10 C.F.R. Subpart C—Licenses
Title 10 - Energy
Source: 49 FR 47198, Dec. 3, 1984, unless otherwise noted.
(a) Licenses for the export and import of nuclear equipment and material in this part consist of two types: General licenses and Specific licenses. Except as provided in paragraph (b) of this section, a general license is effective without the filing of an application with the Commission or the issuance of licensing documents to a particular person. A specific license is issued to a named person and is effective upon approval by the Commission of an application filed pursuant to the regulations in this part and issuance of licensing documents to the applicant. Issuance of a specific or general license under this part does not relieve a person from complying with applicable regulations of the Environmental Protection Agency for any export or import that contains or is contaminated with hazardous waste. (b) A person using a general license under this part as authority to export incidental radioactive material that is contained in or a contaminant of a shipment that exceeds 100 kilograms in total weight shall file a completed NRC Form 7 before the export takes place. [60 FR 37563, July 21, 1995] (a) A person may use an NRC general license as authority to export or import nuclear equipment or material (including incidental radioactive material), if the nuclear equipment or material to be exported or imported is covered by the NRC general licenses described in §§110.21 through 110.30. (1) A person using a general license under this part as authority to export incidental radioactive material that is contained in or a contaminant of a shipment that exceeds 100 kilograms in total weight shall file a completed NRC Form 7 before the export takes place. (2) If an export or import is not covered by the NRC general licenses described in §§110.21 through 110.30, a person must file an application with the Commission for a specific license in accordance with §§110.31 through 110.32. (b) In response to a petition or on its own initiative, the Commission may issue a general license for export or import if it determines that any exports or imports made under the general license will not be inimical to the common defense and security or constitute an unreasonable risk to the public health and safety and otherwise meet applicable statutory requirements. A general license is issued as a regulation after a rulemaking proceeding under subpart K of this part. Issuance of a general license is coordinated with the Executive Branch. (c) A general license does not relieve a person from complying with the regulations of other Government agencies applicable to exports or imports under their authority. (d) A general license for export may not be used if the exporter knows, or has reason to believe, that the material will be used in any activity related to isotope separation, chemical reprocessing, heavy water production or the fabrication of nuclear fuel containing plutonium, unless these activities are generically authorized under an appropriate agreement for cooperation. (e) A person who uses an NRC general license as the authority to export or import may cite on the shipping documents the section of this part which authorizes the described export or import under general license, as a means of expediting U.S. Customs Service's processing of the shipment. (f) As specified in §§110.21 through 110.26, 110.28, 110.29, and 110.30 only certain countries are eligible recipients of equipment or material under NRC general licenses to export. The Commission will closely monitor these countries and may at any time remove a country from a general license in response to significant adverse developments in the country involved. A key factor in this regard is the nonproliferation credentials of the importing country. [49 FR 47198, Dec. 3, 1984, as amended at 58 FR 13003, Mar. 9, 1993; 59 FR 48997, Sept. 26, 1994; 60 FR 37563, July 21, 1995] (a) Except as provided in paragraph (d) of this section, a general license is issued to any person to export the following to any country not listed in §110.28: (1) Low-enriched uranium as residual contamination (17.5 parts per million or less) in any item or substance. (2) Plutonium containing 80 percent or more by weight of plutonium-238 in cardiac pacemakers. (3) Special nuclear material, other than Pu–236 and Pu–238, in sensing components in instruments, if no more than 3 grams of enriched uranium or 0.1 gram of Pu or U–233 are contained in each sensing component. (4) Pu–236 and Pu–238 when contained in a device, or a source for use in a device, in quantities of less than 3.7 × 10−3 TBq (100 millicuries) of alpha activity (189 micrograms Pu–236, 5.88 milligrams Pu–238) per device or source. (b) Except as provided in paragraph (d) of this section, a general license is issued to any person to export the following to any country not listed in §110.28 or §110.29: (1) Special nuclear material, other than Pu–236 and Pu–238, in individual shipments of 0.001 effective kilogram or less (e.g., 1.0 gram of plutonium, U–233 or U–235, or 10 kilograms of 1 percent enriched uranium), not to exceed 0.1 effective kilogram per year to any one country. (2) Special nuclear material in fuel elements as replacements for damaged or defective unirradiated fuel elements previously exported under a specific license, subject to the same terms as the original export license and the condition that the replaced fuel elements must be returned to the United States within a reasonable time period. (3) Uranium, enriched to less than 20 percent in U–235, in the form of UF6 heels in cylinders being returned to suppliers in EURATOM. (c) Except as provided in paragraph (d) of this section, a general license is issued to any person to export Pu–236 or Pu–238 to any country listed in §110.30 in individual shipments of 1 gram or less, not to exceed 100 grams per year to any one country. (d) The general licenses in paragraphs (a), (b), and (c) of this section do not authorize the export of special nuclear material in radioactive waste. (e) Persons using the general licenses in paragraphs (a), (b), and (c) of this section as authority to export special nuclear material as incidental radioactive material shall file a completed NRC Form 7 before the export takes place if the total weight of the shipment exceeds 100 kilograms. [49 FR 47198, Dec. 3, 1984, as amended at 58 FR 13003, Mar. 9, 1993; 59 FR 48997, Sept. 26, 1994; 60 FR 37563, July 21, 1995; 65 FR 70290, Nov. 22, 2000; 70 FR 46066, August 9, 2005] (a) Except as provided in paragraph (e) of this section, a general license is issued to any person to export the following to any country not listed in §110.28: (1) Uranium or thorium, other than U–230, U–232, Th–227, and Th–228, in any substance in concentrations of less than 0.05 percent by weight. (2) Thorium, other than Th–227 and Th–228, in incandescent gas mantles or in alloys in concentrations of 5 percent or less. (3) Th–227, Th–228, U–230, and U–232 when contained in a device, or a source for use in a device, in quantities of less than 3.7 × 10−3 TBq (100 millicuries) of alpha activity (3.12 micrograms Th–227, 122 micrograms Th–228, 3.7 micrograms U–230, 4.7 milligrams U–232) per device or source. (b) Except as provided in paragraph (e) of this section, a general license is issued to any person to export uranium or thorium, other than U–230, U–232, Th–227, or Th–228, in individual shipments of 10 kilograms or less to any country not listed in §110.28 or §110.29, not to exceed 1,000 kilograms per year to any one country or 500 kilograms per year to any one country when the uranium or thorium is of Canadian origin. (c) A general license is issued to any person to export uranium, enriched to less than 20 percent in U–235, in the form of UF6 heels in cylinders being returned to suppliers in EURATOM. (d) Except as provided in paragraph (e) of this section, a general license is issued to any person to export uranium or thorium, other than U–230, U–232, Th–227, or Th–228, in individual shipments of 1 kilogram or less to any country listed in §110.29, not to exceed 100 kilograms per year to any one country. (e) Except as provided in paragraph (e) of this section, a general license is issued to any person to export U–230, U–232, Th–227, or Th–228 in individual shipments of 10 kilograms or less to any country listed in §110.30, not to exceed 1,000 kilograms per year to any one country or 500 kilograms per year to any one country when the uranium or thorium is of Canadian origin. (f) Paragraphs (a), (b), (c), and (d) of this section do not authorize the export under general license of source material in radioactive waste. (g) Persons using the general licenses in paragraphs (a), (b), (c), and (d) of this section as authority to export source material as incidental radioactive material shall file a completed NRC Form 7 before the export takes place if the total weight of the shipment exceeds 100 kilograms. [49 FR 47198, Dec. 3, 1984, as amended at 58 FR 13003, Mar. 9, 1993; 59 FR 48997, Sept. 26, 1994; 60 FR 37563, July 21, 1995; 61 FR 35602, July 8, 1996; 65 FR 70290, Nov. 22, 2000; 70 FR 46066, August 9, 2005] (a) A general license is issued to any person to export byproduct material (see appendix L to this part) except that: (1) This section does not authorize the export of byproduct material to any embargoed country listed in §110.28, or byproduct material in radioactive waste, or tritium for recovery or recycle purposes. (2) Actinium-225 and -227, americium-241 and -242m, californium-248, -249, -250, -251, -252, -253, and -254, curium-240, -241, -242, -243, -244, -245, -246 and -247, einsteinium-252, -253, -254 and -255, fermium-257, gadolinium-148, mendelevium-258, neptunium-235 and -237, polonium-210, and radium-223 must be contained in a device, or a source for use in a device, in quantities of less than 3.7 × 10−3 TBq (100 millicuries) of alpha activity per device or source, unless the export is to a country listed in Sec. 110.30. Individual shipments must be less than the TBq values specified in Category 2 of Table 1 of Appendix P to this Part. Exports of americium and neptunium are subject to the reporting requirements listed in paragraph (b) of this section. (3) For americium-241, exports must not exceed 0.6 TBq (16 curies) per device or 60 TBq (1,600 curies) to any one country listed in §110.29, and must be contained in industrial process control equipment or petroleum exploration equipment in quantities of less than 0.6 TBq (16 curies) per device and per shipment, not to exceed 60 TBq (1,600 curies) per year to any one country. Individual shipments to all countries other than those listed in §§110.28 and 110.29 must be less than 0.6 TBq (16 curies) per shipment, consistent with Appendix P to this part. (4) For neptunium-235 and -237, exports must not exceed individual shipments of one gram, not to exceed 10 grams per year to any one country. (5) For polonium-210, the material must be contained in static eliminators and may not exceed 3.7 TBq (100 curies) per individual shipment. (6) For tritium in any dispersed form, except for recovery or recycle purposes (e.g., luminescent light sources and paint, accelerator targets, calibration standards, labeled compounds), exports must not exceed the quantity of 0.37 TBq (10 curies (1.03 milligrams)) or less per item, not to exceed 37 TBq (1,000 curies (103 milligrams)) per shipment or 370 TBq (10,000 curies (1.03 grams)) per year to any one country. Exports of tritium to the countries listed in §110.30 must not exceed the quantity of 1.48 TBq (40 curies (4.12 milligrams)) or less per item, not to exceed 37 TBq (1,000 curies (103 milligrams)) per shipment or 370 TBq (10,000 curies (1.03 grams)) per year to any, one country, and exports of tritium in luminescent safety devices installed in aircraft must not exceed a quantity of 1.48 TBq (40 curies (4.12 milligrams)) or less per light source. (b) Persons making exports under the general license established by paragraph (a) of this section shall submit by February 1 of each year one copy of a report of all americium and neptunium shipments during the previous calendar year. The report must include: (1) A description of the material, including quantity; (2) Approximate shipment dates; and (3) A list of recipient countries, end users, and intended use keyed to the items shipped. (c) Persons using a general license issued under paragraph (a) of this section as authority to export byproduct material as incidental radioactive material shall file a completed NRC Form 7 before the export takes place if the total weight of the shipment exceeds 100 kilograms. [65 FR 70290, Nov. 22, 2000, as amended at 70 FR 37991, July 1, 2005; 70 FR 46066, August 9, 2005] (a) A general license is issued to any person to export deuterium in individual shipments of 10 kilograms or less (50 kilograms of heavy water) to any country not listed in §110.28 or §110.29. No person may export more than 200 kilograms (1000 kilograms of heavy water) per year to any one country. (b) A general license is issued to any person to export deuterium in individual shipments of 1 kilogram or less (5 kilograms of heavy water) to any country listed in §110.29. No person may export more than 5 kilograms (25 kilograms of heavy water) per year to any one country. [49 FR 47198, Dec. 3, 1984, as amended at 58 FR 13003, Mar. 9, 1993] (a) A general license is issued to any person to export to the following countries any nuclear reactor component described in paragraphs (5) through (9) of appendix A to this part if— (1) The component is of U.S. origin, (2) The component will be used in a light or heavy water-moderated power or research reactor in those countries, or (3) The component is in semifabricated form and will be undergoing final fabrication or repair in those countries for subsequent return to the United States for use in a nuclear power or research reactor in the United States: (b) This general license does not authorize the export of components, in final or semi-fabricated form, for research reactors capable of continuous operation above 5 MWe thermal. (c) This general license does not authorize the export of essentially complete reactors through piecemeal exports of facility components. When individual exports of components would amount in the aggregate to export of an essentially complete nuclear reactor, a facility export license is required. (d) Persons making exports under the general license established by paragraph (a) of this section shall submit by February 1 of each year one copy of a report of all components shipped during the previous calendar year. This report must include: (1) A description of the components keyed to the categories listed in appendix A to this part. (2) Approximate shipment dates. (3) A list of recipient countries and endusers keyed to the items shipped. [49 FR 47198, Dec. 3, 1984, as amended at 55 FR 34519, Aug. 23, 1990; 58 FR 13003, Mar. 9, 1993; 61 FR 35602, July 8, 1996; 62 FR 59277, Nov. 3, 1997; 65 FR 70290, Nov. 22, 2000] (a) Except as provided in paragraphs (b), (c), and (f) of this section, a general license is issued to any person to import byproduct, source, or special nuclear material if the consignee is authorized to receive and possess the material under: (1) A contract with the Department of Energy; (2) An exemption from licensing requirements issued by the Commission; or (3) A general or specific NRC or Agreement State license issued by the Commission or a State with which the Commission has entered into an agreement under Section 274b. of the Atomic Energy Act. (b) The general license in paragraph (a) of this section does not authorize the import of source or special nuclear material in the form of irradiated fuel that exceeds 100 kilograms per shipment. (c) Paragraph (a) of this section does not authorize the import under general license of radioactive waste, other than radioactive waste that is being returned to a United States Government or military facility in the United States which is authorized to possess the material. (d) A person importing formula quantities of strategic special nuclear material (as defined in §73.2 of this chapter) under this general license shall provide the notifications required by §73.27 and §73.72 of this chapter. (e) A general license is issued to any person to import the major components of a utilization facility as defined in §110.2 for end-use at a utilization facility licensed by the Commission. (f) Individual import shipments of radioactive material listed in Appendix P must be less than the amounts specified in Category 2 in Table 1 of Appendix P to this part. [51 FR 47208, Dec. 31, 1986, as amended at 56 FR 38336, Aug. 13, 1991; 58 FR 13003, Mar. 9, 1993; 60 FR 37564, July 21, 1995; 61 FR 35602, July 8, 1996; 65 FR 70291, Nov. 22, 2000; 68 FR 31589, May 28, 2003; 70 FR 37991, July 1, 2005] [58 FR 13003, Mar. 9, 1993, as amended at 61 FR 35602, July 8, 1996; 65 FR 70291, Nov. 22, 2000; 70 FR 29936, May 25, 2005] [58 FR 13003, Mar. 9, 1993, as amended at 59 FR 48998, Sept. 26, 1994; 61 FR 35602, July 8, 1996; 70 FR 29936, May 25, 2005] [59 FR 48998, Sept. 26, 1994, as amended at 61 FR 35602, July 8, 1996; 65 FR 70291, Nov. 22, 2000] (a) A person shall file an application for a specific license to export or import with the Deputy Director of the NRC's Office of International Programs, using an appropriate method listed in §110.4. (b) An application for a specific license to export or import must be accompanied by the appropriate fee in accordance with the fee schedule in §170.21 and §170.31 of this chapter. A license application will not be processed unless the specified fee is received. (c) Applications for an export, import, combined export/import, amendment or renewal licenses under 10 CFR Part 110 shall be filed on NRC Form 7. (d) Each person shall provide in the license application, as appropriate, the information specified in §110.32. The Commission also may require the submission of additional information if necessary to complete its review. (e) An application may cover multiple shipments and destinations. (f) The applicant shall withdraw an application when it is no longer needed. The Commission's official files retain all documents related to a withdrawn application. [58 FR 13003, Mar. 9, 1993. Redesignated and amended at 59 FR 48998, Sept. 26, 1994; 65 FR 70291, Nov. 22, 2000; 68 FR 58824, October 10, 2003; 71 FR 19104, Apr. 13, 2006] (a) Name and address of applicant. (b) Name and address of supplier of equipment or material. (c) Country of origin of equipment or material, and any other countries that have processed the material prior to its import into the U.S. (Note: This is meant to include all obligations attached to the material, according to the definition of obligations in §110.2. Licensees must keep records of obligations attached to material which they own or is in their possession.)” (d) Names and addresses of all intermediate and ultimate consignees, other than intermediate consignees performing shipping services only. (e) Dates of proposed first and last shipments. (f) Description of the equipment or material including, as appropriate, the following: (1) Maximum quantity of material in grams or kilograms (terabequerels or TBq for byproduct material) and its chemical and physical form. (2) For enriched uranium, the maximum weight percentage of enrichment and maximum weight of contained U-235. (3) For nuclear equipment, total dollar value. (4) For nuclear reactors, the name of the facility and its design power level. (5) For proposed exports or imports of radioactive waste, and for proposed exports of incidental radioactive material—the volume, classification (as defined in §61.55 of this chapter), physical and chemical characteristics, route of transit of shipment, and ultimate disposition (including forms of management) of the waste. (6) For proposed imports of radioactive waste—the industrial or other process responsible for generation of the waste, and the status of the arrangements for disposition, e.g., any agreement by a low-level waste compact or State to accept the material for management purposes or disposal. (7) Description of end use by all consignees in sufficient detail to permit accurate evaluation of the justification for the proposed export or import, including the need for shipment by the dates specified. (g) For proposed imports of material listed in Table 1 of Appendix P to this part, a copy of the applicant's authorization to receive and possess the radioactive material to be imported for each recipient. (h) For proposed exports of material listed in Table 1 of Appendix P to this part, pertinent documentation that the recipient of the material has the necessary authorization under the laws and regulations of the importing country to receive and possess the material. Pertinent documentation shall consist of a copy of the recipient's authorization to receive and possess the material to be exported or a confirmation from the government of the importing country that the recipient is so authorized. The recipient authorization shall include the following information: (1) Name of the recipient (2) Recipient location and legal address or principal place of business (3) Relevant radionuclides and radioactivity being imported or that the recipient is authorized to receive and possess (4) Uses, if appropriate (5) The expiration date of the recipient's authorization (if any) [49 FR 47200, Dec. 3, 1984, as amended at 58 FR 13004, Mar. 9, 1993. Redesignated at 59 FR 48998, Sept. 26, 1994; 60 FR 37564, July 21, 1995; 65 FR 70291, Nov. 22, 2000; 70 FR 37991, July 1, 2005]
Title 10: Energy
PART 110—EXPORT AND IMPORT OF NUCLEAR EQUIPMENT AND MATERIAL
Subpart C—Licenses
§ 110.19 Types of licenses.
§ 110.20 General license information.
§ 110.21 General license for the export of special nuclear material.
§ 110.22 General license for the export of source material.
§ 110.23 General license for the export of byproduct material.
§ 110.24 General license for the export of deuterium.
§ 110.26 General license for the export of nuclear reactor components.
Belgium
Bulgaria
Canada
Czech Republic
Denmark
Finland
France
Germany
Greece
Indonesia
Ireland
Italy
Japan
Latvia
Lithuania
Luxembourg
Netherlands
New Zealand
Philippines
Portugal
Republic of Korea
Romania
Spain
Sweden
Switzerland
Taiwan
United Kingdom§ 110.27 General license for imports.
§ 110.28 Embargoed destinations.
Iran
Iraq
Libya
North Korea
Syria
Sudan§ 110.29 Restricted destinations.
Andorra
Angola
Burma (Myanmar)
Djibouti
India
Israel
Oman
Pakistan§ 110.30 Members of the Nuclear Suppliers Group.
Australia
Austria
Belarus
Belgium
Brazil
Bulgaria
Canada
Cyprus
Czech Republic
Denmark
Finland
France
Germany
Greece
Hungary
Ireland
Italy
Japan
Latvia
Luxembourg
Netherlands
New Zealand
Norway
Poland
Portugal
Republic of Korea
Romania
Russia
Slovak Republic
Slovenia
South Africa
Spain
Sweden
Switzerland
Turkey
Ukraine
United Kingdom§ 110.31 Application for a specific license.
§ 110.32 Information required in an application for a specific license/NRC Form 7.
