Specially designed metal cutting shears are the most commonly
employed, although advanced equipment, such as lasers, may be used.
Remotely operated equipment specially designed or prepared for use
in a reprocessing plant, as identified in the introductory paragraph
of this section, and intended to cut, chop or shear irradiated
nuclear fuel assemblies, bundles or rods.

3.2. Dissolvers

    Introductory Note: Dissolvers normally receive the chopped-up
spent fuel. In these critically safe vessels, the irradiated nuclear
material is dissolved in nitric acid and the remaining hulls removed
from the process stream. Critically safe tanks (e.g., small

diameter, annular or slab tanks) specially designed or prepared for
use in a reprocessing plant, as identified in the introductory
paragraph of this section, intended for dissolution of irradiated
nuclear fuel and which are capable of withstanding hot, highly
corrosive liquid, and which can be remotely loaded and maintained.

3.3. Solvent extractors and solvent extraction equipment

    Introductory Note: Solvent extractors both receive the solution
of irradiated fuel from the dissolvers and the organic solution
which separates the uranium, plutonium, and fission products.
Solvent extraction equipment is normally designed to meet strict
operating parameters, such as long operating lifetimes with no
maintenance requirements or adaptability to easy replacement,
simplicity of operation and control, and flexibility for variations
in process conditions. Specially designed or prepared solvent
extractors such as packed or pulse columns, mixer settlers or
centrifugal contactors for use in a plant for the reprocessing of
irradiated fuel. Solvent extractors must be resistant to the
corrosive effect of nitric acid. Solvent extractors are normally
fabricated to extremely high standards (including special welding
and inspection and quality assurance and quality control techniques)
out of low carbon stainless steels, titanium, zirconium, or other
high quality materials.

3.4. Chemical holding or storage vessels

    Introductory Note: Three main process liquor streams result from
the solvent extraction step. Holding or storage vessels are used in
the further processing of all three streams, as follows:

    (a) The pure uranium nitrate solution is concentrated by
evaporation and passed to a denitration process where it is
converted to uranium oxide. This oxide is re-used in the nuclear
fuel cycle.
    (b) The intensely radioactive fission products solution is
normally concentrated by evaporation and stored as a liquor
concentrate. This concentrate may be subsequently evaporated and
converted to a form suitable for storage or disposal.
    (c) The pure plutonium nitrate solution is concentrated and
stored pending its transfer to further process steps. In particular,
holding or storage vessels for plutonium solutions are designed to
avoid criticality problems resulting from changes in concentration
and form of this stream. Specially designed or prepared holding or
storage vessels for use in a plant for the reprocessing of
irradiated fuel. The holding or storage vessels must be resistant to
the corrosive effect of nitric acid. The holding or storage vessels
are normally fabricated of materials such as low carbon stainless
steels, titanium or zirconium, or other high quality materials.
Holding or storage vessels may be designed for remote operation and
maintenance and may have the following features for control of
nuclear criticality: (1) Walls or internal structures with a boron
equivalent of at least two percent; (2) a maximum diameter of 175 mm
(7 in) for cylindrical vessels; or (3) a maximum width of 75 mm (3
in) for either a slab or annular vessel.

3.5. Plutonium nitrate to oxide conversion system

    Introductory Note: In most reprocessing facilities, this final
process involves the conversion of the plutonium nitrate solution to
plutonium dioxide. The main functions involved in this process are:
process feed storage and adjustment, precipitation and solid/liquor
separation, calcination, product handling, ventilation, waste
management, and process control. Complete systems specially designed
or prepared for the conversion of plutonium nitrate to plutonium
oxide, in particular adapted so as to avoid criticality and
radiation effects and to minimize toxicity hazards.

3.6. Plutonium oxide to metal production system

    Introductory Note: This process, which could be related to a
reprocessing facility, involves the fluorination of plutonium
dioxide, normally with highly corrosive hydrogen fluoride, to
produce plutonium fluoride which is subsequently reduced using high
purity calcium metal to produce metallic plutonium and a calcium
fluoride slag. The main functions involved in this process are:
fluorination (e.g., involving equipment fabricated or lined with a
precious metal), metal reduction (e.g., employing ceramic
crucibles), slag recovery, product handling, ventilation, waste
management and process control. Complete systems specially designed
or prepared for the production of plutonium metal, in particular
adapted so as to avoid criticality and radiation effects and to
minimize toxicity hazards.

4. Plants for the fabrication of fuel elements

    A ``plant for the fabrication of fuel elements'' includes the
equipment:
    (a) Which normally comes in direct contact with, or directly
processes, or controls, the production flow of nuclear material, or
    (b) Which seals the nuclear material within the cladding.

5. Plants for the separation of isotopes of uranium and equipment,
other than analytical instruments, specially designed or prepared
therefor

    Items of equipment that are considered to fall within the
meaning of the phrase ``equipment, other than analytical
instruments, specially designed or prepared'' for the separation of
isotopes of uranium include:

5.1. Gas centrifuges and assemblies and components specially designed
or prepared for use in gas centrifuges

    Introductory Note: The gas centrifuge normally consists of a
thin-walled cylinder(s) of between 75 mm (3 in) and 400 mm (16 in)
diameter contained in a vacuum environment and spun at high
peripheral speed of the order of 300 m/s or more with its central
axis vertical. In order to achieve high speed the materials of
construction for the rotating components have to be of a high
strength to density ratio and the rotor assembly, and hence its
individual components, have to be manufactured to very close
tolerances in order to minimize the unbalance. In contrast to other
centrifuges, the gas centrifuge for uranium enrichment is
characterized by having within the rotor chamber a rotating disc-
shaped baffle(s) and a stationary tube arrangement for feeding and
extracting the UF6 gas and featuring at least 3 separate channels,
of which 2 are connected to scoops extending from the rotor axis
towards the periphery of the rotor chamber. Also contained within
the vacuum environment are a number of critical items which do not
rotate and which although they are specially designed are not
difficult to fabricate nor are they fabricated out of unique
materials. A centrifuge facility however requires a large number of
these components, so that quantities can provide an important
indication of end use.

5.1.1. Rotating components

    (a) Complete rotor assemblies: Thin-walled cylinders, or a
number of interconnected thin-walled cylinders, manufactured from
one or more of the high strength to density ratio materials
described in the Explanatory Note to section 5.1.1 of this
Supplement. If interconnected, the cylinders are joined together by
flexible bellows or rings as described in section 5.1.1(c) of this
Supplement. The rotor is fitted with an internal baffle(s) and end
caps, as described in section 5.1.1(d) and (e) of this Supplement,
if in final form. However the complete assembly may be delivered
only partly assembled.
    (b) Rotor tubes: Specially designed or prepared thin-walled
cylinders with thickness of 12 mm (0.5 in) or less, a diameter of
between 75 mm (3 in) and 400 mm (16 in), and manufactured from one
or more of the high strength to density ratio materials described in
the Explanatory Note to section 5.1.1 of this Supplement.
    (c) Rings or Bellows: Components specially designed or prepared
to give localized support to the rotor tube or to join together a
number of rotor tubes. The bellows is a short cylinder of wall
thickness 3 mm (0.12 in) or less, a diameter of between 75 mm (3 in)
and 400 mm (16 in), having a convolute, and manufactured from one of
the high strength to density ratio materials described in the
Explanatory Note to section 5.1.1 of this Supplement.
    (d) Baffles: Disc-shaped components of between 75 mm (3 in) and
400 mm (16 in) diameter specially designed or prepared to be mounted
inside the centrifuge rotor tube, in order to isolate the take-off
chamber from the main separation chamber and, in some cases, to
assist the UF6 gas circulation within the main separation chamber of
the rotor tube, and manufactured from one of the high strength to
density ratio materials described in the Explanatory Note to section
5.1.1 of this Supplement.
    (e) Top caps/Bottom caps: Disc-shaped components of between 75
mm (3 in) and 400 mm (16 in) diameter specially designed or prepared
to fit to the ends of the rotor tube, and so contain the UF6 within
the rotor tube, and in some cases to support, retain or

contain as an integrated part an element of the upper bearing (top
cap) or to carry the rotating elements of the motor and lower
bearing (bottom cap), and manufactured from one of the high strength
to density ratio materials described in the Explanatory Note to
section 5.1.1 of this Supplement.

    Explanatory Note: The materials used for centrifuge rotating
components are:

    (a) Maraging steel capable of an ultimate tensile strength of
2.05 x 10\9\ N/m\2\ (300,000 psi) or more;
    (b) Aluminum alloys capable of an ultimate tensile strength of
0.46 x 10\9\ N/m2 (67,000 psi) or more;
    (c) Filamentary materials suitable for use in composite
structures and having a specific modulus of 12.3 x 106 m
or greater and a specific ultimate tensile strength of 0.3 x
106 m or greater (``Specific Modulus'' is the Young's
Modulus in N/m2 divided by the specific weight in N/
m3; ``Specific Ultimate Tensile Strength'' is the
ultimate tensile strength in N/m2 divided by the specific
weight in N/m3 ).

5.1.2. Static components

    (a) Magnetic suspension bearings: Specially designed or prepared
bearing assemblies consisting of an annular magnet suspended within
a housing containing a damping medium. The housing will be
manufactured from a UF6-resistant material (see
Explanatory Note to section 5.2 of this Supplement.). The magnet
couples with a pole piece or a second magnet fitted to the top cap
described in section 5.1.1(e) of this Supplement. The magnet may be
ring-shaped with a relation between outer and inner diameter smaller
or equal to 1.6:1. The magnet may be in a form having an initial
permeability of 0.15 H/m (120,000 in CGS units) or more, or a
remanence of 98.5% or more, or an energy product of greater than 80
kJ/m3 (107 gauss-oersteds). In addition to the
usual material properties, it is a prerequisite that the deviation
of the magnetic axes from the geometrical axes is limited to very
small tolerances (lower than 0.1 mm or 0.004 in) or that homogeneity
of the material of the magnet is specially called for.
    (b) Bearings/Dampers: Specially designed or prepared bearings
comprising a pivot/cup assembly mounted on a damper. The pivot is
normally a hardened steel shaft with a hemisphere at one end with a
means of attachment to the bottom cap, described in section 5.1.1(e)
of this Supplement, at the other. The shaft may however have a
hydrodynamic bearing attached. The cup is pellet-shaped with a
hemispherical indentation in one surface. These components are often
supplied separately to the damper.
    (c) Molecular pumps: Specially designed or prepared cylinders
having internally machined or extruded helical grooves and
internally machined bores. Typical dimensions are as follows: 75 mm
(3 in) to 400 mm (16 in) internal diameter, 10 mm (0.4 in) or more
wall thickness, with the length equal to or greater than the
diameter. The grooves are typically rectangular in cross-section and
2 mm (0.08 in) or more in depth.
    (d) Motor stators: Specially designed or prepared ring-shaped
stators for high speed multiphase AC hysteresis (or reluctance)
motors for synchronous operation within a vacuum in the frequency
range of 600-2000 Hz and a power range of 50-1000 VA. The stators
consist of multi-phase windings on a laminated low loss iron core
comprised of thin layers typically 2.0 mm (0.08 in) thick or less.
    (e) Centrifuge housing/recipients: Components specially designed
or prepared to contain the rotor tube assembly of a gas centrifuge.
The housing consists of a rigid cylinder of wall thickness up to 30
mm (1.2 in) with precision machined ends to locate the bearings and
with one or more flanges for mounting. The machined ends are
parallel to each other and perpendicular to the cylinder's
longitudinal axis to within 0.05 degrees or less. The housing may
also be a honeycomb type structure to accommodate several rotor
tubes. The housings are made of or protected by materials resistant
to corrosion by UF6.
    (f) Scoops: Specially designed or prepared tubes of up to 12 mm
(0.5 in) internal diameter for the extraction of UF6 gas from within
the rotor tube by a Pitot tube action (that is, with an aperture
facing into the circumferential gas flow within the rotor tube, for
example by bending the end of a radially disposed tube) and capable
of being fixed to the central gas extraction system. The tubes are
made of or protected by materials resistant to corrosion by UF6.

5.2. Specially designed or prepared auxiliary systems, equipment and
components for gas centrifuge enrichment plants

    Introductory Note: The auxiliary systems, equipment and
components for a gas centrifuge enrichment plant are the systems of
plant needed to feed UF6 to the centrifuges, to link the individual
centrifuges to each other to form cascades (or stages) to allow for
progressively higher enrichments and to extract the ``product'' and
``tails'' UF6 from the centrifuges, together with the equipment
required to drive the centrifuges or to control the plant. Normally
UF6 is evaporated from the solid using heated autoclaves
and is distributed in gaseous form to the centrifuges by way of
cascade header pipework. The ``product'' and ``tails''
UF6 gaseous streams flowing from the centrifuges are also
passed by way of cascade header pipework to cold traps (operating at
about 203 K (-70 [deg]C)) where they are condensed prior to onward
transfer into suitable containers for transportation or storage.
Because an enrichment plant consists of many thousands of
centrifuges arranged in cascades there are many kilometers of
cascade header pipework, incorporating thousands of welds with a
substantial amount of repetition of layout. The equipment,
components and piping systems are fabricated to very high vacuum and
cleanliness standards.

5.2.1. Feed systems/product and tails withdrawal systems

    Specially designed or prepared process systems including: Feed
autoclaves (or stations), used for passing UF6 to the
centrifuge cascades at up to 100 kPa (15 psi) and at a rate of 1 kg/
h or more; desublimers (or cold traps) used to remove UF6
from the cascades at up to 3 kPa (0.5 psi) pressure. The desublimers
are capable of being chilled to 203 K (-70 [deg]C) and heated to 343
K (70 [deg]C); ``Product'' and ``Tails'' stations used for trapping
UF6 into containers. This plant, equipment and pipework is wholly
made of or lined with UF6-resistant materials (see
Explanatory Note to section 5.2 of this Supplement) and is
fabricated to very high vacuum and cleanliness standards.

5.2.2. Machine header piping systems

    Specially designed or prepared piping systems and header systems
for handling UF6 within the centrifuge cascades. The
piping network is normally of the ``triple'' header system with each
centrifuge connected to each of the headers. There is thus a
substantial amount of repetition in its form. It is wholly made of
UF6-resistant materials (see Explanatory Note to section
5.2 of this Supplement) and is fabricated to very high vacuum and
cleanliness standards.

5.2.3. UF6 mass spectrometers/ion sources

    Specially designed or prepared magnetic or quadrupole mass
spectrometers capable of taking ``on-line'' samples of feed, product
or tails, from UF6 gas streams and having all of the
following characteristics:
    (a) Unit resolution for atomic mass unit greater than 320;
    (b) Ion sources constructed of or lined with nichrome or monel
or nickel plated;
    (c) Electron bombardment ionization sources;
    (d) Having a collector system suitable for isotopic analysis.

5.2.4. Frequency changers

    Frequency changers (also known as converters or invertors)
specially designed or prepared to supply motor stators (as defined
under section 5.1.2(d) of this Supplement), or parts, components and
sub-assemblies of such frequency changers having all of the
following characteristics:
    (a) A multiphase output of 600 to 2000 Hz;
    (b) High stability (with frequency control better than 0.1%);
    (c) Low harmonic distortion (less than 2%); and
    (d) An efficiency of greater than 80%.

    Explanatory Note: The items listed in this section 5.2 either
come into direct contact with the UF6 process gas or
directly control the centrifuges and the passage of the gas from
centrifuge to centrifuge and cascade to cascade. Materials resistant
to corrosion by UF6 include stainless steel, aluminum,
aluminum alloys, nickel or alloys containing 60% or more nickel.

5.3. Specially designed or prepared assemblies and components for use
in gaseous diffusion enrichment

    Introductory Note: In the gaseous diffusion method of uranium
isotope separation, the main technological assembly is a special
porous gaseous diffusion barrier, heat exchanger for cooling the gas
(which is heated by the process of compression), seal valves and
control valves, and pipelines. Inasmuch as gaseous diffusion
technology

uses uranium hexafluoride (UF6), all equipment, pipeline
and instrumentation surfaces (that come in contact with the gas)
must be made of materials that remain stable in contact with
UF6. A gaseous diffusion facility requires a number of
these assemblies, so that quantities can provide an important
indication of end use.

5.3.1. Gaseous diffusion barriers

    (a) Specially designed or prepared thin, porous filters, with a
pore size of 100-1,000 [Aring] (angstroms), a thickness of 5 mm (0.2
in) or less, and for tubular forms, a diameter of 25 mm (1 in) or
less, made of metallic, polymer or ceramic materials resistant to
corrosion by UF6, and
    (b) Specially prepared compounds or powders for the manufacture
of such filters. Such compounds and powders include nickel or alloys
containing 60 percent or more nickel, aluminum oxide, or
UF6-resistant fully fluorinated hydrocarbon polymers
having a purity of 99.9 percent or more, a particle size less than
10 microns, and a high degree of particle size uniformity, which are
specially prepared for the manufacture of gaseous diffusion
barriers.

5.3.2. Diffuser housings

    Specially designed or prepared hermetically sealed cylindrical
vessels greater than 300 mm (12 in) in diameter and greater than 900
mm (35 in) in length, or rectangular vessels of comparable
dimensions, which have an inlet connection and two outlet
connections all of which are greater than 50 mm (2 in) in diameter,
for containing the gaseous diffusion barrier, made of or lined with
UF6-resistant materials and designed for horizontal or
vertical installation.

5.3.3. Compressors and gas blowers

    Specially designed or prepared axial, centrifugal, or positive
displacement compressors, or gas blowers with a suction volume
capacity of 1 m3/min or more of UF6, and with
a discharge pressure of up to several hundred kPa (100 psi),
designed for long-term operation in the UF6 environment
with or without an electrical motor of appropriate power, as well as
separate assemblies of such compressors and gas blowers. These
compressors and gas blowers have a pressure ratio between 2:1 and
6:1 and are made of, or lined with, materials resistant to
UF6.

5.3.4. Rotary shaft seals

    Specially designed or prepared vacuum seals, with seal feed and
seal exhaust connections, for sealing the shaft connecting the
compressor or the gas blower rotor with the driver motor so as to
ensure a reliable seal against in-leaking of air into the inner
chamber of the compressor or gas blower which is filled with
UF6. Such seals are normally designed for a buffer gas
in-leakage rate of less than 1000 cm3/min (60
in3/min).

5.3.5. Heat exchangers for cooling UF6

    Specially designed or prepared heat exchangers made of or lined
with UF6-resistant materials (except stainless steel) or
with copper or any combination of those metals, and intended for a
leakage pressure change rate of less than 10 Pa (0.0015 psi) per
hour under a pressure difference of 100 kPa (15 psi).

5.4. Specially designed or prepared auxiliary systems, equipment and
components for use in gaseous diffusion enrichment

    Introductory Note: The auxiliary systems, equipment and
components for gaseous diffusion enrichment plants are the systems
of plant needed to feed UF6 to the gaseous diffusion
assembly, to link the individual assemblies to each other to form
cascades (or stages) to allow for progressively higher enrichments
and to extract the ``product'' and ``tails'' UF6 from the
diffusion cascades. Because of the high inertial properties of
diffusion cascades, any interruption in their operation, and
especially their shut-down, leads to serious consequences.
Therefore, a strict and constant maintenance of vacuum in all
technological systems, automatic protection from accidents, and
precise automated regulation of the gas flow is of importance in a
gaseous diffusion plant. All this leads to a need to equip the plant
with a large number of special measuring, regulating and controlling
systems. Normally UF6 is evaporated from cylinders placed
within autoclaves and is distributed in gaseous form to the entry
point by way of cascade header pipework. The ``product'' and
``tails'' UF6 gaseous streams flowing from exit points
are passed by way of cascade header pipework to either cold traps or
to compression stations where the UF6 gas is liquefied
prior to onward transfer into suitable containers for transportation
or storage. Because a gaseous diffusion enrichment plant consists of
a large number of gaseous diffusion assemblies arranged in cascades,
there are many kilometers of cascade header pipework, incorporating
thousands of welds with substantial amounts of repetition of layout.
The equipment, components and piping systems are fabricated to very
high vacuum and cleanliness standards.

5.4.1. Feed systems/product and tails withdrawal systems

    Specially designed or prepared process systems, capable of
operating at pressures of 300 kPa (45 psi) or less, including:
    (a) Feed autoclaves (or systems), used for passing
UF6 to the gaseous diffusion cascades;
    (b) Desublimers (or cold traps) used to remove UF6
from diffusion cascades;
    (c) Liquefaction stations where UF6 gas from the
cascade is compressed and cooled to form liquid UF6;
    (d) ``Product'' or ``tails'' stations used for transferring
UF6 into containers.

5.4.2. Header piping systems

    Specially designed or prepared piping systems and header systems
for handling UF6 within the gaseous diffusion cascades.
This piping network is normally of the ``double'' header system with
each cell connected to each of the headers.

5.4.3. Vacuum systems

    (a) Specially designed or prepared large vacuum manifolds,
vacuum headers and vacuum pumps having a suction capacity of 5
m3/min (175 ft3/min) or more.
    (b) Vacuum pumps specially designed for service in
UF6-bearing atmospheres made of, or lined with, aluminum,
nickel, or alloys bearing more than 60% nickel. These pumps may be
either rotary or positive, may have displacement and fluorocarbon
seals, and may have special working fluids present.

5.4.4. Special shut-off and control valves

    Specially designed or prepared manual or automated shut-off and
control bellows valves made of UF6-resistant materials
with a diameter of 40 to 1500 mm (1.5 to 59 in) for installation in
main and auxiliary systems of gaseous diffusion enrichment plants.

5.4.5. UF6 mass spectrometers/ion sources

    Specially designed or prepared magnetic or quadrupole mass
spectrometers capable of taking ``on-line'' samples of feed, product
or tails, from UF6 gas streams and having all of the
following characteristics:
    (a) Unit resolution for atomic mass unit greater than 320;
    (b) Ion sources constructed of or lined with nichrome or monel
or nickel plated;
    (c) Electron bombardment ionization sources;
    (d) Collector system suitable for isotopic analysis.

    Explanatory Note: The items listed in this section 5.4 either
come into direct contact with the UF6 process gas or
directly control the flow within the cascade. All surfaces which
come into contact with the process gas are wholly made of, or lined
with, UF6-resistant materials. For the purposes of the
sections in this Supplement relating to gaseous diffusion items, the
materials resistant to corrosion by UF6 include stainless
steel, aluminum, aluminum alloys, aluminum oxide, nickel or alloys
containing 60% or more nickel and UF6-resistant fully
fluorinated hydrocarbon polymers.

5.5. Specially designed or prepared systems, equipment and components
for use in aerodynamic enrichment plants

    Introductory Note: In aerodynamic enrichment processes, a
mixture of gaseous UF6 and light gas (hydrogen or helium)
is compressed and then passed through separating elements wherein
isotopic separation is accomplished by the generation of high
centrifugal forces over a curved-wall geometry. Two processes of
this type have been successfully developed: The separation nozzle
process and the vortex tube process. For both processes the main
components of a separation stage include cylindrical vessels housing
the special separation elements (nozzles or vortex tubes), gas
compressors and heat exchangers to remove the heat of compression.
An aerodynamic plant requires a number of these stages, so that
quantities can provide an important indication of end use. Since
aerodynamic processes use UF6, all equipment, pipeline
and instrumentation surfaces (that come in contact with the gas)
must be made of materials that remain stable in contact with
UF6.

    Explanatory Note: The items listed in section 5.5 of this
Supplement either come

into direct contact with the UF6 process gas or directly
control the flow within the cascade. All surfaces which come into
contact with the process gas are wholly made of or protected by
UF6-resistant materials. For the purposes of the
provisions of section 5.5 of this Supplement that relate to
aerodynamic enrichment items, the materials resistant to corrosion
by UF6 include copper, stainless steel, aluminum,
aluminum alloys, nickel or alloys containing 60% or more nickel and
UF6-resistant fully fluorinated hydrocarbon polymers.

5.5.1. Separation nozzles

    Specially designed or prepared separation nozzles and assemblies
thereof. The separation nozzles consist of slit-shaped, curved
channels having a radius of curvature less than 1 mm (typically 0.1
to 0.05 mm), resistant to corrosion by UF6 and having a
knife-edge within the nozzle that separates the gas flowing through
the nozzle into two fractions.

5.5.2. Vortex tubes

    Specially designed or prepared vortex tubes and assemblies
thereof. The vortex tubes are cylindrical or tapered, made of or
protected by materials resistant to corrosion by UF6,
having a diameter of between 0.5 cm and 4 cm, a length to diameter
ratio of 20:1 or less and with one or more tangential inlets. The
tubes may be equipped with nozzle-type appendages at either or both
ends.

    Explanatory Note: The feed gas enters the vortex tube
tangentially at one end or through swirl vanes or at numerous
tangential positions along the periphery of the tube.

5.5.3. Compressors and gas blowers

    Specially designed or prepared axial, centrifugal or positive
displacement compressors or gas blowers made of or protected by
materials resistant to corrosion by UF6 and with a
suction volume capacity of 2 m\3\/min or more of UF6/
carrier gas (hydrogen or helium) mixture.

    Explanatory Note: These compressors and gas blowers typically
have a pressure ratio between 1.2:1 and 6:1.

5.5.4. Rotary shaft seals

    Specially designed or prepared rotary shaft seals, with seal
feed and seal exhaust connections, for sealing the shaft connecting
the compressor rotor or the gas blower rotor with the driver motor
so as to ensure a reliable seal against out-leakage of process gas
or in-leakage of air or seal gas into the inner chamber of the
compressor or gas blower which is filled with a UF6/
carrier gas mixture.

5.5.5. Heat exchangers for gas cooling

    Specially designed or prepared heat exchangers made of or
protected by materials resistant to corrosion by UF6.

5.5.6. Separation element housings

    Specially designed or prepared separation element housings, made
of or protected by materials resistant to corrosion by
UF6, for containing vortex tubes or separation nozzles.

    Explanatory Note: These housings may be cylindrical vessels
greater than 300 mm in diameter and greater than 900 mm in length,
or may be rectangular vessels of comparable dimensions, and may be
designed for horizontal or vertical installation.

5.5.7. Feed systems/product and tails withdrawal systems

    Specially designed or prepared process systems or equipment for
enrichment plants made of or protected by materials resistant to
corrosion by UF6, including:
    (a) Feed autoclaves, ovens, or systems used for passing
UF6 to the enrichment process;
    (b) Desublimers (or cold traps) used to remove UF6
from the enrichment process for subsequent transfer upon heating;
    (c) Solidification or liquefaction stations used to remove
UF6 from the enrichment process by compressing and
converting UF6 to a liquid or solid form;
    (d) ``Product'' or ``tails'' stations used for transferring
UF6 into containers.

5.5.8. Header piping systems

    Specially designed or prepared header piping systems, made of or
protected by materials resistant to corrosion by UF6, for
handling UF6 within the aerodynamic cascades. This piping
network is normally of the ``double'' header design with each stage
or group of stages connected to each of the headers.

5.5.9. Vacuum systems and pumps

    (a) Specially designed or prepared vacuum systems having a
suction capacity of 5 m\3\/min or more, consisting of vacuum
manifolds, vacuum headers and vacuum pumps, and designed for service
in UF6-bearing atmospheres;
    (b) Vacuum pumps specially designed or prepared for service in
UF6-bearing atmospheres and made of or protected by
materials resistant to corrosion by UF6. These pumps may
use fluorocarbon seals and special working fluids.

5.5.10. Special shut-off and control valves

    Specially designed or prepared manual or automated shut-off and
control bellows valves made of or protected by materials resistant
to corrosion by UF6 with a diameter of 40 to 1500 mm for
installation in main and auxiliary systems of aerodynamic enrichment
plants.

5.5.11. UF6 mass spectrometers/ion sources

    Specially designed or prepared magnetic or quadrupole mass
spectrometers capable of taking ``on-line'' samples of feed,
``product'' or ``tails,'' from UF6 gas streams and having
all of the following characteristics:
    (a) Unit resolution for mass greater than 320;
    (b) Ion sources constructed of or lined with nichrome or monel
or nickel plated;
    (c) Electron bombardment ionization sources;
    (d) Collector system suitable for isotopic analysis.

5.5.12. UF6/carrier gas separation systems

    Specially designed or prepared process systems for separating
UF6 from carrier gas (hydrogen or helium).

    Explanatory Note: These systems are designed to reduce the
UF6 content in the carrier gas to 1 ppm or less and may
incorporate equipment such as:

    (a) Cryogenic heat exchangers and cryoseparators capable of
temperatures of -120 [deg]C or less, or
    (b) Cryogenic refrigeration units capable of temperatures of -
120 [deg]C or less, or
    (c) Separation nozzle or vortex tube units for the separation of
UF6 from carrier gas, or
    (d) UF6 cold traps capable of temperatures of -20
[deg]C or less.

5.6. Specially designed or prepared systems, equipment and components
for use in chemical exchange or ion exchange enrichment plants

    Introductory Note: The slight difference in mass between the
isotopes of uranium causes small changes in chemical reaction
equilibria that can be used as a basis for separation of the
isotopes. Two processes have been successfully developed: Liquid-
liquid chemical exchange and solid-liquid ion exchange. In the
liquid-liquid chemical exchange process, immiscible liquid phases
(aqueous and organic) are countercurrently contacted to give the
cascading effect of thousands of separation stages. The aqueous
phase consists of uranium chloride in hydrochloric acid solution;
the organic phase consists of an extractant containing uranium
chloride in an organic solvent. The contactors employed in the
separation cascade can be liquid-liquid exchange columns (such as
pulsed columns with sieve plates) or liquid centrifugal contactors.
Chemical conversions (oxidation and reduction) are required at both
ends of the separation cascade in order to provide for the reflux
requirements at each end. A major design concern is to avoid
contamination of the process streams with certain metal ions.
Plastic, plastic-lined (including use of fluorocarbon polymers) and/
or glass-lined columns and piping are therefore used. In the solid-
liquid ion-exchange process, enrichment is accomplished by uranium
adsorption/desorption on a special, very fast-acting, ion-exchange
resin or adsorbent. A solution of uranium in hydrochloric acid and
other chemical agents is passed through cylindrical enrichment
columns containing packed beds of the adsorbent. For a continuous
process, a reflux system is necessary to release the uranium from
the adsorbent back into the liquid flow so that ``product'' and
``tails'' can be collected. This is accomplished with the use of
suitable reduction/oxidation chemical agents that are fully
regenerated in separate external circuits and that may be partially
regenerated within the isotopic separation columns themselves. The
presence of hot concentrated hydrochloric acid solutions in the
process requires that the equipment be made of or protected by
special corrosion-resistant materials.

5.6.1. Liquid-liquid exchange columns (Chemical exchange)

    Countercurrent liquid-liquid exchange columns having mechanical
power input (i.e., pulsed columns with sieve plates, reciprocating
plate columns, and columns with internal turbine mixers), specially
designed or prepared for uranium enrichment using the chemical
exchange process. For corrosion resistance to concentrated
hydrochloric acid solutions, these columns and their internals are
made of or protected by suitable plastic materials (such as
fluorocarbon polymers) or glass. The stage residence time of the
columns is designed to be short (30 seconds or less).

5.6.2. Liquid-liquid centrifugal contactors (Chemical exchange)

    Liquid-liquid centrifugal contactors specially designed or
prepared for uranium enrichment using the chemical exchange process.
Such contactors use rotation to achieve dispersion of the organic
and aqueous streams and then centrifugal force to separate the
phases. For corrosion resistance to concentrated hydrochloric acid
solutions, the contactors are made of or are lined with suitable
plastic materials (such as fluorocarbon polymers) or are lined with
glass. The stage residence time of the centrifugal contactors is
designed to be short (30 seconds or less).

5.6.3. Uranium reduction systems and equipment (Chemical exchange)

    (a) Specially designed or prepared electrochemical reduction
cells to reduce uranium from one valence state to another for
uranium enrichment using the chemical exchange process. The cell
materials in contact with process solutions must be corrosion
resistant to concentrated hydrochloric acid solutions.

    Explanatory Note: The cell cathodic compartment must be designed
to prevent re-oxidation of uranium to its higher valence state. To
keep the uranium in the cathodic compartment, the cell may have an
impervious diaphragm membrane constructed of special cation exchange
material. The cathode consists of a suitable solid conductor such as
graphite.

    (b) Specially designed or prepared systems at the product end of
the cascade for taking the U4+ out of the organic stream,
adjusting the acid concentration and feeding to the electrochemical
reduction cells.

    Explanatory Note: These systems consist of solvent extraction
equipment for stripping the U4+ from the organic stream
into an aqueous solution, evaporation and/or other equipment to
accomplish solution pH adjustment and control, and pumps or other
transfer devices for feeding to the electrochemical reduction cells.
A major design concern is to avoid contamination of the aqueous
stream with certain metal ions. Consequently, for those parts in
contact with the process stream, the system is constructed of
equipment made of or protected by suitable materials (such as glass,
fluorocarbon polymers, polyphenyl sulfate, polyether sulfone, and
resin-impregnated graphite).

5.6.4. Feed preparation systems (Chemical exchange)

    Specially designed or prepared systems for producing high-purity
uranium chloride feed solutions for chemical exchange uranium
isotope separation plants.

    Explanatory Note: These systems consist of dissolution, solvent
extraction and/or ion exchange equipment for purification and
electrolytic cells for reducing the uranium U6+ or
U4+ to U3+. These systems produce uranium
chloride solutions having only a few parts per million of metallic
impurities such as chromium, iron, vanadium, molybdenum and other
bivalent or higher multi-valent cations. Materials of construction
for portions of the system processing high-purity U3+
include glass, fluorocarbon polymers, polyphenyl sulfate or
polyether sulfone plastic-lined and resin-impregnated graphite.

5.6.5. Uranium oxidation systems (Chemical exchange)

    Specially designed or prepared systems for oxidation of
U3+ to U4+ for return to the uranium isotope
separation cascade in the chemical exchange enrichment process.

    Explanatory Note: These systems may incorporate equipment such
as:
    (a) Equipment for contacting chlorine and oxygen with the
aqueous effluent from the isotope separation equipment and
extracting the resultant U4+ into the stripped organic
stream returning from the product end of the cascade;
    (b) Equipment that separates water from hydrochloric acid so
that the water and the concentrated hydrochloric acid may be
reintroduced to the process at the proper locations.

5.6.6. Fast-reacting ion exchange resins/adsorbents (ion exchange)

    Fast-reacting ion-exchange resins or adsorbents specially
designed or prepared for uranium enrichment using the ion exchange
process, including porous macroreticular resins, and/or pellicular
structures in which the active chemical exchange groups are limited
to a coating on the surface of an inactive porous support structure,
and other composite structures in any suitable form including
particles or fibers. These ion exchange resins/adsorbents have
diameters of 0.2 mm or less and must be chemically resistant to
concentrated hydrochloric acid solutions as well as physically
strong enough so as not to degrade in the exchange columns. The
resins/adsorbents are specially designed to achieve very fast
uranium isotope exchange kinetics (exchange rate half-time of less
than 10 seconds) and are capable of operating at a temperature in
the range of 100 [deg]C to 200 [deg]C.

5.6.7. Ion exchange columns (Ion exchange)

    Cylindrical columns greater than 1,000 mm in diameter for
containing and supporting packed beds of ion exchange resin/
adsorbent, specially designed or prepared for uranium enrichment
using the ion exchange process. These columns are made of or
protected by materials (such as titanium or fluorocarbon plastics)
resistant to corrosion by concentrated hydrochloric acid solutions
and are capable of operating at a temperature in the range of 100
[deg]C to 200 [deg]C and pressures above 0.7 MPa (102 psia).

5.6.8. Ion exchange reflux systems (Ion exchange)

    (a) Specially designed or prepared chemical or electrochemical
reduction systems for regeneration of the chemical reducing agent(s)
used in ion exchange uranium enrichment cascades.
    (b) Specially designed or prepared chemical or electrochemical
oxidation systems for regeneration of the chemical oxidizing
agent(s) used in ion exchange uranium enrichment cascades.

    Explanatory Note: The ion exchange enrichment process may use,
for example, trivalent titanium (Ti3+) as a reducing
cation in which case the reduction system would regenerate
Ti3+ by reducing Ti4+. The process may use,
for example, trivalent iron (Fe3+) as an oxidant in which
case the oxidation system would regenerate Fe3+ by
oxidizing Fe2+.

5.7. Specially designed or prepared systems, equipment and components
for use in laser-based enrichment plants

    Introductory Note: Present systems for enrichment processes
using lasers fall into two categories: Those in which the process
medium is atomic uranium vapor and those in which the process medium
is the vapor of a uranium compound. Common nomenclature for such
processes include: First category--atomic vapor laser isotope
separation (AVLIS or SILVA); second category--molecular laser
isotope separation (MLIS or MOLIS) and chemical reaction by isotope
selective laser activation (CRISLA). The systems, equipment and
components for laser enrichment plants embrace:
    (a) Devices to feed uranium-metal vapor (for selective photo-
ionization) or devices to feed the vapor of a uranium compound (for
photo-dissociation or chemical activation);
    (b) Devices to collect enriched and depleted uranium metal as
``product'' and ``tails'' in the first category, and devices to
collect dissociated or reacted compounds as ``product'' and
unaffected material as ``tails'' in the second category;
    (c) Process laser systems to selectively excite the uranium-235
species; and
    (d) Feed preparation and product conversion equipment. The
complexity of the spectroscopy of uranium atoms and compounds may
require incorporation of any of a number of available laser
technologies.

    Explanatory Note: Many of the items listed in section 5.7 of
this Supplement come into direct contact with uranium metal vapor or
liquid or with process gas consisting of UF6 or a mixture
of UF6 and other gases. All surfaces that come into
contact with the uranium or UF6 are wholly made of or
protected by corrosion-resistant materials. For the purposes of the
provisions in section 5.7 of this Supplement that relate to laser-
based enrichment items, the materials resistant to corrosion by the
vapor or liquid of uranium metal or uranium alloys include yttria-
coated graphite and tantalum; and the

materials resistant to corrosion by UF6 include copper,
stainless steel, aluminum, aluminum alloys, nickel or alloys
containing 60% or more nickel and UF6-resistant fully
fluorinated hydrocarbon polymers.

5.7.1. Uranium vaporization systems (AVLIS)

    Specially designed or prepared uranium vaporization systems
which contain high-power strip or scanning electron beam guns with a
delivered power on the target of more than 2.5 kW/cm.

5.7.2. Liquid uranium metal handling systems (AVLIS)

    Specially designed or prepared liquid metal handling systems for
molten uranium or uranium alloys, consisting of crucibles and
cooling equipment for the crucibles.

    Explanatory Note: The crucibles and other parts of this system
that come into contact with molten uranium or uranium alloys are
made of or protected by materials of suitable corrosion and heat
resistance. Suitable materials include tantalum, yttria-coated
graphite, graphite coated with other rare earth oxides or mixtures
thereof.

5.7.3. Uranium metal `product' and `tails' collector assemblies (AVLIS)

    Specially designed or prepared ``product'' and ``tails''
collector assemblies for uranium metal in liquid or solid form.

    Explanatory Note: Components for these assemblies are made of or
protected by materials resistant to the heat and corrosion of
uranium metal vapor or liquid (such as yttria-coated graphite or
tantalum) and may include pipes, valves, fittings, ``gutters,''
feed-throughs, heat exchangers and collector plates for magnetic,
electrostatic or other separation methods.

5.7.4. Separator module housings (AVLIS)

    Specially designed or prepared cylindrical or rectangular
vessels for containing the uranium metal vapor source, the electron
beam gun, and the ``product'' and ``tails'' collectors.

    Explanatory Note: These housings have multiplicity of ports for
electrical and water feed-throughs, laser beam windows, vacuum pump
connections and instrumentation diagnostics and monitoring. They
have provisions for opening and closure to allow refurbishment of
internal components.

5.7.5. Supersonic expansion nozzles (MLIS)

    Specially designed or prepared supersonic expansion nozzles for
cooling mixtures of UF6 and carrier gas to 150 K or less
and which are corrosion resistant to UF6.

5.7.6. Uranium pentafluoride product collectors (MLIS)

    Specially designed or prepared uranium pentafluoride
(UF5) solid product collectors consisting of filter,
impact, or cyclone-type collectors, or combinations thereof, and
which are corrosion resistant to the UF5/UF6
environment.

5.7.7. UF6/carrier gas compressors (MLIS)

    Specially designed or prepared compressors for UF6/
carrier gas mixtures, designed for long term operation in a
UF6 environment. The components of these compressors that
come into contact with process gas are made of or protected by
materials resistant to corrosion by UF6.

5.7.8. Rotary shaft seals (MLIS)

    Specially designed or prepared rotary shaft seals, with seal
feed and seal exhaust connections, for sealing the shaft connecting
the compressor rotor with the driver motor so as to ensure a
reliable seal against out-leakage of process gas or in-leakage of
air or seal gas into the inner chamber of the compressor which is
filled with a UF6/carrier gas mixture.

5.7.9. Fluorination systems (MLIS)

    Specially designed or prepared systems for fluorinating
UF5 (solid) to UF6 (gas).

    Explanatory Note: These systems are designed to fluorinate the
collected UF5 powder to UF6 for subsequent
collection in product containers or for transfer as feed to MLIS
units for additional enrichment. In one approach, the fluorination
reaction may be accomplished within the isotope separation system to
react and recover directly off the ``product'' collectors. In
another approach, the UF5 powder may be removed/
transferred from the ``product'' collectors into a suitable reaction
vessel (e.g., fluidized-bed reactor, screw reactor or flame tower)
for fluorination. In both approaches, equipment for storage and
transfer of fluorine (or other suitable fluorinating agents) and for
collection and transfer of UF6 are used.

5.7.10. UF6 mass spectrometers/ion sources (MLIS)

    Specially designed or prepared magnetic or quadrupole mass
spectrometers capable of taking ``on-line'' samples of feed,
``product,'' or ``tails'' from UF6 gas streams and having
all of the following characteristics:
    (a) Unit resolution for mass greater than 320;
    (b) Ion sources constructed of or lined with nichrome or monel
or nickel plated;
    (c) Electron bombardment ionization sources; and
    (d) Collector system suitable for isotopic analysis.

5.7.11. Feed systems/product and tails withdrawal systems (MLIS)

    Specially designed or prepared process systems or equipment for
enrichment plants made of or protected by materials resistant to
corrosion by UF6, including:
    (a) Feed autoclaves, ovens, or systems used for passing
UF6 to the enrichment process;
    (b) Desublimers (or cold traps) used to remove UF6
from the enrichment process for subsequent transfer upon heating;
    (c) Solidification or liquefaction stations used to remove
UF6 from the enrichment process by compressing and
converting UF6 to a liquid or solid form;
    (d) ``Product'' or ``tails'' stations used for transferring
UF6 into containers.

5.7.12. UF6/carrier gas separation systems (MLIS)

    Specially designed or prepared process systems for separating
UF6 from carrier gas. The carrier gas may be nitrogen,
argon, or other gas.

    Explanatory Note: These systems may incorporate equipment such
as:
    (a) Cryogenic heat exchangers or cryoseparators capable of
temperatures of -120 [deg]C or less, or
    (b) Cryogenic refrigeration units capable of temperatures of -
120 [deg]C or less, or
    (c) UF6 cold traps capable of temperatures of -20
[deg]C or less.

5.7.13. Laser systems (AVLIS, MLIS and CRISLA)

    Lasers or laser systems specially designed or prepared for the
separation of uranium isotopes.

    Explanatory Note: The laser system for the AVLIS process usually
consists of two lasers: A copper vapor laser and a dye laser. The
laser system for MLIS usually consists of a CO2 or
excimer laser and a multi-pass optical cell with revolving mirrors
at both ends. Lasers or laser systems for both processes require a
spectrum frequency stabilizer for operation over extended periods of
time.

5.8. Specially designed or prepared systems, equipment and components
for use in plasma separation enrichment plants

    Introductory Note: In the plasma separation process, a plasma of
uranium ions passes through an electric field tuned to the U-235 ion
resonance frequency so that they preferentially absorb energy and
increase the diameter of their corkscrew-like orbits. Ions with a
large-diameter path are trapped to produce a product enriched in U-
235. The plasma, which is made by ionizing uranium vapor, is
contained in a vacuum chamber with a high-strength magnetic field
produced by a superconducting magnet. The main technological systems
of the process include the uranium plasma generation system, the
separator module with superconducting magnet and metal removal
systems for the collection of ``product'' and ``tails.''

5.8.1. Microwave power sources and antennae

    Specially designed or prepared microwave power sources and
antennae for producing or accelerating ions and having the following
characteristics: Greater than 30 GHz frequency and greater than 50
kW mean power output for ion production.

5.8.2. Ion excitation coils

    Specially designed or prepared radio frequency ion excitation
coils for frequencies of more than 100 kHz and capable of handling
more than 40 kW mean power.

5.8.3. Uranium plasma generation systems

    Specially designed or prepared systems for the generation of
uranium plasma, which may contain high-power strip or scanning
electron beam guns with a delivered power on the target of more than
2.5 kW/cm.

5.8.4. Liquid uranium metal handling systems

    Specially designed or prepared liquid metal handling systems for
molten uranium or uranium alloys, consisting of crucibles and
cooling equipment for the crucibles, power

supply system, the ion source high-voltage power supply system, the
vacuum system, and extensive chemical handling systems for recovery
of product and cleaning/recycling of components.

5.9.1. Electromagnetic isotope separators

    Electromagnetic isotope separators specially designed or
prepared for the separation of uranium isotopes, and equipment and
components therefor, including:
    (a) Ion sources: Specially designed or prepared single or
multiple uranium ion sources consisting of a vapor source, ionizer,
and beam accelerator, constructed of suitable materials such as
graphite, stainless steel, or copper, and capable of providing a
total ion beam current of 50 mA or greater;
    (b) Ion collectors: Collector plates consisting of two or more
slits and pockets specially designed or prepared for collection of
enriched and depleted uranium ion beams and constructed of suitable
materials such as graphite or stainless steel;
    (c) Vacuum housings: Specially designed or prepared vacuum
housings for uranium electromagnetic separators, constructed of
suitable non-magnetic materials such as stainless steel and designed
for operation at pressures of 0.1 Pa or lower;

    Explanatory Note: The housings are specially designed to contain
the ion sources, collector plates and water-cooled liners and have
provision for diffusion pump connections and opening and closure for
removal and reinstallation of these components.

    (d) Magnet pole pieces: Specially designed or prepared magnet
pole pieces having a diameter greater than 2 m used to maintain a
constant magnetic field within an electromagnetic isotope separator
and to transfer the magnetic field between adjoining separators.

5.9.2. High voltage power supplies

    Specially designed or prepared high-voltage power supplies for
ion sources, having all of the following characteristics: capable of
continuous operation, output voltage of 20,000 V or greater, output
current of 1 A or greater, and voltage regulation of better than
0.01% over a time period of 8 hours.

5.9.3. Magnet power supplies

    Specially designed or prepared high-power, direct current magnet
power supplies having all of the following characteristics: capable
of continuously producing a current output of 500 A or greater at a
voltage of 100 V or greater and with a current or voltage regulation
better than 0.01% over a period of 8 hours.

6. Plants for the production of heavy water, deuterium and deuterium
compounds and equipment specially designed or prepared therefor

    Introductory Note: Heavy water can be produced by a variety of
processes. However, the two processes that have proven to be
commercially viable are the water-hydrogen sulphide exchange process
(GS process) and the ammonia-hydrogen exchange process. The GS
process is based upon the exchange of hydrogen and deuterium between
water and hydrogen sulphide within a series of towers which are
operated with the top section cold and the bottom section hot. Water
flows down the towers while the hydrogen sulphide gas circulates
from the bottom to the top of the towers. A series of perforated
trays are used to promote mixing between the gas and the water.
Deuterium migrates to the water at low temperatures and to the
hydrogen sulphide at high temperatures. Gas or water, enriched in
deuterium, is removed from the first stage towers at the junction of
the hot and cold sections and the process is repeated in subsequent
stage towers. The product of the last stage, water enriched up to
30% in deuterium, is sent to a distillation unit to produce reactor
grade heavy water, i.e., 99.75% deuterium oxide. The ammonia-
hydrogen exchange process can extract deuterium from synthesis gas
through contact with liquid ammonia in the presence of a catalyst.
The synthesis gas is fed into exchange towers and to an ammonia
converter. Inside the towers the gas flows from the bottom to the
top while the liquid ammonia flows from the top to the bottom. The
deuterium is stripped from the hydrogen in the synthesis gas and
concentrated in the ammonia. The ammonia then flows into an ammonia
cracker at the bottom of the tower while the gas flows into an
ammonia converter at the top. Further enrichment takes place in
subsequent stages and reactor grade heavy water is produced through
final distillation. The synthesis gas feed can be provided by an
ammonia plant that, in turn, can be constructed in association with
a heavy water ammonia-hydrogen exchange plant. The ammonia-hydrogen
exchange process can also use ordinary water as a feed source of
deuterium.
    Many of the key equipment items for heavy water production
plants using GS or the ammonia-hydrogen exchange processes are
common to several segments of the chemical and petroleum industries.
This is particularly so for small plants using the GS process.
However, few of the items are available ``off-the-shelf.'' The GS
and ammonia-hydrogen processes require the handling of large
quantities of flammable, corrosive and toxic fluids at elevated
pressures. Accordingly, in establishing the design and operating
standards for plants and equipment using these processes, careful
attention to the materials selection and specifications is required
to ensure long service life with high safety and reliability
factors. The choice of scale is primarily a function of economics
and need. Thus, most of the equipment items would be prepared
according to the requirements of the customer. Finally, it should be
noted that, in both the GS and the ammonia-hydrogen exchange
processes, items of equipment which individually are not specially
designed or prepared for heavy water production can be assembled
into systems which are specially designed or prepared for producing
heavy water. The catalyst production system used in the ammonia-
hydrogen exchange process and water distillation systems used for
the final concentration of heavy water to reactor-grade in either
process are examples of such systems. The items of equipment which
are specially designed or prepared for the production of heavy water
utilizing either the water-hydrogen sulphide exchange process or the
ammonia-hydrogen exchange process include the following:

6.1. Water-hydrogen sulphide exchange towers

    Exchange towers fabricated from fine carbon steel (such as ASTM
A516) with diameters of 6 m (20 ft) to 9 m (30 ft), capable of
operating at pressures greater than or equal to 2 MPa (300 psi) and
with a corrosion allowance of 6 mm or greater, specially designed or
prepared for heavy water production utilizing the water-hydrogen
sulphide exchange process.

6.2. Blowers and compressors

    Single stage, low head (i.e., 0.2 MPa or 30 psi) centrifugal
blowers or compressors for hydrogen-sulphide gas circulation (i.e.,
gas containing more than 70% H2S) specially designed or
prepared for heavy water production utilizing the water-hydrogen
sulphide exchange process. These blowers or compressors have a
throughput capacity greater than or equal to 56 m\3\/second (120,000
SCFM) while operating at pressures greater than or equal to 1.8 MPa
(260 psi) suction and have seals designed for wet H2S
service.

6.3. Ammonia-hydrogen exchange towers

    Ammonia-hydrogen exchange towers greater than or equal to 35 m
(114.3 ft) in height with diameters of 1.5 m (4.9 ft) to 2.5 m (8.2
ft) capable of operating at pressures greater than 15 MPa (2225 psi)
specially designed or prepared for heavy water production utilizing
the ammonia-hydrogen exchange process. These towers also have at
least one flanged axial opening of the same diameter as the
cylindrical part through which the tower internals can be inserted
or withdrawn.

6.4. Tower internals and stage pumps

    Tower internals and stage pumps specially designed or prepared
for towers for heavy water production utilizing the ammonia-hydrogen
exchange process. Tower internals include specially designed stage
contactors which promote intimate gas/liquid contact. Stage pumps
include specially designed submersible pumps for circulation of
liquid ammonia within a contacting stage internal to the stage
towers.

6.5. Ammonia crackers

    Ammonia crackers with operating pressures greater than or equal
to 3 MPa (450 psi) specially designed or prepared for heavy water
production utilizing the ammonia-hydrogen exchange process.

6.6. Infrared absorption analyzers

    Infrared absorption analyzers capable of ``on-line'' hydrogen/
deuterium ratio analysis where deuterium concentrations are equal to
or greater than 90%.

6.7. Catalytic burners

    Catalytic burners for the conversion of enriched deuterium gas
into heavy water

specially designed or prepared for heavy water production utilizing
the ammonia-hydrogen exchange process.

7. Plants for the conversion of uranium and equipment specially
designed or prepared therefor

    Introductory Note: Uranium conversion plants and systems may
perform one or more transformations from one uranium chemical
species to another, including: conversion of uranium ore
concentrates to UO3, conversion of UO3 to UO2, conversion of uranium
oxides to UF4 or UF6, conversion of UF4 to UF6, conversion of UF6 to
UF4, conversion of UF4 to uranium metal, and conversion of uranium
fluorides to UO2. Many of the key equipment items for uranium
conversion plants are common to several segments of the chemical
process industry. For example, the types of equipment employed in
these processes may include: Furnaces, rotary kilns, fluidized bed
reactors, flame tower reactors, liquid centrifuges, distillation
columns and liquid-liquid extraction columns. However, few of the
items are available ``off-the-shelf;'' most would be prepared
according to the requirements and specifications of the customer. In
some instances, special design and construction considerations are
required to address the corrosive properties of some of the
chemicals handled (HF, F2, ClF3, and uranium fluorides). Finally, it
should be noted that, in all of the uranium conversion processes,
items of equipment which individually are not specially designed or
prepared for uranium conversion can be assembled into systems which
are specially designed or prepared for use in uranium conversion.

7.1. Specially designed or prepared systems for the conversion of
uranium ore concentrates to UO3

    Explanatory Note: Conversion of uranium ore concentrates to
UO3 can be performed by first dissolving the ore in
nitric acid and extracting purified uranyl nitrate using a solvent
such as tributyl phosphate. Next, the uranyl nitrate is converted to
UO3 either by concentration and denitration or by
neutralization with gaseous ammonia to produce ammonium diuranate
with subsequent filtering, drying, and calcining.

7.2. Specially designed or prepared systems for the conversion of UO3
to UF6

    Explanatory Note: Conversion of UO3 to UF6 can be performed
directly by fluorination. The process requires a source of fluorine
gas or chlorine trifluoride.

7.3. Specially designed or prepared systems for the conversion of UO3
to UO2

    Explanatory Note: Conversion of UO3 to UO2 can be performed
through reduction of UO3 with cracked ammonia gas or
hydrogen.

7.4. Specially designed or prepared systems for the conversion of UO2
to UF4

    Explanatory Note: Conversion of UO2 to UF4 can be performed by
reacting UO2 with hydrogen fluoride gas (HF) at 300-500
[deg]C.

7.5. Specially designed or prepared systems for the conversion of UF4
to UF6

    Explanatory Note: Conversion of UF4 to UF6 is performed by
exothermic reaction with fluorine in a tower reactor. UF6 is
condensed from the hot effluent gases by passing the effluent stream
through a cold trap cooled to -10 [deg]C. The process requires a
source of fluorine gas.

7.6. Specially designed or prepared systems for the conversion of UF4
to U metal

    Explanatory Note: Conversion of UF4 to U metal is performed by
reduction with magnesium (large batches) or calcium (small batches).
The reaction is carried out at temperatures above the melting point
of uranium (1130 [deg]C).

7.7. Specially designed or prepared systems for the conversion of
UF6 to UO2

    Explanatory Note: Conversion of UF6 to UO2
can be performed by one of three processes. In the first,
UF6 is reduced and hydrolyzed to UO2 using
hydrogen and steam. In the second, UF6 is hydrolyzed by
solution in water, ammonia is added to precipitate ammonium
diuranate, and the diuranate is reduced to UO2 with
hydrogen at 820 [deg]C. In the third process, gaseous
UF6, CO2, and NH3 are combined in
water, precipitating ammonium uranyl carbonate. The ammonium uranyl
carbonate is combined with steam and hydrogen at 500-600 [deg]C to
yield UO2. UF6 to UO2 conversion is
often performed as the first stage of a fuel fabrication plant.

7.8 Specially designed or prepared systems for the conversion of
UF6 to UF4

    Explanatory Note: Conversion of UF6 to UF4
is performed by reduction with hydrogen.

PART 784--COMPLEMENTARY ACCESS

Sec.
784.1 Complementary access: General information on the purpose of
complementary access, affected locations, and the role of BIS.
784.2 Obtaining consent or warrants to conduct complementary access.
784.3 Scope and conduct of complementary access.
784.4 Notification, duration and frequency of complementary access.
784.5 Subsidiary arrangements.
784.6 Post complementary access activities.

    Authority: United States Additional Protocol Implementation Act
of 2006, Pub. Law No. 109-401, 120 Stat. 2726 (December 18, 2006)
(to be codified at 22 U.S.C. 8101-8181); Executive Order 13458
(February 4, 2008).

Sec.  784.1  Complementary access: General information on the purpose
of complementary access, affected locations, and the role of BIS.

    (a) Overview. The Additional Protocol requires that the United
States provide the IAEA with complementary access to locations
specified in the U.S. declaration. The IAEA may request and be given
complementary access to locations in the United States that are not
included in the U.S. declaration as agreed to by the U.S. Government.
The IAEA, upon request, will be granted complementary access to
locations in the United States in accordance with the provisions of
Sec.  784.3 of the APR, which describes the scope and conduct of
complementary access.
    (b) Purposes authorized under the APR. The APR authorize the
conduct of complementary access, at locations in the United States, for
the following purposes.
    (1) Declared uranium hard-rock mines and ore beneficiation plants.
Complementary access may be conducted, on a selective basis, to verify
the absence of undeclared nuclear material and nuclear related
activities at reportable uranium hard-rock mines and ore beneficiation
plants (see Sec.  783.1(a)(3) of the APR).
    (2) Other locations specified in the U.S. declaration and locations
requested by the IAEA that are not included in the U.S. declaration as
agreed to by the U.S. Government. Complementary access may be conducted
at other locations specified in the U.S. declaration (i.e., locations
required to submit reports to BIS pursuant to Sec.  783.1(a)(1),
(a)(2), or (b) of the APR), and locations requested by the IAEA and
agreed to by the U.S. Government, to resolve questions relating to the
correctness and completeness of the information provided in the U.S.
declaration or to resolve inconsistencies relating to that information.
    (i) In the event that the IAEA has a question about, or identifies
an apparent inconsistency in, information contained in the U.S.
declaration (e.g., information based on reports submitted to BIS by one
of these locations, pursuant to Sec.  783.1(a)(1), (a)(2), or (b) of
the APR), the IAEA will provide the U.S. Government with an opportunity
to clarify or resolve the question or inconsistency. The IAEA will not
draw any conclusions about the question or inconsistency, or request
complementary access to a location, until the U.S. Government has been
provided with an opportunity to clarify or resolve the question or
inconsistency, unless the IAEA considers that a delay in access would
prejudice the purpose for which the access is sought.
    (ii) Upon receipt of a request from the IAEA for clarification
concerning information contained in the U.S. declaration, BIS will
provide written notification to the U.S. location. The

U.S. location must provide BIS with all of the requested information to
clarify or resolve the question or inconsistency raised by the IAEA.
Unless informed otherwise by BIS, the U.S. location will have 15
calendar days from its receipt of written notification to submit the
required forms to BIS (see the Supplemental Information Report
requirements in Sec.  783.1(d) of the APR).
    (c) Locations subject to complementary access. All locations
specified in the U.S. declaration and other locations requested by the
IAEA and agreed to by the U.S. Government are subject to complementary
access by the IAEA. In cases where access cannot be provided to
locations specified by the IAEA, BIS may seek to provide complementary
access to adjacent locations or to satisfy the purposes of
complementary access (see paragraph (b) of this section) through other
means.
    (d) Responsibilities of BIS. As the lead U.S. Government agency and
point of contact for organizing and facilitating complementary access
pursuant to the APR, BIS will:
    (1) Serve as the official U.S. Government host to the IAEA
inspection team;
    (2) Provide prior written notification to any location that is
scheduled to undergo complementary access;
    (3) Take appropriate action to obtain an administrative warrant in
the event that a location does not consent to complementary access;
    (4) Upon request of the location, dispatch an advance team, if time
and other circumstances permit, to the location to provide
administrative and logistical support for complementary access and to
assist with preparation for such access;
    (5) Accompany the IAEA Team throughout the duration of
complementary access;
    (6) Assist the IAEA Team with complementary access activities and
ensure that each activity adheres to the provisions of the Additional
Protocol and to the requirements of the APR and the Act, including the
conditions of any warrant issued thereunder; and
    (7) Assist in the negotiation and development of a location-
specific subsidiary arrangement between the U.S. Government and the
IAEA, if appropriate (see Sec.  784.5 of the APR).

    Note to Sec.  784.1(d): BIS may invite representatives from
other U.S. Government agencies to participate as members of the
Advance and Host Teams for complementary access. The Host Team will
not include employees of the Environmental Protection Agency, the
Mine Safety and Health Administration, or the Occupational Safety
and Health Administration of the Department of Labor.

Sec.  784.2  Obtaining consent or warrants to conduct complementary
access.

    (a) Procedures for obtaining consent. (1) For locations specified
in the U.S. declaration and other locations specified by the IAEA, BIS
will seek consent pursuant to IAEA complementary access requests. In
instances where the owner, operator, occupant or agent in charge of a
location does not consent to such complementary access, BIS will seek
administrative warrants as provided by the Act.
    (2) For locations specified by the IAEA where access cannot be
provided, BIS may seek consent from an adjacent location pursuant to an
IAEA complementary access request.
    (b) Who may give consent. The owner, operator, occupant or agent in
charge of a location may consent to complementary access. The
individual providing consent on behalf of the location represents that
he or she has the authority to make this decision.
    (c) Scope of consent. (1) When the owner, operator, occupant, or
agent in charge of a location consents to a complementary access
request, he or she is agreeing to provide the IAEA Team with the same
degree of access as that authorized under Sec.  784.3 of the APR. This
includes providing access for the IAEA Team and Host Team to any area
of the location, any item on the location, and any records that are
necessary to comply with the APR and allow the IAEA Team to accomplish
the purpose of complementary access, as authorized under Sec.
784.1(b)(1) or (b)(2) of the APR, except for the following:
    (i) Information subject to the licensing jurisdiction of the
Directorate of Defense Trade Controls (DDTC), U.S. Department of State,
under the International Traffic in Arms Regulations (ITAR) (22 CFR
Parts 120 through 130)--see Sec.  784.3(b)(3) of the APR, which states
that such access cannot be provided without prior U.S. Government
authorization; and
    (ii) Activities with direct national security significance to the
United States, or locations or information associated with such
activities.
    (2) The Host Team Leader is responsible for determining whether or
not the IAEA's request to obtain access to any area, building, or item,
or to record or conduct the types of activities described in Sec.
784.3 of the APR is consistent with the Additional Protocol and
subsidiary arrangements to the Additional Protocol.

Sec.  784.3  Scope and conduct of complementary access.

    (a) General. IAEA complementary access shall be limited to
accomplishing only those purposes that are appropriate to the type of
location, as indicated in Sec.  784.1(b) of the APR and shall be
conducted in the least intrusive manner, consistent with the effective
and timely accomplishment of such purposes. No complementary access may
take place without the presence of a U.S. Government Host Team. No
information of direct national security significance shall be provided
to the IAEA during complementary access.
    (b) Scope. This paragraph describes complementary access activities
that are authorized under the APR.
    (1) Complementary access activities. Depending on the type of
location accessed, the IAEA Team may:
    (i) Perform visual observation of parts or areas of the location;
    (ii) Utilize radiation detection and measurement devices;
    (iii) Utilize non-destructive measurements and sampling;
    (iv) Examine relevant records (i.e., records appropriate for the
purpose of complementary access, as authorized under Sec.  784.1(b) of
the APR), except that the following records may not be inspected unless
the Host Team leader, after receiving input from representatives of the
location and consulting with other members of the Host Team, determines
that such access is both appropriate and necessary to achieve the
relevant purpose described in Sec.  784.1(b)(1) or (b)(2) of the APR:
    (A) Financial data (other than production data);
    (B) Sales and marketing data (other than shipment data);
    (C) Pricing data;
    (D) Personnel data;
    (E) Patent data;
    (F) Data maintained for compliance with environmental or
occupational health and safety regulations; or
    (G) Research data (unless the data are reported on Form AP-3 or AP-
4);
    (v) Perform location-specific environmental sampling; and

    Note to Sec.  784.3(b)(1)(v): BIS will not seek access to a
location for location-specific environmental sampling until the
President reports to the appropriate congressional committees his
determination to permit such sampling.

    (vi) Utilize other objective measures which have been demonstrated
to be technically feasible and the use of which have been agreed to by
the United States (``objective measures,'' as used herein, means any
verification techniques that would be appropriate

for achieving the official purpose of complementary access, both in
terms of their effectiveness and limited intrusiveness).
    (2) Wide Area Environmental Sampling. In certain cases, IAEA
inspectors may collect environmental samples (e.g., air, water,
vegetation, soil, smears), at a location specified by the IAEA, for the
purpose of assisting the IAEA to draw conclusions about the absence of
undeclared nuclear material or nuclear activities over a wide area.

    Note to Sec.  784.3(b)(2): The IAEA will not seek such access
until the use of wide-area environmental sampling and the procedural
arrangements therefor have been approved by its Board of Governors
and consultations have been held between the IAEA and the United
States. BIS will not seek access to a location for wide-area
sampling until the President reports to the appropriate
congressional committees his determination to permit such sampling.

    (3) ITAR-controlled technology. ITAR-controlled technology shall
not be made available to the IAEA Team without prior U.S. Government
authorization. The owner, operator, occupant, or agent in charge of the
location being accessed is responsible for identifying any ITAR-
controlled technology at the location to the Host Team as soon as
practicable following the receipt of notification from BIS of
complementary access (see Sec.  784.4(a) of the APR).
    (c) Briefing. Following the arrival of the IAEA Team and Host Team
at a location subject to complementary access, and prior to the
commencement of complementary access, representatives of the
organization will provide the IAEA Team and Host Team with a briefing
on the environmental, health, safety, and security regulations (e.g.,
regulations for protection of controlled environments within the
location and for personal safety) that are applicable to the location
and which must be observed. In addition, the organization's
representatives may include in their briefing an overview of the
location, the activities carried out at the location, and any
administrative and logistical arrangements relevant to complementary
access. The briefing may include the use of maps and other
documentation deemed appropriate by the organization. The time spent
for the briefing may not exceed one hour, and the content should be
limited to that which relates to the purpose of complementary access.
The briefing may also address any of the following:
    (1) Areas, buildings, and structures specific to any activities
relevant to complementary access;
    (2) Administrative and logistical information;
    (3) Updates/revisions to reports required under the APR;
    (4) Introduction of key personnel at the location;
    (5) Location-specific subsidiary arrangement, if applicable; and
    (6) Proposed access plan to address the purpose of complementary
access.
    (d) Visual access. The IAEA Team may visually observe areas or
parts of the location, as agreed by the Host Team Leader, after the
Host Team Leader has consulted with the organization's representative
for the location.
    (e) Records review. The location must be prepared to provide the
IAEA Team with access to all supporting materials and documentation
used by the owner, operator, occupant, or agent in charge of the
location to prepare reports required under the APR and to otherwise
comply with the APR (see the records inspection and recordkeeping
requirements in Sec. Sec.  786.1 and 786.2 of the APR and paragraph (b)
of this section, which describes the scope of complementary access
activities authorized under the APR) and with appropriate
accommodations in which the IAEA Team can review these supporting
materials and documentation. Such access will be provided in
appropriate formats (e.g., paper copies, electronic remote access by
computer, microfilm, or microfiche) through the Host Team to the IAEA
Team during the complementary access period or as otherwise agreed upon
by the IAEA Team and Host Team Leader. If the owner, operator,
occupant, or agent in charge of the location does not have access to
records for activities that took place under previous ownership, the
previous owner must make such records available to the Host Team.
    (f) Managed access. As necessary, the Host Team will implement
managed access measures (e.g., the removal of sensitive papers from
office spaces and the shrouding of sensitive displays, stores, and
equipment) to prevent the dissemination of proliferation sensitive
information, to meet safety or physical protection requirements, to
protect proprietary or commercially sensitive information, or to
protect activities of direct national security significance to the
United States, including locations or information associated with such
activities. If the IAEA Team is unable to fully achieve its inspection
aims under the managed access measures in place, the Host Team will
make every reasonable effort to provide alternative means to allow the
IAEA Team to meet these aims, consistent with the purposes of
complementary access (as described in Sec.  784.1(b) of the APR) and
the requirements of this section. If a location-specific subsidiary
arrangement applies (see Sec.  784.5(b) of the APR), the Host Team
shall, in consultation with the owner, operator, occupant, or agent in
charge of the location, implement managed access procedures consistent
with the applicable location-specific subsidiary arrangement.
    (g) Hours of complementary access. Consistent with the provisions
of the Additional Protocol, the Host Team will ensure, to the extent
possible, that each complementary access is commenced, conducted, and
concluded during ordinary business hours, but no complementary access
shall be prohibited or otherwise disrupted from commencing, continuing
or concluding during other hours.
    (h) Environmental, health, safety, and security regulations and
requirements. In carrying out their activities, the IAEA Team and Host
Team shall observe federal, state, and local environmental, health,
safety, and security regulations and environmental, health, safety, and
security requirements established at the location, including those for
the protection of controlled environments within a location and for
personal safety. To the extent practicable, any such regulations and
requirements that may apply to the conduct of complementary access at
the location should be set forth in the location-specific subsidiary
arrangement (if any).
    (i) Host Team to accompany the IAEA Team. The Host Team shall
accompany the IAEA Team, during their complementary access at the
location, in accordance with the provisions set forth in this part of
the APR.
    (j) Scope of authorized communications by the IAEA Team. (1) The
United States shall permit and protect free communications between the
IAEA Team and IAEA Headquarters and/or Regional Offices, including
attended and unattended transmission of information generated by IAEA
containment and/or surveillance or measurement devices. The IAEA Team
shall have the right, through consultation with the Host Team, to make
use of internationally established systems of direct communications.
    (2) No document, photograph or other recorded medium, or sample
relevant to complementary access may be removed or transmitted from the
location by the IAEA Team without the prior consent of the Host Team.
    (k) IAEA activities, findings, and results related to complementary
access. (1) In accordance with the Additional Protocol, the IAEA shall
inform the United States of:
    (i) Any activities that took place in connection with complementary
access

to a location in the United States, including any activities concerning
questions or inconsistencies that the IAEA may have brought to the
attention of the United States, within 60 calendar days of the time
that the activities occurred; and
    (ii) The findings or results of any activities that took place,
including the findings and results of activities concerning questions
or inconsistencies that the IAEA may have brought to the attention of
the United States, within 30 calendar days of the time that such
findings or results were reached by the IAEA.
    (2) BIS will provide the results of complementary access to the
owner, operator, occupant, or agent in charge of the inspected location
to the extent practicable.

Sec.  784.4  Notification, duration and frequency of complementary
access.

    (a) Complementary access notification. Complementary access will be
provided only upon the issuance of a written notice by BIS to the
owner, operator, occupant or agent in charge of the premises to be
accessed. If BIS is unable to provide written notification to the
owner, operator, or agent in charge, BIS may post a notice prominently
at the location to be accessed.
    (1) Content of notice. (i) Pertinent information furnished by the
IAEA. The notice shall include all appropriate information provided by
the IAEA to the United States Government concerning:
    (A) The purpose of complementary access;
    (B) The basis for the selection of the location for complementary
access;
    (C) The activities that will be carried out during complementary
access;
    (D) The time and date that complementary access is expected to
begin and its anticipated duration; and
    (E) The names and titles of the IAEA inspectors who will
participate in complementary access.
    (ii) Request for location's consent to complementary access. The
complementary access notification from BIS will request that the
location inform BIS whether or not it will consent to complementary
access. If a location does not agree to provide consent to
complementary access within four hours of its receipt of the
complementary access notification, BIS will seek an administrative
warrant as provided in Sec.  784.2(a)(1).
    (iii) Availability of advance team from BIS. An advance team from
BIS will be available to assist the location in preparing for
complementary access. If the complementary access is a 24-hour advance
notice, then the availability of an advance team may be limited. The
location requesting advance team assistance will not be required to
reimburse the U.S. Government for any costs associated with these
activities. The location (in cooperation with the advance team, if
available) will make preparations for complementary access, including
the identification of any ITAR-controlled technology and/or national
security information at the location (see Sec.  784.3(b)(3) of the
APR).
    (2) Notification procedures. The following table sets forth the
notification procedures for complementary access.

                                           Table to Sec.   784.4(a)(2)
----------------------------------------------------------------------------------------------------------------
              Activity                           Agency action                         Location action
----------------------------------------------------------------------------------------------------------------
IAEA notification of complementary   BIS will transmit complementary        Location must inform BIS, within 4
 access.                              access notification via facsimile to   hours of its receipt of
                                      the owner, operator, occupant, or      complementary access notification,
                                      agent in charge of a location to       whether or not it:
                                      ascertain whether or not the          (1) Grants consent to complementary
                                      location:                              access; and
                                     (1) Grants consent to complementary    (2) Requests BIS advance team
                                      access; and.                           support (subject to availability)
                                     (2) Requests BIS advance team support   to prepare for complementary
                                      (subject to availability) in           access. Location not required to
                                      preparing for complementary access..   reimburse U.S. Government for
                                                                             assistance from the BIS advance
                                                                             team.
                                     If the location does not inform BIS
                                      of its consent to complementary
                                      access, within 4 hours of the time
                                      it receives notification from BIS,
                                      BIS will seek an administrative
                                      warrant.
Preparation for complementary        If a BIS advance team has been         The location will engage in
 access.                              requested and is available, it will    activities that will prepare the
                                      arrive at the location to be           location for complementary access
                                      accessed and assist the location in    (e.g., identifying any ITAR-
                                      making logistical and administrative   controlled technology or national
                                      preparations for complementary         security information at the
                                      access.                                location), either singularly or in
                                                                             cooperation with a BIS advance team
                                                                             if one has been requested and is
                                                                             available.
----------------------------------------------------------------------------------------------------------------

    (3) Timing of notification. In accordance with the Additional
Protocol, the IAEA shall notify the United States Government of a
complementary access request not less than 24 hours prior to the
arrival of the IAEA Team at the location. BIS will provide written
notice to the owner, operator, occupant or agent in charge of the
location as soon as possible after BIS has received notification from
the IAEA.
    (b) Duration of complementary access. The duration of complementary
access will depend upon the nature of the complementary access request
and the activities that will be conducted at the location. (See Sec.
784.3(b) of the APR for a description of the types of complementary
access activities authorized under the APR.)

Sec.  784.5  Subsidiary arrangements.

    (a) General subsidiary arrangement. The United States Government
may conclude a general subsidiary arrangement with the IAEA that
governs complementary access activities, irrespective of the location
(i.e., an arrangement that is not location-specific).
    (b) Location-specific subsidiary arrangement. (1) Purpose. If
requested by the location or deemed necessary by the U.S. Government,
the U.S. Government will negotiate a location-specific subsidiary
arrangement with the IAEA. The purpose of such an arrangement is to
establish procedures for conducting managed access at a specific
declared location. If the location requests, it may participate in
preparations for the negotiation of a location-specific subsidiary
arrangement with the IAEA and may observe the negotiations to the
maximum extent practicable. The existence of a location-specific
subsidiary arrangement does not in any way limit the right of the

owner, operator, occupant, or agent in charge of the location to
withhold consent to a request for complementary access.
    (2) Format and content. The form and content of a location-specific
subsidiary arrangement will be determined by the IAEA and the U.S.
Government, in consultation with the location, on a case-by-case basis.

Sec.  784.6  Post complementary access activities.

    Upon receiving the IAEA's final report on complementary access, BIS
will forward a copy of the report to the location for its review, in
accordance with Sec.  784.3(k)(2) of the APR. Locations may submit
comments concerning the IAEA's final report to BIS, and BIS will
consider them, as appropriate, when preparing its comments to the IAEA
on the final report. BIS also will send locations a post complementary
access letter detailing the issues that require follow-up action (see,
for example, the Amended Report requirements in Sec.  783.2(d) of the
APR).

PART 785--ENFORCEMENT

Sec.
785.1 Scope and definitions.
785.2 Violations of the Act subject to administrative and criminal
enforcement proceedings.
785.3 Initiation of administrative proceedings.
785.4 Request for hearing and answer.
785.5 Representation.
785.6 Filing and service of papers other than the Notice of
Violation and Assessment (NOVA).
785.7 Summary decision.
785.8 Discovery.
785.9 Subpoenas.
785.10 Matters protected against disclosure.
785.11 Prehearing conference.
785.12 Hearings.
785.13 Procedural stipulations.
785.14 Extension of time.
785.15 Post-hearing submissions.
785.16 Decisions.
785.17 Settlement.
785.18 Record for decision.
785.19 Payment of final assessment.
785.20 Reporting a violation.

    Authority: United States Additional Protocol Implementation Act
of 2006, Pub. Law No. 109-401, 120 Stat. 2726 (December 18, 2006)
(to be codified at 22 U.S.C. 8101-8181); Executive Order 13458
(February 4, 2008).

Sec.  785.1  Scope and definitions.

    (a) Scope. This Part 785 describes the sanctions that apply to
violations of the Act and the APR. It also establishes detailed
administrative procedures for certain violations of the Act. Violations
for which the statutory basis is the Act are set forth in Sec.  785.2
of the APR. BIS investigates these violations, prepares charges,
provides legal representation to the U.S. Government, negotiates
settlements, and initiates and resolves proceedings. The administrative
procedures applicable to these violations are described in Sec. Sec.
785.3 through 785.19 of the APR.
    (b) Definitions. The following are definitions of terms as used
only in Part 785 of the APR. For definitions of terms applicable to
Parts 781 through 786 of the APR, unless otherwise noted in this
paragraph or elsewhere in the APR, see Part 781 of the APR.
    The Act. The U.S. Additional Protocol Implementation Act of 2006
(Public Law 109-401, 120 Stat. 2726 (December 18, 2006)).
    Assistant Secretary for Export Enforcement. The Assistant Secretary
for Export Enforcement, Bureau of Industry and Security, United States
Department of Commerce.
    Final decision. A decision or order assessing a civil penalty, or
otherwise disposing of or dismissing a case, which is not subject to
further administrative review, but which may be subject to collection
proceedings or judicial review in an appropriate Federal court as
authorized by law.
    Office of Chief Counsel. The Office of Chief Counsel for Industry
and Security, United States Department of Commerce.
    Recommended decision. A decision of the administrative law judge in
proceedings involving violations of Part 785 that is subject to review
by the Secretary of Commerce, or a designated United States Government
official.
    Report. For the purposes of Part 785 of the APR, the term
``report'' means any report required under Parts 783 through 786 of the
APR.
    Respondent. Any person named as the subject of a letter of intent
to charge, a Notice of Violation and Assessment (NOVA), or order.
    Under Secretary, Bureau of Industry and Security. The Under
Secretary, Bureau of Industry and Security, United States Department of
Commerce.

Sec.  785.2  Violations of the Act subject to administrative and
criminal enforcement proceedings.

    (a) Violations--(1) Refusal to permit entry or access. No person
may willfully fail or refuse to permit entry or access, or willfully
disrupt, delay or otherwise impede complementary access, or an entry in
connection with complementary access, authorized by the Act.
    (2) Failure to establish or maintain records. No person may
willfully fail or refuse to do any of the following:
    (i) Establish or maintain any record required by the Act or the
APR;
    (ii) Submit any report, notice, or other information to the United
States Government in accordance with the Act or the APR; or
    (iii) Permit access to or copying of any record by the United
States Government that is related to a person's obligations under the
Act or the APR.
    (b) Civil penalties--(1) Civil penalty for refusal to permit entry
or access. Any person that is determined to have willfully failed or
refused to permit entry or access, or to have willfully disrupted,
delayed or otherwise impeded an authorized complementary access, as set
forth in paragraph (a)(1) of this section, shall pay a civil penalty in
an amount not to exceed $25,000 for each violation. Each day the
violation continues constitutes a separate violation.
    (2) Civil penalty for failure to establish or maintain records. Any
person that is determined to have willfully failed or refused to
establish or maintain any record, submit any report or other
information required by the Act or the APR, or permit access to or
copying of any record related to a person's obligations under the Act
or the APR, as set forth in paragraph (a)(2) of this section, shall pay
a civil penalty in an amount not to exceed $25,000 for each violation.
    (c) Criminal penalty. Any person that is determined to have
violated the Act by willfully failing or refusing to permit entry or
access authorized by the Act; by willfully disrupting, delaying or
otherwise impeding complementary access authorized by the Act; or by
willfully failing or refusing to establish or maintain any required
record, submit any required report or other information, or permit
access to or copying of any record related to a person's obligations
under the Act or the APR, as set forth in paragraph (a) of this
section, shall, in addition to or in lieu of any civil penalty that may
be imposed, be fined under Title 18 of the United States Code, be
imprisoned for not more than five years, or both.

Sec.  785.3  Initiation of administrative proceedings.

    (a) Issuance of a Notice of Violation and Assessment (NOVA). Prior
to the initiation of an administrative proceeding through issuance of a
NOVA, the Bureau of Industry and Security will issue a letter of intent
to charge. The letter of intent to charge will advise a respondent that
BIS has conducted an investigation. The letter will give the respondent
a specified period of time to contact BIS to discuss settlement of the
allegations set forth in the letter of intent to charge. If the

respondent does not contact BIS in the time period specified in the
letter of intent to charge, the Director of the Office of Export
Enforcement, or such other Department of Commerce representative
designated by the Assistant Secretary for Export Enforcement, may
initiate an administrative enforcement proceeding under this Sec.
785.3 by issuing a NOVA.
    (b) Content of a NOVA. The NOVA shall constitute a formal complaint
and will set forth the alleged violation(s) and the essential facts
with respect to the alleged violation(s), reference the relevant
statutory, regulatory or other provisions, and state the maximum amount
of the civil penalty that could be assessed. The NOVA also will inform
the respondent of the requirement to request a hearing pursuant to
Sec.  785.4 of the APR.
    (c) Service of a NOVA. Service of the NOVA shall be made by
certified mail or courier delivery with signed acknowledgment of
receipt. The date of signed acknowledgment of receipt shall be the
effective date of service of the NOVA. One copy of each paper shall be
provided to each party in the delivery. BIS files the NOVA with the
Administrative Law Judge (ALJ) at the same time that it is sent to the
respondent. The ALJ, in turn, will place the case on its docket and
will notify both the respondent and BIS of the docket information.

Sec.  785.4  Request for hearing and answer.

    (a) Deadline for answering the NOVA. If the respondent wishes to
contest the NOVA issued by BIS, the respondent must submit a written
request for a hearing to BIS within 15 business days from the date of
service of the NOVA. If the respondent requests a hearing, the
respondent must answer the NOVA within 30 calendar days from the date
of the request for hearing. The request for a hearing and the
respondent's answer to the NOVA must be filed with the Administrative
Law Judge (ALJ), along with a copy of the NOVA, and served on the
Office of Chief Counsel, and any other address(es) specified in the
NOVA, in accordance with Sec.  785.6 of the APR.
    (b) Content of respondent's answer. The respondent's answer must be
responsive to the NOVA and must fully set forth the nature of the
respondent's defense(s). The answer must specifically admit or deny
each separate allegation in the NOVA; if the respondent is without
knowledge, the answer will so state and this will serve as a denial.
Failure to deny or controvert a particular allegation will be deemed to
be an admission of that allegation. The answer must also set forth any
additional or new matter that the respondent contends will support a
defense or claim of mitigation. Any defense or partial defense not
specifically set forth in the answer shall be deemed to be waived, and
evidence supporting that defense or partial defense may be refused,
except for good cause shown.
    (c) English required. The request for hearing, the answer to the
NOVA, and all other papers and documentary evidence must be submitted
in English.
    (d) Waiver. The failure of the respondent to file a request for a
hearing and an answer within the times prescribed in paragraph (a) of
this section constitutes a waiver of the respondent's right to appear
and contest the allegations set forth in the NOVA. If no hearing is
requested and no answer is provided, a final order will be signed by
the Secretary of Commerce, or by a designated United States Government
official, and will constitute final agency action in the case.

Sec.  785.5  Representation.

    An individual respondent may appear, in person, or be represented
by a duly authorized officer or employee. A partner may appear on
behalf of a partnership, or a duly authorized officer or employee of a
corporation may appear on behalf of the corporation. If a respondent is
represented by counsel, counsel shall be a member in good standing of
the bar of any State, Commonwealth or Territory of the United States,
or of the District of Columbia, or be licensed to practice law in the
country in which counsel resides, if not the United States. The U.S.
Government will be represented by the Office of Chief Counsel. A
respondent personally, or through counsel or other representative who
has the power of attorney to represent the respondent, shall file a
notice of appearance with the ALJ, or, in cases where settlement
negotiations occur before any filing with the ALJ, with the Office of
Chief Counsel.

Sec.  785.6  Filing and service of papers other than the Notice of
Violation and Assessment (NOVA).

    (a) Filing. All papers to be filed with the ALJ shall be addressed
to ``Additional Protocol Administrative Enforcement Proceedings,'' at
the address set forth in the NOVA, or such other place as the ALJ may
designate. Filing by United States certified mail, by express or
equivalent parcel delivery service, via facsimile, or by hand delivery
is acceptable. Filing from a foreign country shall be by airmail, via
facsimile, or by express or equivalent parcel delivery service. A copy
of each paper filed shall be simultaneously served on all parties.
    (b) Service. Service shall be made by United States certified mail,
by express or equivalent parcel delivery service, via facsimile, or by
hand delivery of one copy of each paper to each party in the
proceeding. Service on the government party in all proceedings shall be
addressed to Office of Chief Counsel for Industry and Security, U.S.
Department of Commerce, 14th Street and Constitution Avenue, NW., Room
H-3839, Washington, DC 20230, or sent via facsimile to<PHONE_NUMBER>.
Service on a respondent shall be to the address to which the NOVA was
sent, or to such other address as the respondent may provide. When a
party has appeared by counsel or other representative, service on
counsel or other representative shall constitute service on that party.
    (c) Date. The date of filing or service is the day when the papers
are deposited in the mail or are delivered in person, by delivery
service, or by facsimile. Refusal by the person to be served, or by the
person's agent or attorney, of service of a document or other paper
will be considered effective service of the document or other paper as
of the date of such refusal.
    (d) Certificate of service. A certificate of service signed by the
party making service, stating the date and manner of service, shall
accompany every paper, other than the NOVA, filed and served on the
parties.
    (e) Computation of time. In computing any period of time prescribed
or allowed by this part, the day of the act, event, or default from
which the designated period of time begins to run is not to be
included. The last day of the period is to be included in the
computation unless it is a Saturday, a Sunday, or a legal holiday (as
defined in Rule 6(a) of the Federal Rules of Civil Procedure). In such
instance, the period runs until the end of the next day that is neither
a Saturday, a Sunday, nor a legal holiday. Intermediate Saturdays,
Sundays, and legal holidays are excluded from the computation when the
period of time prescribed or allowed is 7 days or less--there is no cap
on the period of time to which this exclusion applies, whenever the
period of time prescribed or allowed by this part is computed in
business days, rather than calendar days.

Sec.  785.7  Summary decision.

    The ALJ may render a summary decision disposing of all or part of a
proceeding on the motion of any party to the proceeding, provided that
there is

no genuine issue as to any material fact and the party is entitled to
summary decision as a matter of law.

Sec.  785.8  Discovery.

    (a) General. The parties are encouraged to engage in voluntary
discovery regarding any matter, not privileged, which is relevant to
the subject matter of the pending proceeding. The provisions of the
Federal Rules of Civil Procedure relating to discovery apply to the
extent consistent with this part and except as otherwise provided by
the ALJ or by waiver or agreement of the parties. The ALJ may make any
order which justice requires to protect a party or person from
annoyance, embarrassment, oppression, or undue burden or expense. These
orders may include limitations on the scope, method, time and place of
discovery, and provisions for protecting the confidentiality of
classified or otherwise sensitive information, including Confidential
Business Information (CBI) as defined by the Act.
    (b) Interrogatories and requests for admission or production of
documents. A party may serve on any party interrogatories, requests for
admission, or requests for production of documents for inspection and
copying, and a party may apply to the ALJ for such enforcement or
protective order as that party deems warranted with respect to such
discovery. The service of a discovery request shall be made at least 30
calendar days before the scheduled date of the hearing unless the ALJ
specifies a shorter time period. Copies of interrogatories, requests
for admission and requests for production of documents and responses
thereto shall be served on all parties and a copy of the certificate of
service shall be filed with the ALJ at least 5 business days before the
scheduled date of the hearing. Matters of fact or law of which
admission is requested shall be deemed admitted unless, within a period
designated in the request (at least 10 business days after service, or
within such additional time as the ALJ may allow), the party to whom
the request is directed serves upon the requesting party a sworn
statement either denying specifically the matters of which admission is
requested or setting forth in detail the reasons why the party to whom
the request is directed cannot either admit or deny such matters.
    (c) Depositions. Upon application of a party and for good cause
shown, the ALJ may order the taking of the testimony of any person by
deposition and the production of specified documents or materials by
the person at the deposition. The application shall state the purpose
of the deposition and set forth the facts sought to be established
through the deposition.
    (d) Enforcement. The ALJ may order a party to answer designated
questions, to produce specified documents or things or to take any
other action in response to a proper discovery request. If a party does
not comply with such an order, the ALJ may make a determination or
enter any order in the proceeding as the ALJ deems reasonable and
appropriate. The ALJ may strike related charges or defenses in whole or
in part or may take particular facts relating to the discovery request
to which the party failed or refused to respond as being established
for purposes of the proceeding in accordance with the contentions of
the party seeking discovery. In addition, enforcement by any district
court of the United States in which venue is proper may be sought as
appropriate.

Sec.  785.9  Subpoenas.

    (a) Issuance. Upon the application of any party, supported by a
satisfactory showing that there is substantial reason to believe that
the evidence would not otherwise be available, the ALJ may issue
subpoenas to any person requiring the attendance and testimony of
witnesses and the production of such books, records or other
documentary or physical evidence for the purpose of the hearing, as the
ALJ deems relevant and material to the proceedings, and reasonable in
scope. Witnesses shall be paid the same fees and mileage that are paid
to witnesses in the courts of the United States. In case of contempt,
challenge or refusal to obey a subpoena served upon any person pursuant
to this paragraph, any district court of the United States, in which
venue is proper, has jurisdiction to issue an order requiring any such
person to comply with a subpoena. Any failure to obey an order of the
court is punishable by the court as a contempt thereof.
    (b) Service. Subpoenas issued by the ALJ may be served by any of
the methods set forth in Sec.  785.6(b) of the APR.
    (c) Timing. Applications for subpoenas must be submitted at least
10 business days before the scheduled hearing or deposition, unless the
ALJ determines, for good cause shown, that extraordinary circumstances
warrant a shorter time.

Sec.  785.10  Matters protected against disclosure.

    (a) Protective measures. The ALJ may limit discovery or
introduction of evidence or issue such protective or other orders as in
the ALJ's judgment may be needed to prevent undue disclosure of
classified or sensitive documents or information. Where the ALJ
determines that documents containing classified or sensitive matter
must be made available to a party in order to avoid prejudice, the ALJ
may direct the other party to prepare an unclassified and nonsensitive
summary or extract of the documents. The ALJ may compare the extract or
summary with the original to ensure that it is supported by the source
document and that it omits only so much as must remain undisclosed. The
summary or extract may be admitted as evidence in the record.
    (b) Arrangements for access. If the ALJ determines that the summary
procedure outlined in paragraph (a) of this section is unsatisfactory,
and that classified or otherwise sensitive matter must form part of the
record in order to avoid prejudice to a party, the ALJ may provide the
parties with the opportunity to make arrangements that permit a party
or a representative to have access to such matter without compromising
sensitive information. Such arrangements may include obtaining security
clearances or giving counsel for a party access to sensitive
information and documents subject to assurances against further
disclosure, including a protective order, if necessary.

Sec.  785.11  Prehearing conference.

    (a) On the ALJ's own motion, or on request of a party, the ALJ may
direct the parties to participate in a prehearing conference, either in
person or by telephone, to consider:
    (1) Simplification of issues;
    (2) The necessity or desirability of amendments to pleadings;
    (3) Obtaining stipulations of fact and of documents to avoid
unnecessary proof; or
    (4) Such other matters as may expedite the disposition of the
proceedings.
    (b) The ALJ may order the conference proceedings to be recorded
electronically or taken by a reporter, transcribed and filed with the
ALJ.
    (c) If a prehearing conference is impracticable, the ALJ may direct
the parties to correspond with the ALJ to achieve the purposes of such
a conference.
    (d) The ALJ will prepare a summary of any actions agreed on or
taken pursuant to this section. The summary will include any written
stipulations or agreements made by the parties.

Sec.  785.12  Hearings.

    (a) Scheduling. Upon receipt of a valid request for a hearing, the
ALJ shall, by agreement with all the parties or upon notice to all
parties of at least 30 calendar days from the date of receipt of a
request for a hearing, schedule a hearing. All hearings will be held in
Washington, DC, unless the ALJ determines, for good cause shown, that
another location would better serve the interest of justice.
    (b) Hearing procedure. Hearings will be conducted in a fair and
impartial manner by the ALJ. All hearings will be closed, unless the
ALJ for good cause shown determines otherwise. The rules of evidence
prevailing in courts of law do not apply, and all evidentiary material
deemed by the ALJ to be relevant and material to the proceeding and not
unduly repetitious will be received and given appropriate weight,
except that any evidence of settlement which would be excluded under
Rule 408 of the Federal Rules of Evidence is not admissible. Witnesses
will testify under oath or affirmation, and shall be subject to cross-
examination.
    (c) Testimony and record. (1) A verbatim record of the hearing and
of any other oral proceedings will be taken by reporter or by
electronic recording, and filed with the ALJ. If any party wishes to
obtain a written copy of the transcript, that party shall pay the costs
of transcription. The parties may share the costs if both want a
transcript.
    (2) Upon such terms as the ALJ deems just, the ALJ may direct that
the testimony of any person be taken by deposition and may admit an
affidavit or report as evidence, provided that any affidavits or
reports have been filed and served on the parties sufficiently in
advance of the hearing to permit a party to file and serve an objection
thereto on the grounds that it is necessary that the affiant or
declarant testify at the hearing and be subject to cross-examination.
    (d) Failure to appear. If a party fails to appear in person or by
counsel at a scheduled hearing, the hearing may nevertheless proceed.
The party's failure to appear will not affect the validity of the
hearing or any proceeding or action taken thereafter.

Sec.  785.13  Procedural stipulations.

    Unless otherwise ordered and subject to Sec.  785.14 of the APR, a
written stipulation agreed to by all parties and filed with the ALJ
will modify the procedures established by this Part.

Sec.  785.14  Extension of time.

    The parties may extend any applicable time limitation by
stipulation filed with the ALJ before the time limitation expires, or
the ALJ may, on the ALJ's own initiative or upon application by any
party, either before or after the expiration of any applicable time
limitation, extend the time, except that the requirement that a hearing
be demanded within 15 calendar days, and the requirement that a final
agency decision be made within 60 calendar days, may not be modified.

Sec.  785.15  Post-hearing submissions.

    All parties shall have the opportunity to file post-hearing
submissions that may include findings of fact and conclusions of law,
supporting evidence and legal arguments, exceptions to the ALJ's
rulings or to the admissibility of evidence, and orders and
settlements.

Sec.  785.16  Decisions.

    (a) Recommended decision and order. After considering the entire
record in the case, the ALJ will issue a recommended decision based on
a preponderance of the evidence. The decision will include findings of
fact, conclusions of law, and a decision based thereon as to whether
the respondent has violated the Act. If the ALJ finds that the evidence
of record is insufficient to sustain a finding that a violation has
occurred with respect to one or more allegations, the ALJ shall order
dismissal of the allegation(s) in whole or in part, as appropriate. If
the ALJ finds that one or more violations have been committed, the ALJ
shall issue an order imposing administrative sanctions.
    (b) Factors considered in assessing penalties. In determining the
amount of a civil penalty, the ALJ shall take into account the nature,
circumstances, extent and gravity of the violation(s), and, with
respect to the respondent, the respondent's ability to pay the penalty,
the effect of a civil penalty on the respondent's ability to continue
to do business, the respondent's history of prior violations, and such
other matters as justice may require.
    (c) Referral of recommended decision and order. The ALJ shall
immediately issue and serve the recommended decision (and order, if
appropriate) to the Office of Chief Counsel, at the address in Sec.
785.6(b) of the APR, and to the respondent, by courier delivery or
overnight mail. The recommended decision and order will also be
referred to the head of the designated executive agency for final
decision and order.
    (d) Final decision and order. The recommended decision and order
shall become the final agency decision and order unless, within 60
calendar days, the Secretary of Commerce, or a designated United States
Government official, modifies or vacates it, or unless an appeal has
been filed pursuant to paragraph (e) of this section.
    (e) Appeals. The respondent may appeal the final agency decision
within 30 calendar days after the date of certification. Petitions for
appeal may be filed in the Court of Appeals for the District of
Columbia Circuit or in the Court of Appeals for the district in which
the violation occurred.

Sec.  785.17  Settlement.

    (a) Settlements before issuance of a NOVA. When the parties have
agreed to a settlement of the case prior to issuance of a NOVA, a
settlement proposal consisting of a settlement agreement and order will
be submitted to the Assistant Secretary for Export Enforcement for
approval and signature. If the Assistant Secretary does not approve the
proposal, he/she will notify the parties and the case will proceed as
though no settlement proposal has been made. If the Assistant Secretary
approves the proposal, he/she will issue an appropriate order, and no
action will be required by the ALJ.
    (b) Settlements following issuance of a NOVA. The parties may enter
into settlement negotiations at any time during the time a case is
pending before the ALJ. If necessary, the parties may extend applicable
time limitations or otherwise request that the ALJ stay the proceedings
while settlement negotiations continue. When the parties have agreed to
a settlement of the case, the Office of Chief Counsel will recommend
the settlement to the Assistant Secretary for Export Enforcement,
forwarding a proposed settlement agreement and order, which the
Assistant Secretary will approve and sign. If a NOVA has been filed,
the Office of Chief Counsel will send a copy of the settlement proposal
to the ALJ.
    (c) Settlement scope. Any respondent who agrees to an order
imposing any administrative sanction does so solely for the purpose of
resolving the claims in the administrative enforcement proceeding
brought under this Part. The government officials involved have neither
the authority nor the responsibility for initiating, conducting,
settling, or otherwise disposing of criminal proceedings. That
authority and responsibility are vested in the Attorney General and the
Department of Justice.
    (d) Finality. Cases that are settled may not be reopened or
appealed, absent a showing of good cause. Appeals and requests to
reopen settled cases must be submitted to the Assistant Secretary for
Export Enforcement within 30 calendar

days of the execution of a settlement agreement.

Sec.  785.18  Record for decision.

    (a) The record. The transcript of hearings, exhibits, rulings,
orders, all papers and requests filed in the proceedings, and, for
purposes of any appeal under Sec.  785.16 of the APR, the decision of
the ALJ and such submissions as are provided for under Sec.  785.16 of
the APR will constitute the record and the exclusive basis for
decision. When a case is settled, the record will consist of any and
all of the foregoing, as well as the NOVA or draft NOVA, settlement
agreement, and order.
    (b) Restricted access. On the ALJ's own motion, or on the motion of
any party, the ALJ may direct that there be a restricted access portion
of the record for any material in the record to which public access is
restricted by law or by the terms of a protective order entered in the
proceedings. A party seeking to restrict access to any portion of the
record is responsible, prior to the close of the proceeding, for
submitting a version of the document(s) proposed for public
availability that reflects the requested deletion. The restricted
access portion of the record will be placed in a separate file and the
file will be clearly marked to avoid improper disclosure and to
identify it as a portion of the official record in the proceedings. The
ALJ may act at any time to permit material that becomes declassified or
unrestricted through passage of time to be transferred to the
unrestricted access portion of the record.
    (c) Availability of documents--(1) Scope. All NOVAs and draft
NOVAs, answers, settlement agreements, decisions and orders disposing
of a case will be displayed on the BIS Freedom of Information Act
(FOIA) Web site, at http://www.bis.doc.gov/foia, which is maintained by
the Office of Administration, Bureau of Industry and Security, U.S.
Department of Commerce. The Office of Administration does not maintain
a separate inspection facility. The complete record for decision, as
defined in paragraphs (a) and (b) of this section will be made
available on request.
    (2) Timing. The record for decision will be available only after
the final administrative disposition of a case. Parties may seek to
restrict access to any portion of the record under paragraph (b) of
this section.

Sec.  785.19  Payment of final assessment.

    (a) Time for payment. Full payment of the civil penalty must be
made within 30 days of the effective date of the order or within such
longer period of time as may be specified in the order. Payment shall
be made in the manner specified in the NOVA.
    (b) Enforcement of order. The government party may, through the
Attorney General, file suit in an appropriate district court if
necessary to enforce compliance with a final order issued under the
APR. This suit will include a claim for interest at current prevailing
rates from the date of expiration of the 60-day period referred to in
Sec.  785.16(d), or the date of the final order, as appropriate.
    (c) Offsets. The amount of any civil penalty imposed by a final
order may be deducted from any sum(s) owed by the United States to a
respondent.

Sec.  785.20  Reporting a violation.

    If a person learns that a violation of the Additional Protocol, the
Act, or the APR has occurred or may occur, that person may notify:
Office of Export Enforcement, Bureau of Industry and Security, U.S.
Department of Commerce, 14th Street and Constitution Avenue, NW., Room
H-4520, Washington, DC 20230; Tel:<PHONE_NUMBER>; Facsimile: (202)
482-0964.

PART 786--RECORDS AND RECORDKEEPING

Sec.
786.1 Inspection of records.
786.2 Recordkeeping.
786.3 Destruction or disposal of records.

    Authority: United States Additional Protocol Implementation Act
of 2006, Pub. Law No. 109-401, 120 Stat. 2726 (December 18, 2006)
(to be codified at 22 U.S.C. 8101-8181); Executive Order 13458
(February 4, 2008).

Sec.  786.1  Inspection of records.

    Upon request by BIS, you must permit access to and copying of any
record relating to compliance with the requirements of the APR. This
requires that you make available the equipment and, if necessary,
knowledgeable personnel for locating, reading, and reproducing any
record. Copies may be necessary to facilitate IAEA Team review of
documents during complementary access. The IAEA Team may not remove
these documents from the location without BIS authorization (see Sec.
784.3(j)(2) of the APR).

Sec.  786.2  Recordkeeping.

    (a) Requirements. Each person and location required to submit a
report or correspondence under Parts 782 through 784 of the APR must
retain all supporting materials and documentation used to prepare such
report or correspondence.
    (b) Three year retention period. All supporting materials and
documentation required to be kept under paragraph (a) of this section
must be retained for three years from the due date of the applicable
report or for three years from the date of submission of the applicable
report, whichever is later. Due dates for reports and correspondence
are indicated in Parts 782 through 784 of the APR.
    (c) Location of records. Records retained under this section must
be maintained at the location or must be accessible at the location for
purposes of complementary access at the location by IAEA Teams.
    (d) Reproduction of original records. (1) You may maintain
reproductions instead of the original records, provided all of the
requirements of paragraph (b) of this section are met.
    (2) If you must maintain records under this Part, you may use any