Information Notice 2011-07, Specific License Required When Exporting To Embargoed Destinations Listed In 10 CFR 110.28
| ML110180287 | |
| Person / Time | |
|---|---|
| Issue date: | 04/14/2011 |
| Revision: | 0 |
| From: | Dudes L A, Kinneman J D, McGinty T J, Reis T NRC/FSME/DMSSA, NRC/NRO/DE, Division of Policy and Rulemaking, Division of Nuclear Materials Safety I |
| To: | |
| cmh2, lgs1 | |
| References | |
| IN-11-007 | |
| Download: ML110180287 (5) | |
ML110180287 April 14, 2011 NRC INFORMATION NOTICE 2011-07: SPECIFIC LICENSE REQUIRED WHEN EXPORTING TO EMBARGOED DESTINATIONS LISTED IN 10 CFR 110.28
ADDRESSEES
All holders of, or applicants for, a license issued by the U.S. Nuclear Regulatory Commission (NRC). All Agreement State Radiation Control Program Directors and State Liaison Officer
PURPOSE
The NRC is issuing this information notice (IN) to inform addressees of recent operating experience involving the requirement to obtain a specific license under Title 10 of the Code of Federal Regulations (10 CFR) Part 110, "Export and Import of Nuclear Equipment and Material," for exporting nuclear equipment and material to an embargoed destination and to provide information on the NRC's planned actions on unauthorized exports to embargoed destination The NRC expects recipients to review the information for applicability to their facilities and consider actions, as appropriate, to avoid similar problem The suggestions that appear in this IN are not NRC requirements; therefore, no specific action or written response is require The NRC is providing this IN to the Agreement States for their information and for distribution to their licensees, as appropriat DESCRIPTION OF CIRCUMSTANCES On November 21, 2008, a U.S. electronics company shipped a moisture density gauge containing americium-241 to Jordan, with subsequent forwarding through a local distributor to Ira However, 10 CFR 110.28, "Embargoed Destinations," lists Iraq as an embargoed destinatio Although the general license that the NRC issued as 10 CFR 110.20, "General License Information," and 10 CFR 110.23, "General License for the Export of Byproduct Material," broadly grants authorization to export selected byproduct material to certain destinations, this U.S. electronics company did not apply for and obtain a specific license, as required by 10 CFR 110.20(a) and (f), prior to exporting the device to an embargoed destinatio This U.S. electronics company determined that the cause of the event was inadequate procedures and training on NRC export regulation
BACKGROUND
The NRC is the U.S. licensing authority for exports and imports of nuclear materials and equipmen The regulations at 10 CFR Part 110 apply to all individuals in the United States who export and import nuclear equipment and material (including byproduct material) under NRC licensing authorit Unless the export or import transaction falls in one of the specific exception categories identified in 10 CFR 110.1(b)(1)-(5), it must be authorized by an appropriate NRC licens The NRC issues two types of export licenses: general and specifi General License The NRC issues general export licenses under 10 CFR 110.21-110.26 as a regulation (i.e., the regulation itself is also a general license). NRC general licenses authorize selected exports of nuclear material or equipment and are effective without the filing of a specific application with the NRC or the issuance of a licensing document (piece of paper) by the NRC to a particular perso Individual exporters do not need to apply for an NRC general export license under 10 CFR 110.21-110.26 because authorization is already granted through the regulation; they only need to know that the authorization is available and in accordance with 10 CFR 110.20, "General license information." The NRC general export licenses authorize exports of nuclear material below specified quantities, in certain forms or as contained in consumer products, to any country not listed in 10 CFR 110.28 as an embargoed destinatio The regulation at 10 CFR 110.29, "Restricted Destinations," includes additional restrictions on the use of the general license for exports of certain commodities to those destination The NRC general export license also authorizes exports of certain minor nuclear reactor components to designated eligible recipient countrie The regulations at 10 CFR 110.21, "General License for the Export of Special Nuclear Material," through 10 CFR 110.24, "General License for the Export of Deuterium," do not authorize exports to the embargoed destinations listed in 10 CFR 110.2 Specific License A specific license is an export license document that is issued to a named person based on the NRC's review and approval of the applicatio Under 10 CFR 110.20(a), the NRC must first approve, through the issuance of a specific license, exports of nuclear equipment and material (including byproduct material) under its licensing authority that are not explicitly authorized under one of the general export license provisions in 10 CFR 110.21 through 10 CFR 110.26, "General License for the Export of Nuclear Reactor Components," such as exports to embargoed destination To obtain a specific license, the exporter must file an application with the NRC (10 CFR 110.31, "Application for a Specific License") using NRC Form 7, "Application for NRC Export or Import License, Amendment, or Renewal." As noted above, exports to an embargoed destination listed in 10 CFR 110.28 must be authorized by an NRC specific licens Currently, 10 CFR 110.28 lists six embargoed destinations-Cuba, Iran, Iraq, North Korea, Sudan, and Syri This list changes from time to time to allow the NRC to ensure that its regulations conform to U.S. law and foreign polic The regulatory effect of listing a country in 10 CFR 110.28 is to prohibit the export of any nuclear material or components (including byproduct material) under a general licens Exports to an embargoed destination must be authorized by a specific export licens As part of the NRC review process, 10 CFR 110.41(a)(9) requires the NRC to forward applications for a specific license to export nuclear material or components (including byproduct material) to an embargoed destination to the Executive Branch for revie As part of its review, the Executive Branch will submit to the NRC its judgment as to whether the proposed export to an embargoed destination would be inimical to the common defense and security of the United State DISCUSSION The regulation at 10 CFR 110.20(a) requires the NRC's approval, through the issuance of a specific license, of exports under the agency's licensing authority that are not explicitly authorized under one of the general export license provisions in 10 CFR 110.21 through 10 CFR 110.2 Each of the regulations at 10 CFR 110.21 through 10 CFR 110.26 has a provision related to the country or destination where the items are being exported (e.g., embargoed destinations), which, as described in 10 CFR 110.32, "Information Required in an Application for a Specific License/NRC Form 7," includes the country of both the intermediate and ultimate consignee Specifically, 10 CFR 110.32(d) and 10 CFR 110.32(f)(7) require that the application for a specific license include the "[n]ames and addresses of all intermediate and ultimate consignees, other than intermediate consignees performing shipping services only," and a "[d]escription of end use by all consignees in sufficient detail to permit accurate evaluation of the justification for the proposed export or import."
Shipments to a distributor or to a "middle man" in a nonembargoed destination do not relieve the exporter of the requirement to obtain a specific license for exports in which the ultimate consignee is in an embargoed destinatio Additional information on NRC export and import regulations at 10 CFR Part 110 may be found at http://www.nrc.gov/about-nrc/ip/export-import.htm
CONTACT
This IN requires no specific action or written respons Please direct any questions about this matter to the technical contact listed belo /RA/ /J. Leuhman for/ Timothy J. McGinty, Director Terrence Reis, Acting Director Division of Policy and Rulemaking Division of Materials Safety and State Agreements Office of Nuclear Reactor Regulation Office of Federal and State Materials and Environmental Management Programs /M. Shuaibi for/ /RA/
Laura A. Dudes, Director John D. Kinneman, Director Division of Construction Inspection Division of Fuel Cycle Safety and Safeguards and Operational Programs Office of Nuclear Material Safety and Safeguards Office of New Reactors
Technical Contact:
Brooke G. Smith, OIP 301-415-2347 E-mail: Brooke.Smith@nrc.gov Note: NRC generic communications may be found on the NRC public Web site, http://www.nrc.gov, under Electronic Reading Room/Document Collection
CONTACT
This IN requires no specific action or written respons Please direct any questions about this matter to the technical contact listed belo /RA/ /J. Leuhman for/ Timothy J. McGinty, Director Terrence Reis, Acting Director Division of Policy and Rulemaking Division of Materials Safety and State Agreements Office of Nuclear Reactor Regulation Office of Federal and State Materials and Environmental Management Programs /M. Shuaibi for/ /RA/
Laura A. Dudes, Director John D. Kinneman, Director Division of Construction Inspection Division of Fuel Cycle Safety and Safeguards and Operational Programs Office of Nuclear Material Safety and Safeguards Office of New Reactors
Technical Contact:
Brooke G. Smith, OIP 301-415-2347 E-mail: Brooke.Smith@nrc.gov Note: NRC generic communications may be found on the NRC public Web site, http://www.nrc.gov, under Electronic Reading Room/Document Collection ADAMS Accession Number: ML110180287 TAC ME5187 OFFICE ECIOB:OIP Tech Editor BC: ECIOB:OIP D:OIP NAME BSmith KKribbs JOwens MDoane DATE 3/10/2011 2/28/2011 e-mail 3/10/2011 3/29/2011 OFFICE LA:PGCB:NRR PM:PGCB:NRR BC:PGCB:NRR BC:ASPB:FSME NAME CHawes DBeaulieu SRosenberg DWhite DATE 3/31/2011 3/30/2011 4/5/2011 4/8/2011 OFFICE D:DNMS RI D:DNMS RIII D:DNMS RIV D:DWMEP:FSME NAME RLorson ABoland PLouden for RCaniano LCamper OFFICE 4/7/2011 e-mail 4/7/2011 e-mail 4/7/2011 e-mail 4/7/2011 e-mail OFFICE D:DMSSA:FSME D:DFCSS:NMSS D:DCIP:NRO D:DPR:NRR NAME TReis JLeuhman for JKinneman LDudes MShuaibi for TMcGinty DATE 4/11/2011 4/13/2011 4/6/2011 4/14/2011 OFFICIAL RECORD COPY