[Federal Register Volume 74, Number 119 (Tuesday, June 23, 2009)]
[Proposed Rules]
[Pages 29614-29630]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E9-14679]
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Proposed Rules
Federal Register
________________________________________________________________________
This section of the FEDERAL REGISTER contains notices to the public of
the proposed issuance of rules and regulations. The purpose of these
notices is to give interested persons an opportunity to participate in
the rule making prior to the adoption of the final rules.
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Federal Register / Vol. 74, No. 119 / Tuesday, June 23, 2009 /
Proposed Rules
[[Page 29614]]
NUCLEAR REGULATORY COMMISSION
10 CFR Part 110
RIN 3150-AI16
[NRC-2008-0567]
Export and Import of Nuclear Equipment and Material; Updates and
Clarifications
AGENCY: Nuclear Regulatory Commission.
ACTION: Proposed rule.
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SUMMARY: The United States Nuclear Regulatory Commission (NRC) is
proposing to amend its regulations that govern the export and import of
nuclear equipment and material. In addition to updating, clarifying and
correcting several provisions, this proposed rule would allow Category
1 and 2 quantities of materials listed in the Commission's regulations
to be imported under a general license. The proposed rule would also
revise the definition of ``radioactive waste'' and remove the
definition of ``incidental radioactive material.''
DATES: The comment period for this proposed rule ends on September 8,
2009. Comments received after this date will be considered if it is
practical to do so, but the NRC is only able to assure consideration
for comments received on or before this date. Submit comments specific
to the information collection aspects of this rule by July 23, 2009.
ADDRESSES: You may submit comments by any one of the following methods.
Please include the number RIN 3150-AI16 in the subject line of your
comments. Comments on rulemakings submitted in writing or in electronic
form will be made available to the public in their entirety. Personal
information, such as your name, address, telephone number, e-mail
address, etc., will not be removed from your submission.
Federal e-Rulemaking Portal: Go to http://www.regulations.gov and
search for documents filed under Docket ID [NRC-2008-0567]. Address
questions about NRC dockets to Carol Gallagher 301-415-5905; e-mail
[email protected].
Mail comments to: Secretary, U.S. Nuclear Regulatory Commission,
Washington, DC 20555-0001, Attn: Rulemakings and Adjudications Staff.
E-mail comments to: [email protected]. If you do not
receive a reply e-mail confirming that we have received your comments,
contact us directly at 301-415-1677.
Hand deliver comments to: 11555 Rockville Pike, Rockville, Maryland
20852, between 7:30 a.m. and 4:15 p.m., Federal workdays. (Telephone
301-415-1677)
Fax comments to: Secretary, U.S. Nuclear Regulatory Commission at
301-415-1101.
You may submit comments on the information collections by the
methods indicated in the Paperwork Reduction Act Statement.
Publicly available documents related to this rulemaking may be
viewed electronically on the public computers located at the NRC's
Public Document Room (PDR), O-1 F21, One White Flint North, 11555
Rockville Pike, Rockville, Maryland. The PDR reproduction contractor
will copy documents for a fee.
Publicly available documents created or received at the NRC after
November 1, 1999, are available electronically at the NRC's Electronic
Reading Room at http://www.nrc.gov/reading-rm/adams.html. From this
site, the public can gain entry into ADAMS, which provides text and
image files of NRC's public documents. If you do not have access to
ADAMS or if there are problems in accessing the documents located in
ADAMS, contact the PDR Reference staff at 1-800-397-4209, 301-415-4737
or by e-mail to [email protected].
FOR FURTHER INFORMATION CONTACT: Brooke G. Smith, International Policy
Analyst, Office of International Programs, U.S. Nuclear Regulatory
Commission, MS-04E21, Washington, DC 20555-0001; telephone: 301-415-
2347; e-mail: [email protected].
SUPPLEMENTARY INFORMATION:
I. Background and Discussion
The NRC is proposing to amend its regulations for the export and
import of nuclear equipment and material in 10 CFR Part 110, Export and
Import of Nuclear Equipment and Material. The proposed rule would
update, clarify, and correct several provisions in 10 CFR Part 110 to
improve NRC's regulatory framework for the export and import of nuclear
equipment, material, and radioactive waste. It would also clarify and
correct the regulations addressing the general license for the export
of byproduct material. In addition, changes are proposed to the
regulations governing the export and import of Category 1 and Category
2 quantities of radioactive materials listed in Appendix P to 10 CFR
Part 110 and the definition of ``radioactive waste'' in 10 CFR Part
110. A discussion of the most significant changes follows.
A. Category 1 and 2 Quantities of Radioactive Material Listed in
Appendix P to Part 110
On July 1, 2005, the NRC published a final rule that amended 10 CFR
Part 110 to take into account provisions of the International Atomic
Energy Agency (IAEA) Code of Conduct on the Safety and Security of
Radioactive Sources (Code of Conduct), and the supplemental IAEA
Guidance on the Import and Export of Radioactive Sources. The
amendments provided for enhanced security for the export and import of
Category 1 and Category 2 quantities of radioactive materials listed in
a new Appendix P to 10 CFR Part 110 including new specific export and
import licensing requirements, advance notification procedures prior to
shipment, verification of the recipient facility's licensing status,
and review of the adequacy of the receiving country's controls on
radioactive sources.
These requirements became effective on December 28, 2005. Since
these new requirements have been implemented, the NRC has reevaluated
the need for a specific license for the import of Category 1 and 2
quantities of radioactive material to a U.S.-licensed user in light of
enhancements made to the NRC's domestic regulatory framework. As a
result, the NRC is proposing to amend 10 CFR Part 110 to allow imports
of Category 1 and 2 quantities of materials listed in Appendix P under
a general license. The proposed change would also align the NRC's
regulations with the practices of other countries and is responsive to
[[Page 29615]]
the comments the NRC has received from U.S. licensees.
The most significant enhancement pertinent to these materials is
the establishment of the National Source Tracking System (NSTS) that
will track from ``cradle to grave'' transactions involving Category 1
and 2 radioactive sources (71 FR 65686; November 8, 2006). Licensees
will be responsible for recording the manufacture, shipment, arrival,
and disposal of all licensed and tracked Category 1 and 2 sources. For
every nationally tracked source that is imported, the facility
obtaining the source will be required to report the information to the
NSTS by the close of the next business day after receipt of the
imported source. The effective date for this proposed change to allow
imports of Category 1 and 2 material under a general license would be
delayed until the NSTS is fully operational; however, it is expected
that the NSTS would be fully operational well before this proposed
change is promulgated as a final rule. The current estimate for the
launch of the NSTS (tracking of Category 1 and 2 sources) is January
31, 2009. With the NSTS in place, there will be much more information
about imported sources available to the staff, reducing the need for a
specific license.
Specifically, Sec. 110.27(f) would be revised by removing the
specific license requirement for imports of radioactive material listed
in Table 1 of Appendix P to 10 CFR Part 110. Conforming changes are
proposed to Sec. Sec. 110.32, 110.43, and 110.50. Imports of
radioactive material into the United States would continue to be
contingent on the consignee being authorized to receive and possess the
material under a general or specific NRC or Agreement State license.
See Sec. 110.27(a). Moreover, importers of Category 1 and 2 materials
under a general license would still be subject to the notification
requirements prior to shipment as required by Sec. 110.50. The advance
notifications of imports of Category 1 and 2 quantities of material,
Sec. 110.50(c) would be revised to require the exporting facility
name, location, address, contact name and telephone number as part of
the pre-shipment notification.
Additionally, Sec. 110.50(c) would be revised to require advance
notifications of imports to be submitted seven days in advance of
shipment. This change would permit NRC staff adequate time to verify
the information provided in the advance notification. Currently, the
pre-shipment notification is at least seven days in advance of each
shipment, to the extent practical, but in no case less than 24 hours in
advance of each shipment.
Currently, at the time of the license application, for both
Category 1 and Category 2 exports, the applicant for the export license
is required to provide the NRC with pertinent documentation
demonstrating that the recipient of the radioactive material has the
necessary authorization under the laws and regulations of the importing
country to receive and possess the material. For Category 2 exports,
the NRC has waived this requirement for a number of licensees to allow
the exporter to provide this authorization at the time of notification
of shipment instead of at the time of the application. This waiver is
consistent with the Code of Conduct and supplemental Guidance, under
which the authorization from the importing country can be verified by
the exporter of Category 2 material if permitted by the licensing
agency.
The proposed rule would amend Sec. 110.32 to allow the export
licensee (for Category 2 material only) to verify the authorization
from the importing country at the time of shipping instead of at the
time of the license application. The regulations would continue to
require licensees to send copies of the authorizations to the NRC.
B. Import and Export of Radioactive Waste
In 1995, the NRC promulgated a final rule requiring specific
licenses for exports and imports of radioactive waste (60 FR 37555;
July 21, 1995). Since that time, based on the Commission's extensive
experience in implementing the rule, it became clear that the rule
warrants revision. Specifically, the definition of radioactive waste in
10 CFR Part 110 is confusing and inconsistent with how the term is used
domestically. Likewise, the term ``incidental radioactive material''
(IRM), as defined in 10 CFR Part 110, is unclear with regard to its
scope, applicability, and relationship to radioactive waste. In
particular, the meaning of the phrase ``recycling or resource
recovery'' in the definition of IRM is unclear and difficult to apply
because the concept of IRM is limited to 10 CFR Part 110. Consequently,
the Commission is proposing changes to the definition of radioactive
waste in Sec. 110.2 to address these concerns. Among the proposed
changes is the deletion of the definition of IRM from Sec. 110.2 and
incorporation of aspects of it in the revised definition of radioactive
waste. These proposed changes to 10 CFR Part 110 will facilitate the
licensing process for exports and imports of radioactive waste and
improve the efficiency and consistency of licensing actions.
A specific license would be required for the export and import of
radioactive waste if a specific radioactive material license is
required to possess the material domestically in accordance with NRC's
regulations in 10 CFR Chapter 1 (e.g., Parts 30, 40, and 70). This
revision would link the specific license requirement for the export and
import of radioactive waste to those materials (in the form of waste)
that require a specific license in accordance with NRC's domestic
regulations. This would eliminate the need for a specific license to
export or import materials that do not require a specific license to
possess under NRC's regulations in 10 CFR Chapter 1. In addition, this
proposed change would improve consistency and eliminate some of the
differences between the domestic licensing requirements for possession
and the licensing requirements for export and import.
The proposed changes would require a specific export or import
license for any material that requires a specific NRC license to
possess domestically, in accordance with the requirements in 10 CFR
Chapter 1, that is exported or imported for the purposes of (1)
disposal in a land disposal facility as defined in Part 61, a disposal
area as defined in Appendix A to Part 40, or an equivalent facility; or
(2) recycling, waste treatment or other waste management process that
generates radioactive material for disposal in a land disposal facility
as defined in Part 61, a disposal area as defined in Appendix A to Part
40, or an equivalent facility. This change would simplify the
regulatory framework by clearly stating that exporting or importing
material for recycling, waste treatment, or other waste management
process that generates radioactive material for disposal in a Part 40
or Part 61 facility (or the equivalent) would require a specific export
or import license.
This proposed rule would also delete the definition of ``incidental
radioactive material'' from 10 CFR Part 110. The purpose of this
proposed change would be to clarify the scope of ``radioactive waste''
and to address confusion created by the current definition of IRM.
While the proposed rule would delete the definition of IRM, the rule
does incorporate aspects of IRM into the revised definition of
radioactive waste and the exclusions from that definition. For example,
the current scope of the exclusion related to contamination on service
equipment (including service tools) used in nuclear facilities (if the
service equipment is being shipped for use in another nuclear facility
and not for waste management purposes or
[[Page 29616]]
disposal) would be expanded and broadened to include some of the
material that currently falls under the definition of IRM such as
launderable protective clothing.
There are three exclusions from the current definition of
``radioactive waste.'' Under the proposed rule, the three exclusions
would be retained, with some modifications, and two new exclusions are
proposed. The five proposed exclusions are set forth below:
1. Radioactive material in sealed sources or devices containing
sealed sources being returned to any manufacturer, distributor or other
entity which is authorized to receive and possess them. Under the
current exclusion, the scope is limited to sources or devices being
returned to a manufacturer. The proposed change would allow the return
of sources or devices to distributors and other appropriately
authorized entities. Licensing and notification requirements for
Category 1 and Category 2 quantities of material listed in Table 1 of
Appendix P would apply where applicable.
2. A contaminate on any non-radioactive material used in nuclear
facilities, if the item is being shipped for recovery and beneficial
use of the non-radioactive component in a nuclear facility and not
solely for waste management purposes or disposal. The current scope of
the exclusion related to contamination on service equipment (including
service tools) used in nuclear facilities (if the service equipment is
being shipped for use in another nuclear facility and not for waste
management purposes or disposal) would be expanded and broadened to
include some of the material that currently falls under the definition
of IRM such as launderable protective clothing.
3. Materials exempted from regulation by the Nuclear Regulatory
Commission or equivalent Agreement State regulations. This proposed
exclusion is consistent with the previously mentioned revision that
links the requirement for a specific import or export license for
radioactive waste to the specific licensing requirements in 10 CFR
Chapter 1 (e.g., Parts 30, 40, and 70). This change would eliminate
some differences between NRC's export and import regulations and
domestic regulation of the same material or equipment.
4. Materials generated or used in a U.S. Government waste research
and development testing program under international arrangements. No
changes are proposed to this exclusion.
5. Materials being returned by or for the U.S. Government or
military to a facility that is authorized to possess the material. This
proposed exclusion recognizes that the U.S. Government or military
will, in certain circumstances, seek to return material to the United
States. Material returned must be to a facility that is authorized to
possess the material.
C. General License for the Export of Byproduct Material
The NRC staff regularly receives questions from the regulated
community regarding the application of Sec. 110.23, General license
for the export of byproduct material. Our experience has demonstrated
the need to revise several requirements for the export of byproduct
material in order to clarify the requirements and to address
inconsistencies inadvertently resulting from prior changes made to the
section in 1994 (September 26, 1994; 59 FR 48994) and 2000 (November
22, 2000; 65 FR 70287).
Prior to 1994, a general license was issued to any person to export
any byproduct material, except for tritium, polonium-210, neptunium-
237, and americium-241, to any country not listed in Sec. 110.28
(embargoed destinations). In 1994, the NRC revoked the general license
for Nuclear Supplier Group (NSG)-controlled alpha-emitters and
International Atomic Energy List of the Coordinating Committee on
Multilateral Export Controls (COCOM)-controlled transuranic isotopes.
The NRC established a new general license to permit the export of the
specified alpha-emitting radionuclides to countries which are members
of the NSG and to permit the export of the specified alpha-emitting
radionuclides to most other countries when in a device, or in a source
for use in a device, containing less than 3.7 x 10-3
terabecquerels (TBq) (100 millicuries (mCi)) of alpha activity per
device or source. (10 CFR Part 71, Appendix A, provides specific
activities in terabequerels per gram and in curies per gram.) The
alpha-emitting radionuclides added to Sec. 110.23 (a)(2) in 1994 were:
Actinium-225.
Actinium-227.
Californium-248.
Californium-250.
Californium-252.
Curium-240.
Curium-241.
Curium-242.
Curium-243.
Curium-244.
Einsteinium-252.
Einsteinium-253.
Einsteinium-254.
Einsteinium-255.
Fermium-257.
Gadolinium-148.
Mendelevium-258.
Polonium-208.
Polonium-209.
Polonium-210.
Radium-223.
The NRC also revoked the general license for americium-242m,
californium-249, californium-251, curium-245, and curium-247
(transuranic isotopes) to conform NRC's regulations with the COCOM
control list.
At the final rule stage, curium-246 was added to Sec. 110.23(a)(1)
(1994) which had the effect of restricting the general license for
curium-246 to a specified activity level. It appears that this
restriction was in error. Curium-246 is not on the NSG-control list or
the COCOM-control list. Further, there is no discussion in the final
rule (or the proposed rule) in 1994 of restricting the general license
for curium-246 at a specified activity level. Therefore, this proposed
rule would remove the limitation on the general license for export.
Curium-246, at any activity level, could be exported under a general
license to any country not listed in Sec. 110.28 (embargoed
destination).
As a result of the 2000 amendments, the NSG-controlled and COCOM-
controlled radionuclides were merged into Sec. 110.23(a)(2) (2000).
Americium-241 and neptunium-237 were included in this section even
though they were not NSG- or COCOM-controlled. All of the radioisotopes
listed in that section could be exported under a general license up to
3.7 x 10-3 TBq (100 millicuries).
In the proposed rule, new Sec. 110.23(a)(2) would contain the
requirements for COCOM-controlled radionuclides and new Sec.
110.23(a)(4) would contain the general license for the NSG-controlled
alpha-emitting radionuclides.
The general license for americium-241 would also be revised. In
2000, when Sec. 110.23 was clarified for ease of reading, americium-
241 (and neptunium-237) were included in the ``merged'' list of NSG-
and COCOM-controlled radionuclides even though they were not NSG- or
COCOM-controlled (see Sec. 110.23(a)(2) (2000)). The effect of the
2000 amendments was to restrict the general license for exports of
americium-241 to 3.7 x 10-3 TBq (100 mCi). Prior to the
changes in 2000, there were no activity restrictions on exports to
countries not listed in Sec. Sec. 110.29 (restricted destinations) and
110.28 (embargoed destinations). Americium-241 exports under a general
license could not exceed 3.7 x 10-2 TBq
[[Page 29617]]
(one curie) per shipment or 3.7 TBq (100 curies) per year to any one
country listed in Sec. 110.29. For exports to Sec. 110.29 countries
that exceeded the limit above, the americium-241 must be contained in
petroleum exploration or industrial process control equipment in
quantities not exceeding 0.74 TBq (20 curies) per device or 7.4 TBq
(200 curies) per year to any one restricted country.
In 2005, the Commission published a final rule that conformed NRC's
export and import regulations to the provisions of the IAEA Code of
Conduct and supplemental Guidance (July 5, 2005; 70 FR 37985). The
specific radioactive material and quantities added by this rule are
listed in Table 1 of Appendix P to 10 CFR Part 110. Americium-241 is
one of the materials listed in this table. As a result of the 2005
rule, an NRC specific license was required to export (and import) these
radioactive materials at Category 2 and above quantities. For
americium-241, the Category 2 threshold limit was set at 0.6 TBq (16
Ci). As part of the 2005 rulemaking, changes were made to the general
license for americium-241 in an effort to conform it to the threshold
for americium-241 in Table 1 of Appendix P. The staff is now proposing
to remove americium-241 from Sec. 110.23 (a)(2) which currently
controls it at 3.7 x 10-3 TBq (100 mCi) and rewrite the
general license for americium-241 in proposed Sec. 110.23(a)(5) to
address the inconsistencies inadvertently resulting from prior changes
to the section and to take into account the Appendix P thresholds for
americium-241.
Likewise, the general license for the export of neptunium-237 would
be revised to address inconsistencies resulting from prior rule
changes. Under this proposed rule the general license for the export of
neptunium-237 would cover shipments that do not exceed one gram for
individual shipment and do not exceed a cumulative total of 10 grams
per year to any one country. The general license would be found in
Sec. 110.23(a)(6) of this proposed rule.
We also reexamined the general license to export tritium. Several
editorial changes are proposed for the general license in an effort to
make it more readable. Over the years, the various restrictions
applying to the general license to export tritium had been merged into
a single subparagraph--currently, Sec. 110.23 (a)(6). In this proposed
rule, the general license for tritium has been divided into four
sections, Sec. 110.23(a)(8)(i) through (a)(8)(iv), for clarity.
II. Section-by-Section Analysis
Subpart A--General Provisions
Section 110.1, Purpose and scope. The proposed rule would remove
paragraph (b)(2). None of the items controlled by the Department of
State pursuant to 22 CFR Parts 120 through 130, ``International Traffic
in Arms Regulations'' (ITAR), are within the scope of the NRC's
regulations. Also, the citations in paragraphs (b)(3) and (b)(4) would
be corrected.
Section 110.2, Definitions. The proposed rule would revise the
definitions for Agreement for cooperation, Atomic Energy Act,
Classified Information, Conversion facility, Depleted uranium,
Effective kilograms of special nuclear material, Embargoed, Executive
Branch, General license, Heels, Medical isotope, Natural uranium, Non-
Nuclear Weapons State, NRC Public Document Room, Obligations, Physical
security, Radioactive waste, Radiopharmaceutical, Recipient Country,
Restricted destinations, and Specific license to make editorial
changes. The proposed revision to the definition of radioactive waste
is discussed in detail in Section 1.B of this document. The definitions
for Bulk material, Low-level waste compact, and Nuclear Suppliers Group
would be added for clarification purposes. In addition, the proposed
rule would remove the definition of Incidental radioactive material as
discussed in Section 1.B of this document.
Section 110.4, Communications. Changes would be made to update a
reference to an NRC Web site URL.
Section 110.6, Retransfers. The proposed rule would add language to
clarify the scope of the provisions to be consistent with the
requirements of the Atomic Energy Act. Paragraph (b) would be amended
to update the address for the Department of Energy.
Section 110.7, Information collection requirements: OMB approval.
Changes would restructure the section for clarification and would make
a minor editorial change.
Section 110.7a, Completeness and accuracy information. The proposed
rule would make an editorial change to paragraph (b).
Subpart B--Exemptions
Section 110.10, General. The proposed rule would amend paragraph
(c) to clarify that an exemption does not relieve any person from
complying with the regulations of other U.S. Federal and/or State
Government agencies.
Section 110.11, Export of IAEA safeguards samples. Editorial
changes are proposed to the text.
Subpart C--Licenses
Section 110.19, Types of licenses. The proposed rule would amend
paragraph (a) by removing the last sentence regarding compliance with
other applicable regulations. The requirement that general and specific
licensees are subject to other applicable laws or regulations is
already addressed in Sec. 110.50(a). This proposed rule would also
remove paragraph (b) which relates to exports of incidental radioactive
material.
Section 110.20, General license information. The proposed rule
would remove references to ``incidental radioactive material'' and
correct citations in paragraph (a). Paragraph (d) would be amended to
preclude use of generally licensed material in any illegal or
inappropriate activity such as use in a radiological dispersion device,
diversion of material or equipment, and other malicious acts.
Section 110.21, General license for the export of special nuclear
material. The proposed rule would remove the general license provision
related to the export of incidental radioactive material in paragraph
(e) and make editorial changes to paragraphs (a), (b), and (c).
Section 110.22, General license for the export of source material.
The proposed rule would make editorial changes, correct internal
reference errors in paragraphs (a), (b), (c), (d), (e), and (f), and
would add a reference to paragraph (e) to the text of paragraph (f).
The amendment would remove the general license provision related to the
export of incidental radioactive material in paragraph (g).
Section 110.23, General license for the export of byproduct
material. The proposed rule would make editorial and organizational
changes to clarify requirements. No new substantive requirements are
proposed. These changes are discussed in detail in Section I.C of this
document.
Section 110.24, General license for the export of deuterium.
Proposed editorial changes would clarify the text to improve
readability.
The proposed rule would amend 10 CFR Part 110, by adding and
reserving Sec. 110.25. This change is made to clarify that there is
not a printing error in 10 CFR Part 110 and reserve this section for
possible future changes to the regulations.
Section 110.26, General license for the export of nuclear reactor
components. The proposed rule would amend Sec. 110.26 by restructuring
paragraph (a)
[[Page 29618]]
to clarify that the general license covers components solely of U.S.
origin. Paragraph (a)(1) would be removed, and the text incorporated
into paragraph (a). Paragraphs (a)(2) and (a)(3) would be redesignated
as (a)(1) and (a)(2), respectively. New paragraph (a)(2) would be
amended to allow a component to be returned to the United States after
final fabrication or repair or to be used in a nuclear power or
research reactor in one of the destinations listed in the section. This
would allow, for example, a component that was sent to Japan for final
fabrication or repair to be sent to Spain for use in a nuclear power or
research reactor in that country. The list of destinations in paragraph
(a) would be moved to new paragraph (b). The subsequent paragraphs
would be renumbered accordingly.
New paragraph (b) would be revised to include additional
destinations to which exports may be sent under a general license.
These destinations are Cyprus, Estonia, Hungary, Malta, Poland, Slovak
Republic, and Slovenia. The United States has received broad generic
assurances from EURATOM which would also apply to these new EURATOM
member countries for purposes of section 109b. of the Atomic Energy
Act.
Section 110.27, General license for imports. The proposed rule
would amend Sec. 110.27 by removing paragraphs (a)(1) and (a)(2).
NRC's import regulations do not apply to the Department of Energy for
activities authorized by sections 54, 64, 82, and 91 of the Atomic
Energy Act. This includes activities conducted under a contract with
the Department of Energy. We are proposing to remove paragraph (a)(2)
because a general license should not be required for the import of
byproduct, source, or special nuclear material when that same material
is exempt from NRC domestic licensing requirements. The current
inconsistency between NRC's import licensing requirements and NRC's
domestic licensing requirements is a source of confusion. This change
would clarify that material that is exempt or else not subject to
domestic licensing requirements (e.g., Sec. 31.18 and Sec. 40.13)
would not require a general or specific import license unless otherwise
mandated in 10 CFR Part 110.
Paragraph (b) would be revised to clarify that the 100 kilograms
per shipment limit only applies to the material and does not include
the weight of the container. As revised, this paragraph would state
that the general license in paragraph (a) does not authorize the import
of source or special nuclear material in the form of irradiated fuel if
the total weight of the material exceeds 100 kilograms per shipment.
Section 110.27 would be revised at paragraph (f) by removing the
specific license requirement for imports of radioactive material listed
in Table 1 of Appendix P to 10 CFR Part 110. As discussed in detail in
Section I.A of this document, this proposed rule would allow Category 1
and Category 2 quantities of radioactive materials to be imported under
a general license.
Section 110.30, Members of the Nuclear Suppliers Group. The
proposed rule would update the list of Nuclear Suppliers Group members
by adding ``China,'' ``Croatia,'' ``Estonia,'' ``Kazakhstan,''
``Lithuania,'' and ``Malta.''
Section 110.31, Application for a specific license. The proposed
rule would amend this section to require requests for an exemption from
a licensing requirement to be filed on NRC Form 7. This is consistent
with NRC regulations that require all licensing requests (i.e.,
exports, imports, combined export/import, amendment, and renewal
applications) to be made using NRC Form 7. See 71 FR 19102; April 13,
2006.
Section 110.31 would be changed to require a request for an
exemption from a licensing requirement to be accompanied by the
appropriate fee in accordance with the fee schedule in Sec. 170.21 and
Sec. 170.31. This change is consistent with the Fiscal Year 2007 NRC
Fee Rule which established a flat fee for requests for exemptions from
NRC's export and import licensing requirements. See 72 FR 31402; June
6, 2007. This change would update 10 CFR Part 110 to reflect recent
changes to the fee schedule in 10 CFR Part 170.
Additionally, the proposed rule would add a signature requirement
to Sec. 110.31 that each application submitted on NRC Form 7 must be
signed by the applicant or licensee or a person duly authorized to act
for and on behalf of the applicant or licensee. This proposed change is
consistent with requirements related to applications for specific
licenses in other parts of NRC's regulations. It would also clarify
that a signature is required to certify the veracity of information
submitted to the agency on the NRC Form 7.
Finally, the order of paragraphs (b) and (c) would be reversed so
that Sec. 110.31 flows in a more logical manner where the requirement
for an application for a specific license to export or import or a
request for an exemption from a licensing requirement precedes the
requirement that such an application or request be accompanied by the
appropriate license fee. In paragraph (b), as revised, ``combined
export/import'' would be removed to be consistent with the proposal to
allow imports of Category 1 and 2 materials listed in Table 1 of
Appendix P of 10 CFR Part 110 under general license.
Section 110.32, Information required on an application for a
specific license/NRC Form 7. The proposed rule change to paragraph (b)
would clarify that the name and address of any other party, including
the supplier of the equipment or material, if different from the
applicant, must be provided on the application. Paragraphs (f)(1) and
(f)(2) would be amended for consistency purposes. Specifically, for the
export of nuclear equipment to a foreign reactor, a license application
would include the name of the facility so the NRC would know whether
Executive Branch review is required, per Sec. 110.41(a)(7).
This section would also be amended to clarify that applicants for
the import of radioactive waste must provide the classification of that
waste as defined in 10 CFR 61.55 when the waste is being imported for
direct disposal. If the waste is being imported for treatment or
management at an NRC or Agreement State licensed waste processor,
classification, as defined in 10 CFR 61.55, is not required. Rather, a
detailed characterization (physical and chemical characteristics) of
the waste being imported for treatment or management must be provided
in the application.
Paragraph (g) would be deleted to conform this section with the
proposed change which would allow Category 1 and Category 2 quantities
of radioactive materials to be imported under a general license. This
proposed change is discussed in more detail in Section I.A of this
document and in the section-by-section analysis for Sec. 110.27.
Paragraph (h) would be redesignated as new paragraph (g) and would
allow the exporter of Category 2 quantities of material listed in Table
1 of Appendix P to provide the pertinent documentation that the
recipient of the material has the necessary authorization under the
laws and regulations of the importing country to receive and possess
the material to the NRC at least 24 hours prior to the shipment. These
changes are discussed in Section I.A of this document. The requirement
that the applicant for a Category 1 export license provide the NRC, at
the time the application is submitted, with pertinent documentation
demonstrating that the recipient of the radioactive material has the
necessary authorization (usually in the form of a license) under the
laws and regulations of the importing country
[[Page 29619]]
to receive and possess the material would remain unchanged.
Subpart D--Review of License Applications
Section 110.40, Commission review. The proposed rule would amend
this section to reduce the number of export license applications that
require Commission review and would, instead, focus Commission review
on the export license applications that raise significant policy
issues. For example, mandatory Commission review of export applications
for nuclear grade graphite for nuclear end use and 1,000 kilograms or
more of deuterium oxide would no longer be required unless the export
raises an important policy issue. The proposed change also would
increase the proposed export of one effective kilogram of high-enriched
uranium, plutonium or uranium-233 to five effective kilograms for
mandatory Commission review. The change would mandate Commission review
of import license applications that raise significant policy issues. By
focusing on policy issues, this proposed change would increase
efficiency and reduce fees on routine NRC export applications. Any
export that is subject to special limitations as determined by the
staff or the Executive Branch would be considered one that raises an
important policy issue and would continue to require Commission review.
This proposed rule would add a requirement for Commission review of
export applications of material listed in Table 1 of Appendix P to 10
CFR Part 110 involving exceptional circumstances, as defined in Sec.
110.42, or Category 1 quantities of material to any country listed in
Sec. 110.28.
Section 110.41, Executive Branch review. The proposed rule would
amend Sec. 110.41 to make a minor editorial change and to require
Executive Branch review of exports raising significant policy issues,
including exports of radioactive material listed in Table 1 of Appendix
P to 10 CFR Part 110 involving exceptional circumstances as defined in
Sec. 110.42. Also, the export of radioactive material listed Table 1
of Appendix P to any country listed in Sec. Sec. 110.28 or 110.29
would require the review of the Executive Branch in accordance with
Sec. 110.41(a)(9).
Section 110.43, Import licensing criteria. The proposed rule would
amend Sec. 110.43 to clarify that, with respect to the import of
radioactive waste, the NRC consults with the host State(s), and, if
applicable, the appropriate low-level waste compact commission(s) to
confirm that an appropriate facility has agreed to accept and is
authorized to possess the waste for management or disposal. Commission
policy, as noted in the 1995 final rule on the export and import of
radioactive waste, states that:
The NRC will not grant an import license for waste intended for
disposal unless it is clear that the waste will be accepted by a
disposal facility, host State, and compact (where applicable). This
will be part of the determination regarding the appropriateness of
the facility that has agreed to accept the waste for management or
disposal.
See Final Rule, Import and Export of Radioactive Waste, 60 FR 27556
(July 21, 1995). This proposed change would address the questions that
the NRC receives on the scope of the host State and low-level waste
compact commission's (if applicable) role regarding the NRC's review of
import applications for radioactive waste.
Additionally, the proposed rule would amend Sec. 110.43 to remove
the import licensing criteria related to the imports of radioactive
material listed in Appendix P. This change conforms Sec. 110.43 with
the proposed change to allow Category 1 and Category 2 quantities of
radioactive materials to be imported under a general license. This
change is discussed in more detail in Section I.A to this document and
in the section-by-section analysis for Sec. 110.27.
Section 110.44, Physical security standards. The proposed rule
would correct the Web site reference for the National Archives and
Records Administration. Changes are proposed to Sec. 110.44(b)(1) that
would clarify that the Commission determinations on the adequacy of
physical security measures are based on receipt by the appropriate U.S.
Executive Branch agency of written assurances from the relevant
recipient country governments that physical security measures for
providing protection at least comparable to the recommendations set
forth in INFCIRC/225/Rev. 4 (corrected).
Section 110.45, Issuance or denial of license. The proposed rule
would amend this section to remove the parenthetical text in paragraph
(a) that states ``If an Executive Order provides an exemption pursuant
to section 126a of the Atomic Energy Act, proposed exports to EURATOM
countries are not required to meet the criteria in Sec. 110.42(a)(4)
and (5)''. This is no longer needed because the Agreement for
Cooperation in the Peaceful Uses of Nuclear Energy Between the European
Energy Community (EURATOM) and the United States of America that went
into effect in 1995 obviates the need for a presidential exemption.
The proposed rule would make conforming changes to paragraph
(b)(4), which would be consistent with the proposed changes to Sec.
110.43(d), regarding the issuance of an import license of radioactive
waste. Paragraph (b)(5) would be removed to eliminate the criteria
related to the imports of radioactive material listed in Appendix P to
10 CFR Part 110. This change would conform Sec. 110.45 with the
proposed change to allow Category 1 and Category 2 quantities of
radioactive materials to be imported under a general license. This
change is discussed in more detail in Section I.A to this document and
in the section-by-section analysis for Sec. 110.27. Additionally,
Sec. 110.45(d) would be amended to clarify that the provisions in this
paragraph do not apply to Commission decisions regarding license
applications for specific licenses to export radioactive material
listed in Table 1 of Appendix P to 10 CFR Part 110.
Subpart E--License Terms and Related Provisions
Section 110.50, Terms. The proposed rule would make several
editorial, clarifying, and conforming changes to this section. In
paragraph (a)(1), proposed changes would clarify that each license is
subject to all applicable provisions of the Atomic Energy Act or other
applicable law. Paragraph (a)(4) would be rewritten and renumbered
(a)(5) to make clear that each license issued by the NRC for the export
or import of nuclear material authorizes only the export or import of
that nuclear material and accompanying packaging, fuel element,
hardware, or other associated devices or products. Paragraph (b)(5)
would be revised to remove reference to 10 CFR Parts 40, 70, 71, and 73
and renumbered as paragraph (a)(3). This license term applies to both
general and specific licenses and should be found in paragraph (a).
In paragraph (b)(2), proposed changes would clarify that a licensee
may export or import only for the purpose(s) and/or end-use(s) stated
in the specific export or import license issued by the NRC. Paragraph
(b)(3) would be amended by adding a new paragraph (b)(3)(i) and
renumbering current paragraphs (b)(3)(i) and (b)(3)(ii) as (b)(3)(ii)
and (b)(3)(iii), respectively. New paragraph (b)(3)(i) would clarify
that prior to shipment of certain nuclear material or equipment that
has associated with it export controls imposed by other countries
(foreign-obligated material or equipment), a license amendment may be
required to authorize the shipment. Alternatively, the licensee could
give the NRC 40 days
[[Page 29620]]
advance notice of the intended shipment.
Paragraph (b)(4) would be redesignated as new paragraph (c) and
would include the requirements for advanced notifications related to
the export or import of radioactive material listed in Table 1 of
Appendix P to 10 CFR Part 110. Proposed changes to the advance
notification requirements would conform this section with the proposed
change to allow Category 1 and Category 2 quantities of radioactive
materials to be imported under a general license. This change is
discussed in more detail in Section I.A of this document and in the
section-by-section analysis for Sec. 110.27. Additionally, editorial
changes are proposed to update the Web site information for the Office
of International Programs and to provide specific details on where to
send the information required for export and import notifications.
Section 110.51, Amendment and renewal of licenses. The proposed
rule would amend Sec. 110.51 to separate the requirements for license
amendments and renewals into separate paragraphs. This proposed change
would clarify the differences in requirements between amendment and
renewal requests and improve readability of the section. No substantive
changes are proposed.
Section 110.53, United States address, records, and inspections.
The proposed rule would clarify that both general and specific
licensees are required to have an office in the United States where
papers may be served and where records required by the Commission will
be maintained. Also, it is proposed to add similar clarifying language
to paragraph (b) of this section that license applicants and both
general and specific licenses shall maintain records concerning its
exports and imports. Clarifying language would also be added that
byproduct material records must be retained for three years after the
date of each export or import shipment.
Subpart F--Violations and Enforcement
Sections 110.60, Violations, 110.66, Enforcement hearing, and
110.67, Criminal penalties. Proposed changes would make non-substantive
changes for purposes of consistency and clarification.
Subpart G--Public Notification and Availability of Documents and
Records
Section 110.70, Public notice of receipt of an application. The
proposed rule would amend this section to clarify that the Commission
will publish in the Federal Register a notice of receipt for
applications for amendment or renewal for the export of the nuclear
equipment and material listed in Sec. 110.70(b)(1) through (b)(5) and
for applications for amendment or renewal for the import of radioactive
waste. Once a notice has been published, the Commission would not
publish in the Federal Register proposed minor amendments to the
application or license. Proposed minor amendments would be posted on
NRC's Web site.
Subpart H--Public Participation Procedures Concerning License
Applications
Section 110.80, Basis for hearings. The proposed rule would amend
this section to correct the omission of the word import from the
section. This change would clarify that the procedures in 10 CFR Part
110 constitute the exclusive basis for hearings on export and import
license applications.
Section 110.81, Written comments. Proposed changes would clarify
that 30 days after public notice of receipt of the application means 30
days after the application is posted on the NRC Web site at http://www.nrc.gov or in the Federal Register for those applications required
to be published in the Federal Register.
Section 110.82, Hearing request or intervention petition. This
section would be amended to add language stating that hearing requests
and intervention petitions are considered timely when filed no later
than 30 days after publication of notice on the NRC Web site. This
change would be consistent with Sec. 110.70, which states that the
Commission will notice the receipt of each specific license application
for an export or import by making a copy available at the NRC Web site,
http://www.nrc.gov. Paragraphs (c)(2) and (c)(3) would be renumbered
accordingly.
Subpart I--Hearings
Section 110.112, Reporter and transcript for an oral hearing. The
proposed rule would clarify the scope of information that will be made
available at the NRC Web site or Public Document Room. Any portions of
the transcript for an oral hearing containing classified information,
Restricted Data, Safeguards information, proprietary information, or
other sensitive unclassified information will not be made available to
the public.
Appendix L to Part 110--Illustrative List of Byproduct Material Under
NRC Export/Import Licensing Authority
Appendix L would be amended by revising the list of byproduct
material to include several radionuclides that are now classified as
byproduct material as a result of the Energy Policy Act of 2005, which
expanded the definition of byproduct material in Section 11e. of the
Atomic Energy Act.
Agreement State Compatibility
Under the ``Policy Statement on Adequacy and Compatibility of
Agreement State Programs'' approved by the Commission on June 30, 1997,
and published in the Federal Register on September 3, 1997 (62 FR
46517), this rule is classified as Compatibility Category ``NRC.''
Compatibility is not required for Category ``NRC'' regulations. The NRC
program elements in this category are those that relate directly to
areas of regulation reserved to the NRC by the Atomic Energy Act of
1954, as amended (AEA), or the provisions of Title 10 of the Code of
Federal Regulations. Although an Agreement State may not adopt program
elements reserved to NRC, it may wish to inform its licensees of
certain requirements via a mechanism that is consistent with the
particular State's administrative procedure laws but does not confer
regulatory authority on the State.
Plain Language
The Presidential Memorandum ``Plain Language in Government
Writing'' published June 10, 1998 (63 FR 31883), directed that the
Government's documents be in clear and accessible language. The NRC
requests comments on this proposed rule specifically with respect to
the clarity and effectiveness of the language used. Comments should be
sent to the address listed under the ADDRESSES heading.
Voluntary Consensus Standards
The National Technology Transfer and Advancement Act of 1995 (Pub.
L. 104-113) requires that Federal Agencies use technical standards that
are developed or adopted by voluntary consensus standards bodies unless
using such a standard is inconsistent with applicable law or otherwise
impractical. This action does not constitute the establishment of a
standard for which the use of a voluntary consensus standard would be
applicable.
Environmental Impact: Categorical Exclusion
The NRC has determined that this final rule is the type of action
described in categorical exclusion 10 CFR 51.22(c)(1). Therefore,
neither an environmental impact statement nor an environmental
assessment has been prepared for this proposed rule.
[[Page 29621]]
Paperwork Reduction Act Statement
This proposed rule decreases the information collection burden on
licensees to update, clarify, and correct several provisions. The
public burden for this information collection is estimated to be a
reduction of 6 hours, which is insignificant. Because the burden for
this information collection is insignificant, Office of Management and
Budget (OMB) approval of the proposed rule is not required. Existing
requirements were approved by the Office of Management and Budget,
approval number 3150-0036.
Abstract
The NRC is proposing to amend its regulations that govern the
export and import of nuclear equipment and material. In addition to
updating, clarifying, and correcting several provisions, the proposed
rule would allow Category 1 and 2 quantities of material to be
imported, and a general license.
The U.S. Nuclear Regulatory Commission is seeking public comment on
the potential impact of the information collections contained in this
proposed rule and on the following issues:
1. Is the proposed information collection necessary for the proper
performance of the functions of the NRC, including whether the
information will have practical utility?
2. Is the estimate of burden accurate?
3. Is there a way to enhance the quality, utility, and clarity of
the information to be collected?
4. How can the burden of the information collection be minimized,
including the use of automated collection techniques?
A copy of the NRC Form 670, ``Information Required for Making an
Insignificant Burden Determination To Support a Decision That OMB
Clearance Is Not Required,'' may be viewed free of charge at the NRC
Public Document Room, One White Flint North, 11555 Rockville Pike, Room
O-1 F21, Rockville, MD 20852. The NRC Form 670 and rule are available
at the NRC worldwide Web site: http://www.nrc.gov/public-involve/doc-comment/omb/index.html for 60 days after the signature date of this
notice.
Send comments on any aspect of these proposed information
collections, including suggestions for reducing the burden and on the
above issues, by July 23, 2009 to the Records and FOIA/Privacy Services
Branch (T-5 F52), U.S. Nuclear Regulatory Commission, Washington, DC
20555-0001, or by Internet electronic mail to
[email protected] and to Christine J. Kymn, the Desk
Officer, Office of Information and Regulatory Affairs, NEOB-10202,
(3150-0036), Office of Management and Budget, Washington, DC 20503.
Comments received after this date will be considered if it is practical
to do so, but assurance of consideration cannot be given to comments
received after this date. You may also e-mail comments to Christine--
J.--KymnAomb.eop.gov or comment by telephone at 202-395-4638.
Public Protection Notification
The NRC may not conduct or sponsor, and a person is not required to
respond to, a request for information or an information collection
requirement unless the requesting document displays a currently valid
OMB control number.
Regulatory Analysis
The NRC is proposing to amend its regulations at 10 CFR Part 110 to
update, clarify, and correct several provisions in an effort to improve
NRC's regulatory framework for the export and import of nuclear
equipment, material, and radioactive waste. Most of these changes are
administrative in nature and would result in no changes to the
information collection burden or costs to the public. In addition to
updating, clarifying and correcting several provisions of 10 CFR Part
110, this proposed rule would allow imports of Category 1 and 2
quantities of material under a general license instead of a specific
license. The proposed rule would also revise the definition of
``radioactive waste.'' In addition, the Commission is proposing to
delete the definition of ``incidental radioactive material'' and
incorporate aspects of it in the revised definition of ``radioactive
waste.'' These proposed changes to 10 CFR Part 110 will facilitate the
licensing process for exports and imports of radioactive waste and
improve the efficiency and consistency of licensing actions. These
changes are not expected to result in a significant increase to the
information collection burden or costs to the public.
Regulatory Flexibility Certification
As required by the Regulatory Flexibility Act of 1980, (5 U.S.C.
605(b)), the Commission certifies that this rule would not, if
promulgated, have a significant economic impact on a substantial number
of small entities. This rule would affect only companies exporting or
importing nuclear equipment, material, and radioactive waste to and
from the United States and do not fall within the scope of the
definition of ``small entities'' set forth in the Regulatory
Flexibility Act (5 U.S.C. 601(3)), or the Size Standards established by
the NRC (10 CFR 2.810).
Backfit Analysis
The NRC has determined that a backfit analysis is not required for
this rule because these amendments would not involve any provisions
that would impose backfits as defined in 10 CFR Chapter I.
List of Subjects in 10 CFR Part 110
Administrative practice and procedure, Classified information,
Criminal penalties, Export, Import, Intergovernmental relations,
Nuclear materials, Nuclear power plants and reactors, Reporting and
recordkeeping requirements, Scientific equipment.
For the reasons set out in the preamble and under the authority of
the Atomic Energy Act of 1954, as amended; the Energy Reorganization
Act of 1974, as amended; and 5 U.S.C. 553, the NRC is proposing to
adopt the following amendments to 10 CFR Part 110.
PART 110--EXPORT AND IMPORT OF NUCLEAR EQUIPMENT AND MATERIAL
1. The authority citation for Part 110 continues to read as
follows:
Authority: Secs. 51, 53, 54, 57, 63, 64, 65, 81, 82, 103, 104,
109, 111, 126, 127, 128, 129, 134, 161, 181, 182, 183, 187, 189, 68
Stat. 929, 930, 931, 932, 933, 936, 937, 948, 953, 954, 955, 956, as
amended (42 U.S.C. 2071, 2073, 2074, 2077, 2092-2095, 2111, 2112,
2133, 2134, 2139, 2139a, 2141, 2154-2158, 2201, 2231-2233, 2237,
2239); sec. 201, 88 Stat. 1242, as amended (42 U.S.C. 5841; sec 5,
Pub. L. 101-575, 104 Stat 2835 (42 U.S.C. 2243); sec. 1704, 112
Stat. 2750 (44 U.S.C. 3504 note); Energy Policy Act of 2005; Pub. L.
109-58, 119 Stat. 594 (2005).
Sections 110.1(b)(2) and 110.1(b)(3) also issued under Pub. L.
96-92, 93 Stat. 710 (22 U.S.C. 2403). Section 110.11 also issued
under sec. 122, 68 Stat. 939 (42 U.S.C. 2152) and secs. 54c and 57d,
88 Stat. 473, 475 (42 U.S.C. 2074). Section 110.27 also issued under
sec. 309(a), Pub. L. 99-440. Section 110.50(b)(3) also issued under
sec. 123, 92 Stat. 142 (42 U.S.C. 2153). Section 110.51 also issued
under sec. 184, 68 Stat. 954, as amended (42 U.S.C. 2234). Section
110.52 also issued under sec. 186, 68 Stat. 955 (42 U.S.C. 2236).
Sections 110.80-110.113 also issued under 5 U.S.C. 552, 554.
Sections 110.130-110.135 also issued under 5 U.S.C. 553. Sections
110.2 and 110.42(a)(9) also issued under sec. 903, Pub. L. 102-496
(42 U.S.C. 2151 et seq.).
2. In Sec. 110.1, paragraphs (b)(2), (b)(3), (b)(4) and (b)(5) are
revised to read as follows:
[[Page 29622]]
Sec. 110.1 Purpose and scope.
* * * * *
(b) * * *
(2) Persons who export uranium depleted in the isotope-235 and
incorporated in commodities solely to take advantage of high density or
pyrophoric characteristics. These persons are subject to the controls
of the Department of Commerce under the Export Administration Act, as
continued in force under Executive Order 13222 (August 22, 2001), as
extended;
(3) Persons who export nuclear referral list commodities such as
bulk zirconium, rotor and bellows equipment, maraging steel, nuclear
reactor related equipment, including process control systems and
simulators. These persons are subject to the licensing authority of the
Department of Commerce pursuant to 15 CFR Part 730 et seq.;
(4) Persons who import deuterium, nuclear grade graphite, or
nuclear equipment other than production or utilization facilities. A
uranium enrichment facility is not a production facility for the
purposes of import; and
(5) Shipments which are only passing through the U.S. (in bond
shipments) do not require an NRC import or export license; however,
they must comply with the Department of Transportation/IAEA packaging,
and State transportation requirements.
* * * * *
3. In Sec. 110.2:
a. The definition of ``Incidental radioactive material'' is
removed;
b. The definitions of ``Agreement for cooperation'', ``Atomic
Energy Act'', ``Classified Information'', ``Conversion facility'',
``Depleted uranium'', ``Effective kilograms of special nuclear
material'', ``Embargoed'', ``Executive Branch'', ``General license'',
``Heels'', ``Medical isotope'', ``Natural uranium'', ``Non-Nuclear
Weapons State'', ``NRC Public Document Room'', ``Obligations'',
``Physical security'', ``Radioactive waste'', ``Radiopharmaceutical'',
``Recipient Country'', ``Restricted destinations'', and ``Specific
license'' are revised; and
c. The definitions of ``Bulk material'', ``Low-level waste
compact'', and ``Nuclear Suppliers Group'' are added in alphabetical
order.
The revisions and additions read as follows:
Sec. 110.2 Definitions.
* * * * *
Agreement for cooperation means any agreement with another nation
or group of nations concluded under section 123 of the Atomic Energy
Act.
Atomic Energy Act means the Atomic Energy Act of 1954, as amended
(42 U.S.C. 2011 et seq.).
Bulk Material means any quantity of any one or more of the
radionuclides listed in Table 1 of Appendix P to this part in a form
that is:
(1) Not a Category 1 radioactive source;
(2) Not a Category 2 radioactive source;
(3) Not plutonium-238; and
(4) Deemed to pose a risk similar to or greater than a Category 2
radioactive source.
* * * * *
Classified Information means Classified National Security
Information under Executive Order 12958, as amended, or any successor
Executive Order and Restricted Data under the Atomic Energy Act.
* * * * *
Conversion facility means any facility for the transformation from
one uranium chemical species to another, including conversion of
uranium ore concentrates to uranium trioxide (UO3), conversion of UO3
to uranium dioxide (UO2), conversion of uranium oxides to uranium
tetrafluoride (UF4) or uranium hexafluoride (UF6), conversion of UF4 to
UF6, conversion of UF6 to UF4, conversion of UF4 to uranium metal, and
conversion of uranium fluorides to UO2.
Depleted uranium means uranium having a percentage of uranium-235
less than the naturally occurring distribution of uranium-235 found in
natural uranium (less than 0.711 weight percent uranium-235). It is
obtained from spent (used) fuel elements or as byproduct tails or
residues from uranium isotope separation.
* * * * *
Effective kilograms of special nuclear material means:
(1) For plutonium and uranium-233, their weight in kilograms;
(2) For uranium enriched 1 percent or greater in the isotope
uranium-235, its element weight in kilograms multiplied by the square
of its enrichment expressed as a decimal weight fraction; and
(3) For uranium enriched below 1 percent in the isotope uranium-
235, its element weight in kilograms multiplied by 0.0001.
Embargoed means that no nuclear material or equipment can be
exported to certain countries under an NRC general license. Exports to
embargoed countries must be pursuant to a specific license issued by
the NRC and require Executive Branch review pursuant to Sec. 110.41.
* * * * *
Executive Branch means the Departments of State, Energy, Defense
and Commerce.
* * * * *
General license means an export or import license effective without
the filing of a specific application with the Commission or the
issuance of licensing documents to a particular person. A general
license is a type of license issued through rulemaking by the NRC and
is not an exemption from the requirements in this part. A general
license does not relieve a person from complying with other applicable
NRC, Federal, and State requirements.
Heels means small quantities of natural, depleted or low-enriched
uranium (to a maximum of 20 percent), in the form of uranium
hexafluoride (UF6) left in emptied transport cylinders being returned
to suppliers after delivery of the product.
* * * * *
Low-level waste compact, as used in this Part, means a compact
entered into by two or more States pursuant to the Low-Level
Radioactive Waste Policy Amendments Act of 1985.
* * * * *
Medical isotope, for the purposes of Sec. 110.42(a)(9), includes
molybdenum-99, iodine-131, xenon-133, and other radioactive materials
used to produce a radiopharmaceutical for diagnostic, therapeutic
procedures or for research and development.
Natural uranium means uranium as found in nature, containing about
0.711 percent of uranium-235, 99.283 percent of uranium-238, and a
trace (0.006 percent) of uranium-234.
* * * * *
Non-Nuclear Weapon State means any State not a nuclear weapon State
as defined in the Treaty on the Non-Proliferation of Nuclear Weapons.
Nuclear Weapon State means any State which has manufactured and
exploded a nuclear weapon or other nuclear explosive device prior to
January 1, 1967. (China, France, Russia, United Kingdom, United States)
* * * * *
NRC Public Document Room means the facility at One White Flint
North, 11555 Rockville Pike (first floor), Rockville, Maryland, where
certain public records of the NRC that were made available for public
inspection in paper or microfiche prior to the implementation of the
NRC Agencywide Documents Access and Management System, commonly
referred to as ADAMS, will remain available for public inspection. It
is also the place where NRC makes computer terminals available to
access the Publicly
[[Page 29623]]
Available Records System (PARS) component of ADAMS on the NRC Web site,
http://www.nrc.gov, and where copies can be viewed or ordered for a fee
as set forth in Sec. 9.35 of this chapter. The facility is staffed
with reference librarians to assist the public in identifying and
locating documents and in using the NRC Web site and ADAMS. The NRC
Public Document Room is open from 7:45 a.m. to 4:15 p.m., Monday
through Friday, except on Federal holidays. Reference service and
access to documents may also be requested by telephone (301-415-4737 or
800-397-4209) between 8:30 a.m. and 4:15 p.m., or by e-mail
([email protected]), facsimile (301-415-3548), or letter (NRC Public
Document Room, One White Flint North, 11555 Rockville Pike (first
floor), Rockville, Maryland 20852-2738).
* * * * *
Nuclear Suppliers Group (NSG) is a group of nuclear supplier
countries which seeks to contribute to the non-proliferation of nuclear
weapons through the implementation of Guidelines for nuclear exports
and nuclear-related exports.
Obligations means the commitments undertaken by the U.S. Government
under Atomic Energy Act section 123 agreements for cooperation in the
peaceful uses of atomic energy. Imports and exports of material or
equipment pursuant to such agreements are subject to these commitments,
which in some cases involve an exchange of information on imports,
exports, retransfers with foreign governments, peaceful end-use
assurances, and other conditions placed on the transfer of the material
or equipment. The U.S. Government informs the licensee of obligations
attached to material or equipment being imported into the U.S. and
approves changes to those obligations.
* * * * *
Physical security or Physical protection means measures to
reasonably ensure that source or special nuclear material will only be
used for authorized purposes and to prevent theft or sabotage.
* * * * *
Radioactive waste, for the purposes of this part, means any
material that contains or is contaminated with source, byproduct, or
special nuclear material that by its possession would require a
specific radioactive material license in accordance with this Chapter
and is imported or exported for the purposes of disposal in a land
disposal facility as defined in 10 CFR Part 61, a disposal area as
defined in Appendix A to 10 CFR Part 40, or an equivalent facility; or
recycling, waste treatment or other waste management process that
generates radioactive material for disposal in a land disposal facility
as defined in 10 CFR Part 61, a disposal area as defined in Appendix A
to10 CFR Part 40, or an equivalent facility. Radioactive waste does not
include radioactive material that is--
(1) Contained in a sealed source, or device containing a sealed
source, that is being returned to a manufacturer, distributor or other
entity which is authorized to receive and possess the sealed source or
the device containing a sealed source;
(2) A contaminant on any non-radioactive material used in a nuclear
facility (including service tools and protective clothing), if the
material is being shipped for recovery and beneficial use of the non-
radioactive material in a nuclear facility and not solely for waste
management purposes or disposal.
(3) Exempted from regulation by the Nuclear Regulatory Commission
or equivalent Agreement State regulations.
(4) Generated or used in a U.S. Government waste research and
development testing program under international arrangements; or
(5) Being returned by or for the U.S. Government or military to a
facility that is authorized to possess the material.
Radiopharmaceutical, for the purposes of Sec. 110.42(a)(9), means
a radioactive isotope that contains byproduct material combined with
chemical or biological material and is designed to accumulate
temporarily in a part of the body for therapeutic purposes or for
enabling the production of a useful image for use in a diagnosis of a
medical condition.
Recipient Country, for the purposes of Sec. 110.42(a)(9), means
Canada, Belgium, France, Germany, and the Netherlands.
Restricted destinations means countries that are listed in 10 CFR
110.29 based on recommendations from the Executive Branch. These
countries may receive exports of certain materials and quantities under
a general license, but some exports to restricted destinations will
require issuance of a specific license by the NRC including Executive
Branch review pursuant to Sec. 110.41.
* * * * *
Specific license means an export or import license document issued
to a named person and authorizing the export or import of specified
nuclear equipment or materials based upon the review and approval of an
NRC Form 7 application filed pursuant to this part and other related
submittals in support of the application.
* * * * *
4. Section 110.4 is revised to read as follows:
Sec. 110.4 Communications.
Except where otherwise specified in this part, all communications
and reports concerning the regulations in this part should be addressed
to the Deputy Director of the NRC's Office of International Programs,
either by telephone to 301-415-2344; by mail to the U.S. Nuclear
Regulatory Commission, Washington, DC 20555-0001; by hand delivery to
the NRC's offices at 11555 Rockville Pike, Rockville, Maryland 20852;
or, where practicable, by electronic submission, for example, via
Electronic Information Exchange, or CD-ROM. Electronic submissions must
be made in a manner that enables the NRC to receive, read,
authenticate, distribute, and archive the submission, and process and
retrieve it a single page at a time. Detailed guidance on making
electronic submissions can be obtained by visiting the NRC's Web site
at http://www.nrc.gov/site-help/e-submittals.html, by e-mail to
[email protected], or by writing the Office of Information Services,
U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001. The
guidance discusses, among other topics, the formats the NRC can accept,
the use of electronic signatures, and the treatment of nonpublic
information.
5. Section 110.6 is revised to read as follows:
Sec. 110.6 Retransfers.
(a) Retransfer of any nuclear equipment listed in Sec. 110.8,
source material, or special nuclear material, including special nuclear
material produced through the use of U.S.-obligated equipment, requires
authorization by the Department of Energy, unless the export to the new
destination is authorized by the NRC under a specific or general
license or an exemption from licensing requirements. Under certain
agreements for cooperation, Department of Energy authorization also is
required for the retransfer of special nuclear material produced
through the use of non-U.S.-supplied nuclear material in U.S.-supplied
utilization facilities. Department of Energy authorization is also
required for the retransfer of obligated nuclear equipment and material
(see definition of ``obligations'' in Sec. 110.2).
(b) Requests for authority to retransfer are processed by the
Department of
[[Page 29624]]
Energy, National Nuclear Security Administration, Office of
International Regimes and Agreements, Washington, DC 20585.
6. In Sec. 110.7, paragraph (c) is revised to read as follows:
Sec. 110.7 Information collection requirements: OMB approval.
* * * * *
(c) This part contains information collection requirements in
addition to those approved under the control number specified in
paragraph (a) of this section. The information collection requirements
contained in Sec. Sec. 110.19, 110.20, 110.21, 110.22, 110.23, 110.31,
110.32, and 110.51, and NRC Form 7 are approved under control number
3150-0027.
7. In Sec. 110.7a, paragraph (b) is revised to read as follows:
Sec. 110.7a Completeness and accuracy of information.
* * * * *
(b) Each licensee or applicant for a license shall notify the
Commission of information identified by the applicant or licensee as
having for the regulated activity a significant implication for public
health and safety or common defense and security. An applicant or
licensee violates this paragraph if the applicant or licensee fails to
notify the Commission of information that the applicant or licensee has
identified as having a significant implication for public health and
safety or common defense and security. Notification shall be provided
to the Administrator of the appropriate Regional Office within two
working days of identifying the information. This requirement is not
applicable to information which is already required to be provided to
the Commission by other reporting or updating requirements.
8. In Sec. 110.10, paragraph (c) is revised to read as follows:
Sec. 110.10 General.
* * * * *
(c) The granting of an exemption does not relieve any person from
complying with the regulations of other U.S. Federal and/or State
government agencies applicable to exports or imports under their
authority.
9. Section 110.11 is revised to read as follows:
Sec. 110.11 Export of IAEA safeguards samples.
A person is exempt from the requirements for a license to export
special nuclear material set forth in sections 53 and 54d. of the
Atomic Energy Act and from the regulations in this Part to the extent
that the person exports special nuclear material in IAEA safeguards
samples, if the samples are exported in accordance with Sec. 75.8 of
this chapter, or a comparable Department of Energy order, and are in
quantities not exceeding a combined total of 100 grams of contained
plutonium, uranium-233 and uranium-235 per facility per year. This
exemption does not relieve any person from complying with Parts 71 or
73 of this chapter or any Commission order under section 201(a) of the
Energy Reorganization Act of 1974 (42 U.S.C. 5841(a)).
10. Section 110.19 is revised to read as follows:
Sec. 110.19 Types of licenses.
Licenses for the export and import of nuclear equipment and
material in this part consist of general licenses and specific
licenses. A general license is effective without the filing of an
application with the Commission or the issuance of licensing documents
to a particular person. A specific license is issued to a named person
and is effective upon approval by the Commission of an application
filed pursuant to the regulations in this part and issuance of
licensing documents to the applicant.
11. In Sec. 110.20, paragraphs (a) and (d) are revised to read as
follows:
Sec. 110.20 General license information.
(a) A person may use an NRC general license as authority to export
or import nuclear equipment or material, if the nuclear equipment or
material to be exported or imported is covered by the NRC general
licenses described in Sec. Sec. 110.21 through 110.27. If an export or
import is not covered by the NRC general licenses described in
Sec. Sec. 110.21 through 110.27, a person must file an application
with the Commission for a specific license in accordance with
Sec. Sec. 110.31 through 110.32.
* * * * *
(d) A general license for export may not be used if the exporter
knows, or has reason to believe, that the material will be used in any
illegal activity or any activity related to isotope separation,
chemical reprocessing, heavy water production or the fabrication of
nuclear fuel containing plutonium, unless these activities are
generically authorized under an appropriate agreement for cooperation.
* * * * *
12. In Sec. 110.21 paragraph (e) is removed and paragrahs (a)(3),
(a)(4), (b), and (c) are revised to read as follows:
Sec. 110.21 General license for the export of special nuclear
material.
(a) * * *
(3) Special nuclear material, other than plutonium-236 and
plutonium-238, in sensing components in instruments, if no more than 3
grams of enriched uranium or 0.1 gram of plutonium or uranium-233 are
contained in each sensing component.
(4) Plutonium-236 and plutonium-238 when contained in a device, or
a source for use in a device, in quantities of less than 3.7 x
10-3 TBq (100 millicuries) of alpha activity (189 micrograms
plutonium-236, 5.88 milligrams plutonium-238) per device or source.
(b) Except as provided in paragraph (d) of this section, a general
license is issued to any person to export the following to any country
not listed in Sec. 110.28 or Sec. 110.29:
(1) Special nuclear material, other than plutonium-236 and
plutonium-238, in individual shipments of 0.001 effective kilogram or
less (e.g., 1.0 gram of plutonium, uranium-233 or uranium-235, or 10
kilograms of 1 percent enriched uranium), not to exceed 0.1 effective
kilogram per year to any one country.
(2) Special nuclear material in fuel elements as replacements for
damaged or defective unirradiated fuel elements previously exported
under a specific license, subject to the same terms as the original
export license and the condition that the replaced fuel elements must
be returned to the United States within a reasonable time period.
(3) Uranium, enriched to less than 20 percent in uranium-235, in
the form of uranium hexafluoride (UF6) heels in cylinders being
returned to suppliers in EURATOM.
(c) Except as provided in paragraph (d) of this section, a general
license is issued to any person to export plutonium-236 or plutonium-
238 to any country listed in Sec. 110.30 in individual shipments of 1
gram or less, not to exceed 100 grams per year to any one country.
* * * * *
13. Section 110.22 is revised to read as follows:
Sec. 110.22 General license for the export of source material.
(a) Except as provided in paragraph (f) of this section, a general
license is issued to any person to export the following to any country
not listed in Sec. 110.28:
(1) Uranium or thorium, other than uranium-230, uranium-232,
thorium-227, and thorium-228, in any substance in concentrations of
less than 0.05 percent by weight.
[[Page 29625]]
(2) Thorium, other than thorium-227 and thorium-228, in
incandescent gas mantles or in alloys in concentrations of 5 percent or
less.
(3) Thorium-227, thorium-228, uranium-230, and uranium-232 when
contained in a device, or a source for use in a device, in quantities
of less than 3.7 x 10-3 TBq (100 millicuries) of alpha
activity (3.12 micrograms thorium-227, 122 micrograms thorium-228, 3.7
micrograms uranium-230, 4.7 milligrams uranium-232) per device or
source.
(b) Except as provided in paragraph (f) of this section, a general
license is issued to any person to export uranium or thorium, other
than uranium-230, uranium-232, thorium-227, or thorium-228, in
individual shipments of 10 kilograms or less to any country not listed
in Sec. 110.28 or Sec. 110.29, not to exceed 1,000 kilograms per year
to any one country or 500 kilograms per year to any one country when
the uranium or thorium is Canadian-obligated.
(c) A general license is issued to any person to export uranium,
enriched to less than 20 percent in uranium-235, in the form of uranium
hexafluoride (UF6) heels in cylinders being returned to
suppliers in EURATOM.
(d) Except as provided in paragraph (f) of this section, a general
license is issued to any person to export uranium or thorium, other
than uranium-230, uranium-232, thorium-227, or thorium-228, in
individual shipments of 1 kilogram or less to any country listed in
Sec. 110.29, not to exceed 100 kilograms per year to any one country.
(e) Except as provided in paragraph (f) of this section, a general
license is issued to any person to export uranium-230, uranium-232,
thorium-227, or thorium-228 in individual shipments of 10 kilograms or
less to any country listed in Sec. 110.30, not to exceed 1,000
kilograms per year to any one country or 500 kilograms per year to any
one country when the uranium or thorium is Canadian-obligated.
(f) Paragraphs (a), (b), (c), (d), and (e) of this section do not
authorize the export under general license of source material in
radioactive waste.
14. Section 110.23 is revised to read as follows:
Sec. 110.23 General license for the export of byproduct material.
(a) A general license is issued to any person to export byproduct
material (see appendix L to this part) to any country not listed in
Sec. 110.28 and subject to the following limitations:
(1) The general license in this section does not authorize the
export of byproduct material in the form of radioactive waste.
(2) The general license in this section does not authorize the
export of the following radionuclides:
Americium-242m
Californium-249
Californium-251
Curium-245
Curium-247
(3) For byproduct materials listed in Table 1 of Appendix P to this
part, individual shipments under a general license for export must be
less than the terabecquerel (TBq) values specified in Category 2 of
Table 1 unless a more restrictive requirement applies.
(4) The general license is issued for exports of the following
radionuclides when contained in a device, or a source for use in a
device, in quantities of less than 3.7 x 10-3 TBq (100
millicuries) of alpha activity per device or source, unless the export
is to a country listed in Sec. 110.30:
Actinium-225
Actinium-227
Californium-248
Californium-250
Californium-252
Californium-253
Californium-254
Curium-240
Curium-241
Curium-242
Curium-243
Curium-244
Einsteinium-252
Einsteinium-253
Einsteinium-254
Einsteinium-255
Fermium-257
Gadolinium-148
Mendelevium-258
Neptunium-235
Polonium-208
Polonium-209
Polonium-210
Radium-223
(5)(i) For americium-241, exports under the general license to a
country listed in Sec. 110.29 must not exceed 3.7 x 10-2
TBq (one curie) per shipment.
(ii) For americium-241, exports under the general license to a
country listed in Sec. 110.29 that exceed 3.7 x 10-2 TBq
(one curie) per shipment, must be contained in industrial process
control equipment or petroleum exploration equipment in quantities not
exceeding 0.60 TBq (16 curies) per device and not exceeding 7.4 TBq/
year (200 curies/year) to any one country.
(iii) All exports of americium are subject to the reporting
requirements listed in paragraph (b) of this section.
(6) For neptunium-235 and -237, exports under the general license
must not exceed one gram for individual shipment and must not exceed a
cumulative total of 10 grams per year to any one country. All exports
of neptunium are subject to the reporting requirements listed in
paragraph (b) of this section.
(7) For polonium-210, exports under the general license, when
contained in static eliminators, must not exceed 3.7 TBq (100 curies)
per individual shipment.
(8)(i) For tritium in any dispersed form (e.g., luminescent light
sources and paint, accelerator targets, calibration standards, labeled
compounds), exports under the general license must not exceed 0.37 TBq
(10 curies (1.03 milligrams)) per item, not to exceed 37 TBq (1,000
curies (103 milligrams)) per shipment, or 370 TBq (10,000 curies (1.03
grams)) per year to any one country.
(ii) For tritium in any dispersed form (e.g., luminescent light
sources and paint, accelerator targets, calibration standards, labeled
compounds), exports under the general license to the countries listed
in Sec. 110.30 must not exceed the quantity of 1.48 TBq (40 curies
(4.12 milligrams)) per item, not to exceed 37 TBq (1,000 curies (103
milligrams)) per shipment or 370 TBq (10,000 curies (1.03 grams)) per
year to any one country.
(iii) For tritium in luminescent safety devices installed in an
aircraft, exports under the general license must not exceed 1.48 TBq
(40 curies (4.12 milligrams) per light source.
(iv) The general license in this section does not authorize the
export of tritium for recovery or recycle purposes.
(b) Persons making exports under the general license established by
paragraph (a) of this section or under a specific license shall submit
by February 1 of each year one copy of a report of all americium and
neptunium shipments during the previous calendar year. This report
shall be submitted to the Deputy Director, Office of International
Programs at the address provided in Sec. 110.4. The report must
include:
(1) A description of the material, including quantity in TBq and
grams;
(2) Approximate shipment dates; and
(3) A list of recipient countries, end users, and intended use
keyed to the items shipped.
15. Section 110.24 is revised to read as follows:
Sec. 110.24 General license for the export of deuterium.
(a) A general license is issued to any person to export to any
country not listed in Sec. 110.28 or Sec. 110.29 deuterium in
individual shipments of 10 kilograms
[[Page 29626]]
or less (50 kilograms of heavy water). No person may export more than
200 kilograms (1,000 kilograms of heavy water) per year to any one
country.
(b) A general license is issued to any person to export to any
country listed in Sec. 110.29 deuterium in individual shipments of 1
kilogram or less (5 kilograms of heavy water). No person may export
more than 5 kilograms (25 kilograms of heavy water) per year to any one
country listed in Sec. 110.29.
Sec. 110.25 [Reserved]
16. Section 110.25 is added and reserved.
17. Section 110.26 is revised to read as follows:
Sec. 110.26 General license for the export of nuclear reactor
components.
(a) A general license is issued to any person to export to a
destination listed in paragraph (b) of this section any nuclear reactor
component of U.S. origin described in paragraphs (5) through (9) of
Appendix A to this part if--
(1) The component can be used in a light or heavy water-moderated
power or research reactor; or
(2) The component is in semifabricated form and will be undergoing
final fabrication or repair in those countries for either subsequent
return to the United States for use in a nuclear power or research
reactor in the United States or in one of the destinations listed in
paragraph (b) of this section.
(b) The export of nuclear reactor components under the general
license established in paragraph (a) of this section is approved to the
following destinations:
Austria
Belgium
Bulgaria
Canada
Cyprus
Czech Republic
Denmark
Estonia
Finland
France
Germany
Greece
Hungary
Indonesia
Ireland
Italy
Japan
Latvia
Lithuania
Luxembourg
Malta
Netherlands
New Zealand
Philippines
Poland
Portugal
Republic of Korea
Romania
Slovak Republic
Slovenia
Spain
Sweden
Switzerland
Taiwan
United Kingdom
(c) This general license does not authorize the export of
components, in final or semi-fabricated form, for research reactors
capable of continuous operation above 5 MW thermal.
(d) This general license does not authorize the export of
essentially complete reactors through piecemeal exports of facility
components. When individual exports of components would amount in the
aggregate to export of an essentially complete nuclear reactor, a
facility export license is required.
(e) Persons making exports under the general license established by
paragraph (a) of this section shall submit by February 1 of each year
one copy of a report of all components shipped during the previous
calendar year. This report must include:
(1) A description of the components keyed to the categories listed
in appendix A to this part.
(2) Approximate shipment dates.
(3) A list of recipient countries and end users keyed to the items
shipped.
18. In Sec. 110.27, paragraphs (a), (b), and (f) are revised to
read as follows:
Sec. 110.27 General license for import.
(a) Except as provided in paragraphs (b) and (c) of this section, a
general license is issued to any person to import byproduct, source, or
special nuclear material if the U.S. consignee is authorized to receive
and possess the material under a general or specific NRC or Agreement
State license issued by the Commission or a State with which the
Commission has entered into an agreement under Section 274b. of the
Atomic Energy Act.
(b) The general license in paragraph (a) of this section does not
authorize the import of source or special nuclear material in the form
of irradiated fuel if the total weight of the material exceeds 100
kilograms per shipment.
* * * * *
(f) Importers of radioactive material listed in Appendix P to this
part must provide the notifications required by Sec. 110.50.
Sec. 110.30 [Amended]
19. Section 110.30 is amended by adding ``China'', ``Croatia'',
``Estonia'', ``Kazakhstan'', ``Lithuania'', and ``Malta'' in
alphabetical order.
20. Section 110.31 is revised to read as follows:
Sec. 110.31 Application for a specific license.
(a) A person shall file an application for a specific license to
export or import with the Deputy Director of the NRC's Office of
International Programs, using an appropriate method listed in Sec.
110.4.
(b) Applications for export, import, combined export/import,
amendment or renewal licenses or a request for an exemption from a
licensing requirement under 10 CFR Part 110 shall be filed on NRC Form
7.
(c) An application for a specific license to export or import or a
request for an exemption from a licensing requirement must be
accompanied by the appropriate fee in accordance with the fee schedule
in Sec. 170.21 and Sec. 170.31 of this chapter. A license application
will not be processed unless the specified fee is received.
(d) Each application on NRC Form 7 shall be signed by the applicant
or licensee or a person duly authorized to act for and on behalf of the
applicant or licensee.
(e) Each person shall provide in the license application, as
appropriate, the information specified in Sec. 110.32. The Commission
also may require the submission of additional information if necessary
to complete its review.
(f) An application may cover multiple shipments and destinations.
(g) The applicant shall withdraw an application when it is no
longer needed. The Commission's official files retain all documents
related to a withdrawn application.
21. Section 110.32 is revised to read as follows:
Sec. 110.32 Information required in an application for a specific
license/NRC Form 7.
(a) Name and address of applicant.
(b) Name and address of any other party, including the supplier of
equipment or material, if different from the applicant.
(c) Country of origin of equipment or material, and any other
countries that have processed the material prior to its import into the
U.S.
Note: This is meant to include all obligations attached to the
material, according to the definition of obligations in Sec. 110.2.
Licensees must keep records of obligations attached to material
which they own or is in their possession.
(d) Names and addresses of all intermediate and ultimate
consignees, other than intermediate consignees performing shipping
services only.
[[Page 29627]]
(e) Dates of proposed first and last shipments.
(f) Description of the equipment or material including, as
appropriate, the following:
(1) Maximum quantity of material in grams or kilograms
(terabequerels or TBq for byproduct material) and its chemical and
physical form.
(2) For enriched uranium, the maximum weight percentage of
enrichment and maximum weight of contained uranium-235.
(3) For nuclear equipment, the name of the facility and its total
dollar value.
(4) For nuclear reactors, the name of the facility, its design
power level and its total dollar value.
(5) For proposed exports or imports of radioactive waste, the
volume, physical and chemical characteristics, route of transit of
shipment, classification (as defined in Sec. 61.55 of this chapter) if
imported or exported for direct disposal, and ultimate disposition
(including forms of management or treatment) of the waste.
(6) For proposed imports of radioactive waste, the industrial or
other process responsible for generation of the waste, and the status
of the arrangements for disposition (e.g., any agreement by a low-level
waste compact commission or State to accept the material for management
purposes or disposal).
(7) Description of end use by all consignees in sufficient detail
to permit accurate evaluation of the justification for the proposed
export or import, including the need for shipment by the dates
specified.
(g)(1) For proposed exports of Category 1 quantities of material
listed in Table 1 of Appendix P to this part, pertinent documentation
that the recipient of the material has the necessary authorization
under the laws and regulations of the importing country to receive and
possess the material.
(2) For proposed exports of Category 2 quantities of material
listed in Table 1 of Appendix P to this part, pertinent documentation
that the recipient of the material has the necessary authorization
under the laws and regulations of the importing country to receive and
possess the material. This documentation must be provided to the NRC at
least 24 hours prior to the shipment.
(3) Pertinent documentation shall consist of a copy of the
recipient's authorization to receive and possess the material to be
exported or a confirmation from the government of the importing country
that the recipient is so authorized. The recipient authorization shall
include the following information:
(i) Name of the recipient;
(ii) Recipient location and legal address or principal place of
business;
(iii) Relevant radionuclides and radioactivity being imported or
that the recipient is authorized to receive and possess;
(iv) Uses, if appropriate; and
(v) The expiration date of the recipient's authorization (if any).
22. Section 110.40 is revised to read as follows:
Sec. 110.40 Commission review.
(a) Immediately after receipt of a license application for an
export or import requiring a specific license under this part, the
Commission will initiate its licensing review and, to the maximum
extent feasible, will expeditiously process the application
concurrently with any applicable review by the Executive Branch.
(b) The Commission shall review a license application for export of
the following:
(1) A production or utilization facility.
(2) More than five effective kilograms of high-enriched uranium,
plutonium or uranium-233.
(3) An export involving assistance to end uses related to isotope
separation, chemical reprocessing, heavy water production, advanced
reactors, or the fabrication of nuclear fuel containing plutonium,
except for exports of source material or low-enriched uranium to
EURATOM or Japan for enrichment up to 5 percent in the isotope uranium-
235, and those categories of exports which the Commission has approved
in advance as constituting permitted incidental assistance.
(4) The initial export to a country since March 10, 1978 of source
or special nuclear material for nuclear end use.
(5) An initial export to any country listed in Sec. 110.28 or
Sec. 110.29 involving over:
(i) 10 grams of plutonium, uranium-233 or high-enriched uranium;
(ii) 1 effective kilogram of low-enriched uranium;
(iii) 250 kilograms of source material or heavy water; or
(iv) 37 TBq (1,000 curies) of tritium.
(6) The export of radioactive material listed in Table 1 of
Appendix P of this part involving:
(i) Exceptional circumstances in Sec. 110.42(e); or
(ii) Category 1 quantities of material to any country listed in
Sec. 110.28.
(c) The Commission will review export and import license
applications raising significant policy issues.
(d) If the Commission has not completed action on a license
application within 60 days after receipt of the Executive Branch
judgment, as provided for in Sec. 110.41, or the license application
when an Executive Branch judgment is not required, it will inform the
applicant in writing of the reason for delay and, as appropriate,
provide follow-up reports.
23. In Sec. 110.41, paragraphs (a)(2) and (a)(10) are revised to
read as follows:
Sec. 110.41 Executive Branch review.
(a) * * *
(2) More than one effective kilogram of high-enriched uranium or 10
grams of plutonium or uranium-233.
* * * * *
(10) An export raising significant policy issues or subject to
special limitations as determined by the Commission or the Executive
Branch, including exports of radioactive material listed in Table 1 of
Appendix P to this part involving exceptional circumstances in Sec.
110.42(e).
* * * * *
24. In Sec. 110.43, paragraphs (e) and (f) are removed and
paragraph (d) is revised to read as follows:
Sec. 110.43 Import licensing criteria.
* * * * *
(d) With respect to the import of radioactive waste, an appropriate
facility has agreed to accept and is authorized to possess the waste
for management or disposal as confirmed by NRC consultations with the
host State(s) and, if applicable, the low-level waste compact
commission(s).
25. Section 110.44 is revised to read as follows:
Sec. 110.44 Physical security standards.
(a) Physical security measures in recipient countries must provide
protection at least comparable to the recommendations in the current
version of IAEA publication INFCIRC/225/Rev. 4 (corrected), June 1999,
``The Physical Protection of Nuclear Material and Nuclear Facilities,''
and is incorporated by reference in this part. This incorporation by
reference was approved by the Director of the Office of the Federal
Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. Notice
of any changes made to the material incorporated by reference will be
published in the Federal Register. Copies of INFCIRC/225/Rev. 4 may be
obtained from the Deputy Director, Office of International Programs,
U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001, and are
available for inspection at the NRC library, 11545 Rockville Pike,
Rockville,
[[Page 29628]]
Maryland 20852-2738. A copy is available for inspection at the National
Archives and Records Administration (NARA). For information on the
availability of this material at NARA, call 202-741-6030, or go to:
http://www.archives.gov/federal_register/cfr/ibr-locations.html.
(b) Commission determinations on the adequacy of physical security
measures are based on:
(1) Receipt by the appropriate U.S. Executive Branch Agency of
written assurances from the relevant recipient country government that
physical security measures providing protection at least comparable to
the recommendations set forth in INFCIRC/225/Rev. 4 (corrected).
(2) Information obtained through country visits, information
exchanges, or other sources. Determinations are made on a country-wide
basis and are subject to continuing review. Appendix M to this part
describes the different categories of nuclear material to which
physical security measures are applied.
26. In Sec. 110.45, paragraphs (a), (b) and (d) are revised to
read as follows:
Sec. 110.45 Issuance or denial of license.
(a) The Commission will issue an export license if it has been
notified by the State Department that it is the judgment of the
Executive Branch that the proposed export will not be inimical to the
common defense and security; and
(1) Finds, based upon a reasonable judgment of the assurances
provided and other information available to the Federal government,
that the applicable criteria in Sec. 110.42, or their equivalent, are
met; or
(2) Finds that there are no material changed circumstances
associated with an export license application (except for byproduct
material applications) from those existing at the time of issuance of a
prior license to export to the same country, if the prior license was
issued under the provisions of paragraph (a)(1) of this section.
(b) The Commission will issue an import license if it finds that:
(1) The proposed import will not be inimical to the common defense
and security;
(2) The proposed import will not constitute an unreasonable risk to
the public health and safety;
(3) The requirements of subpart A of part 51 of this chapter (to
the extent applicable to the proposed import) have been satisfied; and
(4) With respect to a proposed import of radioactive waste, an
appropriate facility has agreed to accept and is authorized to possess
the waste for management and disposal as confirmed by NRC consultations
with the host State and, if applicable, the low-level waste compact
commission.
* * * * *
(d) If, after receiving the Executive Branch judgment that the
issuance of a proposed export license will not be inimical to the
common defense and security, the Commission does not issue the proposed
license on a timely basis because it is unable to make the statutory
determinations required under the Atomic Energy Act, the Commission
will publicly issue a decision to that effect and will submit the
license application to the President. The Commission's decision will
include an explanation of the basis for the decision and any dissenting
or separate views. The provisions in this paragraph do not apply to
Commission decisions regarding applications for specific licenses to
export byproduct material, including radioactive material listed in
Table 1 of Appendix P to this part, or radioactive waste.
* * * * *
27. Section 110.50 is revised to read as follows:
Sec. 110.50 Terms.
(a) General and specific licenses. (1) Each license is subject to
all applicable provisions of the Atomic Energy Act or other applicable
law and to all applicable rules, regulations, decisions and orders of
the Commission.
(2) Each license is subject to amendment, suspension, revocation or
incorporation of separate conditions when required by amendments of the
Atomic Energy Act or other applicable law, or by other rules,
regulations, decisions or orders issued in accordance with the terms of
the Atomic Energy Act or other applicable law.
(3) A licensee authorized to export or import nuclear material is
responsible for compliance with applicable requirements of this
chapter, unless a domestic licensee of the Commission has assumed that
responsibility and the Commission has been so notified.
(4) Each license authorizes export or import only and does not
authorize any person to receive title to, acquire, receive, possess,
deliver, use, transport or transfer any nuclear equipment or material
subject to this part.
(5) Each license issued by the NRC for the export or import of
nuclear material authorizes only the export or import of that nuclear
material and accompanying packaging, fuel element, hardware, or other
associated devices or products.
(6) No nuclear equipment license confers authority to export or
import nuclear material.
(7) Each nuclear equipment export license authorizes the export of
only those items required for use in the foreign nuclear installation
for which the items are intended.
(8) A licensee shall not proceed to export or import and shall
notify the Commission promptly if he knows or has reason to believe
that the packaging requirements of part 71 of this chapter have not
been met.
(b) Specific licenses. (1) Each specific license will have an
expiration date.
(2) A licensee may export or import only for the purpose(s) and/or
end-use(s) stated in the specific export or import license issued by
NRC.
(3) Unless a license specifically authorizes the export of certain
foreign-obligated nuclear material or equipment, a licensee may not
ship such material or equipment until:
(i) The licensee has requested and the Commission has issued an
amendment to the license authorizing such shipment; or
(ii) The licensee has given at least 40 days advance notice of the
intended shipment in writing to the Deputy Director, Office of
International Programs (OIP); and
(iii) The Deputy Director, OIP has:
(A) Obtained confirmation, through either the Department of Energy
or State, that the foreign government in question has given its consent
to the intended shipment pursuant to its agreement for cooperation with
the United States; and
(B) Communicated this in writing to the licensee.
(c) Advanced notification. (1) A licensee authorized to export or
import the radioactive material listed in Appendix P to this part is
responsible for notifying NRC and, in cases of exports, the government
of the importing country in advance of each shipment. A list of points
of contact in importing countries is available at NRC's Office of
International Programs Web site, accessible on the NRC Public Web site
at http://www.nrc.gov.
(2) The NRC's office responsible for receiving advance
notifications for all export and import shipments is the NRC Operations
Center. Notifications are to be e-mailed to [email protected] (preferred
method) or faxed to 301-816-5151. In the subject line of the e-mail or
on the fax cover page include ``10 CFR 110.50(c) Notification.'' To
contact the NRC Operations Center, use the same e-mail address or call
301-816-5100. Difficulties notifying the NRC Operations Center must be
promptly reported to the Office of International Programs at 301-415-
2336.
[[Page 29629]]
(3) Notifications may be electronic or in writing on business
stationery, and must contain or be accompanied by the information which
follows.
(i) For export notifications:
(A) 10 CFR part 110 export license number and expiration date;
(B) Name of the individual and licensee making the notification,
address, and telephone number;
(C) Foreign recipient name, address, and end use location(s) (if
different than recipient's address);
(D) Radionuclides and activity level in TBq, both for single and
aggregate shipments;
(E) Make, model and serial number, for any Category 1 and 2 sealed
sources, if available;
(F) End use in the importing country, if known;
(G) Shipment date;
(H) A copy of the foreign recipient's authorization or confirmation
of that authorization from the government of the importing country as
required by Sec. 110.32(h) unless the authorization has already been
provided to the NRC.
(ii) For import notifications:
(A) Name of individual and licensee making the notification,
address, and telephone number;
(B) Recipient name, location, and address (if different than
above);
(C) Name, location, address, contact name and telephone number for
exporting facility;
(D) Radionuclides and activity level in TBq, both for single and
aggregate shipments;
(E) Make, model and serial number, radionuclide, and activity level
for any Category 1 and 2 sealed sources, if available;
(F) End use in the U.S.;
(G) Shipment date from exporting facility and estimated arrival
date at the end use location;
(H) NRC or Agreement State license number to possess the import in
the U.S. and expiration date.
(4) Export notifications must be received by the NRC at least 7
days in advance of each shipment, to the extent practical, but in no
case less than 24 hours in advance of each shipment. Import
notifications must be received by the NRC at least 7 days in advance of
each shipment.
(5) Advance notifications containing the above information must be
controlled, handled, and transmitted in accordance with Sec. 2.390 of
this chapter and other applicable NRC requirements governing protection
of sensitive information.
(d) A specific license may be transferred, disposed of or assigned
to another person only with the approval of the Commission by license
amendment.
28. Section 110.51 is revised to read as follows:
Sec. 110.51 Amendment and renewal of licenses.
(a) Amendments. (1) Applications for amendment of a specific
license shall be filed on NRC Form 7 in accordance with Sec. Sec.
110.31 and 110.32 and shall specify the respects in which the licensee
desires the license to be amended and the grounds for such amendment.
(2) An amendment is not required for:
(i) Changes in monetary value (but not amount or quantity);
(ii) Changes in the names and/or mailing addresses within the same
countries of the intermediate or ultimate consignees listed on the
license; or
(iii) The addition of intermediate consignees in any of the
importing countries specified in the license (for a nuclear equipment
license only).
(b) Renewals. (1) Applications for renewal of a specific license
shall be filed on NRC Form 7 in accordance with Sec. Sec. 110.31 and
110.32.
(2) If an application to renew a license is submitted 30 days or
more before the license expires, the license remains valid until the
Commission acts on the renewal application. An expired license is not
renewable.
(c) General. In considering an application by a licensee to renew
or amend a license, the Commission will apply, as appropriate, the same
procedures and criteria it uses for initial license applications.
29. In Sec. 110.53, paragraphs (a) and (b)(1) are revised to read
as follows:
Sec. 110.53 United States address, records, and inspections.
(a) Each licensee (general or specific) shall have an office in the
United States where papers may be served and where records required by
the Commission will be maintained.
(b)(1) Each license applicant or licensee (general or specific)
shall maintain records concerning his exports or imports. The licensee
shall retain these records for five years after each export or import
except that byproduct material records must be retained for three years
after the date of each export or import shipment.
* * * * *
30. Section 110.60 is revised to read as follows:
Sec. 110.60 Violations.
(a) The Commission may obtain an injunction or other court order to
prevent a violation of the provisions of--
(1) The Atomic Energy Act;
(2) Title II of the Energy Reorganization Act of 1974; or
(3) A regulation or order pursuant to those Acts.
(b) The Commission may obtain a court order for the payment of a
civil penalty imposed under section 234 of the Atomic Energy Act:
(1) For violations of:
(i) Sections 53, 57, 62, 63, 81, 82, 101, 103, 104, 107, or 109 of
the Atomic Energy Act;
(ii) Section 206 of the Energy Reorganization Act;
(iii) Any rule, regulation, or order issued pursuant to the
sections specified in paragraph (b)(1)(i) of this section;
(iv) Any term, condition, or limitation of any license issued under
the sections specified in paragraph (b)(1)(i) of this section.
(2) For any violation for which a license may be revoked under
section 186 of the Atomic Energy Act of 1954.
31. In Sec. 110.66, paragraph (b) is revised to read as follows:
Sec. 110.66 Enforcement hearing.
* * * * *
(b) A hearing pursuant to this subpart will be conducted under the
procedures in subpart G of part 2 of this chapter.
32. In Sec. 110.67, paragraph (a) is revised to read as follows:
Sec. 110.67 Criminal penalties.
(a) Section 223 of the Atomic Energy Act provides for criminal
sanctions for willful violation of, attempted violation of, or
conspiracy to violate, any regulation issued under sections 161b.,
161i., or 161o. of the Atomic Energy Act. For purposes of section 223,
all the regulations in part 110 are issued under one or more of
sections 161b, 161i, or 161o, except for the sections listed in
paragraph (b) of this section.
* * * * *
33. Section 110.70 is revised to read as follows:
Sec. 110.70 Public notice of receipt of an application.
(a) The Commission will notice the receipt of each license
application, including applications for amendment or renewal, for an
export or import for which a specific license is required by making a
copy available at the NRC Web site, http://www.nrc.gov.
(b) The Commission will also publish in the Federal Register a
notice of receipt of each license application, including applications
for amendment or renewal but not applications for minor amendments, to
export the following:
(1) A production or utilization facility.
[[Page 29630]]
(2) Five effective kilograms or more of plutonium, high-enriched
uranium or uranium-233.
(3) 10,000 kilograms or more of heavy water. (Note: Does not apply
to exports of heavy water to Canada.)
(4) Nuclear grade graphite for nuclear end use.
(5) Radioactive waste.
(c) The Commission will also publish in the Federal Register a
notice of receipt of a license application, including applications for
amendment or renewal but not applications for minor amendments, for an
import of radioactive waste for which a specific license is required.
34. Section 110.80 is revised to read as follows:
Sec. 110.80 Basis for hearings.
The procedures in this part will constitute the exclusive basis for
hearings on export and import license applications.
35. In Sec. 110.81, paragraph (b) is revised to read as follows:
Sec. 110.81 Written comments.
* * * * *
(b) These comments should be submitted within 30 days after public
notice of receipt of the application on the NRC Web site or in the
Federal Register and addressed to the Secretary, U.S. Nuclear
Regulatory Commission, Washington, DC 20555-0001, Attention:
Rulemakings and Adjudications Staff.
* * * * *
36. In Sec. 110.82, paragraph (c) is revised to read as follows:
Sec. 110.82 Hearing request or intervention petition.
* * * * *
(c) Hearing requests and intervention petitions will be considered
timely only if filed not later than:
(1) 30 days after notice of receipt in the Federal Register, for
those applications published in the Federal Register;
(2) 30 days after publication of notice on the NRC Web site at
http://www.nrc.gov;
(3) 30 days after notice of receipt in the Public Document Room; or
(4) Such other time as may be provided by the Commission.
37. In Sec. 110.112, paragraph (b) is revised to read as follows:
Sec. 110.112 Reporter and transcript for an oral hearing.
* * * * *
(b) Except for any portions containing classified information,
Restricted Data, Safeguards Information, proprietary information, or
other sensitive unclassified information, transcripts will be made
available at the NRC Web site, http://www.nrc.gov, and/or at the NRC
Public Document Room.
* * * * *
Appendix L to Part 110 [Amended]
38. Appendix L to part 110 is amended by adding ``Carbon 11 (C
11)'', ``Cesium 129 (Cs 129)'', ``Cobalt 57 (Co 57)'', ``Gallium 67
(Ga 67)'', ``Gold 195 (Au 195)'', ``Indium 111 (In 111)'', ``Iodine
123 (I 123)'', ``Iron 52 (Fe 52)'', ``Nitrogen 13 (N 13)'', ``Oxygen
15 (O 15)'', ``Potassium 43 (K 43)'', ``Rubidium 81 (Rb 81)'',
``Yttrium 87 (Y 87)'', and ``Yttrium 88 (Y 88)'' in alphabetical
order.
Dated at Rockville, Maryland, this 17th day of June 2009.
For the Nuclear Regulatory Commission.
Annette Vietti-Cook,
Secretary of the Commission.
[FR Doc. E9-14679 Filed 6-22-09; 8:45 am]
BILLING CODE 7590-01-P