used the process include the uranium plasma gen- for passing UF6 to the enrichment process; eration system, the separator module with (ii) Desublimers (or cold traps) used to re- superconducting magnet, and metal removal move UF6 from the enrichment process for systems for the collection of ‘‘product’’ and subsequent transfer upon heating; ‘‘tails.’’ (iii) Solidification or liquefaction stations (1) Microwave power sources and antennae. used to remove UF6 from the enrichment Especially designed or prepared microwave process by compressing and converting UF6 power sources and antennae for producing or to a liquid or solid; and accelerating ions having the following char- (iv) ‘‘Product’’ or ‘‘tails’’ stations used to acteristics: Greater than 30 GHz frequency transfer UF6 into containers. and greater than 50 kW mean power output (12) UF6/carrier gas separation systems for ion production. (molecular based methods). (2) Ion excitation coils. Especially designed or prepared process Especially designed or prepared radio fre- systems for separating UF6 from carrier gas. quency ion excitation coils for frequencies of These systems may incorporate equipment more than 100 kHz and capable of handling such as: more than 40 kW mean power. (i) Cryogenic heat exchangers or (3) Uranium plasma generation systems. cryoseparators capable of temperatures of Especially designed or prepared systems 153 K (¥120 °C) or less; for the generation of uranium plasma for use (ii) Cryogenic refrigeration units capable in plasma separation plants. of temperatures of 153 K (¥120 °C) or less; or (4) Uranium metal ‘‘product’’ and ‘‘tails’’ (iii) UF6 cold traps capable of freezing out collector assemblies. UF6. Especially designed or prepared ‘‘product’’ (13) Lasers or Laser systems. and ‘‘tails’’ collector assemblies for uranium Especially designed or prepared for the metal in solid form. These collector assem- separation of uranium isotopes. blies are made of, or protected by, materials The laser system typically contains both resistant to the heat and corrosion of ura- optical and electronic components for the nium metal vapor, such as yttria-coated management of the laser beam (or beams) graphite or tantalum. and the transmission to the isotope separa- (5) Separator module housings. tion chamber. The laser system for atomic Especially designed or prepared cylindrical vapor based methods usually consists of tun- vessels for use in plasma separation enrich- able dye lasers pumped by another type of ment plants for containing the uranium plas- laser (e.g., copper vapor lasers or certain ma source, radio-frequency drive coil, and solid-state lasers). The laser system for mo- the ‘‘product’’ and ‘‘tails’’ collectors. lecular based methods may consist of CO2 la- These housings have a multiplicity of ports sers or excimer lasers and a multi-pass opti- for electrical feed-throughs, diffusion pump cal cell. Lasers or laser systems for both connections, and instrumentation methods require spectrum frequency sta- diagnostics and monitoring. They have pro- bilization for operation over extended peri- visions for opening and closure to allow for ods of time. refurbishment of internal components and (14) Any other components especially de- are constructed of a suitable non-magnetic signed or prepared for use in a laser-based material such as stainless steel. enrichment plant or in any of the compo- (6) Any other components especially de- nents described in this appendix. signed or prepared for use in a plasma sepa- ration enrichment plant or in any of the [79 FR 39296, July 10, 2014] components described in this appendix. APPENDIX G TO PART 110—ILLUSTRATIVE [79 FR 39297, July 10, 2014] LIST OF PLASMA SEPARATION EN- RICHMENT PLANT EQUIPMENT AND APPENDIX H TO PART 110—ILLUSTRATIVE COMPONENTS UNDER NRC EXPORT LIST OF ELECTROMAGNETIC ENRICH- LICENSING AUTHORITY MENT PLANT EQUIPMENT AND COMPO- NENTS UNDER NRC EXPORT LICENS- NOTE: In the plasma separation process, a ING AUTHORITY plasma of uranium ions passes through an electric field tuned to the 235U ion resonance NOTE: In the electromagnetic process, ura- frequency so that they preferentially absorb nium metal ions produced by ionization of a energy and increase the diameter of their feed material (typically UCL4) are accel- corkscrew-like orbits. Ions with a large-di- erated and passed through a magnetic field ameter path are trapped to produce a prod- that has the effect of causing the ions of dif- uct enriched in 235U. The plasma, made by ferent isotopes to follow different paths. The ionizing uranium vapor, is contained in a major components of an electromagnetic iso- vacuum chamber with a high-strength mag- tope separator include: a magnetic field for netic field produced by a superconducting ion-beam diversion/separation of the iso- magnet. The main technological systems of topes, an with its acceleration

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system, and a collection system for the sepa- magnetic enrichment plant or in any of the rated ions. Auxiliary systems for the process components described in this appendix. include the magnet power supply system, the [61 FR 35606, July 8, 1996, as amended at 79 ion source high-voltage power supply sys- FR 39297, July 10, 2014] tem, the vacuum system, and extensive chemical handling systems for recovery of product and cleaning/recycling of compo- APPENDIX I TO PART 110—ILLUSTRATIVE nents. LIST OF REPROCESSING PLANT COM- PONENTS UNDER NRC EXPORT LI- (1) Electromagnetic isotope separators. CENSING AUTHORITY Especially designed or prepared for the separation of uranium isotopes, and equip- NOTE: Reprocessing irradiated nuclear fuel ment and components therefor, including: separates plutonium and uranium from in- (i) Ion Sources—especially designed or pre- tensely radioactive fission products and pared single or multiple uranium ion sources other transuranic elements. Different tech- consisting of a vapor source, ionizer, and nical processes can accomplish this separa- beam accelerator, constructed of materials tion. However, over the years Purex has be- such as graphite, stainless steel, or copper, come the most commonly used and accepted and capable of providing a total ion beam process. Purex involves the dissolution of ir- current of 50 mA or greater; radiated nuclear fuel in , followed (ii) Ion collectors—collector plates con- by separation of the uranium, plutonium, sisting of two or more slits and pockets espe- and fission products by solvent extraction cially designed or prepared for collection of using a mixture of tributyl in an enriched and depleted uranium ion beams organic diluent. and constructed of materials such as graph- Purex facilities have process functions ite or stainless steel; similar to each other, including: Irradiated (iii) Vacuum housings—especially designed fuel element chopping, fuel dissolution, sol- or prepared vacuum housings for uranium vent extraction, and process liquor storage. electromagnetic separators, constructed of There may also be equipment for thermal suitable non-magnetic materials such as denitration of uranium nitrate, conversion of stainless steel and designed for operation at plutonium nitrate to oxide metal, and treat- pressures of 0.1 Pa or lower. ment of fission product waste liquor to a The housings are specially designed to con- form suitable for long term storage or dis- tain the ion sources, collector plates and posal. However, the specific type and con- water-cooled liners and have provision for figuration of the equipment performing diffusion pump connections and opening and these functions may differ between Purex fa- closure for removal and reinstallation of cilities for several reasons, including the these components; and type and quantity of irradiated nuclear fuel (iv) Magnet pole pieces—especially de- to be reprocessed and the intended disposi- signed or prepared magnet pole pieces having tion of the recovered materials, and the safe- a diameter greater than 2 m used to main- ty and maintenance philosophy incorporated tain a constant magnetic field within an into the design of the facility. A plant for electromagnetic isotope separator and to the reprocessing of irradiated fuel elements transfer the magnetic field between adjoin- includes the equipment and components ing separators. which normally come in direct contact with (2) High voltage power supplies. and directly control the irradiated fuel and Especially designed or prepared high-volt- the major nuclear material and fission prod- age power supplies for ion sources, having all uct processing streams. of the following characteristics: (1) Irradiated fuel element chopping ma- (i) Capable of continuous operation; chines. (ii) Output voltage of 20,000 V or greater; Remotely operated equipment especially designed or prepared for use in a reprocess- (iii) Output current of 1 A or greater; and ing plant and intended to cut, chop, or shear (iv) Voltage regulation of better than 0.01% irradiated nuclear fuel assemblies, bundles, over an 8 hour time period. or rods. This equipment breaches the clad- (3) Magnet power supplies. ding of the fuel to expose the irradiated nu- Especially designed or prepared high- clear material to dissolution. Especially de- power, direct current magnet power supplies signed metal cutting shears are the most having all of the following characteristics: commonly employed, although advanced (i) Capable of continuously producing a equipment, such as lasers, may be used. current output of 500 A or greater at a volt- (2) Dissolvers. age of 100 V or greater; and Critically safe tanks (e.g., small diameter, (ii) A current or voltage regulation better annular, or slab tanks) especially designed or than 0.01% over an 8 hour time period. prepared for use in a reprocessing plant, in- (4) Any other components especially de- tended for dissolution of irradiated nuclear signed or prepared for use in an electro- fuel and which are capable of withstanding

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hot, highly corrosive liquid, and which can accountancy and safeguarding or any other be remotely loaded and maintained. application not related to integration and Dissolvers normally receive the chopped- use with automated process control systems up spent fuel. In these critically safe vessels, in a plant for the reprocessing of irradiated the irradiated nuclear material is dissolved fuel elements. in nitric acid and the remaining hulls re- (6) Plutonium nitrate to plutonium oxide moved from the process stream. conversion systems. Complete systems espe- (3) Solvent extractors and solvent extrac- cially designed or prepared for the conver- tion equipment. sion of plutonium nitrate to plutonium Especially designed or prepared solvent ex- oxide, in particular adapted so as to avoid tractors such as packed or pulse columns, criticality and radiation effects and to mini- mixer settlers, or centrifugal contactors for mize toxicity hazards. use in a plant for the reprocessing of irradi- (7) Plutonium metal production systems. ated fuel. Solvent extractors must be resist- Complete systems especially designed or pre- ant to the corrosive effect of nitric acid. Sol- vent extractors are normally fabricated to pared for the production of plutonium metal, extremely high standards (including special in particular adapted so as to avoid criti- welding and inspection and quality assur- cality and radiation effects and to minimize ance and quality control techniques) out of toxicity hazards. low stainless steels, titanium, zir- (8) Process control instrumentation spe- conium, or other high quality materials. cially designed or prepared for monitoring or Solvent extractors both receive the solu- controlling the processing of material in a tion of irradiated fuel from the dissolvers reprocessing plant. and the organic solution which separates the (9) Any other components especially de- uranium, plutonium, and fission products. signed or prepared for use in a reprocessing Solvent extraction equipment is normally plant or in any of the components described designed to meet strict operating param- in this appendix. eters, such as long operating lifetimes with no maintenance requirements or adapt- [79 FR 39297, July 10, 2014] ability to easy replacement, simplicity of op- eration and control, and flexibility for vari- APPENDIX J TO PART 110—ILLUSTRATIVE ations in process conditions. LIST OF URANIUM CONVERSION (4) Chemical holding or storage vessels. PLANT EQUIPMENT AND PLUTONIUM Especially designed or prepared holding or CONVERSION PLANT EQUIPMENT storage vessels for use in a plant for the re- UNDER NRC EXPORT LICENSING AU- processing of irradiated fuel. The holding or THORITY storage vessels must be resistant to the cor- rosive effect of nitric acid. The holding or NOTE: Uranium conversion plants and sys- storage vessels are normally fabricated of tems may perform one or more trans- materials such as low carbon stainless steels, formations from one uranium chemical spe- titanium or zirconium, or other high quality cies to another, including: conversion of ura- materials. Holding or storage vessels may be nium ore concentrates to UO3, conversion of designed for remote operation and mainte- UO3 to UO2, conversion of uranium oxides to nance and may have the following features UF4 or UF6, conversion of UF4 to UF6, con- for control of nuclear criticality: version of UF6 to UF4, conversion of UF4 to (i) Walls or internal structures with a uranium metal, and conversion of uranium boron equivalent of at least 2 percent, or fluorides to UO2. Many key equipment items (ii) A maximum diameter of 175 mm (7 in) for uranium conversion plants are common for cylindrical vessels, or (iii) A maximum width of 75 mm (3 in) for to several segments of the chemical process either a slab or annular vessel. industry, including furnaces, rotary kilns, (5) Neutron measurement systems for proc- fluidized bed reactors, flame tower reactors, ess control. liquid centrifuges, distillation columns and Neutron measurement systems especially liquid-liquid extraction columns. However, designed or prepared for integration and use few of the items are available ‘‘off-the- with automated process control systems in a shelf’’; most would be prepared according to plant for the reprocessing of irradiated fuel customer requirements and specifications. elements. These systems involve the capa- Some require special design and construc- bility of active and passive neutron measure- tion considerations to address the corrosive ment and discrimination in order to deter- properties of the chemicals handled (HF, F2, mine the quantity and com- CLF3, and uranium fluorides). In all of the position. The complete system is composed uranium conversion processes, equipment of a , a neutron detector, which individually is not especially designed amplifiers, and signal processing electronics. or prepared for uranium conversion can be The scope of this entry does not include assembled into systems which are especially neutron detection and measurement instru- designed or prepared for uranium conversion. ments that are designed for nuclear material (a) Uranium Conversion Plant Equipment.

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(1) Especially designed or prepared systems (9) Especially designed or prepared systems for the conversion of con- for the conversion of UO2 to UCl4 as feed for centrates to UO3. electromagnetic enrichment. Conversion of uranium ore concentrates to NOTE: Plutonium conversion plants and UO3 can be performed by first dissolving the systems may perform one or more trans- ore in nitric acid and extracting purified ura- formations from one plutonium chemical nyl nitrate using a solvent such as tributyl species to another, including: conversion of phosphate. Next, the uranyl nitrate is con- plutonium nitrate to PuO2, conversion of verted to UO3 either by concentration and PuO2 to PuF4 and conversion of PuF4 to plu- denitration or by neutralization with gas- tonium metal. Plutonium conversion plants eous ammonia to produce are usually associated with reprocessing fa- diuranate with subsequent filtering, drying, cilities, but may also be associated with plu- and calcining. tonium fuel fabrication facilities. Many of (2) Especially designed or prepared systems the key equipment items for plutonium con- for the conversion of UO3 to UF6. version plants are common to several seg- Conversion of UO3 to UF6 can be performed ments of the chemical process industry. For directly by fluorination. The process re- example, the types of equipment employed in quires a source of fluorine gas or chlorine these processes may include the following trifluoride. items: furnaces, rotary kilns, fluidized bed (3) Especially Designed or Prepared Sys- reactors, flame tower reactors, liquid cen- tems for the conversion of UO3 to UO2. trifuges, distillation columns and liquid-liq- Conversion of UO3 to UO2 can be performed uid extraction columns. Hot cells, glove through reduction of UO3 with cracked am- boxes and remote manipulators may also be monia gas or hydrogen. required. However, few of the items are (4) Especially Designed or Prepared Sys- available off-the-shelf; most would be pre- tems for the conversion of UO2 to UF4. pared according to the requirements and specifications of the customer. Particular Conversion of UO2 to UF4 can be performed care is essential in designing for the special by reacting UO2 with hydrogen gas radiological, toxicity and criticality hazards (HF) at 300–500 °C. associated with plutonium. In some cir- (5) Especially Designed or Prepared Sys- cumstances, special design and construction tems for the conversion of UF4 to UF6. considerations are required to address the Conversion of UF4 to UF6 is performed by corrosive properties of some of the chemicals exothermic reaction with fluorine in a tower handled (e.g., HF). Finally, it should be reactor. UF6 is condensed from the hot efflu- noted that, for all plutonium conversion ent gases by passing the effluent stream processes, items of equipment which individ- ¥ ° through a cold trap cooled to 10 C. The ually are not especially designed or prepared process requires a source of fluorine gas. for plutonium conversion can be assembled (6) Especially Designed or Prepared Sys- into systems that are especially designed or tems for the conversion of UF4 to U metal. prepared for use in plutonium conversion. Conversion of UF4 to U metal is performed (b) Plutonium Conversion Plant Equip- by reduction with magnesium (large batches) ment or calcium (small batches). The reaction is (1) Especially designed or prepared systems carried out at temperatures above the melt- for the conversion of plutonium nitrate to ° ing point of uranium (1130 C). oxide. (7) Especially designed or prepared systems The main functions involved in this proc- for the conversion of UF6 to UO2. ess are: process feed storage and adjustment, Conversion of UF6 to UO2 can be performed precipitation and solid/liquor separation, by one of three processes. In the first, UF6 is calcination, product handling, ventilation, reduced and hydrolyzed to UO2 using hydro- waste management, and process control. The gen and steam. In the second, UF6 is process systems are particularly adapted so hydrolyzed by solution in water, ammonia is as to avoid criticality and radiation effects added to precipitate ammonium diuranate, and to minimize toxicity hazards. In most and the diuranate is reduced to UO2 with hy- reprocessing facilities, this process involves drogen at 820 °C. In the third process, gas- the conversion of plutonium nitrate to pluto- eous UF6, CO2, and NH3 are combined in nium dioxide. Other processes can involve water, precipitating ammonium uranyl car- the precipitation of plutonium or bonate. The ammonium uranyl is plutonium peroxide. combined with steam and hydrogen at 500– (2) Especially designed or prepared systems 600 °C to yield UO2. UF6 to UO2 conversion is for plutonium metal production. often performed as the first stage of a fuel This process usually involves the fabrication plant. fluorination of plutonium dioxide, normally (8) Especially Designed or Prepared Sys- with highly corrosive hydrogen fluoride, to tems for the conversion of UF6 to UF4. Con- produce plutonium fluoride, which is subse- version of UF6 to UF4 is performed by reduc- quently reduced using high purity calcium tion with hydrogen. metal to produce metallic plutonium and a

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calcium fluoride slag. The main functions in- liquid ammonia flows from the top to the volved in this process are the following: bottom. The deuterium is stripped from the fluorination (e.g., involving equipment fab- hydrogen in the synthesis gas and con- ricated or lined with a precious metal), centrated in the ammonia. The ammonia metal reduction (e.g., employing ceramic then flows into an ammonia cracker at the crucibles), slag recovery, product handling, bottom of the tower while the gas flows into ventilation, waste management and process an ammonia converter at the top. Further control. The process systems are particu- enrichment takes place in subsequent stages larly adapted so as to avoid criticality and and reactor-grade heavy water is produced radiation effects and to minimize toxicity through final distillation. The synthesis gas hazards. Other processes include the feed can be provided by an ammonia plant fluorination of plutonium oxalate or pluto- that can be constructed in association with a nium peroxide followed by reduction to heavy water ammonia-hydrogen exchange metal. plant. The ammonia-hydrogen exchange (c) Any other components especially de- process can also use ordinary water as a feed signed or prepared for use in a uranium con- source of deuterium. version plant or plutonium conversion plant C.1. Much of the key equipment for heavy or in any of the components described in this water production plants using either the GS appendix. process or the ammonia-hydrogen exchange process are common to several segments of [61 FR 35606, July 8, 1996, as amended at 65 the chemical and petroleum industries; par- FR 70291, Nov. 22, 2000; 79 FR 39298, July 10, ticularly in small plants using the GS proc- 2014] ess. However, few items are available ‘‘off- the-shelf.’’ Both processes require the han- APPENDIX K TO PART 110—ILLUSTRATIVE dling of large quantities of flammable, corro- LIST OF EQUIPMENT AND COMPO- sive, and toxic fluids at elevated pressures. NENTS UNDER NRC EXPORT LICENS- Therefore, in establishing the design and op- ING AUTHORITY FOR USE IN A PLANT erating standards for plants and equipment using these processes, careful attention to FOR THE PRODUCTION OF HEAVY materials selection and specifications is re- WATER, DEUTERIUM AND DEUTERIUM quired to ensure long service life with high COMPOUNDS safety and reliability factors. The choice is primarily a function of economics and need. NOTE: Heavy water can be produced by a Most equipment, therefore, is prepared to variety of processes. However, two processes customer requirements. have proven to be commercially viable: The In both processes, equipment which indi- water-hydrogen sulphide exchange process vidually is not especially designed or pre- (GS process) and the ammonia-hydrogen ex- pared for heavy water production can be as- change process. sembled into especially designed or prepared A. The GS process is based upon the ex- systems for producing heavy water. Exam- change of hydrogen and deuterium between ples of such systems are the catalyst produc- water and hydrogen sulphide within a series tion system used in the ammonia-hydrogen of towers which are operated with the top exchange process and the water distillation section cold and the bottom section hot. systems used for the final concentration of Water flows down the towers while the hy- heavy water to reactor-grade in either proc- drogen sulphide gas circulates from the bot- ess. tom to the top of the towers. A series of per- C.2. Equipment especially designed or pre- forated trays are used to promote mixing be- pared for the production of heavy water uti- tween the gas and the water. Deuterium mi- lizing either the water-hydrogen sulphide ex- grates to the water at low temperatures and change process or the ammonia-hydrogen ex- to the hydrogen sulphide at high tempera- change process: tures. Gas or water, enriched in deuterium, (i) Water-hydrogen Sulphide Exchange is removed from the first stage towers at the Towers. junction of the hot and cold sections and the Exchange towers with diameters of 1.5 m process is repeated in subsequent stage tow- or greater and capable of operating at pres- ers. The product of the last stage, water en- sures greater than or equal to 2 MPa (300 psi) riched up to 30 percent in deuterium, is sent especially designed or prepared for heavy to a distillation unit to produce reactor water production utilizing the water-hydro- grade heavy water; i.e., 99.75 percent deute- gen sulphide exchange process. rium oxide. (ii) Blowers and Compressors. B. The ammonia-hydrogen exchange proc- Single stage, low head (i.e., 0.2 MPa or 30 ess can extract deuterium from synthesis gas psi) centrifugal blowers or compressors for through contact with liquid ammonia in the hydrogen-sulphide gas circulation (i.e., gas presence of a catalyst. The synthesis gas is containing more than 70 percent H2S). The fed into exchange towers and then to an am- blowers or compressors have a throughput monia converter. Inside the towers the gas capacity greater than or equal to 56 m3/sec- flows from the bottom to the top while the ond (120,000 standard cubic feet per minute)

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while operating at pressures greater than or production of heavy water, deuterium, and equal to 1.8 MPa (260 psi) suction and have deuterium compounds or in any of the com- seals designed for wet H2S service. ponents described in this appendix. (iii) Ammonia-Hydrogen Exchange Towers. Ammonia-hydrogen exchange towers great- [79 FR 39298, July 10, 2014] er than or equal to 35 m (114.3 ft) in height with diameters of 1.5 m (4.9 ft) to 2.5 m (8.2 APPENDIX L TO PART 110—ILLUSTRATIVE ft) capable of operating at pressures greater LIST OF BYPRODUCT MATERIALS than 15 MPa (2225 psi). The towers have at UNDER NRC EXPORT/IMPORT LICENS- least one flanged, axial opening of the same ING AUTHORITY A diameter as the cylindrical part through which the tower internals can be inserted or Actinium 225 (Ac 225) Cesium 131 (Cs 131) withdrawn. Actinium 227 (Ac 227) Cesium 134m (Cs (iv) Tower Internals and Stage Pumps Used Actinium 228 (Ac 228) 134m) in the Ammonia-hydrogen Exchange Process. Americium 241 (Am Cesium 134 (Cs 134) Tower internals include especially de- 241) Cesium 135 (Cs 135) signed stage contactors which promote inti- Americium 242m (Am Cesium 136 (Cs 136) mate gas/liquid contact. Stage pumps in- 242m) Cesium 137 (Cs 137) clude especially designed submersible pumps Americium 242 (Am Chlorine 36 (Cl 36) for circulation of liquid ammonia within a 242) Chlorine 38 (Cl 38) contacting stage internal to the stage tow- Americium 243 (Am Chromium 51 (Cr 51) ers. 243) Cobalt 57 (Co 57) (v) Ammonia Crackers Utilizing the Am- Antimony 124 (Sb 124) Cobalt 58m (Co 58m) monia-hydrogen Exchange Process. Antimony 125 (Sb 125) Cobalt 58 (Co 58) Ammonia crackers with operating pres- Antimony 126 (Sb 126) Cobalt 60 (Co 60) sures greater than or equal to 3 MPa (450 psi) Arsenic 73 (As 73) Copper 64 (Cu 64) especially designed or prepared for heavy Arsenic 74 (As 74) Curium 240 (Cm 240) water production utilizing the ammonia-hy- Arsenic 76 (As 76) Curium 241 (Cm 241) drogen exchange process. Arsenic 77 (As 77) Curium 242 (Cm 242) (vi) Ammonia Synthesis Converters or Barium 131 (Ba 131) Curium 243 (Cm 243) Synthesis Units. Barium 133 (Ba 133) Curium 244 (Cm 244) Ammonia synthesis converters or syn- Barium 140 (Ba 140) Curium 245 (Cm 245) thesis units especially designed or prepared 207 (Bi 207) Curium 247 (Cm 247) for heavy water production utilizing the am- Bismuth 210 (Bi 210) 165 (Dy monia-hydrogen exchange process. Bromine 82 (Br 82) 165) These converters or units take synthesis 109 (Cd 109) Dysprosium 166 (Dy gas ( and hydrogen) from an ammo- Cadmium 113 (Cd 113) 166) nia/hydrogen high-pressure exchange column Cadmium 115m (Cd Einsteinium 252 (Es (or columns), and the synthesized ammonia 115m) 252) is returned to the exchange column (or col- Cadmium 115 (Cd 115) Einsteinium 253 (Es umns). Calcium 45 (Ca 45) 253) (vii) Infrared Absorption Analyzers. Calcium 47 (Ca 47) Einsteinium 254 (Es Infrared absorption analyzers capable of Californium 248 (Cf 254) ‘‘on-line’’ hydrogen/deuterium ratio analysis 248) Einsteinium 255 (Es where deuterium concentrations are equal to Californium 249 (Cf 255) or greater than 90 percent. 249) Erbium 169 (Er 169) (viii) Catalytic Burners Used in the Ammo- Californium 250 (Cf Erbium 171 (Er 171) nia-hydrogen Exchange Process. 250) 152 (Eu 152) Catalytic burners for the conversion of en- Californium 251 (Cf Europium 152 9.2 h riched deuterium gas into heavy water espe- 251) (Eu 152 9.2 h) cially designed or prepared for heavy water Californium 252 (Cf Europium 152 13 yr production utilizing the ammonia-hydrogen 252) (Eu 152 13 yr) exchange process. (ix) Complete Heavy Water Upgrade Sys- Californium 253 (Cf Europium 154 (Eu 154) tems or Columns. 253) Europium 155 (Eu 155) Complete heavy water upgrade systems or Californium 254 (Cf Fermium 257 (Fm 257) columns especially designed or prepared for 254) Fluorine 18 (F 18) the upgrade of heavy water to reactor-grade Carbon 11 (C 11) Gadolinium 148 (Gd deuterium concentration. These systems, Carbon 14 (C 14) 148) which usually employ water distillation to Cerium 141 (Ce 141) Gadolinium 153 (Gd separate heavy water from light water, are Cerium 143 (Ce 143) 153) especially designed or prepared to produce Cerium 144 (Ce 144) Gadolinium 159 (Gd reactor-grade heavy water (i.e., typically Cesium 129 (Cs 129) 159) 99.75 percent deuterium oxide) from heavy water feedstock of lesser concentration. a Any accelerator-produced material pro- D. Any other components especially de- duced, extracted, or converted for use for a signed or prepared for use in a plant for the commercial, medical, or research activity. 758

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Gallium 67 (Ga 67) Neodymium 147 (Nd Radium 226 (Ra 226) b 127m (Te Gallium 72 (Ga 72) 147) Rhenium 186 (Re 186) 127m) Germanium 68 (Ge 68) Neodymium 149 (Nd Rhenium 188 (Re 188) Tellurium 127 (Te 127) Germanium 71 (Ge 71) 149) Rhodium 103m (Rh Tellurium 129m (Te Gold 195 (Au 195) Neptunium 235 (Np 103m) 129m) Gold 198 (Au 198) 235) Rhodium 105 (Rh 105) Tellurium 129 (Te 129) Gold 199 (Au 199) Neptunium 237 (Np Rubidium 81 (Rb 81) Tellurium 131m (Te 172 (Hf 172) 237) Rubidium 86 (Rb 86) 131m) Hafnium 181 (Hf 181) Nickel 59 (Ni 59) Rubidium 87 (Rb 87) Tellurium 132 (Te 132) 166m (Ho Nickel 63 (Ni 63) Ruthenium 97 (Ru 97) 160 (Tb 160) Ruthenium 103 (Ru 166m) Nickel 65 (Ni 65) 200 (Tl 200) 103) Holmium 166 (Ho 166) Niobium 93m (Nb Thallium 201 (Tl 201) Ruthenium 105 (Ru Hydrogen 3 (H 3) 93m) Thallium 202 (Tl 202) Indium 111 (In 111) Niobium 94 (Nb 94) 105) Thallium 204 (Tl 204) Indium 113m (In Niobium 95 (Nb 95) Ruthenium 106 (Ru Thulium 170 (Tm 170) 113m) Niobium 97 (Nb 97) 106) Thulium 171 (Tm 171) Indium 114m (In Nitrogen 13 (N 13) Samarium 151 (Sm Tin 113 (Sn 113) 114m) Osmium 185 (Os 185) 151) Indium 115m (In Osmium 191m (Os Samarium 153 (Sm Tin 123 (Sn 123) 115m) 191m) 153) Tin 125 (Sn 125) Indium 115 (In 115) Osmium 191 (Os 191) Scandium 46 (Sc 46) Tin 126 (Sn 126) Iodine 123 (I 123) Osmium 193 (Os 193) Scandium 47 (Sc 47) Titanium 44 (Ti 44) Iodine 125 (I 125) Oxygen 15 (O 15) Scandium 48 (Sc 48) Tritium (H3) Iodine 126 (I 126) Palladium 103 (Pd 75 (Se 75) Tungsten 181 (W 181) Iodine 129 (I 129) 103) Silicon 31 (Si 31) Tungsten 185 (W 185) Iodine 131 (I 131) Palladium 109 (Pd Silver 105 (Ag 105) Tungsten 187 (W 187) Iodine 132 (I 132) 109) Silver 110m (Ag 110m) Vanadium 48 (V 48) Iodine 133 (I 133) Phosphorus 32 (P 32) Silver 111 (Ag 111) Xenon 131m (Xe Iodine 134 (I 134) Phosphorus 33 (P 33) Sodium 22 (Na 22) 131m) Iodine 135 (I 135) Platinum 191 (Pt 191) Sodium 24 (Na 24) Xenon 133 (Xe 133) Iridium 192 (Ir 192) Platinum 193m (Pt Strontium 85 (Sr 85) Xenon 135 (Xe 135) Iridium 194 (Ir 194) 193m) Strontium 89 (Sr 89) Ytterbium 175 (Yb Iron 52 (Fe 52) Platinum 193 (Pt 193) Strontium 90 (Sr 90) 175) Strontium 91 (Sr 91) Iron 55 (Fe 55) Platinum 197m (Pt Yttrium 87 (Y 87) Strontium 92 (Sr 92) Iron 59 (Fe 59) 197m) Yttrium 88 (Y 88) Sulphur 35 (S 35) Krypton 85 (Kr 85) Platinum 197 (Pt 197) Yttrium 90 (Y 90) Krypton 87 (Kr 87) Polonium 208 (Po 208) Tantalum 182 (Ta 182) Technetium 96 (Tc 96) Yttrium 91 (Y 91) 140 (La Polonium 209 (Po 209) Yttrium 92 (Y 92) 140) Polonium 210 (Po 210) Technetium 97m (Tc 97m) Yttrium 93 (Y 93) 210 (Pb 210) Potassium 42 (K 42) Zinc 65 (Zn 65) Lutetium 177 (Lu 177) Potassium 43 (K 43) Technetium 97 (Tc 97) Technetium 99m (Tc Zinc 69m (Zn 69m) Manganese 52 (Mn 52) Praseodymium 142 99m) Zinc 69 (Zn 69) Manganese 54 (Mn 54) (Pr 142) Technetium 99 (Tc 99) Zirconium 93 (Zr 93) Manganese 56 (Mn 56) Praseodymium 143 Tellurium 125m (Te Zirconium 95 (Zr 95) Mendelevium 258 (Md (Pr 143) 125m) Zirconium 97 (Zr 97) 258) 145 (Pm b Discrete sources of radium-226 (Ra-226). 197m (Hg 145) 197m) Promethium 147 (Pm [58 FR 13005, Mar. 9, 1993, as amended at 59 Mercury 197 (Hg 197) 147) FR 48998, Sept. 26, 1994. Redesignated and Mercury 203 (Hg 203) Promethium 149 (Pm amended at 61 FR 35603, 35607, July 8, 1996; 65 Molybdenum 99 (Mo 149) FR 70292, Nov. 22, 2000; 71 FR 20339, Apr. 20, 99) Radium 223 (Ra 223) 2006; 75 FR 44093, July 28, 2010]

APPENDIX M TO PART 110—CATEGORIZATION OF NUCLEAR MATERIAL D [From IAEA INFCIRC/225, Rev. 1]

Category Material Form I II III e

1. Plutonium a ...... Unirradiated b ...... 2 kg or more Less than 2 kg but more 500 g or less. than 500 g. 2. Uranium-235 c .... Unirradiated: b.

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[From IAEA INFCIRC/225, Rev. 1]

Category Material Form I II III e

Uranium enriched to 20 pct U 235 or 5 kg or more Less than 5 kg but more 1 kg or less. more. than 1 kg. Uranium enriched to 10 pct U 235 but ...... 10 kg or more ...... Less than 10 kg. less than 20 pct. Uranium enriched above natural, but ...... 10 kg or more. less than 10 pct U 235. 3. Uranium-233 ...... Unirradiated b ...... 2 kg or more Less than 2 kg but more 500 g or less. than 500 g. a All plutonium except that with isotopic concentration exceeding 80 pct in plutonium-238. b Material not irradiated in a reactor or material irradiated in a reactor but with a radiation level equal to or less than 100 rd/h at 1 m unshielded. c Natural uranium, depleted uranium, thorium and quantities of uranium enriched to less than 10% not falling into Category III should be protected in accordance with prudent management practice. d Irradiated fuel should be protected as category I, II, or III nuclear material depending on the category of the fresh fuel. How- ever, fuel which by virtue of its original fissile material content is included as category I or II before irradiation should only be re- duced one category level, while the radiation level from the fuel exceeds 100 rd/h at 1 m unshielded. e Physical security determinations will not be required for 15 g or less of plutonium, uranium-233 or high-enriched uranium, or for 1 kg or less of uranium with an enrichment between 10 and 20 pct in uranium-235.

(Sec. 161, as amended, Pub. L. 83-703, 68 Stat. 948 (42 U.S.C. 2201); sec. 201, as amended, Pub. L. 93-438, 88 Stat. 1243 (42 U.S.C. 5841)) [43 FR 21641, May 19, 1978. Redesignated and amended at 49 FR 47204, Dec. 3, 1984. Further re- designated at 55 FR 30450, July 26, 1990; 58 FR 13005, Mar. 9, 1993; 61 FR 35603, July 8, 1996]

APPENDIX N TO PART 110—ILLUSTRATIVE is hermetically sealed inside a suitable clad- LIST OF LITHIUM ISOTOPE SEPARA- ding which is designed to be the primary en- TION FACILITIES, PLANTS AND EQUIP- velope encasing the fuel so as to provide suitable performance and safety during reac- MENT UNDER NRC’S EXPORT LICENS- tor operation. Also, in all cases, precise con- ING AUTHORITY trol of processes, procedures and equipment a. Facilities or plants for the separation of to extremely high standards is necessary in lithium isotopes. order to ensure predictable and safe fuel per- b. Equipment for the separation of lithium formance. isotopes, such as: (a) Items that are considered especially de- (1) Packed liquid-liquid exchange columns signed or prepared for the fabrication of fuel especially designed for lithium amalgams; elements include equipment that: (2) Mercury and/or lithium amalgam (1) Normally comes in direct contact with, pumps; or directly processes or controls, the produc- (3) Lithium amalgam electrolysis cells; tion flow of nuclear material; (4) Evaporators for concentrated lithium (2) Seals the nuclear material within the solution. cladding; c. Any other components especially de- (3) Checks the integrity of the cladding or signed or prepared for use in a reprocessing the seal; plant or in any of the components described (4) Checks the finished treatment of the in this appendix. sealed fuel; or [65 FR 70292, Nov. 22, 2000, as amended at 79 (5) Is used for assembling reactor fuel ele- FR 39299, July 10, 2014] ments. (b) This equipment or systems of equip- APPENDIX O TO PART 110—ILLUSTRATIVE ment may include, for example: LIST OF FUEL ELEMENT FABRICATION (1) Fully automatic pellet inspection sta- PLANT EQUIPMENT AND COMPONENTS tions especially designed or prepared for UNDER NRC’S EXPORT LICENSING checking final dimensions and surface de- AUTHORITY fects of fuel pellets; (2) Automatic welding machines especially NOTE: Nuclear fuel elements are manufac- designed or prepared for welding end caps tured from source or special nuclear mate- onto the fuel pins (or rods); rial. For oxide , the most common type (3) Automatic test and inspection stations of fuel equipment for pressing pellets, sinter- especially designed or prepared for checking ing, grinding and grading will be present. the integrity of completed fuel pins (or rods). Mixed oxide fuels are handled in glove boxes This item typically includes equipment for: (or equivalent containment) until they are (i) X-ray examination of pin (or rod) end sealed in the cladding. In all cases, the fuel cap welds;

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(ii) Helium leak detection from pressurized (c) Any other components especially de- pins (or rods); and signed or prepared for use in a fuel element (iii) Gamma-ray scanning of the pins (or fabrication plant or in any of the compo- rods) to check for correct loading of the fuel nents described in this appendix. pellets inside. (4) Systems especially designed or prepared [79 FR 39299, July 10, 2014] to manufacture nuclear fuel cladding.

APPENDIX P TO PART 110—CATEGORY 1 AND 2 RADIOACTIVE MATERIAL

TABLE 1—IMPORT AND EXPORT THRESHOLD LIMITS

Category 1 Category 2 Radioactive material Terabecquerels Curies Terabecquerels Curies (TBq) (Ci) 1 (TBq) (Ci) 1

Americium-241 ...... 60 1,600 0.6 16 Americium-241/Be ...... 60 1,600 0.6 16 Californium-252 ...... 20 540 0.2 5.4 Curium-244 ...... 50 1,400 0.5 14 Cobalt-60 ...... 30 810 0.3 8.1 Cesium-137 ...... 100 2,700 1.0 27 Gadolinium-153 ...... 1,000 27,000 10.0 270 Iridium-192 ...... 80 2,200 0.8 22 Plutonium-2382 ...... 60 1,600 0.6 16 Plutonium-239/Be 2 ...... 60 1,600 0.6 16 Promethium-147 ...... 40,000 1,100,000 400 11,000 Radium-226 a ...... 40 1,100 0.4 11 Selenium-75 ...... 200 5,400 2.0 54 Strontium-90 (Y–90) ...... 1,000 27,000 10.0 270 Thulium-170 ...... 20,000 540,000 200 5,400 Ytterbium-169 ...... 300 8,100 3.0 81 1 The values to be used to determine whether a license is required are given in TBq. Curie (Ci) values are provided for prac- tical usefulness only and are rounded after conversion. 2 The limits for Pu-238 and Pu-239/Be in this table apply for imports to the U.S. The limits for exports of Pu-238 and Pu-239/ Be can be found in § 110.21. a Discrete sources of radium-226.

Calculation of Shipments Containing Multiple tivity limit from the Table 1 in the denomi- Sources or Radionuclides nator of the equation. Ensure the numerator and denominator values are in the same The ‘‘sum of fractions’’ methodology for units and all calculations must be performed evaluating combinations of radionuclides being transported, is to be used when import using the TBq (i.e., metric) values of Table 1. or export shipments contain multiple R1 = activity for radionuclides or source sources or multiple radionuclides. The number 1

threshold limit values used in a sum of the R2 = activity for radionuclides or source fractions calculation must be the metric val- number 2 ues (i.e., TBq). RN = activity for radionuclides or source I. If multiple sources and/or multiple number n radionuclides are present in an import or ex- AR1 = activity limit for radionuclides or port shipment, the sum of the fractions of source number 1 the activity of each radionuclides must be AR = activity limit for radionuclides or determined to verify the shipment is less 2 source number 2 than the Category 1 or 2 limits of Table 1, as AR = activity limit for radionuclides or appropriate. If the calculated sum of the N fractions ratio, using the following equation, source number n is greater than or equal to 1.0, then the im- port or export shipment exceeds the thresh- n ⎡ ⎤ R1 R2 Rn old limits of Table 1 and the applicable secu- ∑ ⎢ ++⎥ ≥ 1 rity provisions of this part apply. 1 ⎣AR1 AR2 ARn ⎦ II. Use the equation below to calculate the sum of the fractions ratio by inserting the [70 FR 37993, July 1, 2005, as amended at 71 actual activity of the applicable radio- FR 20339, Apr. 20, 2006; 82 FR 52826, Nov. 15, nuclides or of the individual sources (of the 2017] same radionuclides) in the numerator of the equation and the corresponding threshold ac-

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