(4) Gaseous diffusion barriers specially designed or prepared for use in separating isotopes of source material, special nuclear material or lithium. (5) Gaseous diffuser housings specially designed or prepared for use in plants for separating isotopes of source material, special nuclear material or lithium. (6) Heat exchangers specially designed or prepared for use in gaseous diffiusion plants. (7) Any other equipment or component specially designed or prepared for use in an isotope separation plant. (8) Specially designed or prepared parts and components for any of the above. (c) Plants for the reprocessing of irradiated nuclear reactor fuel elements or irradiated lithium and specially designed or prepared equipment and components therefor as follows: (1) Fuel element chopping machines, i.e., remotely operated equipment specially designed or prepared to cut, chop or shear irradiated nuclear reactor fuel assemblies, bundles or rods. (2) Criticality safe tanks, i.e., small diameter, annual or slab tanks specially designed or prepared for the dissolution of irradiated nuclear reactor fuel. (3) Countercurrent solvent extractors specially designed or prepared for use in a reprocessing plant. (4) Process control instrumentation specially designed or prepared for monitoring or controlling the processing of material in a reprocessing plant. (5) Any other equipment or components specially designed or prepared for use in a reprocessing plant. (6) Specially designed or prepared parts and components for any of the above. (d) Plants for the fabrication of nuclear reactor fuel elements and specially designed or prepared parts and components therefor (export only). (e) Plants for the production of heavy water, deuterium and deuterium compounds, and specially designed or prepared parts and components therefor (export only). (f) Special nuclear material. (g) Source material. (h) Byproduct material. (i) Deuterium (export only). (j) Nuclear grade graphite (export only). NOTE.-See section 110.2 for definitions of the major terms used above. APPENDIX B-LIST OF FOREIGN FACILITIES TO WHICH NUCLEAR EQUIPMENT MAY BE 1 Irradiated fuel should be protected as category I, II, or III nuclear material depending on the category of the fresh fuel. However, fuel which by virtue of its original fissile material content is included as category I or II before irradiation should only be reduced one category level, while the radiation level from the fuel exceeds 100 rd/h at 1 m unshielded. 2 Physical security determinations will not be required for 15 g or less of plutonium, uranium-233 or high-enriched uranium, or for 1 kg or less of uranium with an enrichment between 10 and 20 pct in uranium-235. 3 All plutonium except that with isotopic concentration exceeding 80 pct in plutonium-238. Material not irradiated in a reactor or material irradiated in a reactor but with a radiation level equal to or less than 10 rd/h at 1 m unshielded. s Natural uranium, depleted uranium, and thorium should be protected in accordance with prudent management prac tice. As a minimum, for quantities exceeding 500 kg, these materials should be kept under constant control and secured from unauthorized removal. Transport protection should include advance notification of shipment specifying mode of transport, expected time of arrival and confirmation of receipt of shipment. 2. Procedures Established Pursuant to the Nuclear Non- Procedures by the Departments of State, Energy, and Commerce, June 1, 1978, 43 F.R. 25326 PART A. GENERAL PROVISIONS SECTION 1. AUTHORITY AND SCOPE a. The procedures herein are established by: (i) The Department of Energy pursuant to sections 54, 57b (2), 64, 111b(1), and 131 of the Atomic Energy Act of 1954, as amended, hereinafter referred to as "the Atomic Energy Act." (ii) The Department of State pursuant to section 126a (1) of the Atomic Energy Act; (iii) The Department of Commerce pursuant to section 309 (c) of the Nuclear Non-Proliferation Act of 1978, hereinafter referred to as "the Act", and the general policies and procedures set forth in the Export Administration Act of 1969, as amended. b. These procedures apply to agency activities with respect to the matters dealt with by sections 54, 57b (2), 64, 109, 111b (1), 126a and 131 of the Atomic Energy Act and sections 309 (c) and 402 (a) of the Act, and the Export Administration Act of 1969, as amended. c. These procedures have been agreed to by the Secretaries of State, Energy, Defense, and Commerce, the Director of the Arms Control and Disarmament Agency, and the Nuclear Regulatory Commission, or by the authorized designee acting on behalf of any of the foregoing. SECTION 2. RESPONSIBLE OFFICIALS a. Department of State, Washington, D.C. 20520-The Deputy Assistant Secretary for Nuclear Energy and Energy Technology Affairs in the Bureau of Oceans and International Environmental and Scientific Affairs. b. Department of Energy, Washington, D.C. 20545-For sections 57b and 126a of the Atomic Energy Act and section 309 (c) of the Act, the Assistant Secretary for Defense Programs. For sections 54, 64, 111b and 131, of the Atomic Energy Act and section 402 of the Act, the Deputy Assistant Secretary for International Programs. c. Department of Defense, Washington, D.C. 20301-The Assistant Secretary for International Security Affairs. d. Department of Commerce, Washington, D.C. 20230-The Deputy Assistant Secretary for Trade Regulation. e. Arms Control and Disarmament Agency, Washington, D.C. 20451-The Assistant Director for Non-Proliferation. f. The Nuclear Regulatory Commission, Washington, D.C. 20555The Director, Office of International Programs. SECTION 3. OFFICES FOR COORDINATION a. Department of State The Office of Export and Import Control in the Nuclear Energy and Energy Technology Division of the Bureau of Oceans and International Environmental and Scientific Affairs. b. Department of Enegry-For Parts B, D, and F of these procedures, the Office of the Assistant Secretary for Defense Programs. For Parts C and E of these procedures, the Office of Nuclear Affairs, in the Office of International Affairs. c. Department of Defense-The Office of the Assistant Secretary for International Security Affairs. d. Department of Commerce-The Office of Export Administration in the Bureau of Trade Regulations. e. Arms Control and Disarmament Agency-The Nuclear Exports Division of the Bureau of Non-Proliferation. f. Nuclear Regulatory Commission-The Office of International Programs, Assistant Director for Export/Import and International Safeguards. SECTION 4. COORDINATION AND MONITORING The Interagency Subgroup on Nuclear Export Coordination of the National Security Council (NSC) Ad Hoc Group on NonProliferation shall, without prejudice to its authority to carry out other functions, monitor and facilitate the interagency processing of the activities referred to in section 1 (b), and serve as a forum for exchanging and coordinating views. This Subgroup shall meet as frequently as necessary, normally twice a month. This Subgroup shall establish such procedures as are necessary for its effective functioning. SECTION 5. RESOLUTION OF INTERAGENCY DISAGREEMENTS a. If, after appropriate consultation, any agency listed in section 2 does not agree with a proposed Executive branch action pursuant to section 54, 57b (2), 64, 109, 111b(1), 126a or 131 of the Atomic Energy Act, or section 309 (c) or 402 (a) of the Act, the steps set forth below may be followed, normally in the order indicated, to facilitate resolution of the disagreement: (i) Consideration in the Subgroup on Nuclear Export Coordination of the NSC Ad Hoc Group on Non-Proliferation; (ii) Consideration in the NSC Ad Hoc Group on Non-Proliferation; (iii) Any other procedures of the NSC that are appropriate; (iv) Referral to the President. b. Recourse to the steps in this section shall be taken expeditiously. An agency wishing to have recourse to any of the steps above shall so indicate immediately to the offices specified in section 3. The agency concerned shall normally give five days notice before initiating action under steps (ii), (iii), or (iv). c. Nothing in this section shall derogate from the statutory authority of any agency. If any agency considers that all statutory requirements have been met and wishes to proceed with an action within its jurisdiction covered by these procedures notwithstanding the existence of an interagency disagreement, it shall normally provide all other concerned agencies with five working days notice. SECTION 6. CONTENT OF JUDGMENTS, FINDINGS AND CONSIDERATIONS UNDER THESE PROCEDURES Judgments, findings and determinations under these procedures shall address the matters required by the applicable section of the Atomic Energy Act. SECTION 7. TECHNICAL PROVISIONS a. These procedures take effect on June 7, 1978. b. The processing of any action subject to these procedures shall not be delayed because of the entry into effect of these procedures. Clearances obtained or matters resolved under procedures previously in effect. need not be reconsidered for the sole purpose of complying with new procedural requirements. c. Nothing in these procedures shall affect the ability of any agency to protect classified or proprietary information pursuant to applicable law. d. These procedures may be amended at any time subject to agreement among the agencies specified in section 1 (c). PART B. EXECUTIVE BRANCH JUDGMENTS UNDER SECTION 126a (1) OF THE ATOMIC ENERGY ACT SECTION 1. PROCEDURES a. Except as provided in section 2 of this Part, the Nuclear Regulatory Commission shall promptly transmit any properly completed export license application or proposed general license or proposed exemption from licensing requirements to the offices listed in paragraphs a through e of the section 3 of Part A. b. As promptly as possible, but in no event later than 15 days after the receipt of each license application or proposed general license or proposed exemption, the offices listed in paragraphs b through e of section 3 of Part A shall review the submission and shall advise the Office of Export and Import Control: (i) Whether that agency believes that any additional information is required in connection with preparation of the Executive branch judgment. In the event that such information is required, the Office of Export and Import Control shall seek to obtain and provide the information as promptly as possible. If additional information required is essential to further Executive branch processing, the Office of Export and Import Control may return the application, proposed general license, or proposed exemption to the Nuclear Regulatory Commission, in which event the schedule of actions and deadlines set out herein shall recommence upon receipt by the Office of a substantively complete application, proposed general license or proposed exemption from the Nuclear Regulatory Commission; (ii) Whether that agency believes a license application appears to raise issues which will require more extensive consideration than is normally necessary in Executive branch processing or similar license applications. If such issues appear to be present, the Office of Export and Import Control will normally schedule consideration of these issues at the earliest possible meeting of the Subgroup on Nuclear Export 37-851 - 79-46 Coordination and shall as promptly as possible initiate appropriate steps, including those required to obtain any necessary policy decisions and to initiate necessary diplomatic consultations; (iii) Of their preliminary views on the license application, if so requested by the Office of Export and Import Control If the Department of Energy is the license applicant pursuant to section 111a of the Atomic Energy Act, the designee of the Secretary of Energy shall not be required to advise the Office of Export and Import Control of its views pursuant to this paragraph. c. No later than five working days after receipt of its copy of a license application from the Nuclear Regulatory Commission, the Department of Energy shall, as appropriate, if the proposed export appears to be consistent with the applicable agreement for cooperation, request confirmation in writing from the nation or group of nations under the agreement for cooperation of which the export is to take place, that among other things: (i) The export will be subject to the terms and conditions of the agreement for cooperation; (ii) The consignee is authorized to receive the export; and (iii) Physical security measures will be maintained with respect to the export that as a minimum provide protection comparable to that set forth in document INFCIRC 225/Rev. 1 of the International Atomic Energy Agency, entitled, "The Physical Protection of Nuclear Material." Such confirmation shall, as appropriate, be requested with respect to any intermediate destinations and the ultimate destination of the export that are identified in the license application. If any such confirmation is not received within fifty-five days after receipt of the license application by the Office of Export and Import Control in the Department of State, the Office may return the application to the Nuclear Regulatory Commission, in which event the schedule of actions and deadlines set out herein shall recommence after receipt of the confirmation and return to the Office by the Nuclear Regulatory Commission of the application. d. Upon receipt of its copy of the license application from the Nuclear Regulatory Commission, the Department of Energy shall determine whether the proposed export involves material with respect to which the United States has agreed to consult with or obtain the approval of any other nation or group of nations prior to its export. If such an undertaking exists, the Department of Energy shall promptly inform the Department of State so that appropriate action may be taken. e. If the license application is for an export of high enriched uranium, plutonium or uranium-233, equal to or exceeding formula quantities (as defined in 10 CFR 73.30) the Department of Energy shall prepare an analysis of the technical and economic justification for the use of such material, including whether the quantities requested are necessary for the efficient and continuous operation of the facility involved. This analysis shall be provided to the Office of Export and Import Control of the Department of State within 30 days after receipt by the Department of Energy of its copy of the export license application or as soon thereafter as possible. This analysis shall be |