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Export/Import Licensing Requirements for NRC-Controlled
Commodities
Brooke G. SmithJenny Tobin Wollenweber
Export Controls and International OrganizationsOffice of International Programs
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Overview
• Scope of NRC import/export authority• General licensing• Specific licensing• Nuclear exports and imports• Radioactive source exports and imports• Waste exports and imports
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10 CFR Part 110 Export/Import Licensing Regulations
• Apply to any person who exports or imports nuclear equipment and material with few exceptions
• Authorize export/import only – do not authorize receipt, acquisition, transfer, transport, possession
• Require compliance with applicable domestic requirements
• Implement legally binding and non-legally binding international treaties and agreements
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NRC’s Export/Import Licensing Authority
• Exports: reactors; fuel cycle facilities; components; nuclear grade graphite for nuclear end use; heavy water; source, special nuclear and byproduct materials including spent fuel and radioactive waste
• Imports: complete reactors; fuel cycle facilities; and source, special nuclear and byproduct materials including spent fuel and radioactive waste
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10 CFR Part 110 not applicable to:
• DOD and DOE for selected activities
• Exports/imports of Munitions List items
• Exports/imports of “dual use” equipment
• Imports of deuterium, nuclear grade graphite and minor reactor components
• Transshipments
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If subject to 10 CFR Part 110:
• NRC-controlled commodities must be authorized by either:
– A general export or import license or
– A specific export or import license
• Exemptions can be granted on a case-by-case basis
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General licenses for exports/imports:
• Issued in Part 110 regulations and authorize:
– Exports of small quantities source, special nuclear materials
– Exports of minor reactor components to select countries
– Most imports (except for radioactive waste) if U.S. recipient authorized
• “Paperless” but not the same as license exemptions or “no license required”
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General Licenses in 10 CFR 110.21-27
• Tritium- limits in 110.23(a)8
• Am and Np annual reporting requirements in 110.23(a)5-6
• Import dependent on domestic possession license in 110.27
• Waste excluded from general licenses for import (110.27) and export (110.21(d), 110.22(e), and 110.23(a)1)
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General licenses for exports/imports:
• Do not authorize exports to embargoed destinations (10 CFR110.28):
Cuba North Korea
Iran Syria
Iraq Sudan
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General licenses for exports/imports:
• Authorize only limited exports to restricted destinations (10CFR110.29):
Afghanistan India
Andorra Israel
Angola Libya
Burma (Myanmar) Oman
Djibouti Pakistan
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Specific Licenses - Review Process
• All applications (NRC Form 7) made public in ADAMS
• Some require Federal Register notices
• Interested parties have up to about 30 days to respond
• Processing fee is commensurate with level of review required (proliferation significance of commodity)
– Most require interacting with foreign governments
– Some require review by interested Executive Branch agencies, coordinated by Department of State
– Some require review and approval by Commissioners
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Specific Licenses - Review Process
• It can take anywhere from 40 days to 4 months or more to coordinate internal and interagency reviews
• Applications may be withdrawn or returned without action
• Licenses may be issued or denied
• Licenses issued:– Are signed by OIP Deputy Director– Name parties, identify end users and end uses– Set expiration dates– Can be amended and renewed prior to expiration date
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Specific License Types for Nuclear Material
• Are assigned a docket number (1100XXXX) and one of the following prefixes:– XSNM = export of special nuclear material– XSOU = export of source material– XMAT = export of material (i.e., deuterium)– XB = export of byproduct material (Appendix L)– XR = export of reactor (or major components)– XCOM = export of minor components– XW = export of radioactive waste– IW = import of radioactive waste
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Criteria for “Major” (XSNM, XSOU, XR) Exports
• Agreement for Cooperation (123 Agreement)• Full-scope IAEA safeguards in recipient non-nuclear
weapon states (NNWS)• U.S. Government must obtain assurances from the
foreign government on case-by-case basis that material or equipment will be made subject to 123 Agreement with respect to:– No nuclear explosive use or R&D on any nuclear
explosive device– Adequate physical security will be maintained– No retransfer or alteration in form (reprocessing)
without prior U.S. Government consent
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Criteria for “Major” (XSNM, XSOU, XR) Exports (Continued)
• Not inimical to common defense and security, and • For XR, not an unreasonable risk to the public health
and safety of the U.S.
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Criteria for “Minor” (XCOM, XMAT) Exports
• U.S. Government must obtain assurances from the foreign government on case-by-case basis that:
– IAEA (full-scope) safeguards will apply in NNWS
– No nuclear explosive use or R&D on such device
– No retransfer without prior U.S. Government consent
• Not inimical to common defense and security
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Appendix P Licensing• Appendix P added to 10 CFR 110 in 2005 to implement
the IAEA’s Code of Conduct which includes Guidance on Import and Export
• 2005 rulemaking added specific license requirements for exports and imports of Category 1 and 2 sources above the threshold cited in the Code and Appendix P
• Outreach done by the NRC since such exports/imports were previously authorized by general licenses and affected companies were less familiar with 10 CFR 110
• Due to increased domestic security, a 2010 rulemaking removed the specific license requirement so imports of “Appendix P” materials may be authorized under a general license with a pre-shipment notification
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Appendix P ThresholdsRadioactive Material Category 1 (TBq) Category 2 (TBq) Americium 241 60 0.6Americium 241/Beryllium 60 0.6Californium 252 20 0.2Curium 244 50 0.5Cobalt 60 30 0.3Cesium 137 100 1Gadolinium 153 1000 10Iridium 192 80 0.8Promethium 147 40000 400Plutonium 238 60 0.6Plutonium 239/Beryllium 60 0.6Radium 226 40 0.4Selenium 75 200 2Strontium 90 (Yttrium 90) 1000 10Thulium 170 20000 200Ytterbium 169 300 3
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Appendix P Export Criteria• Foreign recipient authorized to receive and possess
• Importing country has resources & regulatory capability; or meets “exceptional circumstances”
• Importing country provides consent for Category 1 amounts and “exceptional circumstances”
• No adverse information concerning foreign recipients or importing country
• Not inimical to U.S. common defense and security
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Licenses for Appendix P Materials
• Establish individual Category 1 and/or Category 2 shipment quantities per radionuclide
• Often list multiple radionuclides and authorize shipments to multiple foreign destinations
• Are valid from 1-10 years depending on established limits
• Require pre-shipment notifications to the NRC Headquarters Operations Office ([email protected])
• May include special conditions such as requiring licensee to request and the NRC to authorize each shipment of Category 1 quantities of material depending on the foreign government’s consent
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Criteria for Exports of Radioactive Waste (XW)
• Not inimical to common defense and security
• Recipient country:
– Has the administrative, technical capacity and regulatory structure to manage and dispose
– Consents to its receipt
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Criteria for Imports of Radioactive Waste (IW)
• Not inimical to the common defense and security
• Not an unreasonable risk to the public
• An appropriate facility has agreed to accept for management or disposal
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Specific License Requirementsfor Radioactive Waste
• Specific license required if a specific radioactive material license is required to possess the material domestically
• Specific license required if it is exported or imported for:
1) disposal in a land disposal facility defined as defined in 10 CFR Part 61 or in an Appendix A to Part 40 disposal area, or an equivalent facility; or
2) recycling, waste treatment or other waste management process that generates radioactive material for disposal in a land disposal facility defined in Appendix A to Part 40 or an equivalent facility
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Review for Waste Cases• IW and XW applications often are submitted as a pair (i.e.,
import, processing and return)• For new IW and XW cases, a Federal Register Notice is
always required and includes a 30-day comment period• OIP sends a letter to the State Department who
coordinates obtaining Executive Branch review and includes interaction with the foreign country
• OIP sends letters to the State(s) and Compact(s) that may be affected by import/processing/disposition of material
• OIP consults with FSME and NMSS points of contact to evaluate potential health & safety and safeguards/nonproliferation concerns
• Once responses are received from the Executive Branch, State(s) and Compact(s), the license is drafted
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Exclusion 1 (Amended)
1) Of U.S. origin and contained in a sealed source, or device containing a sealed source, that is being returned to a manufacturer, distributor or other entity which is authorized to receive and possess the sealed source or the device containing a sealed source.
“Of U.S. origin” was added in response to a comment on the proposed rule to clarify the exclusion
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Exclusion 1- Guidance
“U.S. origin sources may include sources with U.S. origin material and sources or devices manufactured, assembled or distributed by a U.S. company from a licensed domestic facility. Disused sources that originated in a country other than the United States would require a specific license if being exported or imported for disposal.”
http://www.nrc.gov/about-nrc/ip/part110-update.html#QA7
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Other Exclusions
• Exclusion 2- contaminated non-radioactive material if the material is being shipped solely for recovery and beneficial reuse of the non-radioactive material in a nuclear facility
• Exclusion 3- exclude material exempted from NRC or Agreement State regulations
• Exclusion 4- used in U.S. Government waste R&D• Exclusion 5- being returned by/for U.S. government or
military• Exclusion 6- imported solely for the purposes of recycling
where there is a market for the recycled material and evidence of a contract or business agreement
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Questions on Import or Export?
Brooke G. Smith
[email protected] (301)415-2347
Jenny (Tobin) Wollenweber
[email protected] (301) 415-2328