Assistance To Foreign Atomic Energy Activities

Department of Energy

Pt. 810

is brought about as a result of circumstances largely beyond the control
of the borrower, or is deemed by, the
Secretary to be insubstantial, the Secretary may elect, at the Secretary’s
option, to defer such performance and/
or restructure the repayment required
by the loan agreement in any mutually
acceptable manner.
(e) Should the borrower fail to pay
after demand as provided in paragraph
(c) of this section, and no deferral or
restructuring is agreed to by the Secretary as provided in paragraph (d) of
this section, the Secretary shall undertake collection in accordance with the
terms of the loan agreement and the
applicable law.

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§ 800.305 Disclosure.
Information received from an applicant by DOE may be available to the
public subject to the provision of 5
U.S.C. 552, 18 U.S.C. 1905 and 10 CFR
part 1004; provided that:
(a) Subject to the requirements of
law, information such as trade secrets,
commercial and financial information,
and other information concerning the
minority business enterprise that the
enterprise submits to DOE in writing,
in an application, or at other times
throughout the duration of the loan on
a privileged or confidential basis, will
not be disclosed without prior notice to
submitter in accordance with DOE regulations concerning public disclosure
of information. Any submitter asserting that the information is privileged
or confidential should appropriately
identify and mark such information.
(b) Upon a showing satisfactory to
the Secretary that any information or
portion thereof obtained under this
regulation would, if made public, divulge trade secrets or other proprietary information of the minority business enterprise, the Secretary may not
disclose such information.
(c) This section shall not be construed as authority to withhold information from Congress or from any
committee of Congress upon request of
the Chairman.
§ 800.306 Noninterference with other
laws.
Nothing in this regulation shall be
construed to modify requirements im-

posed on the borrower by Federal,
State and local government agencies in
connection with permits, licenses, or
other authorizations to conduct or finance its business.
§ 800.307 Appeals.
Any dispute concerning questions of
fact arising under the loan agreement
shall be decided in writing by the contracting officer. The borrower may request the contracting officer to reconsider any such decision, which reconsideration shall be promptly undertaken. If not satisfied with the contracting officer’s final decision, the
borrower, upon receipt of such written
decision, may appeal the decision within 60 days in writing to the Chairman,
Financial Assistance Appeals Board
(FAAB), Department of Energy, Washington, DC 20585. The Board shall proceed in accordance with the Department of Energy’s rules and regulations
for such purpose. The decision of the
Board with respect to such appeals
shall be the final decision of the Secretary.

PART 810—ASSISTANCE TO FOREIGN ATOMIC ENERGY ACTIVITIES
Sec.
810.1 Purpose.
810.2 Scope.
810.3 Definitions.
810.4 Communications.
810.5 Interpretations.
810.6 Generally authorized activities.
810.7 Activities requiring specific authorization.
810.8 Restrictions on general and specific
authorization.
810.9 Grant of specific authorization.
810.10 Revocation, suspension, or modification of authorization.
810.11 Information required in an application for specific authorization.
810.12 Reports.
810.13 Additional information.
810.14 Special provision regarding Ukraine.
810.15 Violations.
810.16 Effective date and savings clause.
APPENDIX A TO PART 810—GENERALLY AUTHORIZED DESTINATIONS
AUTHORITY: Secs. 57, 127, 128, 129, 161, 222,
and 232 Atomic Energy Act of 1954, as amended by the Nuclear Nonproliferation Act of
1978, Pub. L. 95–242, 68 Stat. 932, 948, 950, 958,
92 Stat. 126, 136, 137, 138 (42 U.S.C. 2077, 2156,

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§ 810.1

10 CFR Ch. III (1–1–21 Edition)

2157, 2158, 2201, 2272, 2280), and the Intelligence Reform and Terrorism Prevention
Act of 2004, Pub. L. 108–458, 118 Stat. 3768;
Sec. 104 of the Energy Reorganization Act of
1974, Pub. L. 93–438; Sec. 301, Department of
Energy Organization Act, Pub. L. 95–91; National Nuclear Security Administration Act,
Pub. L. 106–65, 50 U.S.C. 2401 et seq., as
amended.
SOURCE: 80 FR 9375, Feb. 23, 2015, unless
otherwise noted.

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§ 810.1 Purpose.
The regulations in this part implement section 57 b.(2) of the Atomic Energy Act, which empowers the Secretary, with the concurrence of the Department of State, and after consultation with the Nuclear Regulatory Commission, the Department of Commerce,
and the Department of Defense, to authorize persons to directly or indirectly engage or participate in the development or production of special nuclear material outside the United
States. The purpose of the regulations
in this part is to:
(a) Identify activities that are generally authorized by the Secretary and
thus require no other authorization
under this part;
(b) Identify activities that require
specific authorization by the Secretary
and explain how to request authorization; and
(c) Specify reporting requirements
for authorized activities.
§ 810.2 Scope.
(a) Part 810 (this part) applies to:
(1) All persons subject to the jurisdiction of the United States who directly
or indirectly engage or participate in
the development or production of any
special nuclear material outside the
United States; and
(2) The transfer of technology that
involves any of the activities listed in
paragraph (b) of this section either in
the United States or abroad by such
persons or by licensees, contractors or
subsidiaries under their direction, supervision, responsibility, or control.
(b) The activities referred to in paragraph (a) of this section are:
(1) Chemical conversion and purification of uranium and thorium from
milling plant concentrates and in all
subsequent steps in the nuclear fuel
cycle;

(2) Chemical conversion and purification of plutonium and neptunium;
(3) Nuclear fuel fabrication, including
preparation of fuel elements, fuel assemblies and cladding thereof;
(4) Uranium isotope separation (uranium enrichment), plutonium isotope
separation, and isotope separation of
any other elements (including stable
isotope separation) when the technology or process can be applied directly or indirectly to uranium or plutonium;
(5) Nuclear reactor development, production or use of the components within or attached directly to the reactor
vessel, the equipment that controls the
level of power in the core, and the
equipment or components that normally contain or come in direct contact with or control the primary coolant of the reactor core;
(6) Development, production or use of
production accelerator-driven subcritical assembly systems;
(7) Heavy water production and hydrogen isotope separation when the
technology or process has reasonable
potential for large-scale separation of
deuterium (2H) from protium (1H);
(8) Reprocessing of irradiated nuclear
fuel or targets containing special nuclear material, and post-irradiation examination of fuel elements, fuel assemblies and cladding thereof, if it is part
of a reprocessing program; and
(9) The transfer of technology for the
development, production, or use of
equipment or material especially designed or prepared for any of the above
listed activities. (See Nuclear Regulatory Commission regulations at 10
CFR part 110, Appendices A through K,
and O, for an illustrative list of items
considered to be especially designed or
prepared for certain listed nuclear activities.)
(c) This part does not apply to:
(1) Exports authorized by the Nuclear
Regulatory Commission, Department
of State, or Department of Commerce;
(2) Transfer of publicly available information, publicly available technology, or the results of fundamental
research;
(3) Uranium and thorium mining and
milling (e.g., production of impure
source material concentrates such as

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uranium yellowcake and all activities
prior to that production step);
(4) Nuclear fusion reactors per se, except for supporting systems involving
hydrogen isotope separation technologies within the scope defined in
paragraph (b)(7) of this section and
§ 810.7(c)(3);
(5) Production or extraction of radiopharmaceutical isotopes when the
process does not involve special nuclear material; and
(6) Transfer of technology to any individual who is lawfully admitted for
permanent residence in the United
States or is a protected individual
under the Immigration and Naturalization Act (8 U.S.C. 1324b(a)(3)).
(d) Persons under U.S. jurisdiction
are responsible for their foreign licensees, contractors, or subsidiaries to the
extent that the former have control
over the activities of the latter.
§ 810.3 Definitions.
As used in this part 810:
Agreement for cooperation means an
agreement with another nation or
group of nations concluded under sections 123 or 124 of the Atomic Energy
Act.
Assistance means assistance in such
forms as instruction, skills, training,
working knowledge, consulting services, or any other assistance as determined by the Secretary. Assistance
may involve the transfer of technical
data.
Atomic Energy Act means the Atomic
Energy Act of 1954, as amended.
Classified information means national
security information classified under
Executive Order 13526 or any predecessor or superseding order, and Restricted Data classified under the
Atomic Energy Act.
Cooperative
enrichment
enterprise
means a multi-country or multi-company (where at least two of the companies are incorporated in different countries) joint development or production
effort. The term includes a consortium
of countries or companies or a multinational corporation.
Country, as well as government, nation, state, and similar entity, shall be
read to include Taiwan, consistent
with section 4 of the Taiwan Relations
Act (22 U.S.C. 3303).

Development means any activity related to all phases before production
such as: Design, design research, design
analysis, design concepts, assembly
and testing of prototypes, pilot production schemes, design data, process of
transforming design data into a product, configuration design, integration
design, and layouts.
DOE means the U.S. Department of
Energy.
Enrichment means isotope separation
of uranium or isotope separation of
plutonium, regardless of the type of
process or separation mechanism used.
Fissile material means isotopes that
readily fission after absorbing a neutron of any energy, either fast or slow.
Fissile materials are uranium-235, uranium-233, plutonium-239, and plutonium-241.
Foreign national means an individual
who is not a citizen or national of the
United States, but excludes U.S. lawful
permanent residents and protected individuals under the Immigration and
Naturalization
Act
(8
U.S.C.
1324b(a)(3)).
Fundamental research means basic
and applied research in science and engineering, the results of which ordinarily are published and shared broadly
within the scientific community, as
distinguished from proprietary research and from industrial development, design, production, and product
utilization, the results of which ordinarily are restricted for proprietary or
national security reasons.
General authorization means an authorization granted by the Secretary
under section 57 b.(2) of the Atomic Energy Act to provide assistance or technology to foreign atomic energy activities subject to this part and which does
not require a request for, or the Secretary’s issuance of, a specific authorization.
IAEA means the International Atomic Energy Agency.
NNPA means the Nuclear Non-Proliferation Act of 1978, 22 U.S.C. 3201 et
seq.
NPT means the Treaty on the NonProliferation of Nuclear Weapons, done
on July 1, 1968.
Nuclear reactor means an apparatus,
other than a nuclear explosive device,

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§ 810.3

10 CFR Ch. III (1–1–21 Edition)

designed or used to sustain nuclear fission in a self-sustaining chain reaction.
Operational safety means the capability of a reactor to be operated in a
manner that complies with national
standards or requirements or widelyaccepted international standards and
recommendations to prevent uncontrolled or inadvertent criticality, prevent or mitigate uncontrolled release
of radioactivity to the environment,
monitor and limit staff exposure to radiation and radioactivity, and protect
off-site population from exposure to radiation or radioactivity. Operational
safety may be enhanced by providing
expert advice, equipment, instrumentation, technology, software, services,
analyses, procedures, training, or other
assistance that improves the capability
of the reactor to be operated in compliance with such standards, requirements or recommendations.
Person means:
(1) Any individual, corporation, partnership, firm, association, trust, estate, public or private institution;
(2) Any group, government agency
other than DOE, or any State or political entity within a State; and
(3) Any legal successor, representative, agent, or agency of the foregoing.
Production means all production
phases such as: Construction, production engineering, manufacture, integration, assembly or mounting, inspection, testing, and quality assurance.
Production accelerator means a particle accelerator especially designed,
used, or intended for use with a production subcritical assembly.
Production accelerator-driven subcritical assembly system means a system
comprised of a production subcritical
assembly and a production accelerator
and which is especially designed, used,
or intended for the production of plutonium or uranium-233. In such a system,
the production accelerator target provides a source of neutrons used to effect special nuclear material production in the production subcritical assembly.
Production reactor means a nuclear reactor especially designed or used primarily for the production of plutonium
or uranium-233.
Production subcritical assembly means
an apparatus that contains source ma-

terial or special nuclear material to
produce a nuclear fission chain reaction that is not self-sustaining and
that is especially designed, used, or intended for the production of plutonium
or uranium-233.
Publicly available information means
information in any form that is generally accessible, without restriction,
to the public.
Publicly available technology means
technology that is already published or
has been prepared for publication;
arises during, or results from, fundamental research; or is included in an
application filed with the U.S. Patent
Office and eligible for foreign filing
under 35 U.S.C. 184.
Restricted Data means all data concerning:
(1) Design, manufacture, or utilization of atomic weapons;
(2) The production of special nuclear
material; or
(3) The use of special nuclear material in the production of energy, but
shall not include data declassified or
removed from the Restricted Data category pursuant to section 142 of the
Atomic Energy Act.
Secretary means the Secretary of Energy.
Sensitive nuclear technology means
any information (including information incorporated in a production or
utilization facility or important component part thereof) which is not available to the public (see definition of
‘‘publicly available information’’) and
which is important to the design, construction, fabrication, operation, or
maintenance of a uranium enrichment
or nuclear fuel reprocessing facility or
a facility for the production of heavy
water, but shall not include Restricted
Data controlled pursuant to chapter 12
of the Atomic Energy Act. The information may take a tangible form such
as a model, prototype, blueprint, or operation manual or an intangible form
such as assistance.
Source material means:
(1) Uranium or thorium, other than
special nuclear material; or
(2) Ores that contain by weight 0.05
percent or more of uranium or thorium, or any combination of these materials.
Special nuclear material means:

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(1) Plutonium,
(2) Uranium-233, or
(3) Uranium enriched above 0.711 percent by weight in the isotope uranium235.
Specific authorization means an authorization granted by the Secretary
under section 57b.(2) of the Atomic Energy Act, in response to an application
filed under this part, to engage in specifically authorized nuclear activities
subject to this part.
Technical data means data in such
forms as blueprints, plans, diagrams,
models, formulae, engineering designs,
specifications, manuals, and instructions written or recorded on other
media or devices such as disks, tapes,
read-only memories, and computational methodologies, algorithms, and
computer codes that can directly or indirectly affect the production of special nuclear material.
Technology means assistance or technical data required for the development, production or use of any plant,
facility, or especially designed or prepared equipment for the activities described in § 810.2(b).
Use means operation, installation (including on-site installation), maintenance (checking), repair, overhaul, or
refurbishing.
United States, when used in a geographical sense, includes Puerto Rico
and all territories and possessions of
the United States.
§ 810.4 Communications.
(a) All communications concerning
the regulations in this part should be
addressed to: U.S. Department of Energy, Washington, DC 20585. Attention:
Senior Policy Advisor, National Nuclear Security Administration/Office of
Nonproliferation and Arms Control
(NPAC), Telephone (202) 586–1007.
(b) Communications also may be delivered to DOE’s headquarters at 1000
Independence Avenue SW., Washington,
DC 20585. All clearly marked proprietary information will be given the
maximum protection allowed by law.
(c) Communications may also be delivered
by
email
to:
[email protected]. For ‘‘fast track’’
activities described in §§ 810.6(c)(1) and
(c)(2) emails should be sent to: [email protected]. Notifi-

cations regarding activity in the
Ukraine should be delivered by email
to: [email protected].
§ 810.5

Interpretations.

(a) The advice of the DOE Office of
Nonproliferation and Arms Control
may be requested on whether a proposed activity falls outside the scope of
this part, is generally authorized under
§ 810.6, or requires a specific authorization under § 810.7. However, unless authorized by the Secretary in writing,
no interpretation of the regulations in
this part other than a written interpretation by the DOE General Counsel is
binding upon DOE.
(b) When advice is requested from the
DOE Office of Nonproliferation and
Arms Control, or a binding, written determination is requested from the DOE
General Counsel, a response normally
will be made within 30 calendar days
and, if this is not feasible, an interim
response will explain the reason for the
delay.
(c) The DOE Office of Nonproliferation and Arms Control may periodically publish abstracts of general or
specific authorizations that may be of
general interest, exclusive of proprietary business-confidential data submitted to DOE or other information
protected by law from unauthorized
disclosure.
§ 810.6

Generally authorized activities.

The Secretary has determined that
the following activities are generally
authorized, provided that no sensitive
nuclear technology or assistance described in § 810.7 is involved:
(a) Engaging directly or indirectly in
the production of special nuclear material at facilities in countries or with
entities listed in the Appendix to this
part;
(b) Transfer of technology to a citizen or national of a country other
than the United States not listed in
the Appendix to this part and working
at an NRC-licensed facility, provided:
(1) The foreign national is lawfully
employed by or contracted to work for
a U.S. employer in the United States;
(2) The foreign national executes a
confidentiality agreement with the

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§ 810.7

10 CFR Ch. III (1–1–21 Edition)

U.S. employer to safeguard the technology from unauthorized use or disclosure;
(3) The foreign national has been
granted unescorted access in accordance with NRC regulations at an NRClicensed facility; and
(4) The foreign national’s U.S. employer authorizing access to the technology complies with the reporting requirements in § 810.12(g).
(c) Activities at any safeguarded or
NRC-licensed facility to:
(1) Prevent or correct a current or
imminent radiological emergency posing a significant danger to the health
and safety of the off-site population,
which emergency in DOE’s assessment
cannot be met by other means, provided DOE is notified in writing in advance and does not object within 48
hours of receipt of the advance notification;
(2) Furnish operational safety information or assistance to existing safeguarded civilian nuclear reactors outside the United States in countries
with safeguards agreements with the
IAEA or an equivalent voluntary offer,
provided DOE is notified in writing and
approves the activity in writing within
45 calendar days of the notice. The applicant should provide all the information required under § 810.11 and specific
references to the national or international safety standards or requirements for operational safety for nuclear reactors that will be addressed by
the assistance; or
(3) Furnish operational safety information or assistance to existing, proposed, or new-build civilian nuclear facilities in the United States, provided
DOE is notified by certified mail return
receipt requested and approves the activity in writing within 45 calendar
days of the notice. The applicant
should provide all the information required under § 810.11.
(d) Participation in exchange programs approved by the Department of
State in consultation with DOE;
(e) Activities carried out in the
course of implementation of the
‘‘Agreement between the United States
of America and the IAEA for the Application of Safeguards in the United
States,’’ done on December 9, 1980;

(f) Activities carried out by persons
who are full-time employees of the
IAEA or whose employment by or work
for the IAEA is sponsored or approved
by the Department of State or DOE; or
(g) Extraction of Molybdenum-99 for
medical use from irradiated targets of
enriched uranium, provided that the
activity does not also involve purification and recovery of enriched uranium materials, and provided further,
that the technology used does not involve significant components relevant
for reprocessing spent nuclear reactor
fuel
(e.g.,
high-speed
centrifugal
contactors, pulsed columns).
§ 810.7 Activities requiring specific authorization.
Any person requires a specific authorization by the Secretary before:
(a) Engaging in any of the activities
listed in § 810.2(b) with any foreign
country or entity not specified in the
Appendix to this part;
(b) Providing or transferring sensitive nuclear technology to any foreign country or entity; or
(c) Engaging in or providing technology (including assistance) for any of
the following activities with respect to
any foreign country or entity (or a citizen or national of that country other
than U.S. lawful permanent residents
or protected individuals under the Immigration and Naturalization Act (8
U.S.C. 1324b(a)(3)):
(1) Uranium isotope separation (uranium enrichment), plutonium isotope
separation, or isotope separation of
any other elements (including stable
isotope separation) when the technology or process can be applied directly or indirectly to uranium or plutonium;
(2) Fabrication of nuclear fuel containing plutonium, including preparation of fuel elements, fuel assemblies,
and cladding thereof;
(3) Heavy water production, and hydrogen isotope separation, when the
technology or process has reasonable
potential for large-scale separation of
deuterium (2H) from protium (1H);
(4) Development, production or use of
a production accelerator-driven subcritical assembly system;
(5) Development, production or use of
a production reactor; or

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§ 810.9

(6) Reprocessing of irradiated nuclear
fuel or targets containing special nuclear material.
§ 810.8 Restrictions on general
specific authorization.

and

A general or specific authorization
granted by the Secretary under this
part:
(a) Is limited to activities involving
only unclassified information and does
not permit furnishing classified information;
(b) Does not relieve a person from
complying with the relevant laws or
the regulations of other U.S. Government agencies applicable to exports;
and
(c) Does not authorize a person to engage in any activity when the person
knows or has reason to know that the
activity is intended to provide assistance in designing, developing, fabricating, or testing a nuclear explosive
device.

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§ 810.9

Grant of specific authorization.

(a) An application for authorization
to engage in activities for which specific authorization is required under
§ 810.7 should be made to the U.S. Department of Energy, National Nuclear
Security Administration, Washington,
DC 20585, Attention: Senior Policy Advisor, Office of Nonproliferation and
Arms Control (NPAC).
(b) The Secretary will approve an application for specific authorization if it
is determined, with the concurrence of
the Department of State and after consultation with the Nuclear Regulatory
Commission, Department of Commerce, and Department of Defense,
that the activity will not be inimical
to the interest of the United States. In
making such a determination, the Secretary will take into account the following factors:
(1) Whether the United States has an
agreement for cooperation in force covering exports to the country or entity
involved;
(2) Whether the country is a party to,
or has otherwise adhered to, the NPT;
(3) Whether the country is in good
standing with its acknowledged nonproliferation commitments;

(4) Whether the country is in full
compliance with its obligations under
the NPT;
(5) Whether the country has accepted
IAEA safeguards obligations on all nuclear materials used for peaceful purposes and has them in force;
(6) Whether other nonproliferation
controls or conditions exist on the proposed activity, including that the recipient is duly authorized by the country to receive and use the technology
sought to be transferred;
(7) Significance of the assistance or
transferred technology relative to the
existing nuclear capabilities of the
country;
(8) Whether the transferred technology is part of an existing cooperative enrichment enterprise or the supply chain of such an enterprise;
(9) The availability of comparable assistance or technology from other
sources; and
(10) Any other factors that may bear
upon the political, economic, competitiveness, or security interests of the
United States, including the obligations of the United States under treaties or other international agreements,
and the obligations of the country
under treaties or other international
agreements.
(c) If the proposed activity involves
the export of sensitive nuclear technology, the requirements of sections
127 and 128 of the Atomic Energy Act
and of any applicable United States
international commitments must also
be met. For the export of sensitive nuclear technology, in addition to the
factors in paragraph (b) of this section,
the Secretary will take into account:
(1) Whether the country has signed,
ratified, and is implementing a comprehensive safeguards agreement with
the IAEA and has in force an Additional Protocol based on the Model Additional Protocol, or, pending this, in
the case of a regional accounting and
control arrangement for nuclear materials, is implementing, in cooperation
with the IAEA, a safeguards agreement
approved by the IAEA Board of Governors prior to the publication of
INFCIRC/540 (September 1997); or alternatively whether comprehensive safeguards, including the measures of the

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§ 810.10

10 CFR Ch. III (1–1–21 Edition)

Model Additional Protocol, are being
applied in the country;
(2) Whether the country has not been
identified in a report by the IAEA Secretariat that is under consideration by
the IAEA Board of Governors, as being
in breach of obligations to comply with
the applicable safeguards agreement,
nor continues to be the subject of
Board of Governors decisions calling
upon it to take additional steps to
comply with its safeguards obligations
or to build confidence in the peaceful
nature of its nuclear program, nor as
to which the IAEA Secretariat has reported that it is unable to implement
the applicable safeguards agreement.
This criterion would not apply in cases
where the IAEA Board of Governors or
the United Nations Security Council
subsequently decides that adequate assurances exist as to the peaceful purposes of the country’s nuclear program
and its compliance with the applicable
safeguards agreements. For the purposes of this paragraph, ‘‘breach’’ refers only to serious breaches of proliferation concern;
(3) Whether the country is adhering
to the Nuclear Suppliers Group Guidelines and, where applicable, has reported to the Security Council of the
United Nations that it is implementing
effective export controls as identified
by Security Council Resolution 1540;
and
(4) Whether the country adheres to
international safety conventions relating to nuclear or other radioactive materials or facilities.
(d) Unless otherwise prohibited by
U.S. law, the Secretary may grant an
application for specific authorization
for activities related to the enrichment
of source material and special nuclear
material, provided that:
(1) The U.S. Government has received
written nonproliferation assurances
from the government of the country;
(2) That it/they accept(s) the sensitive enrichment equipment and enabling technologies or an operable enrichment facility under conditions that
do not permit or enable unauthorized
replication of the facilities;
(3) That the subject enrichment activity will not result in the production
of uranium enriched to greater than
20% in the isotope uranium-235; and

(4) That there are in place appropriate security arrangements to protect the activity from use or transfer
inconsistent with the country’s national laws.
(e) Approximately 30 calendar days
after the Secretary’s grant of a specific
authorization, a copy of the Secretary’s determination may be provided to any person requesting it at
DOE’s Public Reading Room, unless
the applicant submits information
demonstrating that public disclosure
will cause substantial harm to its competitive position. This provision does
not affect any other authority provided
by law for the non-disclosure of information.
§ 810.10 Revocation, suspension, or
modification of authorization.
The Secretary may revoke, suspend,
or modify a general or specific authorization:
(a) For any material false statement
in an application for specific authorization or in any additional information
submitted in its support;
(b) For failing to provide a report or
for any material false statement in a
report submitted pursuant to § 810.12;
(c) If any authorization governed by
this part is subsequently determined
by the Secretary to be inimical to the
interest of the United States or otherwise no longer meets the legal criteria
for approval; or
(d) Pursuant to section 129 of the
Atomic Energy Act.
§ 810.11 Information required in an application for specific authorization.
(a) An application letter must include the following information:
(1) The name, address, and citizenship of the applicant, and complete disclosure of all real parties in interest; if
the applicant is a corporation or other
legal entity, where it is incorporated or
organized; the location of its principal
office; and the degree of any control or
ownership by any foreign individual,
corporation, partnership, firm, association, trust, estate, public or private institution or government agency;
(2) The country or entity to receive
the assistance or technology; the name
and location of any facility or project
involved; and the name and address of

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Department of Energy

§ 810.12

the person for which or whom the activity is to be performed;
(3) A description of the assistance or
technology to be provided, including a
complete description of the proposed
activity, its approximate monetary
value, and a detailed description of any
specific project to which the activity
relates as specified in §§ 810.9(b)(7), (8),
and (9); and
(4) The designation of any information that if publicly disclosed would
cause substantial harm to the competitive position of the applicant.
(b) Except as provided in § 810.6(b), an
applicant seeking to employ a citizen
or national of a country not listed in
the Appendix in a position that could
result in the transfer of technology
subject to § 810.2, or seeking to employ
any foreign national in the United
States or in a foreign country that
could result in the export of assistance
or transfer of technology subject to
§ 810.7 must request a specific authorization. The applicant must provide,
with respect to each foreign national
to whom access to technology will be
granted, the following:
(1) A description of the technology
that would be made available to the
foreign national;
(2) The purpose of the proposed transfer, a description of the applicant’s
technology control program, and any
Nuclear Regulatory Commission standards applicable to the employer’s grant
of access to the technology;
(3) A copy of any confidentiality
agreement to safeguard the technology
from unauthorized use or disclosure between the applicant and the foreign national;
(4) Background information about
the foreign national, including the individual’s citizenship, all countries
where the individual has resided for
more than six months, the training or
educational background of the individual, all work experience, any other
known affiliations with persons engaged in activities subject to this part,
and any current immigration or visa
status in the United States; and
(5) A statement signed by the foreign
national that he/she will comply with
the regulations under this part; will
not disclose the applicant’s technology
without DOE’s prior written authoriza-

tion; and will not, at any time during
or after his/her employment with the
applicant, use the applicant’s technology for any nuclear explosive device, for research on or development of
any nuclear explosive device, or in furtherance of any military purpose.
(c) An applicant for a specific authorization related to the enrichment of
fissile material must submit information that demonstrates that the proposed transfer will avoid, so far as
practicable, the transfer of enabling
design or manufacturing technology
associated with such items; and that
the applicant will share with the recipient only information required for
the regulatory purposes of the recipient country or to ensure the safe installation and operation of a resulting
enrichment facility, without divulging
enabling technology.
§ 810.12

Reports.

(a) Each person who has received a
specific authorization shall, within 30
calendar days after beginning the authorized activity, provide to DOE a
written report containing the following
information:
(1) The name, address, and citizenship of the person submitting the report;
(2) The name, address, and citizenship of the person for whom or which
the activity is being performed;
(3) A description of the activity, the
date it began, its location, status, and
anticipated date of completion; and
(4) A copy of the DOE letter authorizing the activity.
(b) Each person carrying out a specifically authorized activity shall inform DOE, in writing within 30 calendar days, of completion of the activity or of its termination before completion.
(c) Each person granted a specific authorization shall inform DOE, in writing within 30 calendar days, when it is
known that the proposed activity will
not be undertaken and the granted authorization will not be used.
(d) DOE may require reports to include such additional information that
may be required by applicable U.S. law,
regulation, or policy with respect to
the specific nuclear activity or country

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§ 810.13

10 CFR Ch. III (1–1–21 Edition)

for which specific authorization is required.
(e) Each person, within 30 calendar
days after beginning any generally authorized activity under § 810.6, shall
provide to DOE:
(1) The name, address, and citizenship of the person submitting the report;
(2) The name, address, and citizenship of the person for whom or which
the activity is being performed;
(3) A description of the activity, the
date it began, its location, status, and
anticipated date of completion; and
(4) A written assurance that the applicant has an agreement with the recipient ensuring that any subsequent
transfer of materials, equipment, or
technology transferred under general
authorization under circumstances in
which the conditions in § 810.6 would
not be met will take place only if the
applicant obtains DOE’s prior written
approval.
(f) Individuals engaging in generally
authorized activities as employees of
persons required to report are not
themselves required to submit the reports described in paragraph (e) of this
section.
(g) Persons engaging in generally authorized activities under § 810.6(b) are
required to notify DOE that a citizen
or national of a country not listed in
the Appendix to this part has been
granted access to information subject
to § 810.2 in accordance with Nuclear
Regulatory Commission access requirements. The report should contain the
information required in § 810.11(b).
(h) All reports should be sent to: U.S.
Department of Energy, National Nuclear Security Administration, Washington, DC 20585, Attention: Senior
Policy Advisor, Office of Nonproliferation and Arms Control (NPAC).

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§ 810.13 Additional information.
DOE may at any time require a person engaging in any generally or specifically authorized activity to submit
additional information.
§ 810.14 Special provisions regarding
Ukraine.
(a) Pre-activity notification requirements. Any person beginning any generally authorized activity involving

Ukraine shall provide to DOE at least
ten days prior to beginning that activity a report containing the following
information:
(1) The name, address, and citizenship of the person submitting the notification;
(2) The name, address, and citizenship of the person for which the activity is to be performed;
(3) A description of the activity, the
date it is proposed to begin, its location, status, and anticipated date of
completion; and
(4) A written assurance that the person that is to perform the activity has
an agreement with the recipient that
any subsequent transfer of technology
or information transferred under general authorization will not be transferred to a country that is not listed in
the Appendix to this part without the
prior written approval of DOE.
(b) Post-activity reporting requirements.
Every person completing a generally
authorized activity in Ukraine shall
provide to DOE within ten days following the original transfer of technology or information written confirmation that such transfer was completed in accordance with the description of the activity provided as required by paragraph (a) of this section.
§ 810.15 Violations.
(a) The Atomic Energy Act provides
that:
(1) In accordance with section 232 of
the AEA, permanent or temporary injunctions, restraining or other orders
may be granted to prevent a violation
of any provision of the Atomic Energy
Act or any regulation or order issued
thereunder.
(2) In accordance with section 222 of
the AEA, whoever willfully violates,
attempts to violate, or conspires to
violate any provision of section 57 of
the Atomic Energy Act may be fined
up to $10,000 or imprisoned up to 10
years, or both. If the offense is committed with intent to injure the United
States or to aid any foreign nation, the
penalty could be up to life imprisonment or a $20,000 fine, or both.
(b) In accordance with Title 18 of the
United States Code, section 1001, whoever knowingly and willfully falsifies,
conceals, or covers up a material fact

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Department of Energy

Pt. 820

or makes or uses false, fictitious or
fraudulent statements or representations shall be fined under that title or
imprisoned up to five or eight years depending on the crime, or both.
§ 810.16 Effective date and savings
clause.
(a) The regulations in this part are
effective March 25, 2015.
(b) Except for actions that may be
taken by DOE pursuant to § 810.10, the
regulations in this part do not affect
the validity or terms of any specific
authorizations granted under regulations in effect before March 25, 2015 or
generally authorized activities under
those regulations for which the contracts, purchase orders, or licensing arrangements were already in effect. Persons engaging in activities that were
generally authorized under regulations
in effect before March 25, 2015, but that
require specific authorization under
the regulations in this part, must request specific authorization by August
24, 2015 and may continue their activities until DOE acts on the request.

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APPENDIX A TO PART 810—GENERALLY
AUTHORIZED DESTINATIONS
Argentina
Australia
Austria
Belgium
Brazil
Bulgaria
Canada
Chile (For all
activities related
to INFCIRC/834
only)
Colombia
Croatia
Cyprus
Czech Republic
Denmark
Egypt
Estonia
Finland
France
Germany
Greece
Hungary
Indonesia
International Atomic
Energy Agency
Ireland
Italy
Japan
Kazakhstan
Korea, Republic of

Latvia
Lithuania
Luxembourg
Malta
Mexico (For all
activities related
to INFCIRC/203
Parts 1 and 2 and
INFCIRC/825 only)
Morocco
Netherlands
Norway
Poland
Portugal
Romania
Slovakia
Slovenia
South Africa
Spain
Sweden
Switzerland
Taiwan
Turkey
Ukraine (Refer to
§ 810.14 for specific
information and
requirements)
United Arab
Emirates
United Kingdom
Vietnam

PART 820—PROCEDURAL RULES
FOR DOE NUCLEAR ACTIVITIES
Subpart A—General
Sec.
820.1 Purpose and scope.
820.2 Definitions.
820.3 Separation of functions.
820.4 Conflict of interest.
820.5 Service.
820.6 Computation and extension of time.
820.7 Questions of policy or law.
820.8 Evidentiary matters.
820.9 Special assistant.
820.10 Office of the docketing clerk.
820.11 Information requirements.
820.12 Classified, confidential, and controlled information.
820.13 Direction to NNSA contractors.
820.14 Whistleblower protection.

Subpart B—Enforcement Process
820.20 Purpose and scope.
820.21 Investigations.
820.22 Informal conference.
820.23 Consent order.
820.24 Preliminary notice of violation.
820.25 Final notice of violation.
820.26 Enforcement adjudication.
820.27 Answer.
820.28 Prehearing actions.
820.29 Hearing.
820.30 Post-hearing filings.
820.31 Initial decision.
820.32 Final order.
820.33 Default order.
820.34 Accelerated decision.
820.35 Ex parte discussions.
820.36 Filing, form, and service of documents.
820.37 Participation in an adjudication.
820.38 Consolidation and severance.
820.39 Motions.

Subpart C—Compliance Orders
820.40
820.41
820.42
820.43

Purpose and scope.
Compliance order.
Final order.
Appeal.

820.50
820.51
820.52

Purpose and scope.
General Counsel.
Procedures.

Subpart D—Interpretations

Subpart E—Exemption Relief
820.60
820.61
820.62
820.63
820.64
820.65

Purpose and scope.
Secretarial officer.
Criteria.
Procedures.
Terms and conditions.
Implementation plan.

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