Wednesday, November 2

10:00 a.m. – 11:30 a.m.

Webinar 

Proposed Changes to the 

10 CFR Part 810 Regulation
Welcome

Andrew Walker, Moderator

Battelle Memorial Institute

Richard Goorevich, Presenter

Office of Nonproliferation and International Security,

National Nuclear Security Administration,

U.S. Department of Energy
Webinar Purpose 

The purpose of this webinar is to provide background 

information and highlight proposed changes to the 10 CFR 

Part 810 Regulation.

The NNSA will answer as many questions as possible.

The webinar is not the forum for formal comments.
Agenda

. 

I. Welcome, introductions, agenda, and ground rules 

II. Presentation

III. Break (10 minutes): Time for NNSA to prepare answers to 

your questions

IV. Respond to questions

V. Closing
Ground Rules for 

Participation

. 

• Moderator will:

o Keep webinar on schedule

o Facilitate Q&A session

• Please mute your phones.

o Audio will not be used for taking questions

o Will help keep audio quality for all participants

• Use LiveMeeting Q&A function to ask questions.

• Questions maybe submitted at any time and, in fact, are encouraged.

• Like any meeting, respect the views of others.
Conference Call 

Audio

The audio portion of the Webinar will be provided via 

conference call. 

• Dial +1 (877) 336-1839

• When prompted, dial 3075724#
Conference Call 

Audio

• A speaker phone is recommended for hands free listening.

• Please mute your phone at all times.

• Please do not place the conference call on hold at any 

time because everyone on the call will hear the hold music.
Questions

Please submit your questions electronically using Live 

Meeting:

• Use the Q&A Menu.

• To ask a question, type your question into the Q&A 

textbox and click ask.

• All questions will be addressed at the end of the 

presentation during the Q&A time period.
Formal Comments

Formal comments on the proposed rulemaking will not be 

accepted during the Webinar. 

Please comment formally on the proposed rulemaking as 

provided in the Federal Register on September 7, 2011 (Vol.76, 

No.173) and October 24, 2011 (Vol. 76, No. 205). 

Comment period extended 30 days (December 7, 2011).

Participation in the Webinar is not a prerequisite for 

submission of written comments. 
11/8/2011 10

Proposed Revision of 10 CFR 810
Ex Parte Communications

• To safeguard the integrity of DOE’s rulemaking 

process, the primary goal of DOE employees in ex 

parte communications is to listen and ask clarifying 

questions. The DOE will not engage in negotiation or 

reveal substantive aspects of the forthcoming 

rulemakings. The DOE is the receiver of information. 

Federal Register 74/Vol. 197

11/8/2011 11
Why now?

• Nuclear commerce has changed since the last 

revision in 1986, and the regulations need to be 

updated to reflect the way U.S. nuclear companies 

conduct business today.

• The proposal is designed to facilitate U.S. conformity 

to Nuclear Suppliers Group Guidelines. 

11/8/2011 12
Major Changes

• Clearly states the types of technology transfers that are 

in or out of the scope of the regulation (810.2)

• Adds technical clarity for terms used in the regulations 

(810.3)

• Clarifies what activities are generally authorized and to 

which destinations when no Sensitive Nuclear 

Technology is involved (810.6)

• Details the information required for requests for specific 

authorization for a “deemed export” (810.11)

11/8/2011 13
Scope 810.2

• Staff averages ten calls and two letters a week from 

U.S. industry concerning scope determinations. 

• The new scope section will provide more clarity to 

industry to enable prospective applicants to better 

understand the jurisdictional scope of Part 810. 

11/8/2011 14
Scope 810.2

Current Regulation

(a) Applies to all persons subject to the 

jurisdiction of the United States who 

engage directly or indirectly in the 

production of special nuclear material 

outside the United States. 

(b) Applies to activities conducted either in the 

United States or abroad by such persons or 

by licensees, contractors, or subsidiaries 

under their direction, supervision, 

responsibility or control. 

11/8/2011 15

Revision

(a) This part applies to:

(1) all persons subject to the jurisdiction 

of the United States (hereinafter “U.S. 

persons”) who or that engage directly 

or indirectly in the production of 

special nuclear material outside the 

United States, by transferring to 

foreign persons technology that is 

related to the production of special 

nuclear material; and 

(2) assistance and the transfer of 

technology by U.S. persons, 

conducted either in the United States 

or abroad by U.S. persons or 

licensees, contractors or subsidiaries 

under their direction, supervision, 

responsibility or control. 

The revision of (a) explicitly articulates that transfers to foreign persons of Part 810 

controlled technology anywhere is deemed an export and covered under this Part.
Scope 810.2

Current text:

(c) Applies, but is not limited to, activities involving nuclear 

reactors and other nuclear fuel cycle facilities for the following:

1. Fluoride or nitrate conversion;

2. Isotope separation (enrichment);

3. The chemical, physical or metallurgical processing, fabricating or alloying of special 

 nuclear material;

4. Production of heavy water, zirconium (hafnium-free or low-hafnium), nuclear-grade 

 graphite or reactor-grade beryllium;

5. Production of reactor-grade uranium dioxide from yellowcake; and

6. Certain uranium milling activities. 

11/8/2011 16

Current (c) is short and does not explicitly state all those portions of the fuel cycle 

covered under this Part.
Expanded 810.2 Scope Statement

(b) The activities referred to in paragraph (a) 

involve the following:

(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 reactors;

(6) Accelerator-0driven subcritical assembly systems, 

specially designed or intended for plutonium or 

uranium-233 production; 

(7) Hydrogen isotope separation and heavy water 

production; 

11/8/2011 17

(8) Reprocessing of irradiated nuclear materials or 

targets containing special nuclear material; 

(9) Changes in form or content of irradiated nuclear 

materials containing special nuclear material, and hot 

cell facilities; 

(10) Storage of irradiated nuclear materials; 

(11) Processing of high level radioactive waste; 

(12) Movement of irradiated nuclear materials, 

including specially designed containers therefore; 

(13) The transfer of technology for the development, 

production or use of equipment or material specially 

designed or prepared for any of the above listed 

activities. (See NRC regulations under 10 CFR part 110, 

Appendix A through Appendix K for an illustrative list 

of items considered to be specially designed or 

prepared for certain listed nuclear activities); and

(14) Other activities related to the production of 

special nuclear materials outside the United States as 

the Secretary may determine, notice of which shall be 

published in the Federal Register. 

The revised list contained in (b) provides detail on all stages of the fuel cycle and nuclear 

technologies that are controlled under Part 810. Export of these technologies or assistance is 

either generally authorized or requires specific authorization depending on the destination.
Expanded 810.2 Scope Statement

(c) This part does not apply to:

(1) Exports licensed by the NRC;

(2) Public information or basic scientific research;

(3) Uranium and thorium mining and milling; and

(4) Nuclear fusion reactors per se, except for supporting systems 

involving hydrogen isotope separation. 

11/8/2011 18

The revised list contained in (c) provides detail on all stages of the fuel cycle and 

nuclear technologies that are not controlled under Part 810. 
Section 810.3

Revised Technical Terms

• These terms have been added or revised:

– To update technological developments since 1986.

– To conform with the Nuclear Suppliers Group Guidelines.

– To provide greater clarity to industry about the scope of 

Part 810.

11/8/2011 19
Section 810.3 

Revised Definitions for Certain Technical Terms

• Basic scientific research

• Cooperative enrichment 

enterprise

• Enrichment

• Fissile material

• Production accelerator

• Production accelerator –

driven subcritical assembly 

system

• Production subcritical 

assembly

11/8/2011 20

• Reprocessing

• Specific authorization

• Specifically authorized 

nuclear activities

• Technology (including 

development and 

production)

• Technical assistance

• Technical data

• Use
Generally versus Specifically

Authorized Activities

• The current regulation lists the destinations with respect 

to which certain activities require Secretarial 

authorization (810.8[a]), certain activities that always 

require a specific authorization (810.8[b][c]), and certain 

other activities that are generally authorized to 

destinations not listed (810.7).

• The revision specifies destinations to which nuclear 

assistance and technology transfers have been generally 

authorized, as long as SNT is NOT included (new 810.6). 

11/8/2011 21

All other activities require a specific authorization 

(new 810.7)
Specifically Authorized Activities

Specifically authorized nuclear activities means the provision of assistance, including 

the transfer of technology, to foreign persons related to:

(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) Hydrogen isotope separation and heavy water production; 

(4) Production accelerator-driven subcritical assembly systems; 

(5) Production reactors; and

(6) Reprocessing of irradiated nuclear fuel or targets containing special nuclear 

material. 

11/8/2011 22

These activities require a specific authorization from the Secretary for export to any 

destination. Other listed technologies or activities contained in the scope statement 

(810.2) are generally authorized to destinations contained in 810.6(b)(1). 
Current List of Specific Authorized 

Destinations (77)

1. Afghanistan

2. Albania

3. Algeria

4. Andorra

5. Angola

6. Armenia

7. Azerbaijan

8. Bahrain

9. Belarus

10. Benin

11. Botswana

12. Burkina Faso

13. Burma (Myanmar)

14. Burundi

15. Cambodia

16. Cameroon

17. Cape Verde

18. Central African Republic

19. Chad

20. China, People’s Republic of

11/8/2011 23

21. Comoros

22. Congo (Zaire)

23. Cuba

24. Djibouti

25. Equatorial Guinea

26. Eritrea

27. Gabon

28. Georgia

29. Guinea

30. Guinea Bissau

31. Haiti

32. India

33. Iran

34. Iraq

35. Israel

36. Kazakhstan

37. Kenya

38. Korea, Republic of

39. Kuwait

40. Kyrgyzstan

41. Laos

42. Liberia

43. Libya 

44. Macedonia

45. Mali

46. Marshall Islands, 

 Republic of

47. Mauritania

48. Micronesia,

 Federated States of

49. Moldova

50. Mongolia

51. Mozambique

52. Niger

53. Oman

54. Pakistan

55. Palau

56. Qatar

57. Russia

58. Rwanda

59. Sao Tome and Principe

60. Saudi Arabia

61. Seychelles

62. Sierra Leone

63. Somalia

64. Sudan

65. Syria

66. Tajikistan

67. Tanzania

68. Togo

69. Turkmenistan

70. Uganda

71. Ukraine

72. United Arab Emirates

73. Uzbekistan

74. Vanuatu

75. Vietnam

76. Yemen

77. Yugoslavia
Current Part 810 Regulation

11/8/2011 24
Proposed Revised List of Generally 

Authorized Destinations

1. Argentina

2. Australia

3. Austria

4. Bangladesh

5. Belgium

6. Brazil

7. Bulgaria

8. Canada

9. Colombia

10. Cyprus

11. Czech Republic

12. Denmark

13. Egypt

14. Estonia

15. Finland

16. France

11/8/2011 25

17. Germany

18. Greece

19. Hungary

20. Indonesia

21. Ireland

22. Italy

23. Japan

24. Kazakhstan

25. Latvia

26. Lithuania

27. Luxembourg

28. Malta

29. Morocco

30. Netherlands

31. Norway

32. Peru

33. Poland

34. Portugal

35. Korea, Republic of

36. Romania

37. Slovakia

38. Slovenia

39. South Africa

40. Spain

41. Sweden

42. Switzerland

43. Taiwan

44. Thailand

45. Turkey

46. Ukraine

47. United Arab Emirates

48. United Kingdom
Proposed Revision of 

Part 810 Regulation

11/8/2011 26
Proposed Revised List of Destinations that 

Changed from Generally Authorized to 

Requiring Specific Authorization (73)

1. Antigua and Barbuda

2. Bahamas, The

3. Barbados

4. Belize

5. Bhutan

6. Bolivia

7. Bosnia and Herzegovina

8. Brunei Darussalam

9. Chile

10. Congo, Republic of the

11. Costa Rica

12. Cote d’Ivoire

13. Croatia

14. Dominica

15. Dominican Republic

16. Ecuador

17. El Salvador

18. Ethiopia

19. Fiji

20. Gambia, The

21. Ghana

22. Grenada

23. Guatemala

24. Guyana

25. Honduras

11/8/2011 27

26. Iceland

27. Jamaica

28. Jordan

29. Kiribati

30. Lebanon

31. Lesotho

32. Liechtenstein

33. Madagascar

34. Malawi

35. Malaysia

36. Maldives

37. Mauritius

38. Mexico

39. Monaco

40. Montenegro

41. Namibia

42. Nauru

43. Nepal

44. New Zealand

45. Nicaragua

46. Nigeria

47. Panama

48. Papua New Guinea

49. Paraguay

50. Philippines

51. Saint Kitts and Nevis

52. Saint Lucia

53. Saint Vincent and the Grenadines

54. Samoa

55. San Marino

56. Senegal

57. Serbia

58. Singapore

59. Solomon Islands

60. South Sudan

61. Sri Lanka

62. Suriname

63. Swaziland

64. Timor-Leste

65. Tonga

66. Trinidad and Tobago

67. Tunisia

68. Tuvalu

69. United Republic of Tanzania

70. Uruguay, Oriental Republic of

71. Venezuela, Bolivarian Republic of 

72. Zambia

73. Zimbabwe
Where Are the New “Specific 

Authorization” Destinations?

11/8/2011 28

 

 

 

 

Africa 

(18)

Australia/

Oceana (8)

South Asia 

(4)

South America 

(8)

North 

America (8)

Middle East 

(2)

Europe 

(8)

Caribbean 

(11)
Reporting on New 

“Specific Authorization” Countries

• DOE/NNSA received thirty-five reports in the last three 

years for activities with entities in countries moving from 

a generally authorized destination to a specific 

authorization destination.

– Nineteen reports were for reactor tech/consulting or 

engineering services to three destinations (Mexico, 

Philippines and Jordan).

– The rest were deemed reports for foreign nationals from 

sixteen different countries (Ethiopia, Honduras, Nigeria, 

Grenada, Ghana, Nepal, El Salvador, Mexico, Venezuela, 

Philippines, Jordan, Barbados, Senegal, Bahamas, Gambia 

and Malaysia). 

11/8/2011 29
Sensitive Nuclear Technology

810.9(c)

• If a proposed transfer includes sensitive nuclear 

technology as defined in 810.3, the requirements of 

section 127 and 128 of the Atomic Energy Act apply.

• In addition to the factors in 810.9(b), the Secretary takes 

into account five additional criteria as detailed in 

810/9(c).

• The Secretary’s determination also is dependent on 

receipt of assurances from the foreign government that 

the technology will not be replicated, used to enrich over 

20% HEU, and that security arrangements are 

appropriate to protect against misuse. 

11/8/2011 30
Deemed Export Applications

810.11(c)

• DOE has proposed explicit instructions about the materials required 

for a specific authorization for U.S. persons seeking to transfer to a 

foreign national of a country not listed in § 810.6(b) technology 

subject to § 810.6(a), or seeking to transfer to any foreign national 

technology subject to § 810.7. No application is required for green 

card holders or asylees. The application should include:

(1) a description of the technology that will be made available to the foreign national;

(2) the purpose of the proposed release, and a description of the applicant’s technology 

control program;

(3) a copy of any confidentiality agreement between the applicant and the foreign national; 

and

(4) background information about the foreign national. 

11/8/2011 31
Violations 810.14

• No changes to Section 810.14 are proposed. The penalties 

remain:

– (1) Permanent or temporary injunctions or restraining orders may be issued to 

prevent any person from violating any provision of the Atomic Energy Act or 

its implementing regulations.

– (2) Any person convicted of violating or conspiring or attempting 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 and a $20,000 fine.

– (b) Title 18 of the United States Code, section 1001, provides that persons 

convicted of willfully falsifying, concealing or covering up a material fact or 

making false, fictitious or fraudulent statements or representations may be 

fined up to $10,000 or imprisoned up to five years, or both. 

11/8/2011 32
Break

We’ll be right back.

(10 minute break)
Closing

Your written comments are encouraged.

• Identify written comments with RIN 1994–AA02.

• Electronic submittal encouraged. Use any of the following methods:

1. Federal eRulemaking Portal: http://www.regulations.gov. Follow the instructions for 

submitting comments. 

2. E-mail: Port810.NOPR@hq.doe.gov. Include RIN 1994–AA02 in the subject line of the message.

3. Mail: Richard Goorevich, Senior Policy Advisor, Office of Nonproliferation and International 

Security, NA–24, National Nuclear Security Administration, Department of Energy, 1000 

Independence Avenue, SW., Washington, DC 20585.

Thank you for participating.