[Federal Register Volume 73, Number 144 (Friday, July 25, 2008)]
[Proposed Rules]
[Pages 43568-43600]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E8-16815]
[[Page 43567]]
-----------------------------------------------------------------------
Part IV
Department of Commerce
-----------------------------------------------------------------------
Bureau of Industry and Security
-----------------------------------------------------------------------
15 CFR Parts 781, 782, 783 et al.
Additional Protocol Regulations; Proposed Rule
Federal Register / Vol. 73, No. 144 / Friday, July 25, 2008 /
Proposed Rules
[[Page 43568]]
-----------------------------------------------------------------------
DEPARTMENT OF COMMERCE
Bureau of Industry and Security
15 CFR Parts 781, 782, 783, 784, 785 and 786
[Docket No. 08021265-8693-01]
RIN 0694-AD26
Additional Protocol Regulations
AGENCY: Bureau of Industry and Security, Commerce.
ACTION: Proposed rule and request for comments.
-----------------------------------------------------------------------
SUMMARY: This proposed rule would implement the provisions of the
Protocol Additional to the Agreement Between the United States of
America and the International Atomic Energy Agency (IAEA) for the
Application of Safeguards in the United States of America (the
``Additional Protocol''). The Additional Protocol is an agreement
between the United States and the IAEA to allow monitoring and
reporting of certain civil nuclear fuel cycle-related activities.
The Department of Commerce's Bureau of Industry and Security (BIS)
is proposing these Additional Protocol Regulations (APR) to implement
the provisions of the Additional Protocol affecting U.S. industry and
other U.S. persons engaged in certain civil nuclear fuel cycle-related
activities, which are not regulated by the U.S. Nuclear Regulatory
Commission (NRC) or its domestic Agreement States and are not located
on certain U.S. government locations. The proposed APR describe the
requirement to report such activities to BIS, the scope and conduct of
IAEA complementary access to locations at which such civil nuclear fuel
cycle-related activities take place, and the role of BIS in
implementing the Additional Protocol in the United States. The impact
of the APR on U.S. industry and other U.S. persons will involve the
submission of initial reports, annual update reports, and other
reporting requirements, as well as on-site activities in conjunction
with complementary access. Other U.S. government agencies issuing
regulations implementing other provisions of the Additional Protocol
include the Nuclear Regulatory Commission, the Department of Energy,
and the Department of Defense.
DATES: Comments must be received by August 25, 2008.
ADDRESSES: You may submit comments, identified by RIN 0694-AD26, by any
of the following methods:
Federal eRulemaking Portal: http://www.regulations.gov.
Follow the on-line instructions for submitting comments.
E-mail: [email protected]. Include ``RIN 0694-
AD26'' in the subject line of the message.
Fax: (202) 482-3355. Please alert the Regulatory Policy
Division, by calling (202) 482-2440, if you are faxing comments.
Mail or Hand Delivery/Courier: Willard Fisher, U.S.
Department of Commerce, Bureau of Industry and Security, Regulatory
Policy Division, 14th St. & Pennsylvania Avenue, NW., Room 2705,
Washington, DC 20230, Attn: RIN 0694-AD26.
FOR FURTHER INFORMATION CONTACT: For questions of a general or
regulatory nature, contact the Regulatory Policy Division, telephone:
(202) 482-2440. For program information on reports and complementary
access, contact Jill Shepherd, Treaty Compliance Division, Office of
Nonproliferation and Treaty Compliance, telephone: (202) 482-1001. For
legal questions, contact Rochelle Woodard, Office of the Chief Counsel
for Industry and Security, telephone: (202) 482-5301.
SUPPLEMENTARY INFORMATION:
Background
I. Origins and Overview of the Additional Protocol
The requirement for a comprehensive international safeguards system
to prevent the spread of nuclear weapons was first established by the
Treaty on the Non-Proliferation of Nuclear Weapons (NPT). The NPT was
signed by the United States on July 1, 1968, and entered into force on
March 5, 1970. The treaty banned nuclear weapon states (NWS) from
transferring nuclear weapons to non-nuclear weapon states (NNWS) or
assisting NNWS in acquiring such weapons. It also banned NNWS from
manufacturing or acquiring nuclear weapons and stipulated that each
NNWS Party to the NPT would undertake to accept safeguards, as set
forth in an agreement to be negotiated and concluded with the
International Atomic Energy Agency (IAEA), which serves as the official
international verification authority for the implementation of
safeguards agreements concluded pursuant to the NPT. Although NWS,
including the United States, are not obligated under the NPT to accept
IAEA safeguards, all have voluntarily offered to accept safeguards on
certain activities to encourage NNWS to meet their obligations. The
IAEA completed formulation of detailed provisions for a model NPT
Safeguards Agreement in 1971. The safeguards system, as embodied in the
comprehensive safeguards agreements concluded between the IAEA and
individual NNWS States Parties to the NPT, consists of nuclear material
accountancy and nuclear material verification measures by which the
IAEA independently verifies declarations made by individual States
Parties about their nuclear material and activities to ensure that
nuclear material inventories and flows have been accurately declared
and are not being used to further any proscribed purpose.
During deliberations on the NPT, several major industrialized
nations expressed concern that the absence of requirements for IAEA
safeguards in NWS would place NNWS at a commercial and industrial
disadvantage in developing nuclear energy for peaceful purposes.
Specifically, the NNWS were concerned that application of safeguards
would interfere with the efficient operations of their commercial
activities and would possibly compromise industrial and trade secrets
as a result of access by IAEA inspectors to their facilities and
records. In order to allay these concerns, the United States
voluntarily offered in 1967 to permit the IAEA to apply safeguards to
civil nuclear facilities in the United States. The U.S. ``Voluntary
Offer'' is set forth in the ``Agreement Between the United States of
America and the International Atomic Energy Agency for the Application
of Safeguards in the United States of America'' (also known as the
``U.S.-IAEA Safeguards Agreement''). Since then, the other four NWS
recognized under the NPT (China, France, the Russian Federation, and
the United Kingdom) also agreed to make all or part of their civil
nuclear activities eligible for IAEA safeguards.
The U.S.-IAEA Safeguards Agreement was signed on November 18, 1977,
and entered into force on December 9, 1980. At that time, the United
States submitted to the IAEA a list of more than 200 eligible
facilities for which safeguards could be applied if selected by the
IAEA. This list included facilities licensed by the U.S. Nuclear
Regulatory Commission (NRC), as well as eligible Department of Energy
facilities. The United States has added additional facilities to the
eligible facilities list since that time. Under the U.S.-IAEA
Safeguards Agreement, approximately eighteen facilities have been
selected for safeguards inspection and/or monitoring since 1981.
Although the U.S.-IAEA Safeguards Agreement is based on the model
safeguards agreement developed by the
[[Page 43569]]
IAEA, the terms of the U.S.-IAEA Safeguards Agreement and the
obligations of NNWS parties to the NPT differ in several respects.
First, the U.S.-IAEA Safeguards Agreement excludes nuclear facilities
associated with activities of direct national security significance.
Also, the United States decides which civil nuclear facilities are
eligible for the full program of safeguards procedures (including
routine inspections) and the IAEA decides which eligible facilities
will be selected for the application of safeguards, although the IAEA
need not select any. Furthermore, the United States has made separate
commitments to provide to the IAEA, for safeguards purposes,
information on exports of nuclear material and nuclear-related
equipment and materials.
In the aftermath of the 1991 Persian Gulf War, the IAEA determined
that Iraq had been engaged in a clandestine nuclear weapons development
program at locations not directly subject to routine IAEA safeguards
inspections. The international community determined that the safeguards
system needed to be strengthened, and negotiated a Model Additional
Protocol to amend existing bilateral safeguards agreements (i.e., the
``Model Protocol Additional to the Agreement(s) Between State(s) and
the International Atomic Energy Agency for the Application of
Safeguards,'' INFCIRC/540 (Corrected) September 1997). The Model
Additional Protocol requires enhanced information collection and access
to sites and other locations involved in nuclear fuel cycle-related
activities and covers almost all of a state's nuclear fuel cycle,
thereby providing IAEA inspectors with greater ability to detect
clandestine nuclear activities in NNWS facilities, sites, and locations
that are involved in nuclear fuel cycle activities. In an effort to
encourage adoption of the Additional Protocol among NNWS, the United
States signed the Additional Protocol on June 12, 1998. In the
Additional Protocol, the United States accepts all of the measures of
the Model Additional Protocol, except where their application would
result in access by the IAEA to activities of direct national security
significance to the United States or to locations or information
associated with such activities. By subjecting itself to the same
safeguards on all of its civil nuclear activities that NNWS are subject
to (with the exception of those activities of direct national security
significance), the United States intends to encourage widespread
adherence to the Model Additional Protocol and demonstrate that
adherence does not place other countries at a commercial disadvantage.
The Additional Protocol will enter into force when the United
States notifies the IAEA that the statutory and constitutional
requirements for entry into force have been met. These requirements
include: (1) Ratification, to which the Senate provided advice and
consent with certain conditions and understandings on March 31, 2004;
(2) enactment of implementing legislation, which was signed by the
President on December 18, 2006 (The U.S. Additional Protocol
Implementation Act of 2006 (Pub. L. 109-401, 120 Stat. 2726 (2006));
(3) issuance of an Executive Order, which was issued on February 5,
2008; (4) issuance of agency regulations by the Departments of
Commerce, Defense, and Energy, and by the Nuclear Regulatory Commission
(DOC, DOD, DOE, and NRC); and (5) certification by the President that
certain Senate conditions have been met. The United States' instrument
of ratification may be deposited with the IAEA only after the President
has certified that two Senate conditions, which address the application
of the national security exclusion in Articles 1.b and 1.c of the
Additional Protocol (i.e., managed access, security and counter-
intelligence training, and preparation at locations of direct national
security significance) and the completion of site vulnerability
assessments concerning activities, locations, and information of direct
national security significance, will be met within 180 days after
deposit of the United States' instrument of ratification.
The Additional Protocol consists of the following articles and
annexes:
Article 1: Relationship between the Additional Protocol and the
U.S.-IAEA Safeguards Agreement
Articles 2 and 3: Provision of information
Articles 4 through 10: Complementary access
Article 11: Designation of IAEA inspectors
Article 12: Visas
Article 13: Subsidiary arrangements
Article 14: Communications systems
Article 15: Protection of confidential information
Article 16: Annexes
Article 17: Entry into force
Article 18: Definitions
Annex I: List of activities referred to in the Additional Protocol
Annex II: List of specified equipment and non-nuclear material for
reporting of exports and imports
The Additional Protocol requires the United States to declare to
the IAEA a number of nuclear fuel cycle-related items, materials, and
activities that may be used for peaceful nuclear purposes, but that
also could be necessary elements for a nuclear weapons program. In
order to obtain the information necessary to complete the U.S.
declaration to the IAEA, the U.S. Government must collect reports from
U.S. industry and other U.S. persons. U.S. declarations submitted under
the Additional Protocol would provide the IAEA with information about
additional aspects of the U.S. civil nuclear fuel cycle, including:
mining and concentration of nuclear ores; nuclear-related equipment
manufacturing, assembly, or construction; imports, exports, and other
activities involving certain source material (i.e., source material
that has not reached the composition and purity suitable for fuel
fabrication or for being isotopically enriched); imports and exports of
specified nuclear equipment and non-nuclear material; nuclear fuel
cycle-related research and development activities not involving nuclear
material; and other activities involving nuclear material not currently
subject to the U.S.-IAEA Safeguards Agreement.
Within 180 days after deposit of the United States' instrument of
ratification of the Additional Protocol, the United States must submit
to the IAEA a declaration containing information compiled from the
Initial Reports submitted to BIS in accordance with the proposed
requirements of Section 783.1(a) of the APR. Thereafter, by May 15th of
each succeeding year, the United States must submit to the IAEA a
declaration containing an annual update to the information contained in
previous U.S. declarations to the IAEA. The U.S. annual declaration to
the IAEA will contain information compiled, for the most part, from the
Annual Update Reports submitted to BIS in accordance with the proposed
requirements of Section 783.1(b) of the APR.
The Additional Protocol provides that there shall be no mechanistic
or systematic verification of information contained in the U.S.
declaration (e.g., there is no provision for routine inspections).
However, the United States would be required to provide the IAEA with
access (referred to as ``complementary access'') to civil nuclear fuel
cycle-related locations and activities, under certain circumstances, as
defined in the Additional Protocol. Such access would be designed to
ensure the absence of undeclared nuclear material and activities at
declared sites where nuclear facilities or materials are located or to
address a question about the completeness or correctness of the U.S.
declaration or an inconsistency related to the information contained
therein. In the latter instance, access generally would be requested
only if a question or inconsistency in the U.S. declaration could not
be
[[Page 43570]]
resolved through consultation between the United States and the IAEA.
The APR contain requirements administered by the Department of
Commerce's Bureau of Industry and Security to implement the Additional
Protocol. Additional U.S. obligations under the Additional Protocol are
administered by other U.S. government agencies as designated by the
President of the United States.
A. Part 781--General Information and Overview of the APR
The Additional Protocol Regulations (15 CFR chapter VII, subchapter
D), or APR, would implement certain obligations of the United States
under the Additional Protocol. Part 781 contains definitions of terms
used in the APR, describes the purpose and scope of the APR, and
provides an overview of the activities regulated under the APR.
B. Part 782--General Information Regarding Reporting Requirements and
Procedures
The Additional Protocol augments the existing U.S.-IAEA Safeguards
Agreement by requiring the United States to provide the IAEA with
information on civil nuclear and nuclear-related items, materials, and
activities not presently covered by the U.S.-IAEA Safeguards Agreement.
The items, materials, and activities that must be declared include the
following: mining and milling activities involving the production or
processing of materials that could serve as feed material for the civil
nuclear fuel cycle (i.e., uranium and thorium); nuclear-related
equipment manufacturing; exports and imports of nuclear-related
equipment and nuclear-related non-nuclear material; and civil nuclear
fuel cycle-related research and development (R&D) activities not
involving nuclear material. To enable the United States to collect the
information necessary to prepare the U.S. declaration to the IAEA, BIS
is publishing the APR to establish reporting requirements for U.S.
industry and other U.S. persons concerning civil nuclear and nuclear-
related items, materials, and activities that must be declared under
the Additional Protocol.
Part 782 of the APR contains a brief overview of the reporting and
compliance review requirements in the APR, identifies who is
responsible for submitting the reports required under the APR, and
provides information on how to determine which activities would be
subject to the APR reporting requirements, including instructions on
where and how to submit activity determination requests to BIS. Part
782 also explains how to obtain the forms needed to submit reports
required by the APR and where to submit the reports.
C. Part 783--Reporting Requirements for Nuclear Fuel Cycle-Related
Activities Not Involving Nuclear Materials
Part 783 contains a comprehensive description of the reporting
requirements under the APR, including which activities must be
reported, who must submit reports, the types of reports that must be
submitted (e.g., Initial Report, Annual Update Report, Export Report,
Import Confirmation Report, Supplemental Information Report--the latter
would be submitted in response to BIS notification of an IAEA request
for amplification or clarification of information), the types of
changes that would require the submission of an Amended Report to BIS,
when a No Changes Report may be submitted in lieu of an Annual Update
Report, the APR forms required and the procedures that must be followed
to prepare and submit these reports, and the deadlines for submitting
these reports to BIS.
Section 783.1(a) of the APR would establish initial reporting
requirements under the APR. You must submit an Initial Report to BIS,
no later than 30 calendar days following the date of publication of the
rule that establishes the APR, if you are engaged in any of the civil
nuclear fuel cycle-related activities described in Section 783.1(a) of
the APR on the date of publication. In this instance, your Initial
Report must describe only those activities in which you are engaged as
of the date of publication, except that the description of activities
involving uranium hard-rock mines must include any such mines that were
closed down during the calendar year in which the rule establishing the
APR was published (up to and including the date of publication) as well
as mines that were in either operating or suspended status on the date
of publication. The period of time covered by your Initial Report must
include the calendar year in which the APR are promulgated (up to and
including the date of publication).
For any calendar year that follows the year in which the rule
establishing the APR is published, you must submit an Initial Report to
BIS if you commenced civil nuclear fuel cycle-related activities
described in Section 783.1(a) of the APR at your location, during the
previous calendar year, and have not previously reported such
activities to BIS. You may include such activities in your Annual
Update Report, in lieu of submitting a separate Initial Report, if you
also have an Annual Update Report requirement for the same location
that covers the same reporting period (Annual Update Report
requirements are addressed in the discussion of Section 783.1(b),
below).
Section 783.1(a)(1) of the APR contains two separate reporting
requirements that apply to civil nuclear fuel cycle-related research
and development activities, as defined in Section 781.1 of the APR,
that do not involve nuclear material. Section 783.1(a)(1)(i) of the APR
describes the initial reporting requirement for any such civil
activities that were funded, specifically authorized or controlled by,
or carried out on behalf of, the United States. Section 783.1(a)(1)(ii)
of the APR describes the initial reporting requirement for any such
activities that were specifically related to civil enrichment,
reprocessing of nuclear fuel, or the processing of intermediate or
high-level waste containing plutonium, high enriched uranium or
uranium-233 and that were not funded, specifically authorized or
controlled by, or carried out on behalf of the United States. Reports
on these activities must include a general activity description and
location information. The provisions of Section 783.1(a)(1)(i) and
(a)(1)(ii) are intended to address the information requirements
described in Articles 2.a(i) and 2.b(i), respectively, of the
Additional Protocol.
Section 783.1(a)(2) of the APR describes the initial reporting
requirement for civil nuclear-related manufacturing, assembly, and
construction activities (e.g., the manufacture of centrifuge rotor
tubes, diffusion barriers, zirconium tubes, nuclear grade graphite, and
reactor control rods). The specific activities subject to this APR
reporting requirement are listed in detail in Supplement No. 2 to Part
783 of the APR, which corresponds to Annex I of the Additional
Protocol. For these locations, the APR require a description of the
scale of operations for each location engaged in any of the activities
described in Supplement No. 2 to Part 783. This information need not be
detailed, but should include the organization's name, location, a brief
description of operations, and the estimated current annual production.
The provisions of Section 783.1(a)(2) are intended to address the
information requirements described in Article 2.a(iv) of the Additional
Protocol.
Section 783.1(a)(3) of the APR describes the initial reporting
requirement for U.S. uranium hard-rock mining activities, consistent
with information requirements described in Article 2.a(v) of the
Additional Protocol.
[[Page 43571]]
Uranium hard-rock mines are required to report to BIS their location,
operational status, estimated annual production capacity, and current
annual production. For Initial Reports submitted during the calendar
year in which the APR are promulgated, this reporting requirement
applies to any mines that were closed down during that calendar year
(up to and including the date of publication of the APR), as well as
mines in either operating or suspended status on the date that the rule
establishing the APR is published. Mines that were closed down prior to
the calendar year in which the APR are promulgated do not have a
reporting obligation.
Section 783.1(b) of the APR would establish annual reporting
requirements under the APR. If you submit an Initial Report to BIS, in
accordance with Section 783.1(a) of the APR, and your Initial Report
does not indicate that all civil nuclear fuel cycle-related activities
described therein have ceased at your location, Section 783.1(b) of the
APR would require that you submit an Annual Update Report to BIS for
each calendar year that follows the year covered by your Initial
Report. This Annual Update Report requirement will continue to apply
for as long as you engage in activities subject to the APR reporting
requirements. If your location subsequently ceases to engage in
activities subject to the APR reporting requirements, you would still
be required to submit an Annual Update Report covering the calendar
year in which you ceased to engage in such activities. Section
783.1(b)(2) of the APR provides that a No Changes Report may be
submitted, in lieu of an Annual Update Report, when there are no
changes with respect to your location and civil nuclear fuel cycle-
related activities during the previous calendar year. If your Initial
Report or most recent Annual Update Report indicates that all civil
nuclear fuel cycle-related activities described therein have ceased at
your location, and no other reportable activities have occurred during
the previous calendar year, then you would not have a reporting
requirement under Section 783.1(a) or (b) of the APR.
Initial Reports describing reportable civil nuclear fuel cycle-
related activities identified in Section 783.1(a) of the APR would need
to be submitted to BIS no later than 30 calendar days following the
date of publication of the rule establishing the APR, if you are
engaged in any such civil nuclear fuel cycle-related activities on the
date of publication. Any such activities that commence after the date
of publication of the rule establishing the APR must be reported to BIS
no later than January 31 of the year following the calendar year in
which the activities took place. If you are subject to an Annual Update
Report requirement for the same location and covering the same
reporting period, you may include these additional activities in your
Annual Update Report, in lieu of submitting a separate Initial Report.
Annual Update Reports must be submitted to BIS by January 31st of the
year following any calendar year in which reportable fuel cycle-related
activities took place. No Changes Reports must be submitted to BIS by
January 31st of the year following any calendar year in which
reportable nuclear fuel cycle-related activities took place.
Section 783.1(c) and (d), respectively, of the APR describe the
reporting requirements that would apply to exports and imports of
equipment or non-nuclear material identified in Supplement No. 3 to
Part 783 of the APR. The equipment and non-nuclear material in
Supplement No. 3 are derived from the Zangger Committee Trigger List
(IAEA INFCIRC/254/Rev.8/Part 1, Annex B)--the Trigger List defines
goods specially designed for nuclear use that, along with nuclear-
related dual-use materials, equipment, software and related technology,
are subject to export controls administered by member states of the
Nuclear Suppliers Group (NSG). If you export any of the items listed in
Supplement No. 3 to Part 783, you must submit an Export Report to BIS
no later than 15 days following the end of the calendar quarter in
which the items were exported--therefore, Export Reports must be
submitted to BIS no later than January 15th, April 15th, July 15th,
and/or October 15th each year. You will be notified by BIS if an Import
Confirmation Report is required under the APR. BIS will provide such
notification only upon receipt of a request from the IAEA for
information to verify imports. For each import of equipment or non-
nuclear material listed in Supplement No. 3 to Part 783, you must
submit an Import Confirmation Report to BIS no later than 30 calendar
days following the date that you receive notification of this
requirement. The provisions of Section 783.1(c) and (d) are intended to
address the information requirements described in Article 2.a(ix)(b) of
the Additional Protocol.
Section 783.1(e) of the APR describes the requirements that would
apply to a Supplemental Information Report. If the IAEA specifically
requests amplification or clarification concerning any information
provided in the U.S. declaration that is based on your report(s), BIS
will send you written notification requiring that you report to BIS
additional information concerning the activities that you previously
reported and any other activities conducted at your location or
building that would be relevant for the purpose of addressing the
IAEA's request for amplification or clarification of information.
Section 783.2 of the APR describes the circumstances under which an
Amended Report would need to be submitted to BIS. Section 783.2(a) of
the APR would require that an Amended Report be submitted to BIS no
later than 30 calendar days following the date that you discover an
error or omission in your most recent report that involves information
concerning an activity subject to the reporting requirements in Section
783.1(a) or (b) of the APR. Section 783.2(b) of the APR would require
that an Amended Report be submitted to BIS no later than 30 calendar
days after any changes to company and location information, such as the
company's designated contact person (for reporting and complementary
access purposes), the name or mailing address of the company, the
owner/operator of the location, or the owner of the company. Section
783.2(d) of the APR would require that an Amended Report be submitted
to BIS no later than 30 calendar days following the date that you
received written notification from BIS to provide information requested
by the IAEA following complementary access to the location.
D. Part 784--Complementary Access
Part 784 of the APR describes the purpose of complementary access
by the IAEA and identifies the types of locations that may be subject
to complementary access under the APR. Any location that would be
required to submit an Initial Report, Annual Update Report, or No
Changes Report to BIS, pursuant to Part 783 of the APR, is a reportable
location and may be subject to complementary access by the IAEA. The
fact that a location would be required to submit a report to BIS does
not automatically trigger complementary access by the IAEA, although it
may provide the basis for complementary access. Information that has
been reported to BIS and included in the U.S. declaration will be
analyzed by the IAEA before the IAEA makes a decision on whether or not
to request complementary access to a particular location. In addition
to providing the IAEA with complementary access to reportable
locations, Part 784 of the APR
[[Page 43572]]
provides that other locations specified by the IAEA may be subject to
complementary access.
The specific purpose of complementary access will be location
dependent. In the case of uranium hard-rock mine locations, the purpose
of complementary access is limited to enabling the IAEA to verify, on a
selective basis, the absence of undeclared nuclear material and nuclear
related activities. For all other locations subject to the APR (e.g.,
locations involved in reportable civil nuclear fuel cycle-related
research and development or manufacturing activities, other locations
specified by the IAEA), the purpose of complementary access is limited
to allowing the IAEA to resolve questions relating to the correctness
and completeness of the information provided in the U.S. declaration or
to resolve inconsistencies relating to that information. Complementary
access normally will not be scheduled for the latter type of location
until after the IAEA has provided the United States with an opportunity
to clarify or resolve the question or inconsistency in the U.S.
declaration.
Part 784 of the APR defines the role of BIS in notifying locations
that will be subject to complementary access and acting as host to the
IAEA Team during complementary access. A BIS Host team (augmented by
other agency representatives, as appropriate) will accompany the IAEA
inspectors during their activities at the location. In addition, a BIS
Advance Team, upon receiving advance notice from the IAEA of
complementary access, may deploy to the location to assist in preparing
personnel and implementing appropriate measures to protect confidential
business and other critical information.
Part 784 also provides specific information on the scope and
conduct of complementary access, such as the kinds of activities that
may be carried out by the IAEA Team (e.g., the circumstances under
which the IAEA Team will be granted physical access to records and
visual access to facilities). In addition, Part 784 describes the
circumstances under which the Host Team will implement managed access
measures during IAEA complementary access. Managed access will protect
activities of direct national security significance to the United
States, as well as locations or information associated with such
activities. It is also designed to prevent the dissemination of
proliferation sensitive information, to meet safety or physical
protection requirements, and to protect proprietary or commercially
sensitive information.
E. Part 785--Enforcement
Part 785 contains definitions of enforcement-related terms and
describes the scope of the enforcement activities that would be
authorized under the APR, including the types of violations subject to
the APR, administrative and criminal proceedings, hearings,
representation, paperwork, summary decisions, discovery, subpoenas,
matters protected against disclosure, procedural stipulations,
extensions, post-hearing submissions, decisions, settlements, payment
of assessments, and how to report a violation.
F. Part 786--Records and Recordkeeping
Part 786 describes the APR recordkeeping requirements, including
the types of records that would need to be retained, required retention
periods, acceptable media for record storage, records inspection
procedures, accessibility of records, and disposal of records.
G. Part 787--Interpretations
Part 787 is reserved for future interpretations of parts 781
through 786 of the APR and also for Subsidiary Arrangements to the
Additional Protocol.
Rulemaking Requirements
1. This proposed rule has been determined to be significant for
purposes of Executive Order 12866.
2. Notwithstanding any other provision of law, no person is
required to, nor shall any person be subject to a penalty for failure
to comply with a collection of information, subject to the Paperwork
Reduction Act (PRA), unless that collection of information displays a
currently valid OMB Control Number. This rule proposes a collection of
information subject to the requirements of the Paperwork Reduction Act
of 1995 (44 U.S.C. 3501 et seq.). The information collection contained
in this proposed rule is part of a joint information collection by the
Bureau of Industry and Security (BIS) of the Department of Commerce
(DOC), in accordance with the proposed Additional Protocol Regulations
(APR) (15 CFR parts 781-799), and the Nuclear Regulatory Commission
(NRC), in accordance with amendments to its regulations in 10 CFR part
75 and 10 CFR part 110. BIS has submitted this proposed collection to
the Office of Management and Budget for approval. A total of
approximately 129 respondents are expected to be subject to the
information collection requirements set forth in these BIS and NRC
rules. These information collection requirements are expected to
involve an estimated 3,357 total burden hours per annum at a total
estimated cost of $139,142 per annum. The estimated total burden hours
per annum include the time for reviewing instructions, searching
existing data sources, gathering and maintaining the data needed, and
completing and reviewing the collection of information.
Public comment is sought regarding: Whether this proposed
collection of information is necessary for the proper performance of
the functions of the agency, including whether the information shall
have practical utility; the accuracy of the burden estimate; ways to
enhance the quality, utility, and clarity of the information to be
collected; and ways to minimize the burden of the collection of
information, including through the use of automated collection
techniques or other forms of information technology. Send comments
regarding this burden estimate or any other aspects of this collection
of information, including suggestions for reducing the burden, to David
Rostker, Office of Management and Budget (OMB), by e-mail to [email protected] or by fax to (202) 395-7285, and to Willard Fisher,
Regulatory Policy Division, Bureau of Industry and Security, Department
of Commerce, as indicated in the ADDRESSES section of this rule.
The DOC's Office of Strategic Industries and Economic Security
(SIES) conducted a study in order to obtain an estimate of the number
of U.S. companies, organizations, and other U.S. persons that would be
subject to reporting requirements under the BIS and NRC rules. This
study, along with reviews conducted by the NRC on activities conducted
by its licensees, indicated that potentially 119 locations and 10 sites
at International Atomic Energy Agency (IAEA) Selected Facilities from
the U.S. Eligible Facilities List licensed by the NRC (an estimated
total of 129 respondents) would have reporting requirements pursuant to
DOC and NRC regulations under the Additional Protocol.
The information collection requirements in the BIS and/or NRC rules
consist of the following activities: (1) Additional Protocol (AP)-
related reporting activities (e.g., activities involving the completion
and submission of AP-related reports using forms contained in handbooks
described below), (2) complementary access activities (e.g., activities
involving IAEA inspection team access to locations and sites subject to
AP-related reporting requirements), and (3) compliance review
activities (e.g., activities involving BIS requests for information
[[Page 43573]]
from persons and locations subject to the APR to determine compliance
with APR reporting and recordkeeping requirements).
The estimated information collection burden associated with the
proposed AP-related reporting activities is expected to total 2,161
burden hours per year, at a total cost to respondents of $96,467 per
annum, as follows: 2,161 burden hours x $37.20/hour (employee salaries)
x 1.2 (20% overhead) = $96,467 estimated annual cost.
The estimated information collection burden associated with the
proposed complementary access activities is expected to total 1,153
burden hours per year, at a total cost to respondents of $32,070 per
annum, as follows: First, 576.33 (burden hours per complementary
access) x 2 (locations per calendar year) = 1,153 total burden hours
and, second, $16,035 (estimated cost per complementary access) x 2
(locations per calendar year) = $32,070 estimated annual cost.
The estimated information collection burden associated with the
proposed compliance review activities is expected to total 43 burden
hours per year, at a total cost to respondents of $1,897 per annum, as
follows: 42.5 burden hours x $37.20/hour (employee salaries) x 1.2 (20%
overhead) = $1,897.20 annual estimated cost.
In addition, this proposed rule contains a recordkeeping
requirement of 3 years, which would involve a total estimated
recordkeeping cost of $8,707.50 per annum, as follows: 1.5 square feet
(average office space occupied by storage cabinet containing AP-related
records) x $45/square foot (average cost of office space utilized for
storage) x 129 reports (estimated number of locations required to
submit AP-related reports) = $8,707.50 annual estimated cost.
Based on the estimates provided above, the annual burden hours of
this information collection are expected to total 3,357 burden hours,
as follows: 2,161 (estimated annual burden hours for AP-related
reporting activities) + 1,153 (estimated annual burden hours for
complementary access activities) + 43 (estimated annual burden hours
for compliance review activities) = 3,357 total estimated annual burden
hours for all AP-related information collection activities. (Note: The
AP-related recordkeeping burden estimate is based upon cost of storage
space rather than burden hours.)
Based on the estimates provided above, the annual cost of this
information collection is expected to total $139,142, as follows:
$96,467 (estimated annual cost for AP-related reporting activities) +
$32,070 (estimated annual cost for complementary access activities) +
$1,897.20 (estimated annual cost for compliance review activities) +
$8,707.50 (estimated annual cost of AP-related recordkeeping
requirements) = $139,142 total estimated annual cost for all AP-related
information collection activities.
The AP requires the United States to declare to the IAEA a number
of commercial nuclear and nuclear-related items, materials, and
activities that may be used for peaceful nuclear purposes, but that
also would be necessary elements for a nuclear weapons program.
Executive Order (E.O.) 13458 of February 5, 2008, designates the DOC as
the lead agency responsible for collecting data required under the AP
from the commercial nuclear industry and other U.S. persons, except for
data involving activities or locations subject to the licensing
jurisdiction of the NRC. The E.O. designates the NRC as the lead agency
responsible for collecting data required under the AP from those
persons, locations, and sites subject to its licensing jurisdiction. In
addition, National Security Policy Directive 57 (February 4, 2008)
designated DOC as the lead agency responsible for managing the
collection and aggregation of all data reported to the U.S. Government
for the purpose of preparing the U.S. AP declaration for submission to
the IAEA.
BIS has developed two separate handbooks (one for locations and the
other for sites of IAEA-selected facilities) that will provide guidance
on how to complete and submit the forms required under the APR. These
handbooks identify the specific forms that must be included in each
type of report package that must be submitted to BIS or the NRC. The
specific forms in each handbook are identified below.
List of Forms Contained in Report Handbook for Locations
------------------------------------------------------------------------
Description of information collected
Form on form
------------------------------------------------------------------------
AP-1.............................. Certification.
AP-2.............................. Contact Information.
AP-3.............................. Research and Development with U.S.
Government (USG) Involvement.
AP-4.............................. Research and Development without
U.S. Government Involvement.
AP-5.............................. Nuclear-related manufacturing,
assembly and construction
activities.
AP-6.............................. Information on uranium hard rock
mines.
AP-7.............................. Information on concentration plants.
AP-8.............................. Holdings of impure source materials.
AP-9.............................. Imports and exports of impure source
materials.
AP-10............................. Holdings of safeguards-exempted
materials.
AP-11............................. Location of safeguards-terminated
materials.
AP-12............................. Processing of safeguards-terminated
waste materials.
AP-13............................. Exports of specified equipment and
non-nuclear material.
AP-14............................. Imports of specified equipment and
non-nuclear material.
AP-15............................. Supplemental information report.
AP-16............................. Continuation.
AP-17............................. No Changes Report.
------------------------------------------------------------------------
List of Forms Contained in Report Handbook for Sites
------------------------------------------------------------------------
Description of information
Form collected on form
------------------------------------------------------------------------
AP-A...................................... Certification.
AP-B...................................... Contact Information.
AP-C...................................... Building information.
AP-D...................................... Research and Development
with U.S. Government
Involvement.
AP-E...................................... Research and Development
without U.S. Government
Involvement.
AP-F...................................... Nuclear-related
manufacturing, assembly and
construction activities.
AP-G...................................... Information on concentration
plants.
AP-H...................................... Holdings of impure source
materials.
AP-I...................................... Imports and exports of
impure source materials.
AP-J...................................... Holdings of safeguards-
exempted materials.
AP-K...................................... Location of safeguards-
terminated materials.
AP-L...................................... Processing of safeguards-
terminated waste materials.
AP-M...................................... Exports of specified
equipment and non-nuclear
material.
AP-N...................................... Imports of specified
equipment and non-nuclear
material.
AP-O...................................... Supplemental information
report.
AP-P...................................... Continuation.
AP-Q...................................... No Changes Report.
------------------------------------------------------------------------
3. This rule does not contain policies with Federalism implications
as that
[[Page 43574]]
term is defined in Executive Order 13132.
4. The Regulatory Flexibility Act (RFA), as amended by the Small
Business Regulatory Enforcement Fairness Act of 1996 (SBREFA), 5 U.S.C.
601 et seq., generally requires an agency to prepare a regulatory
flexibility analysis of any rule subject to the notice and comment
rulemaking requirements under the Administrative Procedure Act (5
U.S.C. 553) or any other statute, unless the agency certifies that the
rule will not have a significant economic impact on a substantial
number of small entities. Under section 605(b) of the RFA, however, if
the head of an agency certifies that a rule will not have a significant
economic impact on a substantial number of small entities, the statute
does not require the agency to prepare a regulatory flexibility
analysis. Pursuant to section 605(b), the Chief Counsel for
Regulations, Department of Commerce, certified to the Chief Counsel for
Advocacy, Small Business Administration, that this proposed rule, if
promulgated, will not have a significant economic impact on a
substantial number of small entities for the reasons explained below.
Consequently, BIS has not prepared a regulatory flexibility analysis.
Small entities include small businesses, small organizations and
small governmental jurisdictions. For purposes of assessing the impacts
of this proposed rule on small entities, small entity is defined as:
(1) A small business according to RFA default definitions for small
business (based on SBA size standards), (2) a small governmental
jurisdiction that is a government of a city, county, town, school
district or special district with a population of less than 50,000, and
(3) a small organization that is any not-for-profit enterprise which is
independently owned and operated and is not dominant in its field. BIS
has determined that this final rule would affect only the first and
third categories of small entities (i.e., small businesses and small
organizations).
The DOC's Office of Strategic Industries and Economic Security
(SIES) conducted a study to obtain an estimate of the number of U.S.
businesses, organizations, and other U.S. persons that would be subject
to the information collection and recordkeeping requirements that BIS
and the NRC would have to establish in order to meet U.S. obligations
under the AP. This study, along with reviews conducted by the NRC on
activities conducted by its licensees, indicated that potentially 119
locations and 10 sites at IAEA-Selected Facilities from the U.S.
Eligible Facilities List licensed by the NRC (an estimated total of 129
respondents) would have reporting requirements pursuant to DOC and NRC
regulations under the AP. The study indicated that the majority of the
businesses or organizations most likely to be impacted by the entry-
into-force of the AP would fall into the following categories: (1)
Colleges and universities, (2) nuclear fuel manufacturers and utility
companies, (3) mining and milling companies, and (4) corporate entities
and contractors involved in research and development, manufacturing,
assembly and construction activities. Although BIS estimates that the
majority of these businesses and organizations are substantially sized
entities, having more than 500 employees, BIS does not have sufficient
information on these businesses and organizations to definitively
characterize them as large entities.
The Small Business Administration (SBA) has established standards
for what constitutes a small business, with respect to each of the
Standard Industrial Classification (SIC) code categories. For example,
a business in the uranium mining industry (NAICS Code: 212291, SIC
Code: 1094) is considered by SBA to be a small business if it is
independently owned and operated and not dominant in its field of
operation and it employs 500 or fewer persons on a full-time basis,
part-time, temporary, or other basis. The Mine Safety and Health
Administration (MSHA) estimates that approximately 99.8% of the metal/
non-metal mining industry would qualify as small businesses. However,
many of the uranium mining and milling entities in the United States
appear to be subsidiaries of large companies and BIS estimates that
most of the small entities likely to be impacted by the entry-into-
force of the AP will fall within the other categories of businesses and
organizations identified in the SIES survey. In addition, BIS is not
able to determine which SIC code categories apply to the other
categories of businesses or organizations that are likely to be
impacted by the entry-into-force of the AP. Therefore, for the purpose
of assessing the impact of this proposed rule, BIS assumes that all of
the 129 businesses and organizations likely to be affected are small
entities.
Although this proposed rule, if promulgated, would affect a
substantial number of small entities (i.e., 129 businesses and
organizations), the reporting, on-site verification (i.e.,
complementary access), compliance review, and recordkeeping
requirements that would be imposed by this rule would not have a
significant economic impact on these entities.
First, this rule proposes to establish reporting requirements in
Part 783 of the APR that would require U.S. industry and U.S. persons
to submit data needed to prepare U.S. declarations to the IAEA in
accordance with U.S. obligations under the AP. The U.S. declarations
submitted under the AP would provide the IAEA with information about
additional aspects of the U.S. civil nuclear fuel cycle, including the
following: mining and concentration of nuclear ores; nuclear-related
equipment manufacturing, assembly, or construction; imports, exports,
and other activities involving certain source material (i.e., source
material that has not reached the composition and purity suitable for
fuel fabrication or for being isotopically enriched); imports and
exports of specified nuclear equipment and non-nuclear material;
nuclear fuel cycle-related research and development activities not
involving nuclear material; and other activities involving nuclear
material not currently subject to the U.S.-IAEA Safeguards Agreement.
The total estimated annual burden hours for these proposed reporting
requirements would be 2,161 hours and the total estimated annual cost
would be $96,467, or $747.81 per respondent.
Second, this rule proposes to establish on-site verification (i.e.,
complementary access) requirements in Part 784 of the APR. Any location
that would be required to submit an Initial Report, Annual Update
Report, or No Changes Report to BIS, pursuant to Part 783 of the APR,
would be treated as a reportable location under the APR and, as such,
might be subject to complementary access by the IAEA. The fact that a
location would be required to submit a report to BIS would not
automatically trigger complementary access by the IAEA, although it
might provide the basis for complementary access. Information reported
to BIS and included in the U.S. declaration would be analyzed by the
IAEA before the IAEA would decide whether or not to request
complementary access to a particular location. In addition to providing
the IAEA with complementary access to reportable locations, Part 784 of
the APR would provide that other locations specified by the IAEA might
be subject to complementary access. The specific purpose of
complementary access would be location dependent. Complementary access
to uranium hard-rock mine locations would be limited to enabling the
IAEA to verify, on a selective basis, the absence of
[[Page 43575]]
undeclared nuclear material and nuclear related activities. For all
other locations subject to the APR, the purpose of complementary access
would be limited to allowing the IAEA to resolve questions relating to
the correctness and completeness of the information provided in the
U.S. declaration or to resolve inconsistencies relating to that
information. The total estimated annual burden hours for these proposed
complementary access requirements would be 1,153 hours and the total
estimated annual cost would be $32,070, or $248 per respondent.
Third, this rule proposes to establish compliance review
requirements in Section 782.3 of the APR that would authorize BIS to
request information, periodically, from persons and locations subject
to the APR to determine compliance with the APR reporting and
recordkeeping requirements. Information requested may relate to nuclear
fuel cycle research and development activities not involving nuclear
material, nuclear-related manufacturing, assembly or construction
activities, or uranium hard-rock mining activities as described in Part
783 of the APR. Any person or location subject to the APR and receiving
such a request for information would be required to submit a response
to BIS within 30 calendar days of receipt of the request. The total
estimated annual burden hours for these proposed compliance review
requirements would be 43 hours and the total estimated annual cost
would be $1,897.20, or $14.70 per respondent.
Fourth, this rule proposes to establish recordkeeping provisions in
Part 786 of the APR in accordance with which each person or location
required to submit a report or correspondence under Parts 782 through
784 of the APR would have to retain all supporting materials and
documentation used to prepare the report or correspondence. All such
supporting materials and documentation would have to be retained by the
person or location for three years from the due date of the applicable
report or for three years from the date of submission of the applicable
report, whichever would be later. Upon request by BIS, the person or
location also would be required to permit access to and copying of any
records related to compliance with the requirements of the APR. The
total estimated annual cost for these proposed APR recordkeeping
requirements would be $8,707.50. (Note: Since the AP-related
recordkeeping burden estimate is based upon the cost of storage space
rather than the number of burden hours, this estimate does not include
the total annual burden hours associated with the APR recordkeeping
requirements.)
The total estimated annual burden hours required to implement the
reporting, complementary access, compliance review, and recordkeeping
requirements described above would be 3,357 burden hours and the total
estimated annual cost would be $139,142. Although the primary impact of
these new requirements would affect a substantial number of small
entities (i.e., 129 businesses and organizations), the total economic
impact on the affected entities (i.e., $139,142, per annum, for all of
the affected entities) would not be significant. The average impact per
entity would be $1,079 (i.e., $139,142 / 129) per annum, which
represents a small percentage of the net annual revenue of a typical
small business. Since the requirements that this rule proposes to
establish would not impose a significant economic impact on a
substantial number of small entities, BIS did not prepare a regulatory
flexibility analysis for this rule.
Finally, the changes proposed by this rule should be viewed in
light of the fact that BIS's discretion in formulating the reporting,
complementary access, compliance review, and recordkeeping requirements
of the APR is limited by the necessity of meeting U.S. obligations
under the AP. The AP specifies the information that the United States
must declare to the IAEA. In drafting the requirements and the forms
for U.S. locations and U.S. persons to use, BIS has attempted to
minimize the recordkeeping and reporting burden to ensure that only
information that the United States must declare to the IAEA would have
to be submitted to BIS.
List of Subjects
15 CFR Part 781
Nuclear fuel cycle-related activities, Imports, Treaties.
15 CFR Part 782
Nuclear fuel cycle-related activities, Reporting and recordkeeping
requirements.
15 CFR Part 783
Nuclear fuel cycle-related activities, Exports, Imports, Reporting
and recordkeeping requirements.
15 CFR Part 784
Nuclear fuel cycle-related activities, Imports, Reporting and
recordkeeping requirements.
15 CFR Part 785
Enforcement.
15 CFR Part 786
Reporting and recordkeeping requirements.
Accordingly, in 15 CFR Chapter VII, new Subchapter D, titled
``Additional Protocol Regulations'' and consisting of Parts 781 through
799, is proposed to be added to read as follows:
Subchapter D--Additional Protocol Regulations
PART 781--GENERAL INFORMATION AND OVERVIEW OF THE ADDITIONAL
PROTOCOL REGULATIONS (APR)
Sec.
781.1 Definitions of terms used in the Additional Protocol
Regulations (APR).
781.2 Purposes of the Additional Protocol and APR.
781.3 Scope of the APR.
781.4 U.S. Government requests for information needed to satisfy the
requirements of the APR or the Act.
781.5 Authority.
Authority: Public Law 109-401, 120 Stat. 2726 (December 18,
2006); Executive Order 13458 (February 4, 2008).
Sec. 781.1 Definitions of terms used in the Additional Protocol
Regulations (APR).
The following are definitions of terms used in parts 781 through
799 of this subchapter (collectively known as the APR), unless
otherwise noted:
Access Point of Contact (A-POC). The individual at a location who
will be notified by BIS immediately upon receipt of an IAEA request for
complementary access to a location. BIS must be able to contact either
the A-POC or alternate A-POC on a 24-hour basis. All interactions with
the location for permitting and planning an IAEA complementary access
will be conducted through the A-POC or the alternate A-POC, if the A-
POC is unavailable.
Act (The). The United States Additional Protocol Implementation Act
of 2006 (Pub. L. 109-401).
Additional Protocol. The Protocol Additional to the Agreement
between the United States of America and the International Atomic
Energy Agency for the Application of Safeguards in the United States of
America, with Annexes, signed at Vienna on June 12, 1998 (T. Doc. 107-
097), known as the Additional Protocol.
Additional Protocol Regulations (APR). Those regulations contained
in 15 CFR parts 781 to 799 that were promulgated by the Department of
Commerce to implement and enforce the Additional Protocol.
Agreement State. Any State of the United States with which the U.S.
Nuclear Regulatory Commission (NRC)
[[Page 43576]]
has entered into an effective agreement under Subsection 274b of the
Atomic Energy Act of 1954, as amended (42 U.S.C. 2011 et seq.).
Beneficiation. The concentration of nuclear ores through physical
or any other non-chemical methods.
Bureau of Industry and Security (BIS). The Bureau of Industry and
Security of the United States Department of Commerce, including Export
Administration and Export Enforcement.
Complementary Access. The exercise of the IAEA's access rights as
set forth in Articles 4 to 6 of the Additional Protocol (see part 784
of the APR for requirements concerning the scope and conduct of
complementary access).
Complementary Access Notification. A written announcement issued by
BIS to a person who is subject to the APR (e.g., the owner, operator,
occupant, or agent in charge of a location that is subject to the APR
as specified in Sec. 781.3(a) of the APR) that informs this person
about an impending complementary access in accordance with the
requirements of Part 784 of the APR.
Host Team. The U.S. Government team that accompanies the
International Atomic Energy Agency (IAEA) inspectors during
complementary access, as provided for in the Additional Protocol and
conducted in accordance with the provisions of the APR.
Host Team Leader. The representative from the Department of
Commerce who leads the Host Team during complementary access.
International Atomic Energy Agency (IAEA). The United Nations
organization, headquartered in Vienna, Austria, that serves as the
official international verification authority for the implementation of
safeguards agreements concluded pursuant to the Treaty on the Non-
Proliferation of Nuclear Weapons (NPT).
ITAR. The International Traffic in Arms Regulations (22 CFR parts
120-130), which are administered by the Directorate of Defense Trade
Controls, U.S. Department of State.
Location. Any geographical point or area declared or identified by
the United States or specified by the IAEA (see ``location specified by
the IAEA,'' as defined in this section).
Location-specific environmental sampling. The collection of
environmental samples (e.g., air, water, vegetation, soil, smears) at,
and in the immediate vicinity of, a location specified by the IAEA for
the purpose of assisting the IAEA to draw conclusions about the absence
of undeclared nuclear material or nuclear activities at the specified
location.
Location-specific subsidiary arrangement. An agreement that sets
forth procedures, which have been mutually agreed upon by the United
States and the IAEA, for conducting complementary access at a specific
reportable location. (Also see definition of ``subsidiary arrangement''
in this section.)
Location specified by the IAEA. A location that is selected by the
IAEA to:
(1) Verify the absence of undeclared nuclear material or nuclear
activities; or
(2) Obtain information that the IAEA needs to amplify or clarify
information contained in the U.S. declaration.
Managed access. Procedures implemented by the Host Team during
complementary access to prevent the dissemination of proliferation
sensitive information, to meet safety or physical protection
requirements, to protect proprietary or commercially sensitive
information, or to protect activities of direct national security
significance to the United States, including information associated
with such activities, in accordance with the Additional Protocol.
National Security Exclusion (NSE). The right of the United States,
as specified under Article 1.b of the Additional Protocol, to exclude
the application of the Additional Protocol when the United States
Government determines that its application would result in access by
the IAEA to activities of direct national security significance to the
United States or to locations or information associated with such
activities.
NRC. The U.S. Nuclear Regulatory Commission.
Nuclear fuel cycle-related research and development. Those
activities that are specifically related to any process or system
development aspect of any of the following:
(1) Conversion of nuclear material;
(2) Enrichment of nuclear material;
(3) Nuclear fuel fabrication;
(4) Reactors;
(5) Critical facilities;
(6) Reprocessing of nuclear fuel; or
(7) Processing (not including repackaging or conditioning not
involving the separation of elements, for storage or disposal) of
intermediate or high-level waste containing plutonium, high enriched
uranium or uranium-233.
Nuclear Material. Any source material or special fissionable
material, as follows.
(1) Source material means uranium containing the mixture of
isotopes occurring in nature; uranium depleted in the isotope 235;
thorium; any of the foregoing in the form of metal, alloy, chemical, or
concentrate. The term source material shall not be interpreted as
applying to ore or ore residue.
(2) Special fissionable material means plutonium 239; uranium 233;
uranium enriched in the isotopes 235 or 233; any material containing
one or more of the foregoing, but the term special fissionable material
does not include source material.
Person. Any individual, corporation, partnership, firm,
association, trust, estate, public or private institution, any State or
any political subdivision thereof, or any political entity within a
State, any foreign government or nation or any agency, instrumentality
or political subdivision of any such government or nation, or other
entity located in the United States.
Report Point of Contact (R-POC). A person whom BIS may contact for
the purposes of clarification of information provided in report(s) and
for general information. The R-POC need not be the person who prepares
the forms or certifies the report(s) for submission to BIS, but should
be familiar with the content of the reports.
Reportable Location. A location that must submit an Initial Report,
Annual Update Report, or No Changes Report to BIS, in accordance with
the provisions of the APR, is considered to be a ``reportable
location'' with reportable activities (see Sec. 783.1(a) and (b) of
the APR for nuclear fuel cycle-related activities subject to these
reporting requirements).
Reporting Code. A unique identification used for identifying a
location where one or more nuclear fuel cycle-related activities
subject to the reporting requirements of the APR are located.
Subsidiary Arrangement (or General Subsidiary Arrangement). An
agreement that sets forth procedures, which have been mutually agreed
upon by the United States and the IAEA, for implementing the Additional
Protocol, irrespective of the location. (Also see the definition of
``location-specific subsidiary arrangement'' in this section.)
United States. Means the several States of the United States, the
District of Columbia, and the commonwealths, territories, and
possessions of the United States, and includes all places under the
jurisdiction or control of the United States, including any of the
places within the provisions of paragraph (41) of section 40102 of
Title 49 of the United States Code, any civil aircraft of the United
States or public aircraft, as such terms are defined in paragraphs (1)
and (37), respectively, of
[[Page 43577]]
section 40102 of Title 49 of the United States Code, and any vessel of
the United States, as such term is defined in section 3(b) of the
Maritime Drug Enforcement Act, as amended (section 1903(b) of Title 46
App. of the United States Code).
Uranium Hard-Rock Mine. Means any of the following:
(1) An area of land from which uranium is extracted in non-liquid
form;
(2) Private ways and roads appurtenant to such an area; and
(3) Lands, excavations, underground passageways, shafts, slopes,
tunnels and workings, structures, facilities, equipment, machines,
tools, or other property including impoundments, retention dams, and
tailings ponds, on the surface or underground, used in, or to be used
in, or resulting from, the work of extracting such uranium ore from its
natural deposits in non-liquid form, or if in liquid form, with workers
underground, or used in, or to be used in, the concentration of such
uranium ore, or the work of the uranium ore.
Uranium Hard-Rock Mine (Closed-down). A uranium hard-rock mine
where ore production has ceased and the mine or its infrastructure is
not capable of further operation.
Uranium Hard-Rock Mine (Operating). A uranium hard-rock mine where
ore is produced on a routine basis.
Uranium Hard-Rock Mine (Suspended). A uranium hard-rock mine where
ore production has ceased, but the mine and its infrastructure are
capable of further operation.
U.S. declaration. The information submitted by the United States to
the IAEA in fulfillment of U.S. obligations under the Additional
Protocol.
United States Government locations. Those locations owned and
operated by a U.S. Government agency (including those operated by
contractors to the agency), and those locations leased to and operated
by a U.S. Government agency (including those operated by contractors to
the agency). United States Government locations do not include
locations owned by a U.S. Government agency and leased to a private
organization or other entity such that the private organization or
entity may independently decide the purposes for which the locations
will be used.
Wide-area environmental sampling. The collection of environmental
samples (e.g., air, water, vegetation, soil, smears) at a set of
locations specified by the IAEA for the purpose of assisting the IAEA
to draw conclusions about the absence of undeclared nuclear material or
nuclear activities over a wide area.
You. The term ``you'' or ``your'' means any person. With regard to
the reporting requirements of the APR, ``you'' refers to persons that
have an obligation to report certain activities under the provisions of
the APR. (Also see the definition of ``person'' in this section.)
Sec. 781.2 Purposes of the Additional Protocol and APR.
(a) General. The Additional Protocol is a supplement to the
existing U.S.-IAEA Safeguards Agreement, which entered into force in
1980. It provides the IAEA with access to additional information about
civil nuclear and nuclear-related items, materials, and activities and
with physical access to reportable locations where nuclear facilities,
materials, or ores are located (to ensure the absence of undeclared
nuclear material and activities) and to other reportable locations and
locations specified by the IAEA (to resolve questions or
inconsistencies related to the U.S. Declaration). The Additional
Protocol is based upon and is virtually identical to the IAEA Model
Additional Protocol (see IAEA Information Circular, INFCIRC/540, at
www.iaea.org/Publications/Documents/Infcircs/index.html), except that
it excludes IAEA access to activities with direct national security
significance to the United States, or to locations or information
associated with such activities, and provides for managed access in
connection with those same activities and to locations or information
associated with those activities.
(b) Purposes of the Additional Protocol. The Additional Protocol is
designed to enhance the effectiveness of the U.S.-IAEA Safeguards
Agreement by providing the IAEA with information about aspects of the
U.S. civil nuclear fuel cycle, including: mining and concentration of
nuclear ores; nuclear-related equipment manufacturing, assembly, or
construction; imports, exports, and other activities involving certain
source material (i.e., source material that has not reached the
composition and purity suitable for fuel fabrication or for being
isotopically enriched); imports and exports of specified nuclear
equipment and non-nuclear material; nuclear fuel cycle-related research
and development activities not involving nuclear material; and other
activities involving nuclear material not currently subject to the
U.S.-IAEA Safeguards Agreement (e.g., nuclear material that has been
exempted from safeguards pursuant to paragraph 37 of INFCIRC/153
(Corrected) June 1972).
(c) Purposes of the Additional Protocol Regulations. To fulfill
certain obligations of the United States under the Additional Protocol,
BIS has established the APR, which require the reporting of information
to BIS (as described in Parts 783 and 784 of the APR) from all persons
and locations in the United States (as described in Sec. 781.3(a) of
the APR) with reportable activities. This information, together with
information reported to other U.S. Government agencies and less any
information to which the U. S. Government applies the national security
exclusion, is aggregated into a U.S. declaration, which is submitted
annually to the IAEA. The APR also provide for complementary access at
such locations in accordance with the provisions in Part 784 of the
APR.
Sec. 781.3 Scope of the APR.
The Additional Protocol Regulations or APR implement certain
obligations of the United States under the Protocol Additional to the
Agreement Between the United States of America and the International
Atomic Energy Agency Concerning the Application of Safeguards in the
United States of America, known as the Additional Protocol.
(a) Persons and locations subject to the APR. The APR, promulgated
by the Department of Commerce, shall apply to all persons and locations
in the United States, except:
(1) Locations that are subject to the regulatory authority of the
Nuclear Regulatory Commission (NRC), pursuant to the NRC's regulatory
jurisdiction under the Atomic Energy Act of 1954, as amended (42 U.S.C.
2011 et seq.); and
(2) The following United States Government locations (see
definition in Sec. 781.1 of the APR):
(i) Department of Energy locations;
(ii) Department of Defense locations;
(iii) Central Intelligence Agency locations; and
(iv) Department of State locations.
(b) Activities subject to the APR. The activities that are subject
to the recordkeeping and reporting requirements described in the APR
are found in Parts 783 and 784 of this subchapter (APR).
Sec. 781.4 U.S. Government requests for information needed to satisfy
the requirements of the APR or the Act.
From time to time, one or more U.S. Government agencies (i.e., the
Department of Defense, the Department of Energy, the NRC, or BIS) may
contact a location to request information that the U.S. Government has
determined to be necessary to satisfy certain
[[Page 43578]]
requirements of the APR or the Act (e.g., clarification requests or
vulnerability assessments). If the manner of providing such information
is not specified in the APR, the agency in question will provide the
location with appropriate instructions.
Sec. 781.5 Authority.
The APR implement certain provisions of the Additional Protocol
under the authority of the Additional Protocol Implementation Act of
2006 (Pub. L. 109-401, 120 Stat. 2726 (December 18, 2006)). In
Executive Order 13458 of February 4, 2008, the President delegated
authority to the Department of Commerce to promulgate regulations to
implement the Act, and consistent with the Act, to carry out
appropriate functions not otherwise assigned in the Act, but necessary
to implement certain declaration and complementary access requirements
of the Additional Protocol and the Act.
PART 782--GENERAL INFORMATION REGARDING REPORTING REQUIREMENTS AND
PROCEDURES
Sec.
782.1 Overview of reporting requirements under the APR.
782.2 Persons responsible for submitting reports required under the
APR.
782.3 Compliance review.
782.4 Assistance in determining your obligations.
782.5 Where to obtain APR report forms.
782.6 Where to submit reports.
Authority: Public Law 109-401, 120 Stat. 2726 (December 18,
2006); Executive Order 13458 (February 4, 2008).
Sec. 782.1 Overview of reporting requirements under the APR.
Part 783 of the APR describes the reporting requirements for
certain activities specified in the APR. For each activity specified in
Part 783, BIS may require that an Initial Report, an Annual Update
Report, a No Changes Report, an Export Report, an Import Confirmation
Report, a Supplemental Information Report, or an Amended Report be
submitted to BIS. In addition, persons subject to the APR may be
required to provide BIS with information needed to assist the IAEA in
clarifying or verifying information specified in the U.S. declaration
or in clarifying or amplifying information concerning the nature of the
activities conducted at a location (see Sec. Sec. 783.1(d) and
784.1(b)(2) of the APR for requirements concerning a Supplementary
Information Report). If, after reviewing Part 783 of the APR, you
determine that you are subject to one or more APR reporting
requirements, you may obtain the appropriate forms by contacting BIS
(see Sec. 782.5 of the APR). In addition, forms may be downloaded from
the Internet at www.ap.gov.
Sec. 782.2 Persons responsible for submitting reports required under
the APR.
The owner, operator, or senior management official of a location
subject to the reporting requirements in Part 783 of the APR is
responsible for the submission of all required reports and documents in
accordance with all applicable provisions of the APR.
Sec. 782.3 Compliance review.
Periodically, BIS will request information from persons and
locations subject to the APR to determine compliance with the reporting
and recordkeeping requirements set forth herein. Information requested
may relate to nuclear fuel cycle research and development activities
not involving nuclear material, nuclear-related manufacturing, assembly
or construction activities, or uranium hard-rock mining activities as
described in Part 783 of the APR. Any person or location subject to the
APR and receiving such a request for information must submit a response
to BIS within 30 calendar days of receipt of the request. If the
requested information cannot be provided to BIS, the response must
fully explain the reason why such information cannot be provided. If
additional time is needed to collect the requested information, the
person or location should request an extension of the submission
deadline, before the expiration of the 30-day time period set by BIS,
and include an explanation for why an extension is needed. BIS will
grant only one extension of the submission deadline. The maximum period
of time for which BIS will grant an extension will be 30 days. Failure
to respond to this request could lead to an investigation of the
person's or location's reporting and recordkeeping procedures under the
APR.
Sec. 782.4 Assistance in determining your obligations.
(a) Determining if your activity is subject to reporting
requirements.
(1) If you need assistance in determining whether or not your
activity is subject to the APR's reporting requirements, submit your
written request for an activity determination to BIS. Such requests may
be sent via facsimile to (202) 482-1731, e-mailed to [email protected], or
hand delivered or submitted by courier to the Treaty Compliance
Division, Bureau of Industry and Security, U.S. Department of Commerce,
Attn: AP Activity Determination, 14th Street and Pennsylvania Avenue,
NW., Room 4515, Washington, DC 20230. Your activity determination
request should include the information indicated in paragraph (a)(2) of
this section to ensure an accurate determination. Also include any
additional information that would be relevant to the activity described
in your request. If you are unable to provide all of the information
required in paragraph (a)(2) of this section, you should include an
explanation identifying the reasons or deficiencies that preclude you
from supplying the information. If BIS cannot make a determination
based upon the information submitted, BIS will return the request to
you and identify the additional information that is necessary to
complete an activity determination. BIS will provide a written response
to your activity determination request within 10 business days of
receipt of the request.
(2) You must include the following information when submitting an
activity determination request to BIS:
(i) Date of your request;
(ii) Name of your organization and complete street address;
(iii) Point of contact for your organization;
(iv) Phone and facsimile number for your point of contact;
(v) E-mail address for your point of contact, if you want BIS to
provide an acknowledgment of receipt via e-mail; and
(vi) Description of your activity in sufficient detail as to allow
BIS to make an accurate determination.
(b) Other inquiries. If you need assistance in interpreting the
provisions of the APR or need assistance with APR report forms or
complementary access issues, contact BIS's Treaty Compliance Division
by phone at (202) 482-1001. If you require a written response from BIS,
submit a detailed request to BIS that explains your question, issue, or
request. Send the request to the address or facsimile included in
paragraph (a) of this section, or e-mail the request to [email protected]. To
ensure that your request is properly routed, include the notation,
``Attention: APR Advisory Request,'' on your submission to BIS.
Sec. 782.5 Where to obtain APR report forms.
Report forms required by the APR may be downloaded from the
Internet at www.ap.gov. You also may obtain these forms by contacting:
Treaty Compliance Division, Bureau of Industry and Security, U.S.
Department of Commerce, Attn: Forms Request, 14th Street and
Pennsylvania Avenue, NW., Room 4515, Washington, DC 20230, Telephone:
(202) 482-1001.
[[Page 43579]]
Sec. 782.6 Where to submit reports.
Reports required by the APR must be sent via facsimile to (202)
482-1731, e-mailed to [email protected], or hand delivered or submitted by
courier to BIS, in hard copy, to the following address: Treaty
Compliance Division, Bureau of Industry and Security, U.S. Department
of Commerce, Attn: AP Reports, 14th Street and Pennsylvania Avenue,
NW., Room 4515, Washington, DC 20230, Telephone: (202) 482-1001.
Specific types of reports and due dates are outlined in Supplement No.
1 to Part 783 of the APR.
PART 783--CIVIL NUCLEAR FUEL CYCLE-RELATED ACTIVITIES NOT INVOLVING
NUCLEAR MATERIALS
Sec.
783.1 Reporting requirements.
783.2 Amended reports.
783.3 Reports containing information determined by BIS not to be
required by the APR.
783.4 Deadlines for submission of reports and amendments.
Supplement No. 1 to Part 783--Deadlines for Submission of Reports and
Amendments
Supplement No. 2 to Part 783--Manufacturing Activities
Supplement No. 3 to Part 783--List of Specified Equipment and Non-
Nuclear Material for the Reporting of Exports and Imports
Authority: Public Law 109-401, 120 Stat. 2726 (December 18,
2006); Executive Order 13458 (February 4, 2008).
Sec. 783.1 Reporting requirements.
(a) Initial report. You must submit an Initial Report to BIS, no
later than [30 calendar days following the date of publication of the
final rule that establishes the APR] (see Supplement No. 1 to this
Part), if you are engaged in any of the civil nuclear fuel cycle-
related activities described in this paragraph (a) on [the date of
publication of the final rule that establishes the APR]. The Initial
Report must include any activities involving uranium hard-rock mines
that were closed down during the calendar year in which the APR were
promulgated (up to and including the date of publication). For any year
that follows the year in which the APR were promulgated, you must
submit an Initial Report to BIS if you commenced any of the civil
nuclear fuel cycle-related activities described in this paragraph (a)
during the previous calendar year and have not reported such activities
to BIS. Reportable nuclear fuel-cycle activities that commence after
the date of publication of the rule establishing the APR must be
reported to BIS no later than January 31 of the year following the
calendar year in which the activities took place (see Supplement No. 1
to this Part). You may report these activities as part of your Annual
Update Report, in lieu of submitting a separate Initial Report, if you
also have an Annual Update Report requirement that applies to the same
location and covers the same reporting period (see paragraph (b) of
this section). In order to satisfy the Initial Report requirements
under this paragraph (a), you must complete and submit to BIS Form AP-
1, Form AP-2, and other appropriate forms, as provided in this
paragraph (a).
(1) Research and development activities not involving nuclear
material. You must report to BIS any of the civil nuclear fuel cycle-
related research and development activities identified in paragraphs
(a)(1)(i) and (a)(1)(ii) of this section. Activities subject to these
APR reporting requirements include research and development activities
related to safe equipment operations for a nuclear fuel cycle-related
activity, but do not include activities related to theoretical or basic
scientific research or to research and development on industrial
radioisotope applications, medical, hydrological and agricultural
applications, health and environmental effects and improved
maintenance.
(i) You must complete Form AP-3 and submit it to BIS, as provided
in Sec. 782.6 of the APR, if you conducted any civil nuclear fuel
cycle-related research and development activities defined in Sec.
781.1 of the APR that:
(A) Did not involve nuclear material; and
(B) Were funded, specifically authorized or controlled by, or
conducted on behalf of, the United States.
(ii) You must complete Form AP-4 and submit it to BIS, as provided
in Sec. 782.6 of the APR, if you conducted any civil nuclear fuel
cycle-related research and development activities defined in Sec.
781.1 of the APR that:
(A) Did not involve nuclear material;
(B) Were specifically related to enrichment, reprocessing of
nuclear fuel, or the processing of intermediate or high-level waste
containing plutonium, high enriched uranium or uranium-233 (where
``processing'' involves the separation of elements); and
(C) Were not funded, specifically authorized or controlled by, or
conducted on behalf of, the United States.
(2) Civil nuclear-related manufacturing, assembly or construction
activities. You must complete Form AP-5 and submit it to BIS, as
provided in Sec. 782.6 of the APR, if you engaged in any of the
activities specified in Supplement No. 2 to this part.
(3) Uranium hard-rock mining and ore beneficiation activities. You
must complete Form AP-6 and submit it to BIS, as provided in Sec.
782.6 of the APR, if your location is either a uranium hard-rock mine
or an ore beneficiation plant that was in operating or suspended status
(see Sec. 781.1 of the APR for the definitions of ``uranium hard-rock
mine'' and uranium hard-rock mines in ``operating,'' ``suspended,'' or
``closed-down'' status).
(i) The Initial Report requirement for the calendar year in which
the APR are promulgated applies to:
(A) Uranium hard-rock mines or ore beneficiation plants that are in
operating or suspended status on the date that the rule establishing
the APR is published; and
(B) Uranium hard-rock mines that have changed from operating or
suspended status to closed-down status during the calendar year in
which the rule establishing the APR is published (up to and including
the date of publication of the rule). Mines that were closed down prior
to the calendar year in which the APR are promulgated and that remain
in closed-down status do not have a reporting requirement.
(ii) For any calendar year that follows the year in which the APR
are promulgated, you are required to submit an Initial Report to BIS
only if you commenced operations at a uranium hard-rock mine or an ore
beneficiation plant during the previous calendar year (e.g., the
commencement of operations would include, but not be limited to, the
resumption of operations at a mine that was previously in ``closed-
down'' status). Otherwise, see the Annual Update Report and No Changes
Report requirements in paragraphs (b)(1) or (b)(2) of this section. For
example, you must submit an Annual Update Report to indicate the
closed-down status of any uranium hard-rock mine that was indicated in
your most recent report to be in either operating or suspended status,
but at which you ceased operations during the previous calendar year.
(b) Annual reporting requirements. You must submit either an Annual
Update Report or a No Changes Report to BIS, as provided in Sec. 782.6
of the APR, if, during the previous calendar year, you continued to
engage in civil nuclear fuel cycle-related activities at a location for
which you submitted an Initial Report to BIS in accordance with the APR
reporting requirements described in paragraph (a) of this section.
[[Page 43580]]
(1) Annual Update Report. You must submit an Annual Update Report
to BIS if you have updates or changes to report concerning your
location's activities during the previous calendar year. When preparing
your Annual Update Report, you must complete the same report forms that
you used for submitting your Initial Report on these activities.
However, additional report forms will be required if your location
engaged in any civil nuclear fuel cycle-related activities described in
paragraph (a) of this section that you did not previously report to
BIS. The appropriate report forms for each type of activity that must
be reported under the APR are identified in paragraphs (a)(1) through
(a)(3) of this section. You must submit your Annual Update Report to
BIS no later than January 31 of the year following any calendar year in
which the activities took place or there were changes to previously
``reported'' activities (see Supplement No. 1 to this Part).
(2) No Changes Report. You may submit a No Changes Report, in lieu
of an Annual Update Report, if you have no updates or changes
concerning your location's activities (except the certifying official
and dates signed and submitted) since your most recent report of
activities to BIS. In order to satisfy the reporting requirements under
this paragraph (b)(2), you must complete Form AP-16 and submit it to
BIS, as provided in Sec. 782.6 of the APR, no later than January 31 of
the year following any calendar year in which there were no changes to
previously ``reported'' activities or location information (see
Supplement No. 1 to this Part).
(3) Additional guidance on annual reporting requirements. (i) If
your Initial Report or your most recent Annual Update Report for a
location indicates that all civil nuclear fuel cycle-related activities
described therein have ceased at that location, and no other reportable
activities have occurred during the previous calendar year, then you do
not have a reporting requirement for the location under paragraph (b)
of this section.
(ii) If your location ceases to engage in activities subject to the
APR reporting requirements described in paragraph (a) of this section,
and you have not previously reported this to BIS, you must submit an
Annual Update Report covering the calendar year in which you ceased to
engage in such activities.
(iii) Closed-down mines should be reported only once.
(c) Export Report. You must complete Forms AP-1, AP-2, and AP-13
for each export of specified equipment or non-nuclear material
identified in Supplement No. 3 to this Part and submit these Forms to
BIS, as provided in Sec. 782.6 of the APR. These Forms must be
submitted to BIS no later than 15 days after the end of each calendar
quarter (see Supplement No. 1 to this Part). For example, the Export
Report for the calendar quarter beginning on January 1st and ending on
March 31st must be submitted to BIS by April 15th and the Export
Reports for the remainder of the calendar year would have to be
submitted to BIS by July 15th, October 15th, and January 15th,
respectively.
(d) Import Confirmation Report. You must complete Forms AP-1, AP-2
and AP-14 for each import of equipment or non-nuclear material
identified in Supplement No. 3 to this Part and submit these forms to
BIS, as provided in Sec. 782.6 of the APR, if BIS sends you written
notification requiring that you provide information concerning imports
of such equipment and non-nuclear material. These Forms must be
submitted within 30 calendar days of the date that you receive written
notification of this requirement from BIS (see Supplement No. 1 to this
Part). BIS will provide such notification when it receives a request
from the IAEA for information concerning imports of this type of
equipment or non-nuclear material. The IAEA may request this
information to verify that you received specified equipment or non-
nuclear material that was shipped to you by a person, organization, or
government from a foreign country.
(e) Supplemental Information Report. You must complete Forms AP-1,
AP-2 and AP-15 and submit them to BIS, as provided in Sec. 782.6 of
the APR, if BIS sends you written notification requiring that you
provide information about the activities conducted at your location,
insofar as relevant for the purpose of safeguards. These Forms must be
submitted within 15 calendar days of the date that you receive written
notification of this requirement from BIS (see Supplement No. 1 to this
Part). BIS will provide such notification only if the IAEA specifically
requests amplification or clarification concerning any information
provided in the U.S. Declaration based on your report(s).
(f) Reportable location. A location that must submit an Initial
Report, Annual Update Report, or No Changes Report to BIS, pursuant to
the requirements of this section, is considered to be a reportable
location with declared activities.
Sec. 783.2 Amended reports.
In order for BIS to maintain accurate information on previously
submitted reports, including information necessary for BIS to
facilitate complementary access notifications or to communicate
reporting requirements under the APR, Amended Reports are required
under the circumstances described in paragraphs (a), (b), and (d) of
this section. This section applies only to changes affecting Initial
Reports and Annual Update Reports that were submitted to BIS in
accordance with the requirements of Sec. 783.1(a) and (b) of the APR.
The specific report forms that you must use to prepare and submit an
Amended Report will depend upon the type of information that you are
required to provide, pursuant to this section.
(a) Changes to activity information. You must submit an Amended
Report to BIS within 30 calendar days of the time that you discover an
error or omission in your most recent Initial Report or Annual Update
Report that involves information concerning an activity subject to the
reporting requirements described in Sec. 783.1(a) or (b) of the APR.
Use Form AP-1, and any applicable report forms indicated for the
activities identified in Sec. 783.1(a) of the APR, to prepare your
Amended Report. Submit your Amended Report to BIS, as provided in Sec.
782.6 of the APR.
(b) Changes to organization and location information that must be
maintained by BIS.
(1) Internal organization changes. You must submit an Amended
Report to BIS within 30 calendar days of any change in the following
information (use Form AP-1 to prepare your Amended Report and submit it
to BIS, as provided in Sec. 782.6 of the APR):
(i) Name of report point of contact (R-POC), including telephone
number, facsimile number, and e-mail address;
(ii) Name(s) of complementary access point(s) of contact (A-POC),
including telephone number(s), facsimile number(s) and e-mail
address(es);
(iii) Organization name;
(iv) Organization mailing address;
(v) Location owner, including telephone number, and facsimile
number; or
(vi) Location operator, including telephone number, and facsimile
number.
(2) Change in ownership of organization. You must submit an Amended
Report to BIS if you sold a reportable location or if your reportable
location went out of business since submitting your most recent Initial
Report, Annual Update Report, or No Changes Report to BIS. You must
also submit an Amended Report to BIS if you purchased a reportable
location that submitted an Initial Report, Annual Update Report, or No
Changes Report to
[[Page 43581]]
BIS for the most recent reporting period, as specified in Sec.
783.1(a) and (b) of the APR. Submit your Amended Report to BIS, as
provided in Sec. 782.6 of the APR, either before the effective date of
the change in ownership or within 30 calendar days after the effective
date of the change.
(i) The following information must be included in an Amended Report
submitted to BIS by an organization that is selling or that has sold a
reportable location (use Forms AP-1 and AP-16 to prepare your Amended
Report--address specific details regarding the sale of a reportable
location in Form AP-16):
(A) Name of seller (i.e., name of the organization selling a
reportable location);
(B) Reporting Code (this code will be assigned to your location and
reported to you by BIS or the NRC after receipt of your Initial
Report);
(C) Name of purchaser (i.e., name of the new organization/owner
purchasing a reportable location) and name and address of contact
person for the purchaser, if known;
(D) Date of ownership transfer or change;
(E) Additional details on the sale of the reportable location
relevant to ownership or operational control over any portion of the
reportable location (e.g., whether the entire location or only a
portion of the reportable location has been sold to a new owner); and
(F) Details regarding whether the new owner of a reportable
location will submit the next report for the entire calendar year in
which the ownership change occurred, or whether the previous owner and
new owner will submit separate reports for the periods of the calendar
year during which each owned the reportable location.
(ii) The following information must be included in an Amended
Report submitted to BIS by an organization that is purchasing or that
has purchased a reportable location (use Forms AP-1 and AP-2 to prepare
your Amended Report):
(A) Name of purchaser (i.e., name of the new organization/owner
purchasing a reportable location) and name and address of contact
person for the purchaser;
(B) Details on the purchase of the reportable location relevant to
ownership or operational control over any portion of the reportable
location (e.g., whether the purchaser intends to purchase and to
maintain operational control over the entire location or only a portion
of the reportable location); and
(C) Details on whether the purchaser intends to continue existing
civil nuclear fuel cycle-related activities at the reportable location
or to cease such activities during the current reporting period.
(iii) If the new owner of a reportable location is responsible for
submitting a report that covers the entire calendar year in which the
ownership change occurred, the new owner must obtain and maintain
possession of the location's records covering the entire year,
including those records for the period of the year during which the
previous owner still owned the property.
Note 1 to Sec. 783.2(b): Amended Reports that are submitted to
identify changes involving internal organization information or
changes in ownership are used only for internal U.S. Government
purposes and are not forwarded to the IAEA. BIS uses the information
it obtains from Amended Reports to update contact information for
internal oversight purposes and for IAEA complementary access
notifications.
Note 2 to Sec. 783.2(b): For ownership changes, the reportable
location will maintain its original Reporting Code, unless the
location is sold to multiple owners, at which time BIS will assign a
new Reporting Code.
(c) Non-substantive changes. If you discover one or more non-
substantive typographical errors in your Initial Report or Annual
Update Report, after submitting the report to BIS, you are not required
to submit an Amended Report to BIS. Instead, you may correct these
errors when you submit your next Annual Update Report to BIS.
(d) Amendments related to complementary access. If you are required
to submit an Amended Report to BIS following the completion of
complementary access (see part 784 of the APR), BIS will notify you, in
writing, of the information that must be amended pursuant to Sec.
784.6 of the APR. Complete and submit Form AP-1 (organization
information) and/or the specific report forms required by Section
783.1(a) or (b) of the APR, according to the type(s) of activities for
which information is being requested. You must submit your Amended
Report to BIS, as provided in Sec. 782.6 of the APR, no later than 30
calendar days following your receipt of BIS's post complementary access
letter.
(e) Option for submitting amended reports in letter form. If you
are required to submit an Amended Report to BIS, pursuant to paragraph
(a), (b), or (d) of this section, BIS may permit you to submit your
report in the form of a letter that contains all of the corrected
information required under this section. Your letter must be submitted
to BIS, at the address indicated in Sec. 782.6 of the APR, no later
than the applicable due date(s) indicated in this section (also see
Supplement No. 1 to this part).
Sec. 783.3 Reports containing information determined by BIS not to be
required by the APR.
If you submit a report and BIS determines that none of the
information contained therein is required by the APR, BIS will not
process the report and will notify you, either electronically or in
writing, explaining the basis for its decision. BIS will not maintain
any record of the report. However, BIS will maintain a copy of the
notification.
Sec. 783.4 Deadlines for submission of reports and amendments.
Reports and amendments required under this part must be postmarked
by the appropriate date identified in Supplement No. 1 to this part
783. Required reports and amendments include those identified in
paragraphs (a) through (g) of this section.
(a) Initial Report: Submitted by a location that commenced one or
more of the civil nuclear fuel cycle-related activities described in
Sec. 783.1(a) of the APR during the previous calendar year, but that
has not yet reported such activities to BIS. However, Initial Reports
that are submitted to BIS during the calendar year in which the APR are
promulgated must describe only those activities in which you are
engaged as of the date of publication of the rule establishing the APR,
except that the description of activities involving uranium hard-rock
mines must include any such mines that were closed down during the
calendar year in which the rule establishing the APR was published (up
to and including the date of publication), as well as mines that were
in either operating or suspended status on the date of publication (see
Sec. 783.1(a)(3)(i) of the APR).
(b) Annual Update Report: Submitted by a reportable location--this
report describes changes to previously reported (i.e., declared)
activities and any other reportable civil nuclear fuel cycle-related
activities that took place at the location during the previous calendar
year.
(c) No Changes Report: Submitted by a reportable location, in lieu
of an Annual Update Report, when there are no updates or changes to any
information, excluding the certifying official and dates signed and
submitted, since the previous report submitted by that location.
(d) Export Report: Submitted following the end of any calendar
quarter in which a person exports an item listed in Supplement No. 3 to
this part.
[[Page 43582]]
(e) Import Confirmation Report: Submitted in response to a written
notification from BIS, following a specific request by the IAEA.
(f) Supplemental Information Report: Submitted in response to a
written notification from BIS, following a specific request by the
IAEA.
(g) Amended Report: Submitted by a reportable location to report
certain changes affecting the location's most recent Initial Report or
Annual Update Report.
Supplement No. 1 to Part 783
Deadlines for Submission of Reports and Amendments
------------------------------------------------------------------------
Reports Applicable forms Due dates
------------------------------------------------------------------------
Initial Report.............. Forms AP-1 and AP-2 [30 calendar days
and: after promulgation
--AP-3 or AP-4 for of the final rule
R&D activities;. establishing the
--AP-5 for civil APR] for: (1) Any
nuclear-related activities in which
manufacturing, you were engaged on
assembly or the date of
construction; and. publication of that
--AP-6 for mining rule and (2)
and ore uranium hard-rock
beneficiation.. mines that have
changed from
operating or
suspended status to
closed-down status
during the calendar
year in which the
rule establishing
the APR is
published (up to
and including the
date of publication
of the rule).
For activities
commencing after
promulgation of the
rule establishing
the APR, Initial
Reports must be
submitted no later
than January 31 of
the year following
any calendar year
in which the
activities began,
unless you are
required to submit
an Annual Update
Report because of
on-going previously
``reported''
activities at the
same location--in
that case, you may
include the new
activities in your
Annual Update
Report, instead of
submitting a
separate Initial
Report.
Annual Update Report........ Forms AP-1 and AP-2 January 31 of the
and: year following any
--AP-3 or AP-4 for calendar year in
R&D activities;. which the
--AP-5 for civil activities took
nuclear-related place or there were
manufacturing, changes to
assembly or previously
construction; and. ``reported''
--AP-6 for mining activities.
and ore
beneficiation..
No Changes Report........... Form AP-17.......... January 31 of the
year following any
calendar year in
which there were no
changes to
previously
``reported''
activities or
location
information.
Export Report............... Forms AP-1, AP-2, Within 15 calendar
and AP-13. days following the
end of any calendar
quarter in which a
person exports an
item listed in
Supplement No. 3 to
this Part.
Import Confirmation Report.. Forms AP-1, AP-2, Within 30 calendar
and AP-14. days of receiving
notification from
BIS.
Supplemental Information Forms AP-1, AP-2, Within 15 calendar
Report. and AP-15. days of receiving
notification from
BIS.
Amended Report: Form AP-1 and Amended report due:
--Report information. appropriate forms, --30 calendar days
--Organization and location as specified in after you discover
information. Sec. 783.1 of the an error or
--Complementary access APR, for the type omission in
letter. of report being activity
amended. information
contained in your
most recent report.
--30 calendar days
after a change in
company information
or ownership of a
location.
--30 calendar days
after receipt of a
post-complementary
access letter from
BIS.
------------------------------------------------------------------------
Supplement No. 2 to Part 783--Manufacturing Activities
The following constitute manufacturing activities that would
require the submission of a report to BIS, pursuant to Sec.
783.1(a)(2) of the APR.
(1) The manufacture of centrifuge rotor tubes or the assembly of
gas centrifuges. Centrifuge rotor tubes means thin-walled cylinders
as described in Section 5.1.1(b) of Supplement No. 3 to this Part.
Gas centrifuges means centrifuges as described in the INTRODUCTORY
NOTE to Section 5.1 of Supplement No. 3 to this Part.
(2) The manufacture of diffusion barriers. Diffusion barriers
means thin, porous filters as described in Section 5.3.1(a) of
Supplement No. 3 to this Part.
(3) The manufacture or assembly of laser-based systems. Laser-
based systems means systems incorporating those items as described
in Section 5.7 of Supplement No. 3 to this Part.
(4) The manufacture or assembly of electromagnetic isotope
separators. Electromagnetic isotope separators means those items
referred to in Section 5.9.1 of Supplement No. 3 to this Part
containing ion sources as described in Section 5.9.1(a) of
Supplement No. 3 to this Part.
(5) The manufacture or assembly of columns or extraction
equipment. Columns or extraction equipment means those items as
described in Sections 5.6.1, 5.6.2, 5.6.3, 5.6.5, 5.6.6, 5.6.7, and
5.6.8 of Supplement No. 3 to this Part.
(6) The manufacture of aerodynamic separation nozzles or vortex
tubes.
[[Page 43583]]
Aerodynamic separation nozzles or vortex tubes means separation
nozzles and vortex tubes as described, respectively, in Sections
5.5.1 and 5.5.2 of Supplement No. 3 to this Part.
(7) The manufacture or assembly of uranium plasma generation
systems. Uranium plasma generation systems means systems for the
generation of uranium plasma as described in Section 5.8.3 of
Supplement No. 3 to this Part.
(8) The manufacture of zirconium tubes. Zirconium tubes means
tubes as described in Section 1.6 of Supplement No. 3 to this Part.
(9) The manufacture or upgrading of heavy water or deuterium.
Heavy water or deuterium means deuterium, heavy water (deuterium
oxide) and any other deuterium compound in which the ratio of
deuterium to hydrogen atoms exceeds 1:5,000.
(10) The manufacture of nuclear grade graphite. Nuclear grade
graphite means graphite having a purity level better than 5 parts
per million boron equivalent and with a density greater than 1.50 g/
cm\3\;
(11) The manufacture of flasks for irradiated fuel. A flask for
irradiated fuel means a vessel for the transportation and/or storage
of irradiated fuel that provides chemical, thermal and radiological
protection, and dissipates decay heat during handling,
transportation and storage.
(12) The manufacture of reactor control rods. Reactor control
rods means rods as described in Section 1.4 of Supplement No. 3 to
this Part.
(13) The manufacture of critically safe tanks and vessels.
Critically safe tanks and vessels means those items as described in
Sections 3.2 and 3.4 of Supplement No. 3 to this Part.
(14) The manufacture of irradiated fuel element chopping
machines. Irradiated fuel element chopping machines means equipment
as described in Section 3.1 of Supplement No. 3 to this Part.
(15) The construction of hot cells. Hot cells means a cell or
interconnected cells totaling at least 6 cubic meters in volume with
shielding equal to or greater than the equivalent of 0.5 meters of
concrete, with a density of 3.2 g/cm\3\ or greater, outfitted with
equipment for remote operations.
Supplement No. 3 to Part 783 List of Specified Equipment and Non-
Nuclear Material for the Reporting of Exports and Imports
1. Reactors and Equipment Therefor
1.1. Complete Nuclear Reactors
Nuclear reactors capable of operation so as to maintain a
controlled self-sustaining fission chain reaction, excluding zero
energy reactors, the latter being defined as reactors with a
designed maximum rate of production of plutonium not exceeding 100
grams per year.
Explanatory Note: A ``nuclear reactor'' basically includes the
items within or attached directly to the reactor vessel, the
equipment which controls the level of power in the core, and the
components which normally contain or come in direct contact with or
control the primary coolant of the reactor core. It is not intended
to exclude reactors which could reasonably be capable of
modification to produce significantly more than 100 grams of
plutonium per year. Reactors designed for sustained operation at
significant power levels, regardless of their capacity for plutonium
production, are not considered as ``zero energy reactors.''
1.2. Reactor Pressure Vessels
Metal vessels, as complete units or as major shop-fabricated
parts therefor, which are specially designed or prepared to contain
the core of a nuclear reactor, as defined in Section 1.1, and are
capable of withstanding the operating pressure of the primary
coolant.
Explanatory Note: This is the list that the IAEA Board of
Governors agreed at its meeting on 24 February 1993 would be used
for the purpose of the voluntary reporting scheme, as subsequently
amended by the Board. A top plate for a reactor pressure vessel is
covered by this Section 1.2 as a major shop-fabricated part of a
pressure vessel. Reactor internals (e.g., support columns and plates
for the core and other vessel internals, control rod guide tubes,
thermal shields, baffles, core grid plates, diffuser plates, etc.)
are normally supplied by the reactor supplier. In some cases,
certain internal support components are included in the fabrication
of the pressure vessel. These items are sufficiently critical to the
safety and reliability of the operation of the reactor (and,
therefore, to the guarantees and liability of the reactor supplier),
so that their supply, outside the basic supply arrangement for the
reactor itself, would not be common practice. Therefore, although
the separate supply of these unique, specially designed and
prepared, critical, large and expensive items would not necessarily
be considered as falling outside the area of concern, such a mode of
supply is considered unlikely.
1.3. Reactor Fuel Charging and Discharging Machines
Manipulative equipment specially designed or prepared for
inserting or removing fuel in a nuclear reactor, as defined in
Section 1.1 of this Supplement, capable of on-load operation or
employing technically sophisticated positioning or alignment
features to allow complex off-load fueling operations such as those
in which direct viewing of or access to the fuel is not normally
available.
1.4. Reactor Control Rods
Rods specially designed or prepared for the control of the
reaction rate in a nuclear reactor as defined in Section 1.1 of this
Supplement.
Explanatory Note: This item includes, in addition to the neutron
absorbing part, the support or suspension structures therefor if
supplied separately.
1.5. Reactor Pressure Tubes
Tubes which are specially designed or prepared to contain fuel
elements and the primary coolant in a reactor, as defined in Section
1.1 of this Supplement, at an operating pressure in excess of 5.1
MPa (740 psi).
1.6. Zirconium Tubes
Zirconium metal and alloys in the form of tubes or assemblies of
tubes, and in quantities exceeding 500 kg in any period of 12
months, specially designed or prepared for use in a reactor, as
defined in Section 1.1 of this Supplement, and in which the relation
of hafnium to zirconium is less than 1:500 parts by weight.
1.7. Primary Coolant Pumps
Pumps specially designed or prepared for circulating the primary
coolant for nuclear reactors, as defined in Section 1.1 of this
Supplement.
Explanatory Note: Specially designed or prepared pumps may
include elaborate sealed or multi-sealed systems to prevent leakage
of primary coolant, canned-driven pumps, and pumps with inertial
mass systems. This definition encompasses pumps certified to NC-1 or
equivalent standards.
2. Non-Nuclear Materials for Reactors
2.1. Deuterium and Heavy Water
Deuterium, heavy water (deuterium oxide) and any other deuterium
compound in which the ratio of deuterium to hydrogen atoms exceeds
1:5,000 for use in a nuclear reactor, as defined in Section 1.1 of
this Supplement, in quantities exceeding 200 kg of deuterium atoms
for any one recipient country in any period of 12 months.
2.2. Nuclear Grade Graphite
Graphite having a purity level better than 5 parts per million
boron equivalent and with a density greater than 1.50 g/cm\3\ for
use in a nuclear reactor, as defined in Section 1.1 of this
Supplement, in quantities exceeding 3 x 10\4\ kg (30 metric tons)
for any one recipient country in any period of 12 months.
Note: For the purpose of reporting, the Government will
determine whether or not the exports of graphite meeting the
specifications of this Section 2.2 are for nuclear reactor use.
3. Plants for the Reprocessing of Irradiated Fuel Elements, and
Equipment Specially Designed or Prepared Therefor
Introductory Note: Reprocessing irradiated nuclear fuel
separates plutonium and uranium from intensely radioactive fission
products and other transuranic elements. Different technical
processes can accomplish this separation. However, over the years
Purex has become the most commonly used and accepted process. Purex
involves the dissolution of irradiated nuclear fuel in nitric acid,
followed by separation of the uranium, plutonium, and fission
products by solvent extraction using a mixture of tributyl phosphate
in an organic diluent. Purex facilities have process functions
similar to each other, including: irradiated fuel element chopping,
fuel dissolution, solvent extraction, and process liquor storage.
There may also be equipment for thermal denitration of uranium
nitrate, conversion of plutonium nitrate to oxide or metal, and
treatment of fission product waste liquor to a form suitable for
long term storage or disposal. However, the specific type and
configuration of the equipment performing these functions may differ
between Purex
[[Page 43584]]
facilities for several reasons, including the type and quantity of
irradiated nuclear fuel to be reprocessed and the intended
disposition of the recovered materials, and the safety and
maintenance philosophy incorporated into the design of the facility.
A ``plant for the reprocessing of irradiated fuel elements''
includes the equipment and components which normally come in direct
contact with and directly control the irradiated fuel and the major
nuclear material and fission product processing streams. These
processes, including the complete systems for plutonium conversion
and plutonium metal production, may be identified by the measures
taken to avoid criticality (e.g., by geometry), radiation exposure
(e.g., by shielding), and toxicity hazards (e.g., by containment).
Items of equipment that are considered to fall within the meaning of
the phrase ``and equipment specially designed or prepared'' for the
reprocessing of irradiated fuel elements include:
3.1. Irradiated Fuel Element Chopping Machines
Introductory Note: This equipment breaches the cladding of the
fuel to expose the irradiated nuclear material to dissolution.
Specially designed metal cutting shears are the most commonly
employed, although advanced equipment, such as lasers, may be used.
Remotely operated equipment specially designed or prepared for use
in a reprocessing plant, as identified in the introductory paragraph
of this section, and intended to cut, chop or shear irradiated
nuclear fuel assemblies, bundles or rods.
3.2. Dissolvers
Introductory Note: Dissolvers normally receive the chopped-up
spent fuel. In these critically safe vessels, the irradiated nuclear
material is dissolved in nitric acid and the remaining hulls removed
from the process stream. Critically safe tanks (e.g., small
diameter, annular or slab tanks) specially designed or prepared for
use in a reprocessing plant, as identified in the introductory
paragraph of this section, intended for dissolution of irradiated
nuclear fuel and which are capable of withstanding hot, highly
corrosive liquid, and which can be remotely loaded and maintained.
3.3. Solvent Extractors and Solvent Extraction Equipment
Introductory Note: Solvent extractors both receive the solution
of irradiated fuel from the dissolvers and the organic solution
which separates the uranium, plutonium, and fission products.
Solvent extraction equipment is normally designed to meet strict
operating parameters, such as long operating lifetimes with no
maintenance requirements or adaptability to easy replacement,
simplicity of operation and control, and flexibility for variations
in process conditions. Specially designed or prepared solvent
extractors such as packed or pulse columns, mixer settlers or
centrifugal contactors for use in a plant for the reprocessing of
irradiated fuel. Solvent extractors must be resistant to the
corrosive effect of nitric acid. Solvent extractors are normally
fabricated to extremely high standards (including special welding
and inspection and quality assurance and quality control techniques)
out of low carbon stainless steels, titanium, zirconium, or other
high quality materials.
3.4. Chemical Holding or Storage Vessels
Introductory Note: Three main process liquor streams result from
the solvent extraction step. Holding or storage vessels are used in
the further processing of all three streams, as follows:
(a) The pure uranium nitrate solution is concentrated by
evaporation and passed to a denitration process where it is
converted to uranium oxide. This oxide is re-used in the nuclear
fuel cycle.
(b) The intensely radioactive fission products solution is
normally concentrated by evaporation and stored as a liquor
concentrate. This concentrate may be subsequently evaporated and
converted to a form suitable for storage or disposal.
(c) The pure plutonium nitrate solution is concentrated and
stored pending its transfer to further process steps. In particular,
holding or storage vessels for plutonium solutions are designed to
avoid criticality problems resulting from changes in concentration
and form of this stream. Specially designed or prepared holding or
storage vessels for use in a plant for the reprocessing of
irradiated fuel. The holding or storage vessels must be resistant to
the corrosive effect of nitric acid. The holding or storage vessels
are normally fabricated of materials such as low carbon stainless
steels, titanium or zirconium, or other high quality materials.
Holding or storage vessels may be designed for remote operation and
maintenance and may have the following features for control of
nuclear criticality: (1) Walls or internal structures with a boron
equivalent of at least two percent; (2) a maximum diameter of 175 mm
(7 in) for cylindrical vessels; or (3) a maximum width of 75 mm (3
in) for either a slab or annular vessel.
3.5. Plutonium Nitrate to Oxide Conversion System
Introductory Note: In most reprocessing facilities, this final
process involves the conversion of the plutonium nitrate solution to
plutonium dioxide. The main functions involved in this process are:
Process feed storage and adjustment, precipitation and solid/liquor
separation, calcination, product handling, ventilation, waste
management, and process control. Complete systems specially designed
or prepared for the conversion of plutonium nitrate to plutonium
oxide, in particular adapted so as to avoid criticality and
radiation effects and to minimize toxicity hazards.
3.6. Plutonium Oxide to Metal Production System
Introductory Note: This process, which could be related to a
reprocessing facility, involves the fluorination of plutonium
dioxide, normally with highly corrosive hydrogen fluoride, to
produce plutonium fluoride which is subsequently reduced using high
purity calcium metal to produce metallic plutonium and a calcium
fluoride slag. The main functions involved in this process are:
Fluorination (e.g., involving equipment fabricated or lined with a
precious metal), metal reduction (e.g., employing ceramic
crucibles), slag recovery, product handling, ventilation, waste
management and process control. Complete systems specially designed
or prepared for the production of plutonium metal, in particular
adapted so as to avoid criticality and radiation effects and to
minimize toxicity hazards.
4. Plants for the Fabrication of Fuel Elements
A ``plant for the fabrication of fuel elements'' includes the
equipment:
(a) Which normally comes in direct contact with, or directly
processes, or controls, the production flow of nuclear material, or
(b) Which seals the nuclear material within the cladding.
5. Plants for the Separation of Isotopes of Uranium and Equipment,
Other Than Analytical Instruments, Specially Designed or Prepared
Therefor
Items of equipment that are considered to fall within the
meaning of the phrase ``equipment, other than analytical
instruments, specially designed or prepared'' for the separation of
isotopes of uranium include:
5.1. Gas Centrifuges and Assemblies and Components Specially Designed
or Prepared for Use in Gas Centrifuges
Introductory Note: The gas centrifuge normally consists of a
thin-walled cylinder(s) of between 75 mm (3 in) and 400 mm (16 in)
diameter contained in a vacuum environment and spun at high
peripheral speed of the order of 300 m/s or more with its central
axis vertical. In order to achieve high speed the materials of
construction for the rotating components have to be of a high
strength to density ratio and the rotor assembly, and hence its
individual components, have to be manufactured to very close
tolerances in order to minimize the unbalance. In contrast to other
centrifuges, the gas centrifuge for uranium enrichment is
characterized by having within the rotor chamber a rotating disc-
shaped baffle(s) and a stationary tube arrangement for feeding and
extracting the UF6 gas and featuring at least 3 separate
channels, of which 2 are connected to scoops extending from the
rotor axis towards the periphery of the rotor chamber. Also
contained within the vacuum environment are a number of critical
items which do not rotate and which although they are specially
designed are not difficult to fabricate nor are they fabricated out
of unique materials. A centrifuge facility however requires a large
number of these components, so that quantities can provide an
important indication of end use.
5.1.1. Rotating Components
(a) Complete rotor assemblies: Thin-walled cylinders, or a
number of interconnected thin-walled cylinders, manufactured from
one or more of the high strength to density ratio materials
described in the Explanatory Note to Section 5.1.1 of this
Supplement. If interconnected, the cylinders are joined together by
flexible bellows or rings as described in Section 5.1.1(c) of this
[[Page 43585]]
Supplement. The rotor is fitted with an internal baffle(s) and end
caps, as described in Section 5.1.1(d) and (e) of this Supplement,
if in final form. However the complete assembly may be delivered
only partly assembled.
(b) Rotor tubes: Specially designed or prepared thin-walled
cylinders with thickness of 12 mm (0.5 in) or less, a diameter of
between 75 mm (3 in) and 400 mm (16 in), and manufactured from one
or more of the high strength to density ratio materials described in
the Explanatory Note to Section 5.1.1 of this Supplement.
(c) Rings or Bellows: Components specially designed or prepared
to give localized support to the rotor tube or to join together a
number of rotor tubes. The bellows is a short cylinder of wall
thickness 3 mm (0.12 in) or less, a diameter of between 75 mm (3 in)
and 400 mm (16 in), having a convolute, and manufactured from one of
the high strength to density ratio materials described in the
Explanatory Note to Section 5.1.1 of this Supplement.
(d) Baffles: Disc-shaped components of between 75 mm (3 in) and
400 mm (16 in) diameter specially designed or prepared to be mounted
inside the centrifuge rotor tube, in order to isolate the take-off
chamber from the main separation chamber and, in some cases, to
assist the UF6 gas circulation within the main separation
chamber of the rotor tube, and manufactured from one of the high
strength to density ratio materials described in the Explanatory
Note to Section 5.1.1 of this Supplement.
(e) Top caps/Bottom caps: Disc-shaped components of between 75
mm (3 in) and 400 mm (16 in) diameter specially designed or prepared
to fit to the ends of the rotor tube, and so contain the
UF6 within the rotor tube, and in some cases to support,
retain or contain as an integrated part an element of the upper
bearing (top cap) or to carry the rotating elements of the motor and
lower bearing (bottom cap), and manufactured from one of the high
strength to density ratio materials described in the Explanatory
Note to Section 5.1.1 of this Supplement.
Explanatory Note: The materials used for centrifuge rotating
components are:
(a) Maraging steel capable of an ultimate tensile strength of
2.05 x 10\9\ N/m\2\ (300,000 psi) or more;
(b) Aluminum alloys capable of an ultimate tensile strength of
0.46 x 10\9\ N/m\2\ (67,000 psi) or more;
(c) Filamentary materials suitable for use in composite
structures and having a specific modulus of 12.3 x 10\6\ m or
greater and a specific ultimate tensile strength of 0.3 x 10\6\ m or
greater (``Specific Modulus'' is the Young's Modulus in N/m\2\
divided by the specific weight in N/m\3\; ``Specific Ultimate
Tensile Strength'' is the ultimate tensile strength in N/m\2\
divided by the specific weight in N/m\3\).
5.1.2. Static Components
(a) Magnetic suspension bearings: Specially designed or prepared
bearing assemblies consisting of an annular magnet suspended within
a housing containing a damping medium. The housing will be
manufactured from a UF6-resistant material (see
Explanatory Note to Section 5.2 of this Supplement.). The magnet
couples with a pole piece or a second magnet fitted to the top cap
described in Section 5.1.1(e) of this Supplement. The magnet may be
ring-shaped with a relation between outer and inner diameter smaller
or equal to 1.6:1. The magnet may be in a form having an initial
permeability of 0.15 H/m (120,000 in CGS units) or more, or a
remanence of 98.5% or more, or an energy product of greater than 80
kJ/m\3\ (10\7\ gauss-oersteds). In addition to the usual material
properties, it is a prerequisite that the deviation of the magnetic
axes from the geometrical axes is limited to very small tolerances
(lower than 0.1 mm or 0.004 in) or that homogeneity of the material
of the magnet is specially called for.
(b) Bearings/Dampers: Specially designed or prepared bearings
comprising a pivot/cup assembly mounted on a damper. The pivot is
normally a hardened steel shaft with a hemisphere at one end with a
means of attachment to the bottom cap, described in Section 5.1.1(e)
of this Supplement, at the other. The shaft may however have a
hydrodynamic bearing attached. The cup is pellet-shaped with a
hemispherical indentation in one surface. These components are often
supplied separately to the damper.
(c) Molecular pumps: Specially designed or prepared cylinders
having internally machined or extruded helical grooves and
internally machined bores. Typical dimensions are as follows: 75 mm
(3 in) to 400 mm (16 in) internal diameter, 10 mm (0.4 in) or more
wall thickness, with the length equal to or greater than the
diameter. The grooves are typically rectangular in cross-section and
2 mm (0.08 in) or more in depth.
(d) Motor stators: Specially designed or prepared ring-shaped
stators for high speed multiphase AC hysteresis (or reluctance)
motors for synchronous operation within a vacuum in the frequency
range of 600-2,000 Hz and a power range of 50-1,000 VA. The stators
consist of multi-phase windings on a laminated low loss iron core
comprised of thin layers typically 2.0 mm (0.08 in) thick or less.
(e) Centrifuge housing/recipients: Components specially designed
or prepared to contain the rotor tube assembly of a gas centrifuge.
The housing consists of a rigid cylinder of wall thickness up to 30
mm (1.2 in) with precision machined ends to locate the bearings and
with one or more flanges for mounting. The machined ends are
parallel to each other and perpendicular to the cylinder's
longitudinal axis to within 0.05 degrees or less. The housing may
also be a honeycomb type structure to accommodate several rotor
tubes. The housings are made of or protected by materials resistant
to corrosion by UF6.
(f) Scoops: Specially designed or prepared tubes of up to 12 mm
(0.5 in) internal diameter for the extraction of UF6 gas
from within the rotor tube by a Pitot tube action (that is, with an
aperture facing into the circumferential gas flow within the rotor
tube, for example by bending the end of a radially disposed tube)
and capable of being fixed to the central gas extraction system. The
tubes are made of or protected by materials resistant to corrosion
by UF6.
5.2. Specially Designed or Prepared Auxiliary Systems, Equipment and
Components for Gas Centrifuge Enrichment Plants
Introductory Note: The auxiliary systems, equipment and
components for a gas centrifuge enrichment plant are the systems of
plant needed to feed UF6 to the centrifuges, to link the
individual centrifuges to each other to form cascades (or stages) to
allow for progressively higher enrichments and to extract the
``product'' and ``tails'' UF6 from the centrifuges,
together with the equipment required to drive the centrifuges or to
control the plant. Normally UF6 is evaporated from the
solid using heated autoclaves and is distributed in gaseous form to
the centrifuges by way of cascade header pipework. The ``product''
and ``tails'' UF6 gaseous streams flowing from the
centrifuges are also passed by way of cascade header pipework to
cold traps (operating at about 203 K (-70 [deg]C)) where they are
condensed prior to onward transfer into suitable containers for
transportation or storage. Because an enrichment plant consists of
many thousands of centrifuges arranged in cascades there are many
kilometers of cascade header pipework, incorporating thousands of
welds with a substantial amount of repetition of layout. The
equipment, components and piping systems are fabricated to very high
vacuum and cleanliness standards.
5.2.1. Feed Systems/Product and Tails Withdrawal Systems
Specially designed or prepared process systems including: Feed
autoclaves (or stations), used for passing UF6 to the
centrifuge cascades at up to 100 kPa (15 psi) and at a rate of 1 kg/
h or more; desublimers (or cold traps) used to remove UF6
from the cascades at up to 3 kPa (0.5 psi) pressure. The desublimers
are capable of being chilled to 203 K (-70 [deg]C) and heated to 343
K (70 [deg]C); ``Product'' and ``Tails'' stations used for trapping
UF6 into containers. This plant, equipment and pipework
is wholly made of or lined with UF6-resistant materials
(see Explanatory Note to Section 5.2 of this Supplement) and is
fabricated to very high vacuum and cleanliness standards.
5.2.2. Machine Header Piping Systems
Specially designed or prepared piping systems and header systems
for handling UF6 within the centrifuge cascades. The
piping network is normally of the ``triple'' header system with each
centrifuge connected to each of the headers. There is thus a
substantial amount of repetition in its form. It is wholly made of
UF6-resistant materials (see Explanatory Note to Section
5.2 of this Supplement) and is fabricated to very high vacuum and
cleanliness standards.
5.2.3. UF6 Mass Spectrometers/Ion Sources
Specially designed or prepared magnetic or quadrupole mass
spectrometers capable of taking ``on-line'' samples of feed, product
or tails, from UF6 gas streams and having all of the
following characteristics:
(a) Unit resolution for atomic mass unit greater than 320;
(b) Ion sources constructed of or lined with nichrome or monel
or nickel plated;
[[Page 43586]]
(c) Electron bombardment ionization sources;
(d) Having a collector system suitable for isotopic analysis.
5.2.4. Frequency Changers
Frequency changers (also known as converters or invertors)
specially designed or prepared to supply motor stators (as defined
under Section 5.1.2(d) of this Supplement), or parts, components and
sub-assemblies of such frequency changers having all of the
following characteristics:
(a) A multiphase output of 600 to 2,000 Hz;
(b) High stability (with frequency control better than 0.1%);
(c) Low harmonic distortion (less than 2%); and
(d) An efficiency of greater than 80%.
Explanatory Note: The items listed in this Section 5.2 either
come into direct contact with the UF6 process gas or
directly control the centrifuges and the passage of the gas from
centrifuge to centrifuge and cascade to cascade. Materials resistant
to corrosion by UF6 include stainless steel, aluminum,
aluminum alloys, nickel or alloys containing 60% or more nickel.
5.3. Specially Designed or Prepared Assemblies and Components for Use
in Gaseous Diffusion Enrichment
Introductory Note: In the gaseous diffusion method of uranium
isotope separation, the main technological assembly is a special
porous gaseous diffusion barrier, heat exchanger for cooling the gas
(which is heated by the process of compression), seal valves and
control valves, and pipelines. Inasmuch as gaseous diffusion
technology uses uranium hexafluoride (UF6), all
equipment, pipeline and instrumentation surfaces (that come in
contact with the gas) must be made of materials that remain stable
in contact with UF6. A gaseous diffusion facility
requires a number of these assemblies, so that quantities can
provide an important indication of end use.
5.3.1. Gaseous Diffusion Barriers
(a) Specially designed or prepared thin, porous filters, with a
pore size of 100-1,000 [Aring] (angstroms), a thickness of 5 mm (0.2
in) or less, and for tubular forms, a diameter of 25 mm (1 in) or
less, made of metallic, polymer or ceramic materials resistant to
corrosion by UF6, and
(b) Specially prepared compounds or powders for the manufacture
of such filters. Such compounds and powders include nickel or alloys
containing 60 percent or more nickel, aluminum oxide, or
UF6-resistant fully fluorinated hydrocarbon polymers
having a purity of 99.9 percent or more, a particle size less than
10 microns, and a high degree of particle size uniformity, which are
specially prepared for the manufacture of gaseous diffusion
barriers.
5.3.2. Diffuser Housings
Specially designed or prepared hermetically sealed cylindrical
vessels greater than 300 mm (12 in) in diameter and greater than 900
mm (35 in) in length, or rectangular vessels of comparable
dimensions, which have an inlet connection and two outlet
connections all of which are greater than 50 mm (2 in) in diameter,
for containing the gaseous diffusion barrier, made of or lined with
UF6-resistant materials and designed for horizontal or
vertical installation.
5.3.3. Compressors and Gas Blowers
Specially designed or prepared axial, centrifugal, or positive
displacement compressors, or gas blowers with a suction volume
capacity of 1 m\3\/min or more of UF6, and with a
discharge pressure of up to several hundred kPa (100 psi), designed
for long-term operation in the UF6 environment with or
without an electrical motor of appropriate power, as well as
separate assemblies of such compressors and gas blowers. These
compressors and gas blowers have a pressure ratio between 2:1 and
6:1 and are made of, or lined with, materials resistant to
UF6.
5.3.4. Rotary Shaft Seals
Specially designed or prepared vacuum seals, with seal feed and
seal exhaust connections, for sealing the shaft connecting the
compressor or the gas blower rotor with the driver motor so as to
ensure a reliable seal against in-leaking of air into the inner
chamber of the compressor or gas blower which is filled with
UF6. Such seals are normally designed for a buffer gas
in-leakage rate of less than 1,000 cm\3\/min (60 in\3\/min).
5.3.5. Heat Exchangers for Cooling UF6
Specially designed or prepared heat exchangers made of or lined
with UF6-resistant materials (except stainless steel) or
with copper or any combination of those metals, and intended for a
leakage pressure change rate of less than 10 Pa (0.0015 psi) per
hour under a pressure difference of 100 kPa (15 psi).
5.4. Specially Designed or Prepared Auxiliary Systems, Equipment and
Components for Use in Gaseous Diffusion Enrichment
Introductory Note: The auxiliary systems, equipment and
components for gaseous diffusion enrichment plants are the systems
of plant needed to feed UF6 to the gaseous diffusion
assembly, to link the individual assemblies to each other to form
cascades (or stages) to allow for progressively higher enrichments
and to extract the ``product'' and ``tails'' UF6 from the
diffusion cascades. Because of the high inertial properties of
diffusion cascades, any interruption in their operation, and
especially their shut-down, leads to serious consequences.
Therefore, a strict and constant maintenance of vacuum in all
technological systems, automatic protection from accidents, and
precise automated regulation of the gas flow is of importance in a
gaseous diffusion plant. All this leads to a need to equip the plant
with a large number of special measuring, regulating and controlling
systems. Normally UF6 is evaporated from cylinders placed
within autoclaves and is distributed in gaseous form to the entry
point by way of cascade header pipework. The ``product'' and
``tails'' UF6 gaseous streams flowing from exit points
are passed by way of cascade header pipework to either cold traps or
to compression stations where the UF6 gas is liquefied
prior to onward transfer into suitable containers for transportation
or storage. Because a gaseous diffusion enrichment plant consists of
a large number of gaseous diffusion assemblies arranged in cascades,
there are many kilometers of cascade header pipework, incorporating
thousands of welds with substantial amounts of repetition of layout.
The equipment, components and piping systems are fabricated to very
high vacuum and cleanliness standards.
5.4.1. Feed Systems/Product and Tails Withdrawal Systems
Specially designed or prepared process systems, capable of
operating at pressures of 300 kPa (45 psi) or less, including:
(a) Feed autoclaves (or systems), used for passing
UF6 to the gaseous diffusion cascades;
(b) Desublimers (or cold traps) used to remove UF6
from diffusion cascades;
(c) Liquefaction stations where UF6 gas from the
cascade is compressed and cooled to form liquid UF6;
(d) ``Product'' or ``tails'' stations used for transferring
UF6 into containers.
5.4.2. Header Piping Systems
Specially designed or prepared piping systems and header systems
for handling UF6 within the gaseous diffusion cascades.
This piping network is normally of the ``double'' header system with
each cell connected to each of the headers.
5.4.3. Vacuum Systems
(a) Specially designed or prepared large vacuum manifolds,
vacuum headers and vacuum pumps having a suction capacity of 5 m\3\/
min (175 ft\3\/min) or more.
(b) Vacuum pumps specially designed for service in
UF6-bearing atmospheres made of, or lined with, aluminum,
nickel, or alloys bearing more than 60% nickel. These pumps may be
either rotary or positive, may have displacement and fluorocarbon
seals, and may have special working fluids present.
5.4.4. Special Shut-Off and Control Valves
Specially designed or prepared manual or automated shut-off and
control bellows valves made of UF6-resistant materials
with a diameter of 40 to 1,500 mm (1.5 to 59 in) for installation in
main and auxiliary systems of gaseous diffusion enrichment plants.
5.4.5. UF6 Mass Spectrometers/Ion Sources
Specially designed or prepared magnetic or quadrupole mass
spectrometers capable of taking ``on-line'' samples of feed, product
or tails, from UF6 gas streams and having all of the
following characteristics:
(a) Unit resolution for atomic mass unit greater than 320;
(b) Ion sources constructed of or lined with nichrome or monel
or nickel plated;
(c) Electron bombardment ionization sources;
(d) Collector system suitable for isotopic analysis.
Explanatory Note: The items listed in this Section 5.4 either
come into direct contact with the UF6 process gas or
directly control the flow within the cascade. All surfaces which
come into contact with the process gas
[[Page 43587]]
are wholly made of, or lined with, UF6-resistant
materials. For the purposes of the Sections in this Supplement
relating to gaseous diffusion items, the materials resistant to
corrosion by UF6 include stainless steel, aluminum,
aluminum alloys, aluminum oxide, nickel or alloys containing 60% or
more nickel and UF6-resistant fully fluorinated
hydrocarbon polymers.
5.5. Specially Designed or Prepared Systems, Equipment and Components
for Use in Aerodynamic Enrichment Plants
Introductory Note: In aerodynamic enrichment processes, a
mixture of gaseous UF6 and light gas (hydrogen or helium)
is compressed and then passed through separating elements wherein
isotopic separation is accomplished by the generation of high
centrifugal forces over a curved-wall geometry. Two processes of
this type have been successfully developed: the separation nozzle
process and the vortex tube process. For both processes the main
components of a separation stage include cylindrical vessels housing
the special separation elements (nozzles or vortex tubes), gas
compressors and heat exchangers to remove the heat of compression.
An aerodynamic plant requires a number of these stages, so that
quantities can provide an important indication of end use. Since
aerodynamic processes use UF6, all equipment, pipeline
and instrumentation surfaces (that come in contact with the gas)
must be made of materials that remain stable in contact with
UF6.
Explanatory Note: The items listed in Section 5.5 of this
Supplement either come into direct contact with the UF6
process gas or directly control the flow within the cascade. All
surfaces which come into contact with the process gas are wholly
made of or protected by UF6-resistant materials. For the
purposes of the provisions of Section 5.5 of this Supplement that
relate to aerodynamic enrichment items, the materials resistant to
corrosion by UF6 include copper, stainless steel,
aluminum, aluminum alloys, nickel or alloys containing 60% or more
nickel and UF6-resistant fully fluorinated hydrocarbon
polymers.
5.5.1. Separation Nozzles
Specially designed or prepared separation nozzles and assemblies
thereof. The separation nozzles consist of slit-shaped, curved
channels having a radius of curvature less than 1 mm (typically 0.1
to 0.05 mm), resistant to corrosion by UF6 and having a
knife-edge within the nozzle that separates the gas flowing through
the nozzle into two fractions.
5.5.2. Vortex Tubes
Specially designed or prepared vortex tubes and assemblies
thereof. The vortex tubes are cylindrical or tapered, made of or
protected by materials resistant to corrosion by UF6,
having a diameter of between 0.5 cm and 4 cm, a length to diameter
ratio of 20:1 or less and with one or more tangential inlets. The
tubes may be equipped with nozzle-type appendages at either or both
ends.
Explanatory Note: The feed gas enters the vortex tube
tangentially at one end or through swirl vanes or at numerous
tangential positions along the periphery of the tube.
5.5.3. Compressors and Gas Blowers
Specially designed or prepared axial, centrifugal or positive
displacement compressors or gas blowers made of or protected by
materials resistant to corrosion by UF6 and with a
suction volume capacity of 2 m\3\/min or more of UF6/
carrier gas (hydrogen or helium) mixture.
Explanatory Note: These compressors and gas blowers typically
have a pressure ratio between 1.2:1 and 6:1.
5.5.4. Rotary Shaft Seals
Specially designed or prepared rotary shaft seals, with seal
feed and seal exhaust connections, for sealing the shaft connecting
the compressor rotor or the gas blower rotor with the driver motor
so as to ensure a reliable seal against out-leakage of process gas
or in-leakage of air or seal gas into the inner chamber of the
compressor or gas blower which is filled with a UF6/
carrier gas mixture.
5.5.5. Heat Exchangers for Gas Cooling
Specially designed or prepared heat exchangers made of or
protected by materials resistant to corrosion by UF6.
5.5.6. Separation Element Housings
Specially designed or prepared separation element housings, made
of or protected by materials resistant to corrosion by
UF6, for containing vortex tubes or separation nozzles.
Explanatory Note: These housings may be cylindrical vessels
greater than 300 mm in diameter and greater than 900 mm in length,
or may be rectangular vessels of comparable dimensions, and may be
designed for horizontal or vertical installation.
5.5.7. Feed Systems/Product and Tails Withdrawal Systems
Specially designed or prepared process systems or equipment for
enrichment plants made of or protected by materials resistant to
corrosion by UF6, including:
(a) Feed autoclaves, ovens, or systems used for passing
UF6 to the enrichment process;
(b) Desublimers (or cold traps) used to remove UF6
from the enrichment process for subsequent transfer upon heating;
(c) Solidification or liquefaction stations used to remove
UF6 from the enrichment process by compressing and
converting UF6 to a liquid or solid form;
(d) ``Product'' or ``tails'' stations used for transferring
UF6 into containers.
5.5.8. Header Piping Systems
Specially designed or prepared header piping systems, made of or
protected by materials resistant to corrosion by UF6, for
handling UF6 within the aerodynamic cascades. This piping
network is normally of the ``double'' header design with each stage
or group of stages connected to each of the headers.
5.5.9. Vacuum Systems and Pumps
(a) Specially designed or prepared vacuum systems having a
suction capacity of 5 m3/min or more, consisting of
vacuum manifolds, vacuum headers and vacuum pumps, and designed for
service in UF6-bearing atmospheres;
(b) Vacuum pumps specially designed or prepared for service in
UF6-bearing atmospheres and made of or protected by
materials resistant to corrosion by UF6. These pumps may
use fluorocarbon seals and special working fluids.
5.5.10. Special Shut-off and Control Valves
Specially designed or prepared manual or automated shut-off and
control bellows valves made of or protected by materials resistant
to corrosion by UF6 with a diameter of 40 to 1500 mm for
installation in main and auxiliary systems of aerodynamic enrichment
plants.
5.5.11. UF6 Mass Spectrometers/Ion Sources
Specially designed or prepared magnetic or quadrupole mass
spectrometers capable of taking ``on-line'' samples of feed,
``product'' or ``tails,'' from UF6 gas streams and having
all of the following characteristics:
(a) Unit resolution for mass greater than 320;
(b) Ion sources constructed of or lined with nichrome or monel
or nickel plated;
(c) Electron bombardment ionization sources;
(d) Collector system suitable for isotopic analysis.
5.5.12. UF6/Carrier Gas Separation Systems
Specially designed or prepared process systems for separating
UF6 from carrier gas (hydrogen or helium).
Explanatory Note: These systems are designed to reduce the
UF6 content in the carrier gas to 1 ppm or less and may
incorporate equipment such as:
(a) Cryogenic heat exchangers and cryoseparators capable of
temperatures of -120 [deg]C or less, or
(b) Cryogenic refrigeration units capable of temperatures of -
120 [deg]C or less, or
(c) Separation nozzle or vortex tube units for the separation of
UF6 from carrier gas, or
(d) UF6 cold traps capable of temperatures of -20
[deg]C or less.
5.6. Specially Designed or Prepared Systems, Equipment and Components
for Use in Chemical Exchange or Ion Exchange Enrichment Plants
Introductory Note: The slight difference in mass between the
isotopes of uranium causes small changes in chemical reaction
equilibria that can be used as a basis for separation of the
isotopes. Two processes have been successfully developed: Liquid-
liquid chemical exchange and solid-liquid ion exchange. In the
liquid-liquid chemical exchange process, immiscible liquid phases
(aqueous and organic) are countercurrently contacted to give the
cascading effect of thousands of separation stages. The aqueous
phase consists of uranium chloride in hydrochloric acid solution;
the organic phase consists of an extractant containing uranium
chloride in an organic solvent. The contactors employed in the
separation cascade can be liquid-liquid exchange columns (such as
pulsed columns with sieve plates) or liquid centrifugal contactors.
Chemical conversions (oxidation and
[[Page 43588]]
reduction) are required at both ends of the separation cascade in
order to provide for the reflux requirements at each end. A major
design concern is to avoid contamination of the process streams with
certain metal ions. Plastic, plastic-lined (including use of
fluorocarbon polymers) and/or glass-lined columns and piping are
therefore used. In the solid-liquid ion-exchange process, enrichment
is accomplished by uranium adsorption/desorption on a special, very
fast-acting, ion-exchange resin or adsorbent. A solution of uranium
in hydrochloric acid and other chemical agents is passed through
cylindrical enrichment columns containing packed beds of the
adsorbent. For a continuous process, a reflux system is necessary to
release the uranium from the adsorbent back into the liquid flow so
that ``product'' and ``tails'' can be collected. This is
accomplished with the use of suitable reduction/oxidation chemical
agents that are fully regenerated in separate external circuits and
that may be partially regenerated within the isotopic separation
columns themselves. The presence of hot concentrated hydrochloric
acid solutions in the process requires that the equipment be made of
or protected by special corrosion-resistant materials.
5.6.1. Liquid-Liquid Exchange Columns (Chemical Exchange)
Countercurrent liquid-liquid exchange columns having mechanical
power input (i.e., pulsed columns with sieve plates, reciprocating
plate columns, and columns with internal turbine mixers), specially
designed or prepared for uranium enrichment using the chemical
exchange process. For corrosion resistance to concentrated
hydrochloric acid solutions, these columns and their internals are
made of or protected by suitable plastic materials (such as
fluorocarbon polymers) or glass. The stage residence time of the
columns is designed to be short (30 seconds or less).
5.6.2. Liquid-Liquid Centrifugal Contactors (Chemical Exchange)
Liquid-liquid centrifugal contactors specially designed or
prepared for uranium enrichment using the chemical exchange process.
Such contactors use rotation to achieve dispersion of the organic
and aqueous streams and then centrifugal force to separate the
phases. For corrosion resistance to concentrated hydrochloric acid
solutions, the contactors are made of or are lined with suitable
plastic materials (such as fluorocarbon polymers) or are lined with
glass. The stage residence time of the centrifugal contactors is
designed to be short (30 seconds or less).
5.6.3. Uranium Reduction Systems and Equipment (Chemical Exchange)
(a) Specially designed or prepared electrochemical reduction
cells to reduce uranium from one valence state to another for
uranium enrichment using the chemical exchange process. The cell
materials in contact with process solutions must be corrosion
resistant to concentrated hydrochloric acid solutions.
Explanatory Note: The cell cathodic compartment must be designed
to prevent re-oxidation of uranium to its higher valence state. To
keep the uranium in the cathodic compartment, the cell may have an
impervious diaphragm membrane constructed of special cation exchange
material. The cathode consists of a suitable solid conductor such as
graphite.
(b) Specially designed or prepared systems at the product end of
the cascade for taking the U4+ out of the organic stream,
adjusting the acid concentration and feeding to the electrochemical
reduction cells.
Explanatory Note: These systems consist of solvent extraction
equipment for stripping the U4+ from the organic stream
into an aqueous solution, evaporation and/or other equipment to
accomplish solution pH adjustment and control, and pumps or other
transfer devices for feeding to the electrochemical reduction cells.
A major design concern is to avoid contamination of the aqueous
stream with certain metal ions. Consequently, for those parts in
contact with the process stream, the system is constructed of
equipment made of or protected by suitable materials (such as glass,
fluorocarbon polymers, polyphenyl sulfate, polyether sulfone, and
resin-impregnated graphite).
5.6.4. Feed Preparation Systems (Chemical Exchange)
Specially designed or prepared systems for producing high-purity
uranium chloride feed solutions for chemical exchange uranium
isotope separation plants.
Explanatory Note: These systems consist of dissolution, solvent
extraction and/or ion exchange equipment for purification and
electrolytic cells for reducing the uranium U6+ or
U4+ to U3+. These systems produce uranium
chloride solutions having only a few parts per million of metallic
impurities such as chromium, iron, vanadium, molybdenum and other
bivalent or higher multi-valent cations. Materials of construction
for portions of the system processing high-purity U3+
include glass, fluorocarbon polymers, polyphenyl sulfate or
polyether sulfone plastic-lined and resin-impregnated graphite.
5.6.5. Uranium Oxidation Systems (Chemical Exchange)
Specially designed or prepared systems for oxidation of
U3+ to U4+ for return to the uranium isotope
separation cascade in the chemical exchange enrichment process.
Explanatory Note: These systems may incorporate equipment such
as:
(a) Equipment for contacting chlorine and oxygen with the
aqueous effluent from the isotope separation equipment and
extracting the resultant U4+ into the stripped organic
stream returning from the product end of the cascade;
(b) Equipment that separates water from hydrochloric acid so
that the water and the concentrated hydrochloric acid may be
reintroduced to the process at the proper locations.
5.6.6. Fast-Reacting Ion Exchange Resins/Adsorbents (Ion Exchange)
Fast-reacting ion-exchange resins or adsorbents specially
designed or prepared for uranium enrichment using the ion exchange
process, including porous macroreticular resins, and/or pellicular
structures in which the active chemical exchange groups are limited
to a coating on the surface of an inactive porous support structure,
and other composite structures in any suitable form including
particles or fibers. These ion exchange resins/adsorbents have
diameters of 0.2 mm or less and must be chemically resistant to
concentrated hydrochloric acid solutions as well as physically
strong enough so as not to degrade in the exchange columns. The
resins/adsorbents are specially designed to achieve very fast
uranium isotope exchange kinetics (exchange rate half-time of less
than 10 seconds) and are capable of operating at a temperature in
the range of 100 [deg]C to 200 [deg]C.
5.6.7. Ion Exchange Columns (Ion Exchange)
Cylindrical columns greater than 1000 mm in diameter for
containing and supporting packed beds of ion exchange resin/
adsorbent, specially designed or prepared for uranium enrichment
using the ion exchange process. These columns are made of or
protected by materials (such as titanium or fluorocarbon plastics)
resistant to corrosion by concentrated hydrochloric acid solutions
and are capable of operating at a temperature in the range of 100
[deg]C to 200 [deg]C and pressures above 0.7 MPa (102 psia).
5.6.8. Ion Exchange Reflux Systems (Ion Exchange)
(a) Specially designed or prepared chemical or electrochemical
reduction systems for regeneration of the chemical reducing agent(s)
used in ion exchange uranium enrichment cascades.
(b) Specially designed or prepared chemical or electrochemical
oxidation systems for regeneration of the chemical oxidizing
agent(s) used in ion exchange uranium enrichment cascades.
Explanatory Note: The ion exchange enrichment process may use,
for example, trivalent titanium (Ti3+) as a reducing
cation in which case the reduction system would regenerate
Ti3+ by reducing Ti4+. The process may use,
for example, trivalent iron (Fe3+) as an oxidant in which
case the oxidation system would regenerate Fe3+ by
oxidizing Fe2+.
5.7. Specially Designed or Prepared Systems, Equipment and Components
for Use in Laser-Based Enrichment Plants
Introductory Note: Present systems for enrichment processes
using lasers fall into two categories: Those in which the process
medium is atomic uranium vapor and those in which the process medium
is the vapor of a uranium compound. Common nomenclature for such
processes include: First category--atomic vapor laser isotope
separation (AVLIS or SILVA); second category--molecular laser
isotope separation (MLIS or MOLIS) and chemical reaction by isotope
selective laser activation (CRISLA). The systems, equipment and
components for laser enrichment plants embrace:
(a) Devices to feed uranium-metal vapor (for selective photo-
ionization) or devices to feed the vapor of a uranium compound (for
photo-dissociation or chemical activation);
(b) Devices to collect enriched and depleted uranium metal as
``product'' and
[[Page 43589]]
``tails'' in the first category, and devices to collect dissociated
or reacted compounds as ``product'' and unaffected material as
``tails'' in the second category;
(c) Process laser systems to selectively excite the uranium-235
species; and
(d) Feed preparation and product conversion equipment. The
complexity of the spectroscopy of uranium atoms and compounds may
require incorporation of any of a number of available laser
technologies.
Explanatory Note: Many of the items listed in Section 5.7 of
this Supplement come into direct contact with uranium metal vapor or
liquid or with process gas consisting of UF6 or a mixture
of UF6 and other gases. All surfaces that come into
contact with the uranium or UF6 are wholly made of or
protected by corrosion-resistant materials. For the purposes of the
provisions in Section 5.7 of this Supplement that relate to laser-
based enrichment items, the materials resistant to corrosion by the
vapor or liquid of uranium metal or uranium alloys include yttria-
coated graphite and tantalum; and the materials resistant to
corrosion by UF6 include copper, stainless steel,
aluminum, aluminum alloys, nickel or alloys containing 60% or more
nickel and UF6-resistant fully fluorinated hydrocarbon
polymers.
5.7.1. Uranium Vaporization Systems (AVLIS)
Specially designed or prepared uranium vaporization systems
which contain high-power strip or scanning electron beam guns with a
delivered power on the target of more than 2.5 kW/cm.
5.7.2. Liquid Uranium Metal Handling Systems (AVLIS)
Specially designed or prepared liquid metal handling systems for
molten uranium or uranium alloys, consisting of crucibles and
cooling equipment for the crucibles.
Explanatory Note: The crucibles and other parts of this system
that come into contact with molten uranium or uranium alloys are
made of or protected by materials of suitable corrosion and heat
resistance. Suitable materials include tantalum, yttria-coated
graphite, graphite coated with other rare earth oxides or mixtures
thereof.
5.7.3. Uranium Metal ``Product'' and ``Tails'' Collector Assemblies
(AVLIS)
Specially designed or prepared ``product'' and ``tails''
collector assemblies for uranium metal in liquid or solid form.
Explanatory Note: Components for these assemblies are made of or
protected by materials resistant to the heat and corrosion of
uranium metal vapor or liquid (such as yttria-coated graphite or
tantalum) and may include pipes, valves, fittings, ``gutters,''
feed-throughs, heat exchangers and collector plates for magnetic,
electrostatic or other separation methods.
5.7.4. Separator Module Housings (AVLIS)
Specially designed or prepared cylindrical or rectangular
vessels for containing the uranium metal vapor source, the electron
beam gun, and the ``product'' and ``tails'' collectors.
Explanatory Note: These housings have multiplicity of ports for
electrical and water feed-throughs, laser beam windows, vacuum pump
connections and instrumentation diagnostics and monitoring. They
have provisions for opening and closure to allow refurbishment of
internal components.
5.7.5. Supersonic Expansion Nozzles (MLIS)
Specially designed or prepared supersonic expansion nozzles for
cooling mixtures of UF6 and carrier gas to 150 K or less
and which are corrosion resistant to UF6.
5.7.6. Uranium Pentafluoride Product Collectors (MLIS)
Specially designed or prepared uranium pentafluoride
(UF5) solid product collectors consisting of filter,
impact, or cyclone-type collectors, or combinations thereof, and
which are corrosion resistant to the UF5/UF6
environment.
5.7.7. UF6/Carrier Gas Compressors (MLIS)
Specially designed or prepared compressors for UF6/
carrier gas mixtures, designed for long term operation in a
UF6 environment. The components of these compressors that
come into contact with process gas are made of or protected by
materials resistant to corrosion by UF6.
5.7.8. Rotary Shaft Seals (MLIS)
Specially designed or prepared rotary shaft seals, with seal
feed and seal exhaust connections, for sealing the shaft connecting
the compressor rotor with the driver motor so as to ensure a
reliable seal against out-leakage of process gas or in-leakage of
air or seal gas into the inner chamber of the compressor which is
filled with a UF6/carrier gas mixture.
5.7.9. Fluorination Systems (MLIS)
Specially designed or prepared systems for fluorinating
UF5 (solid) to UF6 (gas).
Explanatory Note: These systems are designed to fluorinate the
collected UF5 powder to UF6 for subsequent
collection in product containers or for transfer as feed to MLIS
units for additional enrichment. In one approach, the fluorination
reaction may be accomplished within the isotope separation system to
react and recover directly off the ``product'' collectors. In
another approach, the UF5 powder may be removed/
transferred from the ``product'' collectors into a suitable reaction
vessel (e.g., fluidized-bed reactor, screw reactor or flame tower)
for fluorination. In both approaches, equipment for storage and
transfer of fluorine (or other suitable fluorinating agents) and for
collection and transfer of UF6 are used.
5.7.10. UF6 Mass Spectrometers/Ion Sources (MLIS)
Specially designed or prepared magnetic or quadrupole mass
spectrometers capable of taking ``on-line'' samples of feed,
``product,'' or ``tails'' from UF6 gas streams and having
all of the following characteristics:
(a) Unit resolution for mass greater than 320;
(b) Ion sources constructed of or lined with nichrome or monel
or nickel plated;
(c) Electron bombardment ionization sources; and
(d) Collector system suitable for isotopic analysis.
5.7.11. Feed Systems/Product and Tails Withdrawal Systems (MLIS)
Specially designed or prepared process systems or equipment for
enrichment plants made of or protected by materials resistant to
corrosion by UF6, including:
(a) Feed autoclaves, ovens, or systems used for passing
UF6 to the enrichment process;
(b) Desublimers (or cold traps) used to remove UF6
from the enrichment process for subsequent transfer upon heating;
(c) Solidification or liquefaction stations used to remove
UF6 from the enrichment process by compressing and
converting UF6 to a liquid or solid form;
(d) ``Product'' or ``tails'' stations used for transferring
UF6 into containers.
5.7.12. UF6/Carrier Gas Separation Systems (MLIS)
Specially designed or prepared process systems for separating
UF6 from carrier gas. The carrier gas may be nitrogen,
argon, or other gas.
Explanatory Note: These systems may incorporate equipment such
as:
(a) Cryogenic heat exchangers or cryoseparators capable of
temperatures of -120 [deg]C or less, or
(b) Cryogenic refrigeration units capable of temperatures of -
120 [deg]C or less, or
(c) UF6 cold traps capable of temperatures of -20
[deg]C or less.
5.7.13. Laser Systems (AVLIS, MLIS and CRISLA)
Lasers or laser systems specially designed or prepared for the
separation of uranium isotopes.
Explanatory Note: The laser system for the AVLIS process usually
consists of two lasers: a copper vapor laser and a dye laser. The
laser system for MLIS usually consists of a CO2 or
excimer laser and a multi-pass optical cell with revolving mirrors
at both ends. Lasers or laser systems for both processes require a
spectrum frequency stabilizer for operation over extended periods of
time.
5.8. Specially Designed or Prepared Systems, Equipment and Components
for Use in Plasma Separation Enrichment Plants
Introductory Note: In the plasma separation process, a plasma of
uranium ions passes through an electric field tuned to the U-235 ion
resonance frequency so that they preferentially absorb energy and
increase the diameter of their corkscrew-like orbits. Ions with a
large-diameter path are trapped to produce a product enriched in U-
235. The plasma, which is made by ionizing uranium vapor, is
contained in a vacuum chamber with a high-strength magnetic field
produced by a superconducting magnet. The main technological systems
of the process include the uranium plasma generation system, the
separator module with superconducting magnet and metal removal
systems for the collection of ``product'' and ``tails.''
5.8.1. Microwave Power Sources and Antennae
Specially designed or prepared microwave power sources and
antennae for producing or accelerating ions and having the following
characteristics: greater than 30 GHz
[[Page 43590]]
frequency and greater than 50 kW mean power output for ion
production.
5.8.2. Ion Excitation Coils
Specially designed or prepared radio frequency ion excitation
coils for frequencies of more than 100 kHz and capable of handling
more than 40 kW mean power.
5.8.3. Uranium Plasma Generation Systems
Specially designed or prepared systems for the generation of
uranium plasma, which may contain high-power strip or scanning
electron beam guns with a delivered power on the target of more than
2.5 kW/cm.
5.8.4. Liquid Uranium Metal Handling Systems
Specially designed or prepared liquid metal handling systems for
molten uranium or uranium alloys, consisting of crucibles and
cooling equipment for the crucibles, power supply system, the ion
source high-voltage power supply system, the vacuum system, and
extensive chemical handling systems for recovery of product and
cleaning/recycling of components.
5.9.1. Electromagnetic Isotope Separators
Electromagnetic isotope separators specially designed or
prepared for the separation of uranium isotopes, and equipment and
components therefor, including:
(a) Ion sources: Specially designed or prepared single or
multiple uranium ion sources consisting of a vapor source, ionizer,
and beam accelerator, constructed of suitable materials such as
graphite, stainless steel, or copper, and capable of providing a
total ion beam current of 50 mA or greater;
(b) Ion collectors: Collector plates consisting of two or more
slits and pockets specially designed or prepared for collection of
enriched and depleted uranium ion beams and constructed of suitable
materials such as graphite or stainless steel;
(c) Vacuum housings: Specially designed or prepared vacuum
housings for uranium electromagnetic separators, constructed of
suitable non-magnetic materials such as stainless steel and designed
for operation at pressures of 0.1 Pa or lower;
Explanatory Note: The housings are specially designed to contain
the ion sources, collector plates and water-cooled liners and have
provision for diffusion pump connections and opening and closure for
removal and reinstallation of these components.
(d) Magnet pole pieces: Specially designed or prepared magnet
pole pieces having a diameter greater than 2 m used to maintain a
constant magnetic field within an electromagnetic isotope separator
and to transfer the magnetic field between adjoining separators.
5.9.2. High Voltage Power Supplies
Specially designed or prepared high-voltage power supplies for
ion sources, having all of the following characteristics: capable of
continuous operation, output voltage of 20,000 V or greater, output
current of 1 A or greater, and voltage regulation of better than
0.01% over a time period of 8 hours.
5.9.3. Magnet Power Supplies
Specially designed or prepared high-power, direct current magnet
power supplies having all of the following characteristics: capable
of continuously producing a current output of 500 A or greater at a
voltage of 100 V or greater and with a current or voltage regulation
better than 0.01% over a period of 8 hours.
6. Plants for the Production of Heavy Water, Deuterium and Deuterium
Compounds and Equipment Specially Designed or Prepared Therefor
Introductory Note: Heavy water can be produced by a variety of
processes. However, the two processes that have proven to be
commercially viable are the water-hydrogen sulphide exchange process
(GS process) and the ammonia-hydrogen exchange process. The GS
process is based upon the exchange of hydrogen and deuterium between
water and hydrogen sulphide within a series of towers which are
operated with the top section cold and the bottom section hot. Water
flows down the towers while the hydrogen sulphide gas circulates
from the bottom to the top of the towers. A series of perforated
trays are used to promote mixing between the gas and the water.
Deuterium migrates to the water at low temperatures and to the
hydrogen sulphide at high temperatures. Gas or water, enriched in
deuterium, is removed from the first stage towers at the junction of
the hot and cold sections and the process is repeated in subsequent
stage towers. The product of the last stage, water enriched up to
30% in deuterium, is sent to a distillation unit to produce reactor
grade heavy water, i.e., 99.75% deuterium oxide. The ammonia-
hydrogen exchange process can extract deuterium from synthesis gas
through contact with liquid ammonia in the presence of a catalyst.
The synthesis gas is fed into exchange towers and to an ammonia
converter. Inside the towers the gas flows from the bottom to the
top while the liquid ammonia flows from the top to the bottom. The
deuterium is stripped from the hydrogen in the synthesis gas and
concentrated in the ammonia. The ammonia then flows into an ammonia
cracker at the bottom of the tower while the gas flows into an
ammonia converter at the top. Further enrichment takes place in
subsequent stages and reactor grade heavy water is produced through
final distillation. The synthesis gas feed can be provided by an
ammonia plant that, in turn, can be constructed in association with
a heavy water ammonia-hydrogen exchange plant. The ammonia-hydrogen
exchange process can also use ordinary water as a feed source of
deuterium. Many of the key equipment items for heavy water
production plants using GS or the ammonia-hydrogen exchange
processes are common to several segments of the chemical and
petroleum industries. This is particularly so for small plants using
the GS process. However, few of the items are available ``off-the-
shelf.'' The GS and ammonia-hydrogen processes require the handling
of large quantities of flammable, corrosive and toxic fluids at
elevated pressures. Accordingly, in establishing the design and
operating standards for plants and equipment using these processes,
careful attention to the materials selection and specifications is
required to ensure long service life with high safety and
reliability factors. The choice of scale is primarily a function of
economics and need. Thus, most of the equipment items would be
prepared according to the requirements of the customer. Finally, it
should be noted that, in both the GS and the ammonia-hydrogen
exchange processes, items of equipment which individually are not
specially designed or prepared for heavy water production can be
assembled into systems which are specially designed or prepared for
producing heavy water. The catalyst production system used in the
ammonia-hydrogen exchange process and water distillation systems
used for the final concentration of heavy water to reactor-grade in
either process are examples of such systems. The items of equipment
which are specially designed or prepared for the production of heavy
water utilizing either the water-hydrogen sulphide exchange process
or the ammonia-hydrogen exchange process include the following:
6.1. Water-Hydrogen Sulphide Exchange Towers
Exchange towers fabricated from fine carbon steel (such as ASTM
A516) with diameters of 6 m (20 ft) to 9 m (30 ft), capable of
operating at pressures greater than or equal to 2 MPa (300 psi) and
with a corrosion allowance of 6 mm or greater, specially designed or
prepared for heavy water production utilizing the water-hydrogen
sulphide exchange process.
6.2. Blowers and Compressors
Single stage, low head (i.e., 0.2 MPa or 30 psi) centrifugal
blowers or compressors for hydrogen-sulphide gas circulation (i.e.,
gas containing more than 70% H2S) specially designed or
prepared for heavy water production utilizing the water-hydrogen
sulphide exchange process. These blowers or compressors have a
throughput capacity greater than or equal to 56 m\3\/second (120,000
SCFM) while operating at pressures greater than or equal to 1.8 MPa
(260 psi) suction and have seals designed for wet H2S
service.
6.3. Ammonia-Hydrogen Exchange Towers
Ammonia-hydrogen exchange towers greater than or equal to 35 m
(114.3 ft) in height with diameters of 1.5 m (4.9 ft) to 2.5 m (8.2
ft) capable of operating at pressures greater than 15 MPa (2225 psi)
specially designed or prepared for heavy water production utilizing
the ammonia-hydrogen exchange process. These towers also have at
least one flanged axial opening of the same diameter as the
cylindrical part through which the tower internals can be inserted
or withdrawn.
6.4. Tower Internals and Stage Pumps
Tower internals and stage pumps specially designed or prepared
for towers for heavy water production utilizing the ammonia-hydrogen
exchange process. Tower internals include specially designed stage
contactors which promote intimate gas/liquid contact. Stage pumps
include specially designed
[[Page 43591]]
submersible pumps for circulation of liquid ammonia within a
contacting stage internal to the stage towers.
6.5. Ammonia Crackers
Ammonia crackers with operating pressures greater than or equal
to 3 MPa (450 psi) specially designed or prepared for heavy water
production utilizing the ammonia-hydrogen exchange process.
6.6. Infrared Absorption Analyzers
Infrared absorption analyzers capable of ``on-line'' hydrogen/
deuterium ratio analysis where deuterium concentrations are equal to
or greater than 90%.
6.7. Catalytic Burners
Catalytic burners for the conversion of enriched deuterium gas
into heavy water specially designed or prepared for heavy water
production utilizing the ammonia-hydrogen exchange process.
7. Plants for the Conversion of Uranium and Equipment Specially
Designed or Prepared Therefor
Introductory Note: Uranium conversion plants and systems may
perform one or more transformations from one uranium chemical
species to another, including: conversion of uranium ore
concentrates to UO3, conversion of UO3 to
UO2, conversion of uranium oxides to UF4 or
UF6, conversion of UF4 to UF6,
conversion of UF6 to UF4, conversion of
UF4 to uranium metal, and conversion of uranium fluorides
to UO2. Many of the key equipment items for uranium
conversion plants are common to several segments of the chemical
process industry. For example, the types of equipment employed in
these processes may include: furnaces, rotary kilns, fluidized bed
reactors, flame tower reactors, liquid centrifuges, distillation
columns and liquid-liquid extraction columns. However, few of the
items are available ``off-the-shelf;'' most would be prepared
according to the requirements and specifications of the customer. In
some instances, special design and construction considerations are
required to address the corrosive properties of some of the
chemicals handled (HF, F2, ClF3, and uranium
fluorides). Finally, it should be noted that, in all of the uranium
conversion processes, items of equipment which individually are not
specially designed or prepared for uranium conversion can be
assembled into systems which are specially designed or prepared for
use in uranium conversion.
7.1. Specially Designed or Prepared Systems for the Conversion of
Uranium Ore concentrates to UO3
Explanatory Note: Conversion of uranium ore concentrates to
UO3 can be performed by first dissolving the ore in
nitric acid and extracting purified uranyl nitrate using a solvent
such as tributyl phosphate. Next, the uranyl nitrate is converted to
UO3 either by concentration and denitration or by
neutralization with gaseous ammonia to produce ammonium diuranate
with subsequent filtering, drying, and calcining.
7.2. Specially Designed or Prepared Systems for the Conversion of
UO3 to UF6
Explanatory Note: Conversion of UO3 to UF6
can be performed directly by fluorination. The process requires a
source of fluorine gas or chlorine trifluoride.
7.3. Specially Designed or Prepared Systems for the Conversion of
UO3 to UO2
Explanatory Note: Conversion of UO3 to UO2
can be performed through reduction of UO3 with cracked
ammonia gas or hydrogen.
7.4. Specially Designed or Prepared Systems for the Conversion of
UO2 to UF4
Explanatory Note: Conversion of UO2 to UF4
can be performed by reacting UO2 with hydrogen fluoride
gas (HF) at 300-500 [deg]C.
7.5. Specially Designed or Prepared Systems for the Conversion of
UF4 to UF6
Explanatory Note: Conversion of UF4 to UF6
is performed by exothermic reaction with fluorine in a tower
reactor. UF6 is condensed from the hot effluent gases by
passing the effluent stream through a cold trap cooled to -10
[deg]C. The process requires a source of fluorine gas.
7.6. Specially Designed or Prepared Systems for the Conversion of
UF4 to U Metal
Explanatory Note: Conversion of UF4 to U metal is
performed by reduction with magnesium (large batches) or calcium
(small batches). The reaction is carried out at temperatures above
the melting point of uranium (1130 [deg]C).
7.7. Specially Designed or Prepared Systems for the Conversion of
UF6 to UO2
Explanatory Note: Conversion of UF6 to UO2
can be performed by one of three processes. In the first,
UF6 is reduced and hydrolyzed to UO2 using
hydrogen and steam. In the second, UF6 is hydrolyzed by
solution in water, ammonia is added to precipitate ammonium
diuranate, and the diuranate is reduced to UO2 with
hydrogen at 820 [deg]C. In the third process, gaseous
UF6, CO2, and NH3 are combined in
water, precipitating ammonium uranyl carbonate. The ammonium uranyl
carbonate is combined with steam and hydrogen at 500-600 [deg]C to
yield UO2. UF6 to UO2 conversion is
often performed as the first stage of a fuel fabrication plant.
7.8 Specially Designed or Prepared Systems for the Conversion of
UF6 to UF4
Explanatory Note: Conversion of UF6 to UF4
is performed by reduction with hydrogen.
PART 784--COMPLEMENTARY ACCESS
Sec.
784.1 Complementary access: General information on the purpose of
complementary access, affected locations, and the role of BIS.
784.2 Obtaining consent or warrants to conduct complementary access.
784.3 Scope and conduct of complementary access.
784.4 Notification, duration and frequency of complementary access.
784.5 Subsidiary arrangements.
784.6 Post complementary access activities.
Authority: Public Law 109-401, 120 Stat. 2726 (December 18,
2006); Executive Order 13458 (February 4, 2008).
Sec. 784.1 Complementary access: General information on the purpose
of complementary access, affected locations, and the role of BIS.
(a) Overview. The Additional Protocol requires that the United
States provide the IAEA with complementary access to locations
specified in the U.S. declaration. The IAEA may request and be given
complementary access to locations in the United States that are not
included in the U.S. declaration as agreed to by the U.S. Government.
The IAEA, upon request, will be granted complementary access to
locations in the United States in accordance with the provisions of
Sec. 784.3 of the APR, which describes the scope and conduct of
complementary access.
(b) Purposes authorized under the APR. The APR authorize the
conduct of complementary access, at locations in the United States, for
the following purposes:
(1) Declared uranium hard-rock mines and ore beneficiation plants.
Complementary access may be conducted, on a selective basis, to verify
the absence of undeclared nuclear material and nuclear related
activities at reportable uranium hard-rock mines and ore beneficiation
plants (see Sec. 783.1(a)(3) of the APR).
(2) Other locations specified in the U.S. declaration and locations
requested by the IAEA that are not included in the U.S. declaration as
agreed to by the U.S. Government. Complementary access may be conducted
at other locations specified in the U.S. declaration (i.e., locations
required to submit reports to BIS pursuant to Sec. 783.1(a)(1),
(a)(2), or (b) of the APR), and locations requested by the IAEA and
agreed to by the U.S. Government, to resolve questions relating to the
correctness and completeness of the information provided in the U.S.
declaration or to resolve inconsistencies relating to that information.
(i) In the event that the IAEA has a question about, or identifies
an apparent inconsistency in, information contained in the U.S.
declaration (e.g., information based on reports submitted to BIS by one
of these locations, pursuant to Sec. 783.1(a)(1), (a)(2), or (b) of
the APR), the IAEA will provide the U.S. Government with an opportunity
to clarify or resolve the question or inconsistency. The IAEA will not
draw any conclusions about the question or
[[Page 43592]]
inconsistency, or request complementary access to a location, until the
U.S. Government has been provided with an opportunity to clarify or
resolve the question or inconsistency, unless the IAEA considers that a
delay in access would prejudice the purpose for which the access is
sought.
(ii) Upon receipt of a request from the IAEA for clarification
concerning information contained in the U.S. declaration, BIS will
provide written notification to the U.S. location. The U.S. location
must provide BIS with all of the requested information to clarify or
resolve the question or inconsistency raised by the IAEA. Unless
informed otherwise by BIS, the U.S. location will have 15 calendar days
from its receipt of written notification to submit the required forms
to BIS (see the Supplemental Information Report requirements in Sec.
783.1(d) of the APR).
(c) Locations subject to complementary access. All locations
specified in the U.S. declaration and other locations requested by the
IAEA and agreed to by the U.S. Government are subject to complementary
access by the IAEA. In cases where access cannot be provided to
locations specified by the IAEA, BIS may seek to provide complementary
access to adjacent locations.
(d) Responsibilities of BIS. As the lead U.S. Government agency and
point of contact for organizing and facilitating complementary access
pursuant to the APR, BIS will:
(1) Serve as the official U.S. Government host to the IAEA
inspection team;
(2) Provide prior written notification to any location that is
scheduled to undergo complementary access;
(3) Take appropriate action to obtain an administrative warrant in
the event that a location does not consent to complementary access;
(4) Upon request of the location, dispatch an advance team, if time
and other circumstances permit, to the location to provide
administrative and logistical support for complementary access and to
assist with preparation for such access;
(5) Accompany the IAEA Team throughout the duration of
complementary access;
(6) Assist the IAEA Team with complementary access activities and
ensure that each activity adheres to the provisions of the Additional
Protocol and to the requirements of the APR and the Act, including the
conditions of any warrant issued thereunder; and
(7) Assist in the negotiation and development of a location-
specific subsidiary arrangement between the U.S. government and the
IAEA, if appropriate (see Sec. 784.5 of the APR).
Note to Sec. 784.1(d): BIS may invite representatives from
other U.S. Government agencies to participate as members of the
Advance and Host Teams for complementary access. The Host Team will
not include employees of the Environmental Protection Agency, the
Mine Safety and Health Administration, or the Occupational Safety
and Health Administration of the Department of Labor.
Sec. 784.2 Obtaining consent or warrants to conduct complementary
access.
(a) Procedures for obtaining consent. (1) For locations specified
in the U.S. declaration and other locations specified by the IAEA, BIS
will seek consent pursuant to IAEA complementary access requests. In
instances where the owner, operator, occupant or agent in charge of a
location does not consent to such complementary access, BIS will seek
administrative warrants as provided by the Act.
(2) For locations specified by the IAEA where access cannot be
provided, BIS may seek consent from an adjacent location pursuant to an
IAEA complementary access request.
(b) Who may give consent. The owner, operator, occupant or agent in
charge of a location may consent to complementary access. The
individual providing consent on behalf of the location represents that
he or she has the authority to make this decision.
(c) Scope of consent. (1) When the owner, operator, occupant, or
agent in charge of a location consents to a complementary access
request, he or she is agreeing to provide the IAEA Team with the same
degree of access as that authorized under Sec. 784.3 of the APR. This
includes providing access for the IAEA Team and Host Team to any area
of the location, any item on the location, and any records that are
necessary to comply with the APR and allow the IAEA Team to accomplish
the purpose of complementary access, as authorized under Sec.
784.1(b)(1) or (b)(2) of the APR, except for the following:
(i) Information subject to the licensing jurisdiction of the
Directorate of Defense Trade Controls (DDTC), U.S. Department of State,
under the International Traffic in Arms Regulations (ITAR) (22 CFR
parts 120 through 130)--see Sec. 784.3(b)(3) of the APR, which states
that such access cannot be provided without prior U.S. Government
authorization; and
(ii) Activities with direct national security significance to the
United States, or locations or information associated with such
activities.
(2) The Host Team Leader is responsible for determining whether or
not the IAEA's request to obtain access to any area, building, or item,
or to record or conduct the types of activities described in Sec.
784.3 of the APR is consistent with the Additional Protocol and
subsidiary arrangements to the Additional Protocol.
Sec. 784.3 Scope and conduct of complementary access.
(a) General. IAEA complementary access shall be limited to
accomplishing only those purposes that are appropriate to the type of
location, as indicated in Sec. 784.1(b) of the APR and shall be
conducted in the least intrusive manner, consistent with the effective
and timely accomplishment of such purposes. No complementary access may
take place without the presence of a U.S. Government Host Team. No
information of direct national security significance shall be provided
to the IAEA during complementary access.
(b) Scope. This paragraph describes complementary access activities
that are authorized under the APR.
(1) Complementary access activities. Depending on the type of
location accessed, the IAEA Team may:
(i) Perform visual observation of parts or areas of the location;
(ii) Utilize radiation detection and measurement devices;
(iii) Utilize non-destructive measurements and sampling;
(iv) Examine relevant records (i.e., records appropriate for the
purpose of complementary access, as authorized under Sec. 784.1(b) of
the APR), except that the following records may not be inspected unless
the Host Team leader, after receiving input from representatives of the
location and consulting with other members of the Host Team, determines
that such access is both appropriate and necessary to achieve the
relevant purpose described in Sec. 784.1(b)(1) or (b)(2) of the APR:
(A) Financial data (other than production data);
(B) Sales and marketing data (other than shipment data);
(C) Pricing data;
(D) Personnel data;
(E) Patent data;
(F) Data maintained for compliance with environmental or
occupational health and safety regulations; or
(G) Research data (unless the data are reported on Form AP-3 or AP-
4);
(v) Perform location-specific environmental sampling; and
Note to Sec. 784.3(b)(1)(v): BIS will not seek access to a
location for location-specific environmental sampling until the
President reports to the appropriate congressional
[[Page 43593]]
committees his determination to permit such sampling.
(vi) Utilize other objective measures which have been demonstrated
to be technically feasible and the use of which have been agreed to by
the United States (``objective measures,'' as used herein, means any
verification techniques that would be appropriate for achieving the
official purpose of complementary access, both in terms of their
effectiveness and limited intrusiveness).
(2) Wide Area Environmental Sampling. In certain cases, IAEA
inspectors may collect environmental samples (e.g., air, water,
vegetation, soil, smears), at a location specified by the IAEA, for the
purpose of assisting the IAEA to draw conclusions about the absence of
undeclared nuclear material or nuclear activities over a wide area.
Note to Sec. 784.3(b)(2): The IAEA will not seek such access
until the use of wide-area environmental sampling and the procedural
arrangements therefor have been approved by its Board of Governors
and consultations have been held between the IAEA and the United
States. BIS will not seek access to a location for wide-area
sampling until the President reports to the appropriate
congressional committees his determination to permit such sampling.
(3) ITAR-controlled technology. ITAR-controlled technology shall
not be made available to the IAEA Team without prior U.S. Government
authorization. The owner, operator, occupant, or agent in charge of the
location being accessed is responsible for identifying any ITAR-
controlled technology at the location to the Host Team as soon as
practicable following the receipt of notification from BIS of
complementary access (see Sec. 784.4(a) of the APR).
(c) Briefing. Following the arrival of the IAEA Team and Host Team
at a location subject to complementary access, and prior to the
commencement of complementary access, representatives of the
organization will provide the IAEA Team and Host Team with a briefing
on the environmental, health, safety, and security regulations (e.g.,
regulations for protection of controlled environments within the
location and for personal safety) that are applicable to the location
and which must be observed. In addition, the organization's
representatives may include in their briefing an overview of the
location, the activities carried out at the location, and any
administrative and logistical arrangements relevant to complementary
access. The briefing may include the use of maps and other
documentation deemed appropriate by the organization. The time spent
for the briefing may not exceed one hour, and the content should be
limited to that which relates to the purpose of complementary access.
The briefing may also address any of the following:
(1) Areas, buildings, and structures specific to any activities
relevant to complementary access;
(2) Administrative and logistical information;
(3) Updates/revisions to reports required under the APR;
(4) Introduction of key personnel at the location;
(5) Location-specific subsidiary arrangement, if applicable; and
(6) Proposed access plan to address the purpose of complementary
access.
(d) Visual access. The IAEA Team may visually observe areas or
parts of the location, as agreed by the Host Team Leader, after the
Host Team Leader has consulted with the organization's representative
for the location.
(e) Records review. The location must be prepared to provide the
IAEA Team with access to all supporting materials and documentation
used by the owner, operator, occupant, or agent in charge of the
location to prepare reports required under the APR and to otherwise
comply with the APR (see the records inspection and recordkeeping
requirements in Sec. Sec. 786.1 and 786.2 of the APR) and with
appropriate accommodations in which the IAEA Team can review these
supporting materials and documentation. Such access will be provided in
appropriate formats (e.g., paper copies, electronic remote access by
computer, microfilm, or microfiche) through the Host Team to the IAEA
Team during the complementary access period or as otherwise agreed upon
by the IAEA Team and Host Team Leader. If the owner, operator,
occupant, or agent in charge of the location does not have access to
records for activities that took place under previous ownership, the
previous owner must make such records available to the Host Team.
(f) Managed access. As necessary, the Host Team will implement
managed access measures (e.g., the removal of sensitive papers from
office spaces and the shrouding of sensitive displays, stores, and
equipment) to prevent the dissemination of proliferation sensitive
information, to meet safety or physical protection requirements, to
protect proprietary or commercially sensitive information, or to
protect activities of direct national security significance to the
United States, including information associated with such activities.
If the IAEA Team is unable to fully achieve its inspection aims under
the managed access measures in place, the Host Team will make every
reasonable effort to provide alternative means to allow the IAEA Team
to meet these aims, consistent with the purposes of complementary
access (as described in Sec. 784.1(b) of the APR) and the requirements
of this section. If a location-specific subsidiary arrangement applies
(see Sec. 784.5(b) of the APR), the Host Team shall, in consultation
with the owner, operator, occupant, or agent in charge of the location,
implement managed access procedures consistent with the applicable
location-specific subsidiary arrangement.
(g) Hours of complementary access. Consistent with the provisions
of the Additional Protocol, the Host Team will ensure, to the extent
possible, that each complementary access is commenced, conducted, and
concluded during ordinary business hours, but no complementary access
shall be prohibited or otherwise disrupted from commencing, continuing
or concluding during other hours.
(h) Environmental, health, safety, and security regulations and
requirements. In carrying out their activities, the IAEA Team and Host
Team shall observe federal, state, and local environmental, health,
safety, and security regulations and environmental, health, safety, and
security requirements established at the location, including those for
the protection of controlled environments within a location and for
personal safety. To the extent practicable, any such regulations and
requirements that may apply to the conduct of complementary access at
the location should be set forth in the location-specific subsidiary
arrangement (if any).
(i) Host Team to accompany the IAEA Team. The Host Team shall
accompany the IAEA Team, during their complementary access at the
location, in accordance with the provisions set forth in this part of
the APR.
(j) Scope of authorized communications by the IAEA Team. (1) The
United States shall permit and protect free communications between the
IAEA Team and IAEA Headquarters and/or Regional Offices, including
attended and unattended transmission of information generated by IAEA
containment and/or surveillance or measurement devices. The IAEA Team
shall have the right, through consultation with the Host Team, to make
use of internationally established systems of direct communications.
(2) No document, photograph or other recorded medium, or sample
relevant to complementary access may be removed or transmitted from the
location by the IAEA Team without the prior consent of the Host Team.
[[Page 43594]]
(k) IAEA activities, findings, and results related to complementary
access. (1) In accordance with the Additional Protocol, the IAEA shall
inform the United States of:
(i) Any activities that took place in connection with complementary
access to a location in the United States, including any activities
concerning questions or inconsistencies that the IAEA may have brought
to the attention of the United States, within 60 calendar days of the
time that the activities occurred; and
(ii) The findings or results of any activities that took place,
including the findings and results of activities concerning questions
or inconsistencies that the IAEA may have brought to the attention of
the United States, within 30 calendar days of the time that such
findings or results were reached by the IAEA.
(2) BIS will provide the results of complementary access to the
owner, operator, occupant, or agent in charge of the inspected location
to the extent practicable.
Sec. 784.4 Notification, duration and frequency of complementary
access.
(a) Complementary access notification. Complementary access will be
provided only upon the issuance of a written notice by BIS to the
owner, operator, occupant or agent in charge of the premises to be
accessed. If BIS is unable to provide written notification to the
owner, operator, or agent in charge, BIS may post a notice prominently
at the location to be accessed.
(1) Content of notice. (i) Pertinent information furnished by the
IAEA. The notice shall include all appropriate information provided by
the IAEA to the United States Government concerning:
(A) The purpose of complementary access;
(B) The basis for the selection of the location for complementary
access;
(C) The activities that will be carried out during complementary
access;
(D) The time and date that complementary access is expected to
begin and its anticipated duration; and
(E) The names and titles of the IAEA inspectors who will
participate in complementary access.
(ii) Request for location's consent to complementary access. The
complementary access notification from BIS will request that the
location inform BIS whether or not it will consent to complementary
access. If a location does not agree to provide consent to
complementary access within four hours of its receipt of the
complementary access notification, BIS will seek an administrative
warrant as provided in Sec. 784.2(a)(1).
(iii) Availability of advance team from BIS. An advance team from
BIS will be available to assist the location in preparing for
complementary access. If the complementary access is a 24-hour advance
notice, then the availability of an advance team may be limited. The
location requesting advance team assistance will not be required to
reimburse the U.S. Government for any costs associated with these
activities. The location (in cooperation with the advance team, if
available) will make preparations for complementary access, including
the identification of any ITAR-controlled technology and/or national
security information at the location (see Sec. 784.3(b)(3) of the
APR).
(2) Notification procedures. The following table sets forth the
notification procedures for complementary access.
Table to Sec. 784.4(a)(2)
------------------------------------------------------------------------
Activity Agency action Location action
------------------------------------------------------------------------
IAEA notification of BIS will transmit Location must inform
complementary access. complementary BIS, within 4 hours
access notification of its receipt of
via facsimile to complementary
the owner, access
operator, occupant, notification,
or agent in charge whether or not it:
of a location to (1) Grants consent
ascertain whether to complementary
or not the access; and
location: (2) Requests BIS
(1) Grants consent advance team
to complementary support (subject to
access; and. availability) to
(2) Requests BIS prepare for
advance team complementary
support (subject to access. Location
availability) in not required to
preparing for reimburse U.S.
complementary Government for
access. assistance from the
BIS advance team.
If the location does
not inform BIS of
its consent to
complementary
access, within 4
hours of the time
it receives
notification from
BIS, BIS will seek
an administrative
warrant.
Preparation for If a BIS advance The location will
complementary access. team has been engage in
requested and is activities that
available, it will will prepare the
arrive at the location for
location to be complementary
accessed and assist access (e.g.,
the location in identifying any
making logistical ITAR-controlled
and administrative technology or
preparations for national security
complementary information at the
access. location), either
singularly or in
cooperation with a
BIS advance team if
one has been
requested and is
available.
------------------------------------------------------------------------
(3) Timing of notification. In accordance with the Additional
Protocol, the IAEA shall notify the United States Government of a
complementary access request not less than 24 hours prior to the
arrival of the IAEA Team at the location. BIS will provide written
notice to the owner, operator, occupant or agent in charge of the
location as soon as possible after BIS has received notification from
the IAEA.
(b) Duration of complementary access. The duration of complementary
access will depend upon the nature of the complementary access request
and the activities that will be conducted at the location. (See Sec.
784.3(b) of the APR for a description of the types of complementary
access activities authorized under the APR.)
Sec. 784.5 Subsidiary arrangements.
(a) General subsidiary arrangement. The United States Government
may conclude a general subsidiary arrangement with the IAEA that
governs complementary access activities, irrespective of the location
(i.e., an arrangement that is not location-specific).
(b) Location-specific subsidiary arrangement--(1) Purpose. If
requested by the location or deemed necessary by the U.S. Government,
the U.S. Government will negotiate a location-specific subsidiary
arrangement with the IAEA. The purpose of such an arrangement is to
establish procedures for conducting managed access at a specific
declared location. If the location requests, it may participate in
preparations for the
[[Page 43595]]
negotiation of a location-specific subsidiary arrangement with the IAEA
and may observe the negotiations to the maximum extent practicable. The
existence of a location-specific subsidiary arrangement does not in any
way limit the right of the owner, operator, occupant, or agent in
charge of the location to withhold consent to a request for
complementary access.
(2) Format and content. The form and content of a location-specific
subsidiary arrangement will be determined by the IAEA and the U.S.
Government, in consultation with the location, on a case-by-case basis.
Sec. 784.6 Post complementary access activities.
Upon receiving the IAEA's final report on complementary access, BIS
will forward a copy of the report to the location for its review, in
accordance with Sec. 784.3(k)(2) of the APR. Locations may submit
comments concerning the IAEA's final report to BIS, and BIS will
consider them, as appropriate, when preparing its comments to the IAEA
on the final report. BIS also will send locations a post complementary
access letter detailing the issues that require follow-up action (see,
for example, the Amended Report requirements in Sec. 783.2(d) of the
APR).
PART 785--ENFORCEMENT
Sec.
785.1 Scope and definitions.
785.2 Violations of the Act subject to administrative and criminal
enforcement proceedings.
785.3 Initiation of administrative proceedings.
785.4 Request for hearing and answer.
785.5 Representation.
785.6 Filing and service of papers other than the Notice of
Violation and Assessment (NOVA).
785.7 Summary decision.
785.8 Discovery.
785.9 Subpoenas.
785.10 Matters protected against disclosure.
785.11 Prehearing conference.
785.12 Hearings.
785.13 Procedural stipulations.
785.14 Extension of time.
785.15 Post-hearing submissions.
785.16 Decisions.
785.17 Settlement.
785.18 Record for decision.
785.19 Payment of final assessment.
785.20 Reporting a violation.
Authority: Public Law 109-401, 120 Stat. 2726 (December 18,
2006); Executive Order 13458 (February 4, 2008).
Sec. 785.1 Scope and definitions.
(a) Scope. This part 785 describes the sanctions that apply to
violations of the Act and the APR. It also establishes detailed
administrative procedures for certain violations of the Act. Violations
for which the statutory basis is the Act are set forth in Sec. 785.2
of the APR. BIS investigates these violations, prepares charges,
provides legal representation to the U.S. Government, negotiates
settlements, and initiates and resolves proceedings. The administrative
procedures applicable to these violations are described in Sec. Sec.
785.3 through 785.19 of the APR.
(b) Definitions. The following are definitions of terms as used
only in Part 785 of the APR. For definitions of terms applicable to
parts 781 through 799 of the APR, unless otherwise noted in this
paragraph or elsewhere in the APR, see part 781 of the APR.
The Act. The U.S. Additional Protocol Implementation Act of 2006
(Pub. L. 109-401, 120 Stat. 2726 (December 18, 2006)).
Assistant Secretary for Export Enforcement. The Assistant Secretary
for Export Enforcement, Bureau of Industry and Security, United States
Department of Commerce.
Final decision. A decision or order assessing a civil penalty, or
otherwise disposing of or dismissing a case, which is not subject to
further administrative review, but which may be subject to collection
proceedings or judicial review in an appropriate Federal court as
authorized by law.
Office of Chief Counsel. The Office of Chief Counsel for Industry
and Security, United States Department of Commerce.
Recommended decision. A decision of the administrative law judge in
proceedings involving violations of Part 785 that is subject to review
by the Secretary of Commerce, or a designated United States Government
official.
Report. For the purposes of Part 785 of the APR, the term
``report'' means any report required under Parts 783 through 786 of the
APR.
Respondent. Any person named as the subject of a letter of intent
to charge, a Notice of Violation and Assessment (NOVA), or order.
Under Secretary, Bureau of Industry and Security. The Under
Secretary, Bureau of Industry and Security, United States Department of
Commerce.
Sec. 785.2 Violations of the Act subject to administrative and
criminal enforcement proceedings.
(a) Violations--(1) Refusal to permit entry or access. No person
may willfully fail or refuse to permit entry or access, or willfully
disrupt, delay or otherwise impede complementary access, or an entry in
connection with complementary access, authorized by the Act.
(2) Failure to establish or maintain records. No person may
willfully fail or refuse to do any of the following:
(i) Establish or maintain any record required by the Act or the
APR;
(ii) Submit any report, notice, or other information to the United
States Government in accordance with the Act or the APR; or
(iii) Permit access to or copying of any record by the United
States Government that is related to a person's obligations under the
Act or the APR.
(b) Civil penalties--(1) Civil penalty for refusal to permit entry
or access. Any person that is determined to have willfully failed or
refused to permit entry or access, or to have willfully disrupted,
delayed or otherwise impeded an authorized complementary access, as set
forth in paragraph (a)(1) of this section, shall pay a civil penalty in
an amount not to exceed $25,000 for each violation. Each day the
violation continues constitutes a separate violation.
(2) Civil penalty for failure to establish or maintain records. Any
person that is determined to have willfully failed or refused to
establish or maintain any record, submit any report or other
information required by the Act or the APR, or permit access to or
copying of any record related to a person's obligations under the Act
or the APR, as set forth in paragraph (a)(2) of this section, shall pay
a civil penalty in an amount not to exceed $25,000 for each violation.
(c) Criminal penalty. Any person that is determined to have
violated the Act by willfully failing or refusing to permit entry or
access authorized by the Act; by willfully disrupting, delaying or
otherwise impeding complementary access authorized by the Act; or by
willfully failing or refusing to establish or maintain any required
record, submit any required report or other information, or permit
access to or copying of any record related to a person's obligations
under the Act or the APR, as set forth in paragraph (a) of this
section, shall, in addition to or in lieu of any civil penalty that may
be imposed, be fined under Title 18 of the United States Code, be
imprisoned for not more than five years, or both.
Sec. 785.3 Initiation of administrative proceedings.
(a) Issuance of a Notice of Violation and Assessment (NOVA). Prior
to the initiation of an administrative proceeding through issuance of a
NOVA, the Bureau of Industry and Security will issue a letter of intent
to charge. The letter of intent to charge will advise a respondent that
BIS has
[[Page 43596]]
conducted an investigation. The letter will give the respondent a
specified period of time to contact BIS to discuss settlement of the
allegations set forth in the letter of intent to charge. If the
respondent does not contact BIS in the time period specified in the
letter of intent to charge, the Director of the Office of Export
Enforcement, or such other Department of Commerce representative
designated by the Assistant Secretary for Export Enforcement, may
initiate an administrative enforcement proceeding under this Sec.
785.3 by issuing a NOVA.
(b) Content of a NOVA. The NOVA shall constitute a formal complaint
and will set forth the alleged violation(s) and the essential facts
with respect to the alleged violation(s), reference the relevant
statutory, regulatory or other provisions, and state the maximum amount
of the civil penalty that could be assessed. The NOVA also will inform
the respondent of the requirement to request a hearing pursuant to
Sec. 785.4 of the APR.
(c) Service of a NOVA. Service of the NOVA shall be made by
certified mail or courier delivery with signed acknowledgment of
receipt. The date of signed acknowledgment of receipt shall be the
effective date of service of the NOVA. One copy of each paper shall be
provided to each party in the delivery. BIS files the NOVA with the
Administrative Law Judge (ALJ) at the same time that it is sent to the
respondent. The ALJ, in turn, will place the case on its docket and
will notify both the respondent and BIS of the docket information.
Sec. 785.4 Request for hearing and answer.
(a) Deadline for answering the NOVA. If the respondent wishes to
contest the NOVA issued by BIS, the respondent must submit a written
request for a hearing to BIS within 15 business days from the date of
service of the NOVA. If the respondent requests a hearing, the
respondent must answer the NOVA within 30 calendar days from the date
of the request for hearing. The request for a hearing and the
respondent's answer to the NOVA must be filed with the Administrative
Law Judge (ALJ), along with a copy of the NOVA, and served on the
Office of Chief Counsel, and any other address(es) specified in the
NOVA, in accordance with Sec. 785.6 of the APR.
(b) Content of respondent's answer. The respondent's answer must be
responsive to the NOVA and must fully set forth the nature of the
respondent's defense(s). The answer must specifically admit or deny
each separate allegation in the NOVA; if the respondent is without
knowledge, the answer will so state and this will serve as a denial.
Failure to deny or controvert a particular allegation will be deemed to
be an admission of that allegation. The answer must also set forth any
additional or new matter that the respondent contends will support a
defense or claim of mitigation. Any defense or partial defense not
specifically set forth in the answer shall be deemed to be waived, and
evidence supporting that defense or partial defense may be refused,
except for good cause shown.
(c) English required. The request for hearing, the answer to the
NOVA, and all other papers and documentary evidence must be submitted
in English.
(d) Waiver. The failure of the respondent to file a request for a
hearing and an answer within the times prescribed in paragraph (a) of
this section constitutes a waiver of the respondent's right to appear
and contest the allegations set forth in the NOVA. If no hearing is
requested and no answer is provided, a final order will be signed by
the Secretary of Commerce, or by a designated United States Government
official, and will constitute final agency action in the case.
Sec. 785.5 Representation.
An individual respondent may appear, in person, or be represented
by a duly authorized officer or employee. A partner may appear on
behalf of a partnership, or a duly authorized officer or employee of a
corporation may appear on behalf of the corporation. If a respondent is
represented by counsel, counsel shall be a member in good standing of
the bar of any State, Commonwealth or Territory of the United States,
or of the District of Columbia, or be licensed to practice law in the
country in which counsel resides, if not the United States. The U.S.
Government will be represented by the Office of Chief Counsel. A
respondent personally, or through counsel or other representative who
has the power of attorney to represent the respondent, shall file a
notice of appearance with the ALJ, or, in cases where settlement
negotiations occur before any filing with the ALJ, with the Office of
Chief Counsel.
Sec. 785.6 Filing and service of papers other than the Notice of
Violation and Assessment (NOVA).
(a) Filing. All papers to be filed with the ALJ shall be addressed
to ``Additional Protocol Administrative Enforcement Proceedings,'' at
the address set forth in the NOVA, or such other place as the ALJ may
designate. Filing by United States certified mail, by express or
equivalent parcel delivery service, via facsimile, or by hand delivery
is acceptable. Filing from a foreign country shall be by airmail, via
facsimile, or by express or equivalent parcel delivery service. A copy
of each paper filed shall be simultaneously served on all parties.
(b) Service. Service shall be made by United States certified mail,
by express or equivalent parcel delivery service, via facsimile, or by
hand delivery of one copy of each paper to each party in the
proceeding. Service on the government party in all proceedings shall be
addressed to Office of Chief Counsel for Industry and Security, U.S.
Department of Commerce, 14th Street and Constitution Avenue, NW., Room
H-3839, Washington, DC 20230, or sent via facsimile to (202) 482-0085.
Service on a respondent shall be to the address to which the NOVA was
sent, or to such other address as the respondent may provide. When a
party has appeared by counsel or other representative, service on
counsel or other representative shall constitute service on that party.
(c) Date. The date of filing or service is the day when the papers
are deposited in the mail or are delivered in person, by delivery
service, or by facsimile. Refusal by the person to be served, or by the
person's agent or attorney, of service of a document or other paper
will be considered effective service of the document or other paper as
of the date of such refusal.
(d) Certificate of service. A certificate of service signed by the
party making service, stating the date and manner of service, shall
accompany every paper, other than the NOVA, filed and served on the
parties.
(e) Computation of time. In computing any period of time prescribed
or allowed by this part, the day of the act, event, or default from
which the designated period of time begins to run is not to be
included. The last day of the period is to be included in the
computation unless it is a Saturday, a Sunday, or a legal holiday (as
defined in Rule 6(a) of the Federal Rules of Civil Procedure). In such
instance, the period runs until the end of the next day that is neither
a Saturday, a Sunday, nor a legal holiday. Intermediate Saturdays,
Sundays, and legal holidays are excluded from the computation when the
period of time prescribed or allowed is 7 days or less--there is no cap
on the period of time to which this exclusion applies, whenever the
period of time prescribed or allowed by this part is computed in
business days, rather than calendar days.
[[Page 43597]]
Sec. 785.7 Summary decision.
The ALJ may render a summary decision disposing of all or part of a
proceeding on the motion of any party to the proceeding, provided that
there is no genuine issue as to any material fact and the party is
entitled to summary decision as a matter of law.
Sec. 785.8 Discovery.
(a) General. The parties are encouraged to engage in voluntary
discovery regarding any matter, not privileged, which is relevant to
the subject matter of the pending proceeding. The provisions of the
Federal Rules of Civil Procedure relating to discovery apply to the
extent consistent with this part and except as otherwise provided by
the ALJ or by waiver or agreement of the parties. The ALJ may make any
order which justice requires to protect a party or person from
annoyance, embarrassment, oppression, or undue burden or expense. These
orders may include limitations on the scope, method, time and place of
discovery, and provisions for protecting the confidentiality of
classified or otherwise sensitive information, including Confidential
Business Information (CBI) as defined by the Act.
(b) Interrogatories and requests for admission or production of
documents. A party may serve on any party interrogatories, requests for
admission, or requests for production of documents for inspection and
copying, and a party may apply to the ALJ for such enforcement or
protective order as that party deems warranted with respect to such
discovery. The service of a discovery request shall be made at least 30
calendar days before the scheduled date of the hearing unless the ALJ
specifies a shorter time period. Copies of interrogatories, requests
for admission and requests for production of documents and responses
thereto shall be served on all parties and a copy of the certificate of
service shall be filed with the ALJ at least 5 business days before the
scheduled date of the hearing. Matters of fact or law of which
admission is requested shall be deemed admitted unless, within a period
designated in the request (at least 10 business days after service, or
within such additional time as the ALJ may allow), the party to whom
the request is directed serves upon the requesting party a sworn
statement either denying specifically the matters of which admission is
requested or setting forth in detail the reasons why the party to whom
the request is directed cannot either admit or deny such matters.
(c) Depositions. Upon application of a party and for good cause
shown, the ALJ may order the taking of the testimony of any person by
deposition and the production of specified documents or materials by
the person at the deposition. The application shall state the purpose
of the deposition and set forth the facts sought to be established
through the deposition.
(d) Enforcement. The ALJ may order a party to answer designated
questions, to produce specified documents or things or to take any
other action in response to a proper discovery request. If a party does
not comply with such an order, the ALJ may make a determination or
enter any order in the proceeding as the ALJ deems reasonable and
appropriate. The ALJ may strike related charges or defenses in whole or
in part or may take particular facts relating to the discovery request
to which the party failed or refused to respond as being established
for purposes of the proceeding in accordance with the contentions of
the party seeking discovery. In addition, enforcement by any district
court of the United States in which venue is proper may be sought as
appropriate.
Sec. 785.9 Subpoenas.
(a) Issuance. Upon the application of any party, supported by a
satisfactory showing that there is substantial reason to believe that
the evidence would not otherwise be available, the ALJ may issue
subpoenas to any person requiring the attendance and testimony of
witnesses and the production of such books, records or other
documentary or physical evidence for the purpose of the hearing, as the
ALJ deems relevant and material to the proceedings, and reasonable in
scope. Witnesses shall be paid the same fees and mileage that are paid
to witnesses in the courts of the United States. In case of contempt,
challenge or refusal to obey a subpoena served upon any person pursuant
to this paragraph, any district court of the United States, in which
venue is proper, has jurisdiction to issue an order requiring any such
person to comply with a subpoena. Any failure to obey an order of the
court is punishable by the court as a contempt thereof.
(b) Service. Subpoenas issued by the ALJ may be served by any of
the methods set forth in Sec. 785.6(b) of the APR.
(c) Timing. Applications for subpoenas must be submitted at least
10 business days before the scheduled hearing or deposition, unless the
ALJ determines, for good cause shown, that extraordinary circumstances
warrant a shorter time.
Sec. 785.10 Matters protected against disclosure.
(a) Protective measures. The ALJ may limit discovery or
introduction of evidence or issue such protective or other orders as in
the ALJ's judgment may be needed to prevent undue disclosure of
classified or sensitive documents or information. Where the ALJ
determines that documents containing classified or sensitive matter
must be made available to a party in order to avoid prejudice, the ALJ
may direct the other party to prepare an unclassified and nonsensitive
summary or extract of the documents. The ALJ may compare the extract or
summary with the original to ensure that it is supported by the source
document and that it omits only so much as must remain undisclosed. The
summary or extract may be admitted as evidence in the record.
(b) Arrangements for access. If the ALJ determines that the summary
procedure outlined in paragraph (a) of this section is unsatisfactory,
and that classified or otherwise sensitive matter must form part of the
record in order to avoid prejudice to a party, the ALJ may provide the
parties with the opportunity to make arrangements that permit a party
or a representative to have access to such matter without compromising
sensitive information. Such arrangements may include obtaining security
clearances or giving counsel for a party access to sensitive
information and documents subject to assurances against further
disclosure, including a protective order, if necessary.
Sec. 785.11 Prehearing conference.
(a) On the ALJ's own motion, or on request of a party, the ALJ may
direct the parties to participate in a prehearing conference, either in
person or by telephone, to consider:
(1) Simplification of issues;
(2) The necessity or desirability of amendments to pleadings;
(3) Obtaining stipulations of fact and of documents to avoid
unnecessary proof; or
(4) Such other matters as may expedite the disposition of the
proceedings.
(b) The ALJ may order the conference proceedings to be recorded
electronically or taken by a reporter, transcribed and filed with the
ALJ.
(c) If a prehearing conference is impracticable, the ALJ may direct
the parties to correspond with the ALJ to achieve the purposes of such
a conference.
(d) The ALJ will prepare a summary of any actions agreed on or
taken pursuant to this section.
[[Page 43598]]
The summary will include any written stipulations or agreements
made by the parties.
Sec. 785.12 Hearings.
(a) Scheduling. Upon receipt of a valid request for a hearing, the
ALJ shall, by agreement with all the parties or upon notice to all
parties of at least 30 calendar days from the date of receipt of a
request for a hearing, schedule a hearing. All hearings will be held in
Washington, DC, unless the ALJ determines, for good cause shown, that
another location would better serve the interest of justice.
(b) Hearing procedure. Hearings will be conducted in a fair and
impartial manner by the ALJ. All hearings will be closed, unless the
ALJ for good cause shown determines otherwise. The rules of evidence
prevailing in courts of law do not apply, and all evidentiary material
deemed by the ALJ to be relevant and material to the proceeding and not
unduly repetitious will be received and given appropriate weight,
except that any evidence of settlement which would be excluded under
Rule 408 of the Federal Rules of Evidence is not admissible. Witnesses
will testify under oath or affirmation, and shall be subject to cross-
examination.
(c) Testimony and record. (1) A verbatim record of the hearing and
of any other oral proceedings will be taken by reporter or by
electronic recording, and filed with the ALJ. If any party wishes to
obtain a written copy of the transcript, that party shall pay the costs
of transcription. The parties may share the costs if both want a
transcript.
(2) Upon such terms as the ALJ deems just, the ALJ may direct that
the testimony of any person be taken by deposition and may admit an
affidavit or report as evidence, provided that any affidavits or
reports have been filed and served on the parties sufficiently in
advance of the hearing to permit a party to file and serve an objection
thereto on the grounds that it is necessary that the affiant or
declarant testify at the hearing and be subject to cross-examination.
(d) Failure to appear. If a party fails to appear in person or by
counsel at a scheduled hearing, the hearing may nevertheless proceed.
The party's failure to appear will not affect the validity of the
hearing or any proceeding or action taken thereafter.
Sec. 785.13 Procedural stipulations.
Unless otherwise ordered and subject to Sec. 785.14 of the APR, a
written stipulation agreed to by all parties and filed with the ALJ
will modify the procedures established by this part.
Sec. 785.14 Extension of time.
The parties may extend any applicable time limitation by
stipulation filed with the ALJ before the time limitation expires, or
the ALJ may, on the ALJ's own initiative or upon application by any
party, either before or after the expiration of any applicable time
limitation, extend the time, except that the requirement that a hearing
be demanded within 15 calendar days, and the requirement that a final
agency decision be made within 60 calendar days, may not be modified.
Sec. 785.15 Post-hearing submissions.
All parties shall have the opportunity to file post-hearing
submissions that may include findings of fact and conclusions of law,
supporting evidence and legal arguments, exceptions to the ALJ's
rulings or to the admissibility of evidence, and orders and
settlements.
Sec. 785.16 Decisions.
(a) Recommended decision and order. After considering the entire
record in the case, the ALJ will issue a recommended decision based on
a preponderance of the evidence. The decision will include findings of
fact, conclusions of law, and a decision based thereon as to whether
the respondent has violated the Act. If the ALJ finds that the evidence
of record is insufficient to sustain a finding that a violation has
occurred with respect to one or more allegations, the ALJ shall order
dismissal of the allegation(s) in whole or in part, as appropriate. If
the ALJ finds that one or more violations have been committed, the ALJ
shall issue an order imposing administrative sanctions.
(b) Factors considered in assessing penalties. In determining the
amount of a civil penalty, the ALJ shall take into account the nature,
circumstances, extent and gravity of the violation(s), and, with
respect to the respondent, the respondent's ability to pay the penalty,
the effect of a civil penalty on the respondent's ability to continue
to do business, the respondent's history of prior violations, and such
other matters as justice may require.
(c) Referral of recommended decision and order. The ALJ shall
immediately issue and serve the recommended decision (and order, if
appropriate) to the Office of Chief Counsel, at the address in Sec.
785.6(b) of the APR, and to the respondent, by courier delivery or
overnight mail. The recommended decision and order will also be
referred to the head of the designated executive agency for final
decision and order.
(d) Final decision and order. The recommended decision and order
shall become the final agency decision and order unless, within 60
calendar days, the Secretary of Commerce, or a designated United States
Government official, modifies or vacates it, or unless an appeal has
been filed pursuant to paragraph (e) of this section.
(e) Appeals. The respondent may appeal the final agency decision
within 30 calendar days after the date of certification. Petitions for
appeal may be filed in the Court of Appeals for the District of
Columbia Circuit or in the Court of Appeals for the district in which
the violation occurred.
Sec. 785.17 Settlement.
(a) Settlements before issuance of a NOVA. When the parties have
agreed to a settlement of the case prior to issuance of a NOVA, a
settlement proposal consisting of a settlement agreement and order will
be submitted to the Assistant Secretary for Export Enforcement for
approval and signature. If the Assistant Secretary does not approve the
proposal, he/she will notify the parties and the case will proceed as
though no settlement proposal has been made. If the Assistant Secretary
approves the proposal, he/she will issue an appropriate order, and no
action will be required by the ALJ.
(b) Settlements following issuance of a NOVA. The parties may enter
into settlement negotiations at any time during the time a case is
pending before the ALJ. If necessary, the parties may extend applicable
time limitations or otherwise request that the ALJ stay the proceedings
while settlement negotiations continue. When the parties have agreed to
a settlement of the case, the Office of Chief Counsel will recommend
the settlement to the Assistant Secretary for Export Enforcement,
forwarding a proposed settlement agreement and order, which the
Assistant Secretary will approve and sign. If a NOVA has been filed,
the Office of Chief Counsel will send a copy of the settlement proposal
to the ALJ.
(c) Settlement scope. Any respondent who agrees to an order
imposing any administrative sanction does so solely for the purpose of
resolving the claims in the administrative enforcement proceeding
brought under this part. The government officials involved have neither
the authority nor the responsibility for initiating, conducting,
settling, or otherwise disposing of criminal proceedings. That
authority and responsibility are vested in the Attorney General and the
Department of Justice.
(d) Finality. Cases that are settled may not be reopened or
appealed, absent a showing of good cause. Appeals and
[[Page 43599]]
requests to reopen settled cases must be submitted to the Assistant
Secretary for Export Enforcement within 30 calendar days of the
execution of a settlement agreement.
Sec. 785.18 Record for decision.
(a) The record. The transcript of hearings, exhibits, rulings,
orders, all papers and requests filed in the proceedings, and, for
purposes of any appeal under Sec. 785.16 of the APR, the decision of
the ALJ and such submissions as are provided for under Sec. 785.16 of
the APR will constitute the record and the exclusive basis for
decision. When a case is settled, the record will consist of any and
all of the foregoing, as well as the NOVA or draft NOVA, settlement
agreement, and order.
(b) Restricted access. On the ALJ's own motion, or on the motion of
any party, the ALJ may direct that there be a restricted access portion
of the record for any material in the record to which public access is
restricted by law or by the terms of a protective order entered in the
proceedings. A party seeking to restrict access to any portion of the
record is responsible, prior to the close of the proceeding, for
submitting a version of the document(s) proposed for public
availability that reflects the requested deletion. The restricted
access portion of the record will be placed in a separate file and the
file will be clearly marked to avoid improper disclosure and to
identify it as a portion of the official record in the proceedings. The
ALJ may act at any time to permit material that becomes declassified or
unrestricted through passage of time to be transferred to the
unrestricted access portion of the record.
(c) Availability of documents--(1) Scope. All NOVAs and draft
NOVAs, answers, settlement agreements, decisions and orders disposing
of a case will be displayed on the BIS Freedom of Information Act
(FOIA) Web site, at http://www.bis.doc.gov/foia, which is maintained by
the Office of Administration, Bureau of Industry and Security, U.S.
Department of Commerce. The Office of Administration does not maintain
a separate inspection facility. The complete record for decision, as
defined in paragraphs (a) and (b) of this section will be made
available on request.
(2) Timing. The record for decision will be available only after
the final administrative disposition of a case. Parties may seek to
restrict access to any portion of the record under paragraph (b) of
this section.
Sec. 785.19 Payment of final assessment.
(a) Time for payment. Full payment of the civil penalty must be
made within 30 days of the effective date of the order or within such
longer period of time as may be specified in the order. Payment shall
be made in the manner specified in the NOVA.
(b) Enforcement of order. The government party may, through the
Attorney General, file suit in an appropriate district court if
necessary to enforce compliance with a final order issued under the
APR. This suit will include a claim for interest at current prevailing
rates from the date of expiration of the 60-day period referred to in
Sec. 785.16(d), or the date of the final order, as appropriate.
(c) Offsets. The amount of any civil penalty imposed by a final
order may be deducted from any sum(s) owed by the United States to a
respondent.
Sec. 785.20 Reporting a violation.
If a person learns that a violation of the Additional Protocol, the
Act, or the APR has occurred or may occur, that person may notify:
Office of Export Enforcement, Bureau of Industry and Security, U.S.
Department of Commerce, 14th Street and Constitution Avenue, NW., Room
H-4520, Washington, DC 20230; Tel: (202) 482-1208; Facsimile: (202)
482-0964.
PART 786--RECORDS AND RECORDKEEPING
Sec.
786.1 Inspection of records.
786.2 Recordkeeping.
786.3 Destruction or disposal of records.
Authority: Public Law 109-401, 120 Stat. 2726 (December 18,
2006); Executive Order 13458 (February 4, 2008).
Sec. 786.1 Inspection of records.
Upon request by BIS, you must permit access to and copying of any
record relating to compliance with the requirements of the APR. This
requires that you make available the equipment and, if necessary,
knowledgeable personnel for locating, reading, and reproducing any
record. Copies may be necessary to facilitate IAEA Team review of
documents during complementary access. The IAEA Team may not remove
these documents from the location without BIS authorization (see Sec.
784.3(j)(2) of the APR).
Sec. 786.2 Recordkeeping.
(a) Requirements. Each person and location required to submit a
report or correspondence under Parts 782 through 784 of the APR must
retain all supporting materials and documentation used to prepare such
report or correspondence.
(b) Three year retention period. All supporting materials and
documentation required to be kept under paragraph (a) of this section
must be retained for three years from the due date of the applicable
report or for three years from the date of submission of the applicable
report, whichever is later. Due dates for reports and correspondence
are indicated in Parts 782 through 784 of the APR.
(c) Location of records. Records retained under this section must
be maintained at the location or must be accessible at the location for
purposes of complementary access at the location by IAEA Teams.
(d) Reproduction of original records. (1) You may maintain
reproductions instead of the original records, provided all of the
requirements of paragraph (b) of this section are met.
(2) If you must maintain records under this part, you may use any
photostatic, miniature photographic, micrographic, automated archival
storage, or other process that completely, accurately, legibly and
durably reproduces the original records (whether on paper, microfilm,
or through electronic digital storage techniques). The process must
meet all of the following requirements, which are applicable to all
systems:
(i) The system must be capable of reproducing all records on paper.
(ii) The system must record and be able to reproduce all marks,
information, and other characteristics of the original record,
including both obverse and reverse sides (unless blank) of paper
documents in legible form.
(iii) When displayed on a viewer, monitor, or reproduced on paper,
the records must exhibit a high degree of legibility and readability.
For purposes of this section, legible and legibility mean the quality
of a letter or numeral that enable the observer to identify it
positively and quickly to the exclusion of all other letters or
numerals. Readable and readability mean the quality of a group of
letters or numerals being recognized as complete words or numbers.
(iv) The system must preserve the initial image (including both
obverse and reverse sides, unless blank, of paper documents) and record
all changes, who made them and when they were made. This information
must be stored in such a manner that none of it may be altered once it
is initially recorded.
(v) You must establish written procedures to identify the
individuals who are responsible for the operation, use and maintenance
of the system.
[[Page 43600]]
(vi) You must keep a record of where, when, by whom, and on what
equipment the records and other information were entered into the
system.
(3) Requirements applicable to a system based on digital images.
For systems based on the storage of digital images, the system must
provide accessibility to any digital image in the system. The system
must be able to locate and reproduce all records according to the same
criteria that would have been used to organize the records had they
been maintained in original form.
(4) Requirements applicable to a system based on photographic
processes. For systems based on photographic, photostatic, or miniature
photographic processes, the records must be maintained according to an
index of all records in the system following the same criteria that
would have been used to organize the records had they been maintained
in original form.
Sec. 786.3 Destruction or disposal of records.
If BIS or any other authorized U.S. government agency makes a
formal or informal request for a certain record or records, such record
or records may not be destroyed or disposed of without the written
authorization of the requesting entity.
PARTS 787-799--[RESERVED]
Dated: July 17, 2008.
Christopher R. Wall,
Assistant Secretary for Export Administration.
[FR Doc. E8-16815 Filed 7-24-08; 8:45 am]
BILLING CODE 3510-33-P