{"database": "openregs", "table": "cfr_sections", "is_view": false, "human_description_en": "where part_number = 40 sorted by section_id", "rows": [["10:10:1.0.1.1.29.0.100.44", 10, "Energy", "I", "", "40", "PART 40\u2014DOMESTIC LICENSING OF SOURCE MATERIAL", "", "", "", "\u00a7 40.60 Reporting requirements.", "NRC", "", "", "[56 FR 40768, Aug. 16, 1991, as amended at 59 FR 14086, Mar. 25, 1994; 68 FR 58807, Oct. 10, 2003; 85 FR 65662, Oct. 16, 2020]", "(a)  Immediate report.  Each licensee shall notify the NRC as soon as possible but not later than 4 hours after the discovery of an event that prevents immediate protective actions necessary to avoid exposures to radiation or radioactive materials that could exceed regulatory limits or releases of licensed material that could exceed regulatory limits (events may include fires, explosions, toxic gas releases, etc.).\n\n(b)  Twenty-four hour report.  Each licensee shall notify the NRC within 24 hours after the discovery of any of the following events involving licensed material:\n\n(1) An unplanned contamination event that:\n\n(i) Requires access to the contaminated area, by workers or the public, to be restricted for more than 24 hours by imposing additional radiological controls or by prohibiting entry into the area;\n\n(ii) Involves a quantity of material greater than five times the lowest annual limit on intake specified in appendix B of \u00a7\u00a7 20.1001-20.2401 of 10 CFR part 20 for the material; and\n\n(iii) Has access to the area restricted for a reason other than to allow isotopes with a half-life of less than 24 hours to decay prior to decontamination.\n\n(2) An event in which equipment is disabled or fails to function as designed when:\n\n(i) The equipment is required by regulation or license condition to prevent releases exceeding regulatory limits, to prevent exposures to radiation and radioactive materials exceeding regulatory limits, or to mitigate the consequences of an accident;\n\n(ii) The equipment is required to be available and operable when it is disabled or fails to function; and\n\n(iii) No redundant equipment is available and operable to perform the required safety function.\n\n(3) An event that requires unplanned medical treatment at a medical facility of an individual with spreadable radioactive contamination on the individual's clothing or body.\n\n(4) An unplanned fire or explosion damaging any licensed material or any device, container, or equipment containing licensed material when:\n\n(i) The quantity of material involved is greater than five times the lowest annual limit on intake specified in appendix B of \u00a7\u00a7 20.1001-20.2401 of 10 CFR part 20 for the material; and\n\n(ii) The damage affects the integrity of the licensed material or its container.\n\n(c)  Preparation and submission of reports.  Reports made by licensees in response to the requirements of this section must be made as follows:\n\n(1) Licensees shall make reports required by paragraphs (a) and (b) of this section by telephone to the NRC Headquarters Operations Center at the numbers specified in appendix A to part 73 of this chapter. To the extent that the information is available at the time of notification, the information provided in these reports must include:\n\n(i) The caller's name and call back telephone number;\n\n(ii) A description of the event, including date and time;\n\n(iii) The exact location of the event;\n\n(iv) The isotopes, quantities, and chemical and physical form of the licensed material involved; and\n\n(v) Any personnel radiation exposure data available.\n\n(2)  Written report.  Each licensee who makes a report required by paragraph (a) or (b) of this section shall submit a written follow-up report within 30 days of the initial report. Written reports prepared pursuant to other regulations may be submitted to fulfill this requirement if the reports contain all of the necessary information and the appropriate distribution is made. These written reports must be sent to the NRC's Document Control Desk by an appropriate method listed in \u00a7 40.5, with a copy to the appropriate NRC regional office listed in appendix D to part 20 of this chapter. The reports must include the following:\n\n(i) A description of the event, including the probable cause and the manufacturer and model number (if applicable) of any equipment that failed or malfunctioned;\n\n(ii) The exact location of the event;\n\n(iii) The isotopes, quantities, and chemical and physical form of the licensed material involved;\n\n(iv) Date and time of the event;\n\n(v) Corrective actions taken or planned and the results of any evaluations or assessments; and\n\n(vi) The extent of exposure of individuals to radiation or to radioactive materials without identification of individuals by name.\n\n(3) The provisions of \u00a7 40.60 do not apply to licensees subject to the notification requirements in \u00a7 50.72. They do apply to those part 50 licensees possessing material licensed under part 40 who are not subject to the notification requirements in \u00a7 50.72."], ["10:10:1.0.1.1.29.0.100.45", 10, "Energy", "I", "", "40", "PART 40\u2014DOMESTIC LICENSING OF SOURCE MATERIAL", "", "", "", "\u00a7 40.61 Records.", "NRC", "", "", "[45 FR 65532, Oct. 3, 1980, as amended at 53 FR 19248, May 27, 1988; 61 FR 24674, May 16, 1996; 80 FR 45843, Aug. 3, 2015]", "(a) Each person who receives source or byproduct material pursuant to a license issued pursuant to the regulations in this part shall keep records showing the receipt, transfer, and disposal of this source or byproduct material as follows:\n\n(1) The licensee shall retain each record of receipt of source or byproduct material as long as the material is possessed and for three years following transfer or disposition of the source or byproduct material.\n\n(2) The licensee who transferred the material shall retain each record of transfer of source or byproduct material until the Commission terminates each license that authorizes the activity that is subject to the recordkeeping requirement.\n\n(3) The licensee shall retain each record of disposal of source or byproduct material until the Commission terminates each license that authorizes the activity that is subject to the recordkeeping requirement.\n\n(4) If source or byproduct material is combined or mixed with other licensed material and subsequently treated in a manner that makes direct correlation of a receipt record with a transfer, export, or disposition record impossible, the licensee may use evaluative techniques (such as first-in-first-out), to make the records that are required by this part account for 100 percent of the material received.\n\n(b) The licensee shall retain each record that is required by the regulations in this part or by license condition for the period specified by the appropriate regulation or license condition. If a retention period is not otherwise specified by regulation or license condition, each record must be maintained until the Commission terminates the license that authorizes the activity that is subject to the recordkeeping requirement.\n\n(c)(1) Records which must be maintained pursuant to this part may be the original or reproduced copy or microform if the reproduced copy or microform is duly authenticated by authorized personnel and the microform is capable of producing a clear and legible copy after storage for the period specified by Commission regulations. The record may also be stored in electronic media with the capability for producing legible, accurate, and complete records during the required retention period. Records such as letters, drawings, specifications, must include all pertinent information such as stamps, initials, and signatures. The licensee shall maintain adequate safeguards against tampering with and loss of records.\n\n(2) If there is a conflict between the Commission's regulations in this part, license condition, or other written Commission approval or authorization pertaining to the retention period for the same type of record, the retention period specified in the regulations in this part for such records shall apply unless the Commission, pursuant to \u00a7 40.14 of this part, has granted a specific exemption from the record retention requirements specified in the regulations in this part.\n\n(d) Prior to license termination, each licensee authorized to possess source material, in an unsealed form, shall forward the following records to the appropriate NRC Regional Office:\n\n(1) Records of disposal of licensed material made under \u00a7 20.2002 (including burials authorized before January 28, 1981 \n 1 \n  ), 20.2003, 20.2004, 20.2005; and\n\n1  A previous \u00a7 20.304 permitted burial of small quantities of licensed materials in soil before January 28, 1981, without specific Commission authorization. See \u00a7 20.304 contained in the 10 CFR, parts 0 to 199, edition revised as of January 1, 1981.\n\n(2) Records required by \u00a7 20.2103(b)(4).\n\n(e) If licensed activities are transferred or assigned in accordance with \u00a7 40.41(b), each licensee authorized to possess source material, in an unsealed form, shall transfer the following records to the new licensee and the new licensee will be responsible for maintaining these records until the license is terminated:\n\n(1) Records of disposal of licensed material made under \u00a7 20.2002 (including burials authorized before January 28, 1981 \n 1 ), 20.2003, 20.2004, 20.2005; and\n\n(2) Records required by \u00a7 20.2103(b)(4).\n\n(f) Prior to license termination, each licensee shall forward the records required by \u00a7 40.36(f) to the appropriate NRC Regional Office."], ["10:10:1.0.1.1.29.0.100.46", 10, "Energy", "I", "", "40", "PART 40\u2014DOMESTIC LICENSING OF SOURCE MATERIAL", "", "", "", "\u00a7 40.62 Inspections.", "NRC", "", "", "[45 FR 65532, Oct. 3, 1980]", "(a) Each licensee shall afford to the Commission at all reasonable times opportunity to inspect source or byproduct material and the premises and facilities wherein source or byproduct material is used or stored.\n\n(b) Each licensee shall make available to the Commission for inspection, upon reasonable notice, records kept by him pursuant to the regulations in this chapter."], ["10:10:1.0.1.1.29.0.100.47", 10, "Energy", "I", "", "40", "PART 40\u2014DOMESTIC LICENSING OF SOURCE MATERIAL", "", "", "", "\u00a7 40.63 Tests.", "NRC", "", "", "[45 FR 65533, Oct. 3, 1980]", "Each licensee shall perform, or permit the Commission to perform, such tests as the Commission deems appropriate or necessary for the administration of the regulations in this part, including tests of:\n\n(a) Source or byproduct material;\n\n(b) Facilities wherein source or byproduct material is utilized or stored;\n\n(c) Radiation detection and monitoring instruments; and\n\n(d) Other equipment and devices used in connection with the utilization and storage of source or byproduct material."], ["10:10:1.0.1.1.29.0.100.48", 10, "Energy", "I", "", "40", "PART 40\u2014DOMESTIC LICENSING OF SOURCE MATERIAL", "", "", "", "\u00a7 40.64 Reports.", "NRC", "", "", "[35 FR 12195, July 30, 1970, as amended at 36 FR 10938, June 5, 1971; 38 FR 1272, Jan. 11, 1973; 38 FR 2330, Jan. 24, 1973; 40 FR 8787, Mar. 3, 1975; 41 FR 16446, Apr. 19, 1976; 45 FR 50710, July 31, 1980; 49 FR 24707, June 15, 1984; 51 FR 9766, Mar. 21, 1986; 52 FR 31611, Aug. 21, 1987; 59 FR 35620, July 13, 1994; 68 FR 10364, Mar. 5, 2003; 68 FR 58807, Oct. 10, 2003; 73 FR 32461, June 9, 2008; 74 FR 62681, Dec. 1, 2009; 83 FR 58723, Nov. 21, 2018; 84 FR 65644, Nov. 29, 2019]", "(a) Except as specified in paragraphs (d) and (e) of this section, each specific licensee who transfers, receives, or adjusts the inventory in any manner, of uranium or thorium source material with foreign obligations by one kilogram or more; or who imports or exports one kilogram or more of uranium or thorium source material; or who uses one kilogram or more of any uranium or thorium source material in enrichment services, downblending uranium that has an initial enrichment of the U\n 235  isotope of 10 percent or more, or in the fabrication of mixed-oxide fuels, shall complete a Nuclear Material Transaction Report in computer-readable format as specified in the instructions in NUREG/BR-0006 and NMMSS Report D-24, \u201cPersonal Computer Data Input for NRC Licensees.\u201d Each licensee who exports one kilogram or more of uranium or thorium source material shall complete in the format listed above the licensee's portion of the Nuclear Material Transaction Report unless there is indication of loss, theft, or diversion as discussed under paragraph (d) of this section, in which case both the licensee's and the foreign facility's information must be reported. Licensees who import one kilogram or more of uranium or thorium source material shall complete the supplier's and the licensee's portion of the Nuclear Material Transaction Report. Copies of the instructions may be obtained either by writing the U.S. Nuclear Regulatory Commission, Division of Fuel Management, Washington, DC 20555-0001, or by e-mail to  RidsNmssFcss@nrc.gov.  Each licensee who transfers the material shall submit a Nuclear Material Transaction Report in computer-readable format as specified in the instructions no later than the close of business the next working day. Each licensee who receives the material shall submit a Nuclear Material Transaction Report in computer-readable format in accordance with instructions within ten (10) days after the material is received. The Commission's copy of the report must be submitted to the address specified in the instructions. These prescribed computer-readable forms replace the DOE/NRC Form 741 previously submitted in paper form.\n\n(b) Except as specified in paragraphs (d) and (e) of this section, each licensee who:\n\n(1) Possesses, or had possessed in the previous reporting period, at any one time and location, one kilogram or more of uranium or thorium source material with foreign obligations as defined in this part, shall document holdings as of September 30 of each year and submit to the Commission within 30 days, a statement of its source material inventory with foreign obligations as defined in this part. Alternatively, this information may be submitted with the licensee's material status reports on special nuclear material filed under part 72 or 74 of this chapter, as a statement of its source material inventory with foreign obligations as defined in this part. This statement must be submitted to the address specified in the reporting instructions in NUREG/BR-0007, and include the Reporting Identification Symbol (RIS) assigned by the Commission to the licensee.\n\n(2) Possesses, or had possessed in the previous reporting period, one kilogram or more of uranium or thorium source material pursuant to the operation of enrichment services, downblending uranium that has an initial enrichment of the U\n 235  isotope of 10 percent or more, or in the fabrication of mixed-oxide fuels shall complete and submit, in computer-readable format, Material Balance and Physical Inventory Listing Reports concerning all source material that the licensee has received, produced, possessed, transferred, consumed, disposed of, or lost. Reports must be submitted for each Reporting Identification Symbol (RIS) account including all holding accounts. Each licensee shall prepare and submit these reports as specified in the instructions in NUREG/BR-0007 and NMMSS Report D-24, \u201cPersonal Computer Data Input for NRC Licensees.\u201d These reports must document holdings as of September 30 of each year and must be submitted to the Commission within 30 days. Alternatively, these reports may be submitted with the licensee's material status reports on special nuclear material filed under parts 72 or 74 of this chapter. Copies of the reporting instructions may be obtained either by writing to the U.S. Nuclear Regulatory Commission, Division of Fuel Management, Washington, DC 20555-0001, or by e-mail to  RidsNmssFcss@nrc.gov.  Each licensee required to report material balance, inventory, and/or foreign obligation information, as detailed in this part, shall resolve any discrepancies identified during the report review and reconciliation process within 30 calendar days of notification of a discrepancy identified by the NRC.\n\n(c)(1) Except as specified in paragraph (d) of this section, each licensee who is authorized to possess uranium or thorium pursuant to a specific license shall notify the NRC Headquarters Operations Center by telephone, at the numbers listed in appendix A of part 73 of this chapter, of any incident in which an attempt has been made or is believed to have been made to commit a theft or unlawful diversion of more than 6.8 kilograms (kg) [15 pounds] of such material at any one time or more than 68 kg [150 pounds] of such material in any one calendar year.\n\n(2) The licensee shall notify the NRC as soon as possible, but within 4 hours, of discovery of any incident in which an attempt has been made or is believed to have been made to commit a theft or unlawful diversion of such material.\n\n(3) The initial notification shall be followed within a period of sixty (60) days by a written followup notification submitted in accordance with \u00a7 40.5.\n\n(4) Subsequent to the submission of the written followup notification required by this paragraph, the licensee shall promptly update the written followup notification, in accordance with this paragraph, with any substantive additional information, which becomes available to the licensee, concerning an attempted or apparent theft or unlawful diversion of source material.\n\n(d) The reports described in paragraphs (a), (b), and (c) of this section are not required for:\n\n(1) Processed ores containing less than five (5) percent of uranium or thorium, or any combination of uranium or thorium, by dry weight;\n\n(2) Thorium contained in magnesium-thorium and tungsten-thorium alloys, if the thorium content in the alloys does not exceed 4 percent by weight;\n\n(3) Chemical catalysts containing uranium depleted in the U-235 isotope to 0.4 percent or less, if the uranium content of the catalyst does not exceed 15 percent by weight; or\n\n(4) Any source material contained in non-nuclear end use devices or components, including but not limited to permanently installed shielding, teletherapy, radiography, X-ray, accelerator devices, or munitions.\n\n(e) Any licensee who is required to submit inventory change reports and material status reports pursuant to part 75 of this chapter (pertaining to implementation of the US/IAEA Safeguards Agreement) shall prepare and submit such reports only as provided in \u00a7\u00a7 75.34 and 75.35 of this chapter (instead of as provided in paragraphs (a) and (b) of this section)."], ["10:10:1.0.1.1.29.0.100.49", 10, "Energy", "I", "", "40", "PART 40\u2014DOMESTIC LICENSING OF SOURCE MATERIAL", "", "", "", "\u00a7 40.65 Effluent monitoring reporting requirements.", "NRC", "", "", "[40 FR 53230, Nov. 17, 1975, as amended at 41 FR 21627, May 27, 1976; 42 FR 25721, May 19, 1977; 52 FR 31611, Aug. 21, 1987; 57 FR 18391, Apr. 30, 1992; 68 FR 58807, Oct. 10, 2003; 73 FR 5721, Jan. 31, 2008]", "(a) Each licensee authorized to possess and use source material in uranium milling, in production of uranium hexafluoride, or in a uranium enrichment facility shall:\n\n(1) Within 60 days after January 1, 1976 and July 1, 1976, and within 60 days after January 1 and July 1 of each year thereafter, submit a report to the Director, Office of Nuclear Material Safety and Safeguards, using an appropriate method listed in \u00a7 40.5, with a copy to the appropriate NRC Regional Office shown in appendix D to part 20 of this chapter; the report must specify the quantity of each of the principal radionuclides released to unrestricted areas in liquid and in gaseous effluents during the previous six months of operation, and such other information as the Commission may require to estimate maximum potential annual radiation doses to the public resulting from effluent releases. If quantities of radioactive materials released during the reporting period are significantly above the licensee's design objectives previously reviewed as part of the licensing action, the report shall cover this specifically. On the basis of such reports and any additional information the Commission may obtain from the licensee or others, the Commission may from time to time require the licensee to take such action as the Commission deems appropriate.\n\n(2) [Reserved]\n\n(b) [Reserved]"], ["10:10:1.0.1.1.29.0.100.50", 10, "Energy", "I", "", "40", "PART 40\u2014DOMESTIC LICENSING OF SOURCE MATERIAL", "", "", "", "\u00a7 40.66 Requirements for advance notice of export shipments of natural uranium.", "NRC", "", "", "[52 FR 9651, Mar. 26, 1987, as amended at 53 FR 4110, Feb. 12, 1988; 60 FR 24551, May 9, 1995; 68 FR 58808, Oct. 10, 2003; 69 FR 76600, Dec. 22, 2004; 74 FR 62681, Dec. 1, 2009; 83 FR 58723, Nov. 21, 2018; 86 FR 67842, Nov. 30, 2021]", "(a) Each licensee authorized to export natural uranium, other than in the form of ore or ore residue, in amounts exceeding 500 kilograms, shall notify the Director, Office of Nuclear Security and Incident Response, by email (preferred method) to  AdvanceNotifications.Resource@nrc.gov  or by an appropriate method listed in \u00a7 40.5. The notification must be in writing and must be received at least 10 days before transport of the shipment commences at the shipping facility.\n\n(b) The notification must include the following information:\n\n(1) The name(s), address(es), and telephone number(s) of the shipper, receiver, and carrier(s);\n\n(2) A physical description of the shipment;\n\n(3) A listing of the mode(s) of shipment, transfer points, and routes to be used;\n\n(4) The estimated date and time that shipment will commence and that each nation (other than the United States) along the route is scheduled to be entered; and\n\n(5) A certification that arrangements have been made to notify the Director, Office of Nuclear Security and Incident Response when the shipment is received at the receiving facility.\n\n(c) A licensee who needs to amend a notification may do so by telephoning the Director, Office of Nuclear Security and Incident Response, at the numbers for the NRC Headquarters Operations Center listed in Appendix A to part 73 of this chapter."], ["10:10:1.0.1.1.29.0.100.51", 10, "Energy", "I", "", "40", "PART 40\u2014DOMESTIC LICENSING OF SOURCE MATERIAL", "", "", "", "\u00a7 40.67 Requirement for advance notice for importation of natural uranium from countries that are not party to the Convention on the Physical Protection of Nuclear Material.", "NRC", "", "", "[52 FR 9652, Mar. 26, 1987, as amended at 53 FR 4110, Feb. 12, 1988; 60 FR 24551, May 9, 1995; 68 FR 58808, Oct. 10, 2003; 69 FR 76600, Dec. 22, 2004; 74 FR 62681, Dec. 1, 2009; 83 FR 58723, Nov. 21, 2018; 85 FR 65662, Oct. 16, 2020; 86 FR 67842, Nov. 30, 2021]", "(a) Each licensee authorized to import natural uranium, other than in the form of ore or ore residue, in amounts exceeding 500 kilograms, from countries not party to the Convention on the Physical Protection of Nuclear Material (see appendix F to part 73 of this chapter) shall notify the Director, Office of Nuclear Security and Incident Response, by email (preferred method) to  AdvanceNotifications.Resource@nrc.gov  or using an appropriate method listed in \u00a7 40.5. The notification must be in writing and must be received at least 10 days before transport of the shipment commences at the shipping facility.\n\n(b) The notification must include the following information:\n\n(1) The name(s), address(es), and telephone number(s) of the shipper, receiver, and carrier(s);\n\n(2) A physical description of the shipment;\n\n(3) A listing of the mode(s) of shipment, transfer points, and routes to be used;\n\n(4) The estimated date and time that shipment will commence and that each nation along the route is scheduled to be entered.\n\n(c) The licensee shall notify the Director, Office of Nuclear Security and Incident Response, by telephone at the numbers for the NRC Headquarters Operations Center specified in appendix A to part 73 of this chapter when the shipment is received in the receiving facility.\n\n(d) A licensee who needs to amend a notification shall notify the Director, Office of Nuclear Security and Incident Response, by telephone at the numbers specified for the NRC Headquarters Operations Center in appendix A to part 73 of this chapter."], ["10:10:1.0.1.1.29.0.101.52", 10, "Energy", "I", "", "40", "PART 40\u2014DOMESTIC LICENSING OF SOURCE MATERIAL", "", "", "", "\u00a7 40.71 Modification and revocation of licenses.", "NRC", "", "", "[26 FR 284, Jan. 14, 1961, as amended at 35 FR 11460, July 17, 1970; 48 FR 32328, July 15, 1983]", "(a) The terms and conditions of each license shall be subject to amendment, revision, or modification by reason of amendments to the Act, or by reason of rules, regulations, or orders issued in accordance with the Act.\n\n(b) Any license may be revoked, suspended, or modified, in whole or in part, for any material false statement in the application or any statement of fact required under section 182 of the Act, or because of conditions revealed by such application or statement of fact or any report, record, or inspection or other means which would warrant the Commission to refuse to grant a license on an original application, or for violation of, or failure to observe any of, the terms and conditions of the Act, or the license, or of any rule, regulation or order of the Commission.\n\n(c) Except in cases of willfulness or those in which the public health, interest or safety requires otherwise, no license shall be modified, suspended, or revoked unless, prior to the institution of proceedings therefor, facts or conduct which may warrant such action shall have been called to the attention of the licensee in writing and the licensee shall have been accorded opportunity to demonstrate or achieve compliance with all lawful requirements."], ["10:10:1.0.1.1.29.0.102.53", 10, "Energy", "I", "", "40", "PART 40\u2014DOMESTIC LICENSING OF SOURCE MATERIAL", "", "", "", "\u00a7 40.81 Violations.", "NRC", "", "", "[57 FR 55074, Nov. 24, 1992]", "(a) The Commission may obtain an injunction or other court order to prevent a violation of the provisions of\u2014\n\n(1) The Atomic Energy Act of 1954, as amended;\n\n(2) Title II of the Energy Reorganization Act of 1974, as amended; or\n\n(3) A regulation or order issued pursuant to those Acts.\n\n(b) The Commission may obtain a court order for the payment of a civil penalty imposed under section 234 of the Atomic Energy Act:\n\n(1) For violations of\u2014\n\n(i) Sections 53, 57, 62, 63, 81, 82, 101, 103, 104, 107, or 109 of the Atomic Energy Act of 1954, as amended;\n\n(ii) Section 206 of the Energy Reorganization Act;\n\n(iii) Any rule, regulation, or order issued pursuant to the sections specified in paragraph (b)(1)(i) of this section;\n\n(iv) Any term, condition, or limitation of any license issued under the sections specified in paragraph (b)(1)(i) of this section.\n\n(2) For any violation for which a license may be revoked under section 186 of the Atomic Energy Act of 1954, as amended."], ["10:10:1.0.1.1.29.0.102.54", 10, "Energy", "I", "", "40", "PART 40\u2014DOMESTIC LICENSING OF SOURCE MATERIAL", "", "", "", "\u00a7 40.82 Criminal penalties.", "NRC", "", "", "[57 FR 55075, Nov. 24, 1992, as amended at 78 FR 32341, May 29, 2013]", "(a) Section 223 of the Atomic Energy Act of 1954, as amended, provides for criminal sanctions for willful violation of, attempted violation of, or conspiracy to violate, any regulation issued under sections 161b, 161i, or 161o of the Act. For purposes of section 223, all the regulations in part 40 are issued under one or more of sections 161b, 161i, or 161o, except for the sections listed in paragraph (b) of this section.\n\n(b) The regulations in part 40 that are not issued under sections 161b, 161i, or 161o for the purposes of section 223 are as follows: \u00a7\u00a7 40.1, 40.2, 40.2a, 40.4, 40.5, 40.6, 40.8, 40.11, 40.12, 40.13, 40.14, 40.20, 40.21, 40.31, 40.32, 40.34, 40.43, 40.44, 40.45, 40.52, 40.54, 40.71, 40.81, and 40.82."], ["10:10:1.0.1.1.29.0.94.1", 10, "Energy", "I", "", "40", "PART 40\u2014DOMESTIC LICENSING OF SOURCE MATERIAL", "", "", "", "\u00a7 40.1 Purpose.", "NRC", "", "", "[55 FR 45597, Oct. 30, 1990, as amended at 56 FR 55997, Oct. 31, 1991]", "(a) The regulations in this part establish procedures and criteria for the issuance of licenses to receive title to, receive, possess, use, transfer, or deliver source and byproduct materials, as defined in this part, and establish and provide for the terms and conditions upon which the Commission will issue such licenses. (Additional requirements applicable to natural and depleted uranium at enrichment facilities are set forth in \u00a7 70.22 of this chapter.) These regulations also provide for the disposal of byproduct material and for the long-term care and custody of byproduct material and residual radioactive material. The regulations in this part also establish certain requirements for the physical protection of import, export, and transient shipments of natural uranium. (Additional requirements applicable to the import and export of natural uranium are set forth in part 110 of this chapter.)\n\n(b) The regulations contained in this part are issued under the Atomic Energy Act of 1954, as amended (68 Stat. 919), title II of the Energy Reorganization Act of 1974, as amended (88 Stat. 1242), and titles I and II of the Uranium Mill Tailings Radiation Control Act of 1978, as amended (42 U.S.C. 7901)."], ["10:10:1.0.1.1.29.0.94.10", 10, "Energy", "I", "", "40", "PART 40\u2014DOMESTIC LICENSING OF SOURCE MATERIAL", "", "", "", "\u00a7 40.9 Completeness and accuracy of information.", "NRC", "", "", "[52 FR 49371, Dec. 31, 1987]", "(a) Information provided to the Commission by an applicant for a license or by a licensee or information required by statute or by the Commission's regulations, orders, or license conditions to be maintained by the applicant or the licensee shall be complete and accurate in all material respects.\n\n(b) Each applicant or licensee shall notify the Commission of information identified by the applicant or licensee as having for the regulated activity a significant implication for public health and safety or common defense and security. An applicant or licensee violates this paragraph only if the applicant or licensee fails to notify the Commission of information that the applicant or licensee has identified as having a significant implication for public health and safety or common defense and security. Notification shall be provided to the Administrator of the appropriate Regional Office within two working days of identifying the information. This requirement is not applicable to information which is already required to be provided to the Commission by other reporting or undating requirements."], ["10:10:1.0.1.1.29.0.94.11", 10, "Energy", "I", "", "40", "PART 40\u2014DOMESTIC LICENSING OF SOURCE MATERIAL", "", "", "", "\u00a7 40.10 Deliberate misconduct.", "NRC", "", "", "[63 FR 1896, Jan. 13, 1998]", "(a) Any licensee, applicant for a license, employee of a licensee or applicant; or any contractor (including a supplier or consultant), subcontractor, employee of a contractor or subcontractor of any licensee or applicant for a license, who knowingly provides to any licensee, applicant, contractor, or subcontractor, any components, equipment, materials, or other goods or services that relate to a licensee's or applicant's activities in this part, may not:\n\n(1) Engage in deliberate misconduct that causes or would have caused, if not detected, a licensee or applicant to be in violation of any rule, regulation, or order; or any term, condition, or limitation of any license issued by the Commission; or\n\n(2) Deliberately submit to the NRC, a licensee, an applicant, or a licensee's or applicant's contractor or subcontractor, information that the person submitting the information knows to be incomplete or inaccurate in some respect material to the NRC.\n\n(b) A person who violates paragraph (a)(1) or (a)(2) of this section may be subject to enforcement action in accordance with the procedures in 10 CFR part 2, subpart B.\n\n(c) For the purposes of paragraph (a)(1) of this section, deliberate misconduct by a person means an intentional act or omission that the person knows:\n\n(1) Would cause a licensee or applicant to be in violation of any rule, regulation, or order; or any term, condition, or limitation, of any license issued by the Commission; or\n\n(2) Constitutes a violation of a requirement, procedure, instruction, contract, purchase order, or policy of a licensee, applicant, contractor, or subcontractor."], ["10:10:1.0.1.1.29.0.94.2", 10, "Energy", "I", "", "40", "PART 40\u2014DOMESTIC LICENSING OF SOURCE MATERIAL", "", "", "", "\u00a7 40.2 Scope.", "NRC", "", "", "[63 FR 1896, Jan. 13, 1998]", "Except as provided in \u00a7\u00a7 40.11 to 40.14, inclusive, the regulations in this part apply to all persons in the United States. This part also gives notice to all persons who knowingly provide to any licensee, applicant, contractor, or subcontractor, components, equipment, materials, or other goods or services, that relate to a licensee's or applicant's activities subject to this part, that they may be individually subject to NRC enforcement action for violation of \u00a7 40.10."], ["10:10:1.0.1.1.29.0.94.3", 10, "Energy", "I", "", "40", "PART 40\u2014DOMESTIC LICENSING OF SOURCE MATERIAL", "", "", "", "\u00a7 40.2a Coverage of inactive tailings sites.", "NRC", "", "", "[45 FR 65531, Oct. 3, 1980, as amended at 55 FR 45598, Oct. 30, 1990]", "(a) Prior to the completion of the remedial action, the Commission will not require a license pursuant to 10 CFR chapter I for possession of residual radioactive materials as defined in this part that are located at a site where milling operations are no longer active, if the site is covered by the remedial action program of title I of the Uranium Mill Tailings Radiation Control Act of 1978, as amended. The Commission will exert its regulatory role in remedial actions primarily through concurrence and consultation in the execution of the remedial action pursuant to title I of the Uranium Mill Tailings Radiation Control Act of 1978, as amended. After remedial actions are completed, the Commission will license the long-term care of sites, where residual radioactive materials are disposed, under the requirements set out in \u00a7 40.27.\n\n(b) The Commission will regulate byproduct material as defined in this part that is located at a site where milling operations are no longer active, if such site is not covered by the remedial action program of title I of the Uranium Mill Tailings Radiation Control Act of 1978. The criteria in appendix A of this part will be applied to such sites."], ["10:10:1.0.1.1.29.0.94.4", 10, "Energy", "I", "", "40", "PART 40\u2014DOMESTIC LICENSING OF SOURCE MATERIAL", "", "", "", "\u00a7 40.3 License requirements.", "NRC", "", "", "[55 FR 45598, Oct. 30, 1990]", "A person subject to the regulations in this part may not receive title to, own, receive, possess, use, transfer, provide for long-term care, deliver or dispose of byproduct material or residual radioactive material as defined in this part or any source material after removal from its place of deposit in nature, unless authorized in a specific or general license issued by the Commission under the regulations in this part."], ["10:10:1.0.1.1.29.0.94.5", 10, "Energy", "I", "", "40", "PART 40\u2014DOMESTIC LICENSING OF SOURCE MATERIAL", "", "", "", "\u00a7 40.4 Definitions.", "NRC", "", "", "[26 FR 284, Jan. 14, 1961]", "Act  means the Atomic Energy Act of 1954 (68 Stat. 919), including any amendments thereto;\n\nAgreement State  means any State with which the Atomic Energy Commission or the Nuclear Regulatory Commission has entered into an effective agreement under subsection 274b. of the Atomic Energy Act of 1954, as amended.\n\nAlert  means events may occur, are in progress, or have occurred that could lead to a release of radioactive material but that the release is not expected to require a response by offsite response organizations to protect persons offsite.\n\nByproduct Material  means the tailings or wastes produced by the extraction or concentration of uranium or thorium from any ore processed primarily for its source material content, including discrete surface wastes resulting from uranium solution extraction processes. Underground ore bodies depleted by such solution extraction operations do not constitute \u201cbyproduct material\u201d within this definition.\n\nWith the exception of \u201cbyproduct material\u201d as defined in section 11e. of the Act, other terms defined in section 11 of the Act shall have the same meaning when used in the regulations in this part.\n\nCommencement of construction  means taking any action defined as \u201cconstruction\u201d or any other activity at the site of a facility subject to the regulations in this part that has a reasonable nexus to:\n\n(1) Radiological health and safety; or\n\n(2) Common defense and security.\n\nCommission  means the Nuclear Regulatory Commission or its duly authorized representatives.\n\nConstruction  means the installation of wells associated with radiological operations (e.g., production, injection, or monitoring well networks associated with in-situ recovery or other facilities), the installation of foundations, or in-place assembly, erection, fabrication, or testing for any structure, system, or component of a facility or activity subject to the regulations in this part that are related to radiological safety or security. The term \u201cconstruction\u201d does not include:\n\n(1) Changes for temporary use of the land for public recreational purposes;\n\n(2) Site exploration, including necessary borings to determine foundation conditions or other preconstruction monitoring to establish background information related to the suitability of the site, the environmental impacts of construction or operation, or the protection of environmental values;\n\n(3) Preparation of the site for construction of the facility, including clearing of the site, grading, installation of drainage, erosion and other environmental mitigation measures, and construction of temporary roads and borrow areas;\n\n(4) Erection of fences and other access control measures that are not related to the safe use of, or security of, radiological materials subject to this part;\n\n(5) Excavation;\n\n(6) Erection of support buildings (e.g., construction equipment storage sheds, warehouse and shop facilities, utilities, concrete mixing plants, docking and unloading facilities, and office buildings) for use in connection with the construction of the facility;\n\n(7) Building of service facilities (e.g., paved roads, parking lots, railroad spurs, exterior utility and lighting systems, potable water systems, sanitary sewerage treatment facilities, and transmission lines);\n\n(8) Procurement or fabrication of components or portions of the proposed facility occurring at other than the final, in-place location at the facility; or\n\n(9) Taking any other action that has no reasonable nexus to:\n\n(i) Radiological health and safety, or\n\n(ii) Common defense and security.\n\nCorporation  means the United States Enrichment Corporation (USEC), or its successor, a Corporation that is authorized by statute to lease the gaseous diffusion enrichment plants in Paducah, Kentucky, and Piketon, Ohio, from the Department of Energy, or any person authorized to operate one or both of the gaseous diffusion plants, or other facilities, pursuant to a plan for the privatization of USEC that is approved by the President.\n\nDecommission  means to remove a facility or site safely from service and reduce residual radioactivity to a level that permits\u2014\n\n(1) Release of the property for unrestricted use and termination of the license; or\n\n(2) Release of the property under restricted conditions and termination of the license.\n\nDepartment  and  Department of Energy  means the Department of Energy established by the Department of Energy Organization Act (Pub. L. 95-91, 91 Stat. 565, 42 U.S.C. 7101  et seq. ) to the extent that the Department, or its duly authorized representatives, exercises functions formerly vested in the U.S. Atomic Energy Commission, its Chairman, members, officers and components and transferred to the U.S. Energy Research and Development Administration and to the Administrator thereof pursuant to sections 104 (b), (c) and (d) of the Energy Reorganization Act of 1974 (Pub. L. 93-438, 88 Stat. 1233 at 1237, 42 U.S.C. 5814) and retransferred to the Secretary of Energy pursuant to section 301(a) of the Department of Energy Organization Act (Pub. L. 95-91, 91 Stat. 565 at 577-578, 42 U.S.C. 7151).\n\nDepleted uranium  means the source material uranium in which the isotope uranium-235 is less than 0.711 weight percent of the total uranium present. Depleted uranium does not include special nuclear material.\n\nEffective kilogram  means (1) for the source material uranium in which the uranium isotope uranium-235 is greater than 0.005 (0.5 weight percent) of the total uranium present: 10,000 kilograms, and (2) for any other source material: 20,000 kilograms.\n\nForeign obligations  means the commitments entered into by the U.S. Government under Atomic Energy Act (AEA) section 123 agreements for cooperation in the peaceful uses of atomic energy. Imports and exports of material or equipment pursuant to such agreements are subject to these commitments, which in some cases involve an exchange of information on imports, exports, retransfers with foreign governments, peaceful end-use assurances, and other conditions placed on the transfer of the material or equipment. The U.S. Government informs the licensee of obligations attached to material.\n\nGovernment agency  means any executive department, commission, independent establishment, corporation, wholly or partly owned by the United States of America which is an instrumentality of the United States, or any board, bureau, division, service, office, officer, authority, administration, or other establishment in the executive branch of the Government.\n\nLicense,  except where otherwise specified, means a license issued pursuant to the regulations in this part.\n\nPersons  means: (1) Any individual, corporation, partnership, firm, association, trust, estate, public or private institution, group, Government agency other than the Commission or the Department of Energy except that the Department of Energy shall be considered a person within the meaning of the regulations in this part to the extent that its facilities and activities are subject to the licensing and related regulatory authority of the Commission pursuant to section 202 of the Energy Reorganization Act of 1974 (88 Stat. 1244) and the Uranium Mill Tailings Radiation Control Act of 1978 (92 Stat. 3021), any State or any political subdivision of, or any political entity within a State, any foreign government or nation or any subdivision of any such government or nation, or other entity; and (2) any legal successor, representative, agent or agency of the foregoing.\n\nPharmacist  means an individual registered by a state or territory of the United States, the District of Columbia or the Commonwealth of Puerto Rico to compound and dispense drugs, prescriptions and poisons.\n\nPhysician  means a medical doctor or doctor of osteopathy licensed by a State or Territory of the United States, the District of Columbia, or the Commonwealth of Puerto Rico to prescribe drugs in the practice of medicine.\n\nPrincipal activities,  as used in this part, means activities authorized by the license which are essential to achieving the purpose(s) for which the license was issued or amended. Storage during which no licensed material is accessed for use or disposal and activities incidental to decontamination or decommissioning are not principal activities.\n\nReconciliation  means the process of evaluating and comparing licensee reports required under this part to the projected material balances generated by the Nuclear Materials Management and Safeguards System. This process is considered complete when the licensee resolves any differences between the reported and projected balances, including those listed for foreign obligated materials.\n\nResidual radioactive material  means: (1) Waste (which the Secretary of Energy determines to be radioactive) in the form of tailings resulting from the processing of ores for the extraction of uranium and other valuable constituents of the ores; and (2) other waste (which the Secretary of Energy determines to be radioactive) at a processing site which relates to such processing, including any residual stock of unprocessed ores or low-grade materials. This term is used only with respect to materials at sites subject to remediation under title I of the Uranium Mill Tailings Radiation Control Act of 1978, as amended.\n\nSite area emergency  means events may occur, are in progress, or have occurred that could lead to a significant release of radioactive material and that could require a response by offsite response organizations to protect persons offsite.\n\nSource Material  means: (1) Uranium or thorium, or any combination thereof, in any physical or chemical form or (2) ores which contain by weight one-twentieth of one percent (0.05%) or more of: (i) Uranium, (ii) thorium or (iii) any combination thereof. Source material does not include special nuclear material.\n\nSpecial nuclear material  means: (1) Plutonium, uranium 233, uranium enriched in the isotope 233 or in the isotope 235, and any other material which the Commission, pursuant to the provisions of section 51 of the Act, determines to be special nuclear material; or (2) any material artificially enriched by any of the foregoing.\n\nTransient shipment  means a shipment of nuclear material, originating and terminating in foreign countries, on a vessel or aircraft that stops at a United States port.\n\nUnited States,  when used in a geographical sense, includes Puerto Rico and all territories and possessions of the United States.\n\nUnrefined and unprocessed ore  means ore in its natural form prior to any processing, such as grinding, roasting or beneficiating, or refining. Processing does not include sieving or encapsulation of ore or preparation of samples for laboratory analysis.\n\nUranium enrichment facility  means:\n\n(1) Any facility used for separating the isotopes of uranium or enriching uranium in the isotope 235, except laboratory scale facilities designed or used for experimental or analytical purposes only; or\n\n(2) Any equipment or device, or important component part especially designed for such equipment or device, capable of separating the isotopes of uranium or enriching uranium in the isotope 235.\n\nUranium Milling  means any activity that results in the production of byproduct material as defined in this part."], ["10:10:1.0.1.1.29.0.94.6", 10, "Energy", "I", "", "40", "PART 40\u2014DOMESTIC LICENSING OF SOURCE MATERIAL", "", "", "", "\u00a7 40.5 Communications.", "NRC", "", "", "[48 FR 16031, Apr. 14, 1983]", "(a) Unless otherwise specified or covered under the regional licensing program as provided in paragraph (b) of this section, any communication or report concerning the regulations in this part and any application filed under these regulations may be submitted to the Commission as follows:\n\n(1) By mail addressed: ATTN: Document Control Desk, Director, Office of Nuclear Material Safety and Safeguards, or Director, Office of Nuclear Security, or Director, Office of Nuclear Security and Incident Response, as appropriate, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001.\n\n(2) By hand delivery to the NRC's offices at 11555 Rockville Pike, Rockville, Maryland.\n\n(3) Where practicable, by electronic submission, for example, via Electronic Information Exchange, or CD-ROM. Electronic submissions must be made in a manner that enables the NRC to receive, read, authenticate, distribute, and archive the submission, and process and retrieve it a single page at a time. Detailed guidance on making electronic submissions can be obtained by visiting the NRC's Web site at  http://www.nrc.gov/site-help/e-submittals.html;  by e-mail to  MSHD.Resource@nrc.gov ; or by writing the Office of the Chief Information Officer, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001. The guidance discusses, among other topics, the formats the NRC can accept, the use of electronic signatures, and the treatment of nonpublic information.\n\n(b) The Commission has delegated to the four Regional Administrators licensing authority for selected parts of its decentralized licensing program for nuclear materials as described in paragraph (b)(1) of this section. Any communication, report, or application covered under this licensing program must be submitted to the appropriate Regional Administrator. The administrators' jurisdictions and mailing addresses are listed in paragraph (b)(2) of this section.\n\n(1) The delegated licensing program includes authority to issue, renew, amend, cancel, modify, suspend, or revoke licenses for nuclear materials issued pursuant to 10 CFR parts 30 through 36, 39, 40, and 70 to all persons for academic, medical, and industrial uses, with the following exceptions:\n\n(i) Activities in the fuel cycle and special nuclear material in quantities sufficient to constitute a critical mass in any room or area. This exception does not apply to license modifications relating to termination of special nuclear material licenses that authorize possession of larger quantities when the case is referred for action from NRC's Headquarters to the Regional Administrators.\n\n(ii) Health and safety design review of sealed sources and devices and approval, for licensing purposes, of sealed sources and devices.\n\n(iii) Processing of source material for extracting of metallic compounds (including Zirconium, Hafnium, Tantalum, Titanium, Niobium, etc.).\n\n(iv) Distribution of products containing radioactive material under \u00a7\u00a7 32.11 through 32.30 and 40.52 of this chapter to persons exempt from licensing requirements.\n\n(v) New uses or techniques for use of byproduct, source, or special nuclear material.\n\n(vi) Uranium enrichment facilities.\n\n(2)  Submissions \u2014(i)  Region I.  The regional licensing program involves all Federal facilities in the region and non-Federal licensees in the following Region I non-Agreement States and the District of Columbia: Connecticut, Delaware, and Vermont. All mailed or hand-delivered inquiries, communications, and applications for a new license or an amendment or renewal of an existing license specified in paragraph (b)(1) of this section must use the following address: U.S. Nuclear Regulatory Commission, Region I, 475 Allendale Road, Suite 102, King of Prussia, PA 19406-1415; where email is appropriate it should be addressed to  RidsRgn1MailCenter.Resource@nrc.gov.\n\n(ii)  Region II.  The regional licensing program involves all Federal facilities in the region and non-Federal licensees in the following Region II non-Agreement States and territories: West Virginia, Puerto Rico, and the Virgin Islands. All mailed or hand-delivered inquiries, communications, and applications for a new license or an amendment or renewal of an existing license specified in paragraph (b)(1) of this section must use the following address: U.S. Nuclear Regulatory Commission, Region I, 475 Allendale Road, Suite 102, King of Prussia, PA 19406-1415; where email is appropriate it should be addressed to  RidsRgn1MailCenter.Resource@nrc.gov.\n\n(iii)  Region III.  (A) The regional licensing program for mining and milling involves all Federal facilities in the region, and non-Federal licensees in the Region III non-Agreement States of Indiana, Michigan, Missouri and Region III Agreement States of Minnesota, Wisconsin, and Iowa. All mailed or hand-delivered inquiries, communications, and applications for a new license or an amendment, renewal, or termination request of an existing license specified in paragraph (b)(1) of this section must use the following address: U.S. Nuclear Regulatory Commission, Region III, Material Licensing Section, 2443 Warrenville Road, Suite 210, Lisle, IL 60532-4352; where e-mail is appropriate it should be addressed to  RidsRgn3MailCenter.Resource@nrc.gov.\n\n(B) Otherwise, the regional licensing program involves all Federal facilities in the region and non-Federal licensees in the following Region III non-Agreement States: Indiana, Michigan, and Missouri. All mailed or hand-delivered inquiries, communications, and applications for a new license or an amendment, or renewal of an existing license specified in paragraph (b)(1) of this section must use the following address: U.S. Nuclear Regulatory Commission, Region III, Material Licensing Section, 2443 Warrenville Road, Suite 210, Lisle, IL 60532-4352; where e-mail is appropriate it should be addressed to  RidsRgn3MailCenter.Resource@nrc.gov.  Outside of this jurisdiction, concerning the licensing program involving mining and milling, the Agreement States of Illinois and Ohio should be contacted.\n\n(iv)  Region IV.  (A) The regional licensing program for mining and milling involves all Federal facilities in the region, and non-Federal licensees in the Region IV non-Agreement States and territory of Alaska, Hawaii, Idaho, Montana, South Dakota, Wyoming and Guam and Region IV Agreement States of Oregon, California, Nevada, New Mexico, Louisiana, Mississippi, Arkansas, Oklahoma, Kansas, Nebraska, and North Dakota. All mailed or hand-delivered inquiries, communications, and applications for a new license or an amendment or renewal of an existing license specified in paragraph (b)(1) of this section must use the following address: U.S. Nuclear Regulatory Commission, Region IV, Division of Nuclear Materials Safety, 1600 E. Lamar Blvd., Arlington, TX 76011-4511; where email is appropriate, it should be addressed to  RidsRgn4MailCenter@nrc.gov.\n\n(B) Otherwise, the regional licensing program involves all Federal facilities in the region and non-Federal licensees in the following Region IV non-Agreement States and territory: Alaska, Hawaii, Idaho, Montana, South Dakota, Wyoming, and Guam. All mailed or hand-delivered inquiries, communications, and applications for a new license or an amendment or renewal of an existing license specified in paragraph (b)(1) of this section must use the following address: U.S. Nuclear Regulatory Commission, Region IV, Division of Nuclear Materials Safety, 1600 E. Lamar Blvd., Arlington, TX 76011-4511; where email is appropriate, it should be addressed to  RidsRgn4MailCenter@nrc.gov."], ["10:10:1.0.1.1.29.0.94.7", 10, "Energy", "I", "", "40", "PART 40\u2014DOMESTIC LICENSING OF SOURCE MATERIAL", "", "", "", "\u00a7 40.6 Interpretations.", "NRC", "", "", "[26 FR 284, Jan. 14, 1961, as amended at 90 FR 55630, Dec. 3, 2025]", "Except as specifically authorized by the Commission in writing, no interpretation of the meaning of the regulations in this part by any officer or employee of the Commission other than a written interpretation by the General Counsel will be recognized to be binding upon the Commission. This section shall cease to have effect on January 8, 2027, unless the NRC determines that the cessation deadline should be extended to a date not more than 5 years in the future after offering the public an opportunity to provide input on the costs and benefits of this section and considering that input. The NRC will publish a document in the  Federal Register  announcing its determination and revising or removing this section accordingly."], ["10:10:1.0.1.1.29.0.94.8", 10, "Energy", "I", "", "40", "PART 40\u2014DOMESTIC LICENSING OF SOURCE MATERIAL", "", "", "", "\u00a7 40.7 Employee protection.", "NRC", "", "", "[58 FR 52409, Oct. 8, 1993, as amended at 60 FR 24551, May 9, 1995; 61 FR 6765, Feb. 22, 1996; 68 FR 58806, Oct. 10, 2003; 72 FR 63973, Nov. 14, 2007; 73 FR 30458, May 28, 2008; 79 FR 66603, Nov. 10, 2014; 83 FR 58465, Nov. 20, 2018]", "(a) Discrimination by a Commission licensee, an applicant for a Commission license, or a contractor or subcontractor of a Commission licensee or applicant against an employee for engaging in certain protected activities is prohibited. Discrimination includes discharge and other actions that relate to compensation, terms, conditions, or privileges of employment. The protected activities are established in section 211 of the Energy Reorganization Act of 1974, as amended, and in general are related to the administration or enforcement of a requirement imposed under the Atomic Energy Act or the Energy Reorganization Act.\n\n(1) The protected activities include but are not limited to:\n\n(i) Providing the Commission or his or her employer information about alleged violations of either of the statutes named in paragraph (a) introductory text of this section or possible violations of requirements imposed under either of those statutes;\n\n(ii) Refusing to engage in any practice made unlawful under either of the statutes named in paragraph (a) introductory text or under these requirements if the employee has identified the alleged illegality to the employer;\n\n(iii) Requesting the Commission to institute action against his or her employer for the administration or enforcement of these requirements;\n\n(iv) Testifying in any Commission proceeding, or before Congress, or at any Federal or State proceeding regarding any provision (or proposed provision) of either of the statutes named in paragraph (a) introductory text.\n\n(v) Assisting or participating in, or is about to assist or participate in, these activities.\n\n(2) These activities are protected even if no formal proceeding is actually initiated as a result of the employee assistance or participation.\n\n(3) This section has no application to any employee alleging discrimination prohibited by this section who, acting without direction from his or her employer (or the employer's agent), deliberately causes a violation of any requirement of the Energy Reorganization Act of 1974, as amended, or the Atomic Energy Act of 1954, as amended.\n\n(b) Any employee who believes that he or she has been discharged or otherwise discriminated against by any person for engaging in protected activities specified in paragraph (a)(1) of this section may seek a remedy for the discharge or discrimination through an administrative proceeding in the Department of Labor. The administrative proceeding must be initiated within 180 days after an alleged violation occurs. The employee may do this by filing a complaint alleging the violation with the Department of Labor, Employment Standards Administration, Wage and Hour Division. The Department of Labor may order reinstatement, back pay, and compensatory damages.\n\n(c) A violation of paragraphs (a), (e), or (f) of this section by a Commission licensee, an applicant for a Commission license, or a contractor or subcontractor of a Commission licensee or applicant may be grounds for\u2014\n\n(1) Denial, revocation, or suspension of the license.\n\n(2) Imposition of a civil penalty on the licensee, applicant, or a contractor or subcontractor of the licensee or applicant.\n\n(3) Other enforcement action.\n\n(d) Actions taken by an employer, or others, which adversely affect an employee may be predicated upon nondiscriminatory grounds. The prohibition applies when the adverse action occurs because the employee has engaged in protected activities. An employee's engagement in protected activities does not automatically render him or her immune from discharge or discipline for legitimate reasons or from adverse action dictated by nonprohibited considerations.\n\n(e)(1) Each specific licensee, each applicant for a specific license, and each general licensee subject to part 19 shall prominently post the revision of NRC Form 3, \u201cNotice to Employees\u201d, referenced in 10 CFR 19.11(e)(1).\n\n(2) The posting of NRC Form 3 must be at locations sufficient to permit employees protected by this section to observe a copy on the way to or from their place of work. Premises must be posted not later than 30 days after an application is docketed and remain posted while the application is pending before the Commission, during the term of the license, and for 30 days following license termination.\n\n(3) Copies of NRC Form 3 may be obtained by writing to the Regional Administrator of the appropriate U.S. Nuclear Regulatory Commission Regional Office listed in appendix D to part 20 of this chapter, via email to  Forms.Resource@nrc.gov,  or by visiting the NRC's online library at  http://www.nrc.gov/reading-rm/doc-collections/forms/.\n\n(f) No agreement affecting the compensation, terms, conditions, or privileges of employment, including an agreement to settle a complaint filed by an employee with the Department of Labor pursuant to section 211 of the Energy Reorganization Act of 1974, may contain any provision which would prohibit, restrict, or otherwise discourage an employee from participating in protected activity as defined in paragraph (a)(1) of this section including, but not limited to, providing information to the NRC or to his or her employer on potential violations or other matters within NRC's regulatory responsibilities."], ["10:10:1.0.1.1.29.0.94.9", 10, "Energy", "I", "", "40", "PART 40\u2014DOMESTIC LICENSING OF SOURCE MATERIAL", "", "", "", "\u00a7 40.8 Information collection requirements: OMB approval.", "NRC", "", "", "[49 FR 19626, May 9, 1984, as amended at 56 FR 40768, Aug. 16, 1991; 58 FR 68731, Dec. 29, 1993; 62 FR 52187, Oct. 6, 1997; 73 FR 78604, Dec. 23, 2008; 77 FR 39906, July 6, 2012; 78 FR 32338, May 29, 2013; 85 FR 65662, Oct. 16, 2020]", "(a) The Nuclear Regulatory Commission has submitted the information collection requirements contained in this part to the Office of Management and Budget (OMB) for approval as required by the Paperwork Reduction Act (44 U.S.C. 3501  et seq. ). The NRC may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number. OMB has approved the information collection requirements contained in this part under control number 3150-0020.\n\n(b) The approved information collection requirements contained in this part appear in \u00a7\u00a7 40.9, 40.14, 40.22, 40.23, 40.25, 40.26, 40.27, 40.31, 40.34, 40.35, 40.36, 40.41, 40.42, 40.43, 40.44, 40.51, 40.52, 40.53, 40.54, 40.55, 40.60, 40.61, 40.64, 40.65, 40.66, 40.67, and appendix A to this part.\n\n(c) This part contains information collection requirements in addition to those approved under the control number specified in paragraph (a) of this section. These information collection requirements and the control numbers under which they are approved are as follows:\n\n(1) In \u00a7\u00a7 40.31, 40.43, 40.44, and appendix A, NRC Form 313 is approved under control number 3150-0120.\n\n(2) In \u00a7 40.31, DOC/NRC Forms AP-1, AP-A, and associated forms are approved under control numbers 0694-0135.\n\n(3) In \u00a7 40.31, IAEA Design Information Questionnaire forms  are approved under control number 3150-0056.\n\n(4) In \u00a7 40.42, NRC Form 314 is approved under control number 3150-0028.\n\n(5) In \u00a7 40.64, DOE/NRC Form 741 is approved under control number 3150-0003.\n\n(6) In \u00a7\u00a7 40.25 and 40.35, NRC Form 244 is approved under control number 3150-0031."], ["10:10:1.0.1.1.29.0.95.12", 10, "Energy", "I", "", "40", "PART 40\u2014DOMESTIC LICENSING OF SOURCE MATERIAL", "", "", "", "\u00a7 40.11 Persons using source material under certain Department of Energy and Nuclear Regulatory Commission contracts.", "NRC", "", "", "[40 FR 8787, Mar. 3, 1975, as amended at 43 FR 6923, Feb. 17, 1978; 45 FR 65531, Oct. 3, 1980]", "Except to the extent that Department facilities or activities of the types subject to licensing pursuant to section 202 of the Energy Reorganization Act of 1974 or the Uranium Mill Tailings Radiation Control Act of 1978 are involved, any prime contractor of the Department is exempt from the requirements for a license set forth in sections 62, 63, and 64 of the Act and from the regulations in this part to the extent that such contractor, under his prime contract with the Department, receives, possesses, uses, transfers or delivers source material for: (a) The performance of work for the Department at a United States Government-owned or controlled site, including the transportation of source material to or from such site and the performance of contract services during temporary interruptions of such transportation; (b) research in, or development, manufacture, storage, testing or transportation of, atomic weapons or components thereof; or (c) the use or operation of nuclear reactors or other nuclear devices in a United States Government-owned vehicle or vessel. In addition to the foregoing exemptions, and subject to the requirement for licensing of Department facilities and activities pursuant to section 202 of the Energy Reorganization Act of 1974 or the Uranium Mill Tailings Radiation Control Act of 1980, any prime contractor or subcontractor of the Department or the Commission is exempt from the requirements for a license set forth in sections 62, 63, and 64 of the Act and from the regulations in this part to the extent that such prime contractor or subcontractor receives, possesses, uses, transfers or delivers source material under his prime contract or subcontract when the Commission determines that the exemption of the prime contractor or subcontractor is authorized by law; and that, under the terms of the contract or subcontract, there is adequate assurance that the work thereunder can be accomplished without undue risk to the public health and safety."], ["10:10:1.0.1.1.29.0.95.13", 10, "Energy", "I", "", "40", "PART 40\u2014DOMESTIC LICENSING OF SOURCE MATERIAL", "", "", "", "\u00a7 40.12 Carriers.", "NRC", "", "", "[52 FR 9651, Mar. 26, 1987]", "(a) Except as specified in paragraph (b) of this section, common and contract carriers, freight forwarders, warehousemen, and the U.S. Postal Service are exempt from the regulations in this part and the requirements for a license set forth in section 62 of the Act to the extent that they transport or store source material in the regular course of the carriage for another or storage incident thereto.\n\n(b) The exemption in paragraph (a) of this section does not apply to a person who possesses a transient shipment (as defined in \u00a7 40.4(r)), an import shipment, or an export shipment of natural uranium in an amount exceeding 500 kilograms, unless the shipment is in the form of ore or ore residue."], ["10:10:1.0.1.1.29.0.95.14", 10, "Energy", "I", "", "40", "PART 40\u2014DOMESTIC LICENSING OF SOURCE MATERIAL", "", "", "", "\u00a7 40.13 Unimportant quantities of source material.", "NRC", "", "", "[26 FR 284, Jan. 14, 1961]", "(a) Any person is exempt from the regulations in this part and from the requirements for a license set forth in section 62 of the Act to the extent that such person receives, possesses, uses, transfers or delivers source material in any chemical mixture, compound, solution, or alloy in which the source material is by weight less than one-twentieth of 1 percent (0.05 percent) of the mixture, compound, solution or alloy. The exemption contained in this paragraph does not apply to Australian-obligated source material, nor does it include byproduct materials as defined in this part.\n\n(b) Any person is exempt from the regulations in this part and from the requirements for a license set forth in section 62 of the act to the extent that such person receives, possesses, uses, or transfers unrefined and unprocessed ore containing source material; provided, that, except as authorized in a specific license, such person shall not refine or process such ore.\n\n(c) Any person is exempt from the requirements for a license set forth in section 62 of the Act and from the regulations in this part and parts 19, 20, and 21 of this chapter to the extent that such person receives, possesses, uses, or transfers:\n\n(1) Any quantities of thorium contained in (i) incandescent gas mantles, (ii) vacuum tubes, (iii) welding rods, (iv) electric lamps for illuminating purposes:  Provided,  That each lamp does not contain more than 50 milligrams of thorium, (v) germicidal lamps, sunlamps, and lamps for outdoor or industrial lighting:  Provided,  That each lamp does not contain more than 2 grams of thorium, (vi) rare earth metals and compounds, mixtures, and products containing not more than 0.25 percent by weight thorium, uranium, or any combination of these, or (vii) personnel neutron dosimeters:  Provided,  That each dosimeter does not contain more than 50 milligrams of thorium.\n\n(2) Source material contained in the following products:\n\n(i) Glazed ceramic tableware manufactured before August 27, 2013, provided that the glaze contains not more than 20 percent by weight source material;\n\n(ii) Piezoelectric ceramic containing not more than 2 percent by weight source material;\n\n(iii) Glassware containing not more than 2 percent by weight source material or, for glassware manufactured before August 27, 2013, 10 percent by weight source material; but not including commercially manufactured glass brick, pane glass, ceramic tile, or other glass or ceramic used in construction;\n\n(iv) Glass enamel or glass enamel frit containing not more than 10 percent by weight source material imported or ordered for importation into the United States, or initially distributed by manufacturers in the United States, before July 25, 1983. \n 1\n\n1  On July 25, 1983, the exemption of glass enamel or glass enamel frit was suspended. The exemption was eliminated on September 11, 1984.\n\n(3) Photographic film, negatives, and prints containing uranium or thorium;\n\n(4) Any finished product or part fabricated of, or containing tungsten or magnesium-thorium alloys, provided that the thorium content of the alloy does not exceed 4 percent by weight and that the exemption contained in this subparagraph shall not be deemed to authorize the chemical, physical or metallurgical treatment or processing of any such product or part; and\n\n(5) Uranium contained in counterweights installed in aircraft, rockets, projectiles, and missiles, or stored or handled in connection with installation or removal of such counterweights:  Provided,  That:\n\n(i) Each counterweight has been impressed with the following legend clearly legible through any plating or other covering: \u201cDepleted Uranium\u201d; \n 2\n\n2  The requirements specified in paragraphs (c)(5)(i) and (ii) of this section need not be met by counterweights manufactured prior to Dec. 31, 1969, provided that such counterweights were manufactured under a specific license issued by the Atomic Energy Commission and were impressed with the legend required by \u00a7 40.13(c)(5)(ii) in effect on June 30, 1969.\n\n(ii) Each counterweight is durably and legibly labeled or marked with the identification of the manufacturer, and the statement: \u201cUnauthorized Alterations Prohibited\u201d; \n 2  and\n\n(iii) The exemption contained in this paragraph shall not be deemed to authorize the chemical, physical, or metallurgical treatment or processing of any such counterweights other than repair or restoration of any plating or other covering.\n\n(iv) Consistent with \u00a7 40.56, the counterweights are not manufactured for a military purpose using Australian-obligated source material.\n\n(6) Natural or depleted uranium metal used as shielding constituting part of any shipping container:  Provided,  That:\n\n(i) The shipping container is conspicuously and legibly impressed with the legend \u201cCAUTION\u2014RADIOACTIVE SHIELDING\u2014URANIUM\u201d; and\n\n(ii) The uranium metal is encased in mild steel or equally fire resistant metal of minimum wall thickness of one-eighth inch (3.2 mm).\n\n(7) Thorium or uranium contained in or on finished optical lenses and mirrors, provided that each lens or mirror does not contain more than 10 percent by weight thorium or uranium or, for lenses manufactured before August 27, 2013, 30 percent by weight of thorium; and that the exemption contained in this paragraph does not authorize either:\n\n(i) The shaping, grinding or polishing of such lens or mirror or manufacturing processes other than the assembly of such lens or mirror into optical systems and devices without any alteration of the lens or mirror; or\n\n(ii) The receipt, possession, use, or transfer of uranium or thorium contained in contact lenses, or in spectacles, or in eyepieces in binoculars or other optical instruments.\n\n(8) Thorium contained in any finished aircraft engine part containing nickel-thoria alloy,  Provided,  That:\n\n(i) The thorium is dispersed in the nickel-thoria alloy in the form of finely divided thoria (thorium dioxide); and\n\n(ii) The thorium content in the nickel-thoria alloy does not exceed 4 percent by weight.\n\n(9) The exemptions in this paragraph (c) do not authorize the manufacture of any of the products described.\n\n(10) No person may initially transfer for sale or distribution a product containing source material to persons exempt under this paragraph (c), or equivalent regulations of an Agreement State, unless authorized by a license issued under \u00a7 40.52 to initially transfer such products for sale or distribution.\n\n(i) Persons initially distributing source material in products covered by the exemptions in this paragraph (c) before August 27, 2013, without specific authorization may continue such distribution for 1 year beyond this date. Initial distribution may also be continued until the Commission takes final action on a pending application for license or license amendment to specifically authorize distribution submitted no later than 1 year beyond this date.\n\n(ii) Persons authorized to manufacture, process, or produce these materials or products containing source material by an Agreement State, and persons who import finished products or parts, for sale or distribution must be authorized by a license issued under \u00a7 40.52 for distribution only and are exempt from the requirements of parts 19 and 20 of this chapter, and \u00a7 40.32(b) and (c)."], ["10:10:1.0.1.1.29.0.95.15", 10, "Energy", "I", "", "40", "PART 40\u2014DOMESTIC LICENSING OF SOURCE MATERIAL", "", "", "", "\u00a7 40.14 Specific exemptions.", "NRC", "", "", "[37 FR 5747, Mar. 21, 1972, as amended at 39 FR 26279, July 18, 1974; 40 FR 8787, Mar. 3, 1975; 45 FR 65531, Oct. 3, 1980; 46 FR 13979, Feb. 25, 1981; 47 FR 57481, Dec. 27, 1982; 66 FR 55790, Nov. 2, 2001]", "(a) The Commission may, upon application of any interested person or upon its own initiative, grant such exemptions from the requirements of the regulation in this part as it determines are authorized by law and will not endanger life or property or the common defense and security and are otherwise in the public interest.\n\n(b) [Reserved]\n\n(c) The Department of Energy is exempt from the requirements of this part to the extent that its activities are subject to the requirements of part 60 or 63 of this chapter.\n\n(d) Except as specifically provided in part 61 of this chapter any licensee is exempt from the requirements of this part to the extent that its activities are subject to the requirements of part 61 of this chapter."], ["10:10:1.0.1.1.29.0.96.16", 10, "Energy", "I", "", "40", "PART 40\u2014DOMESTIC LICENSING OF SOURCE MATERIAL", "", "", "", "\u00a7 40.20 Types of licenses.", "NRC", "", "", "[55 FR 45598, Oct. 30, 1990]", "(a) Licenses for source material and byproduct material are of two types: general and specific. Licenses for long-term care and custody of residual radioactive material at disposal sites are general licenses. The general licenses provided in this part are effective without the filing of applications with the Commission or the issuance of licensing documents to particular persons. Specific licenses are issued to named persons upon applications filed pursuant to the regulations in this part.\n\n(b) Section 40.27 contains a general license applicable for custody and long-term care of residual radioactive material at uranium mill tailings disposal sites remediated under title I of the Uranium Mill Tailings Radiation Control Act of 1978, as amended.\n\n(c) Section 40.28 contains a general license applicable for custody and long-term care of byproduct material at uranium or thorium mill tailings disposal sites under title II of the Uranium Mill Tailings Radiation Control Act of 1978, as amended."], ["10:10:1.0.1.1.29.0.96.17", 10, "Energy", "I", "", "40", "PART 40\u2014DOMESTIC LICENSING OF SOURCE MATERIAL", "", "", "", "\u00a7 40.21 General license to receive title to source or byproduct material.", "NRC", "", "", "[45 FR 65531, Oct. 3, 1980]", "A general license is hereby issued authorizing the receipt of title to source or byproduct material, as defined in this part, without regard to quantity. This general license does not authorize any person to receive, possess, deliver, use, or transfer source or byproduct material."], ["10:10:1.0.1.1.29.0.96.18", 10, "Energy", "I", "", "40", "PART 40\u2014DOMESTIC LICENSING OF SOURCE MATERIAL", "", "", "", "\u00a7 40.22 Small quantities of source material.", "NRC", "", "", "[78 FR 32339, May 29, 2013]", "(a) A general license is hereby issued authorizing commercial and industrial firms; research, educational, and medical institutions; and Federal, State, and local government agencies to receive, possess, use, and transfer uranium and thorium, in their natural isotopic concentrations and in the form of depleted uranium, for research, development, educational, commercial, or operational purposes in the following forms and quantities:\n\n(1) No more than 1.5 kg (3.3 lb) of uranium and thorium in dispersible forms (e.g., gaseous, liquid, powder, etc.) at any one time. Any material processed by the general licensee that alters the chemical or physical form of the material containing source material must be accounted for as a dispersible form. A person authorized to possess, use, and transfer source material under this paragraph may not receive more than a total of 7 kg (15.4 lb) of uranium and thorium in any one calendar year. Persons possessing source material in excess of these limits as of August 27, 2013, may continue to possess up to 7 kg (15.4 lb) of uranium and thorium at any one time for one year beyond this date, or until the Commission takes final action on a pending application submitted on or before August 27, 2014, for a specific license for such material; and receive up to 70 kg (154 lb) of uranium or thorium in any one calendar year until December 31, 2014, or until the Commission takes final action on a pending application submitted on or before August 27, 2014, for a specific license for such material; and\n\n(2) No more than a total of 7 kg (15.4 lb) of uranium and thorium at any one time. A person authorized to possess, use, and transfer source material under this paragraph may not receive more than a total of 70 kg (154 lb) of uranium and thorium in any one calendar year. A person may not alter the chemical or physical form of the source material possessed under this paragraph unless it is accounted for under the limits of paragraph (a)(1) of this section; or\n\n(3) No more than 7 kg (15.4 lb) of uranium, removed during the treatment of drinking water, at any one time. A person may not remove more than 70 kg (154 lb) of uranium from drinking water during a calendar year under this paragraph; or\n\n(4) No more than 7 kg (15.4 lb) of uranium and thorium at laboratories for the purpose of determining the concentration of uranium and thorium contained within the material being analyzed at any one time. A person authorized to possess, use, and transfer source material under this paragraph may not receive more than a total of 70 kg (154 lb) of source material in any one calendar year.\n\n(b) Any person who receives, possesses, uses, or transfers source material in accordance with the general license in paragraph (a) of this section:\n\n(1) Is prohibited from administering source material, or the radiation therefrom, either externally or internally, to human beings except as may be authorized by the NRC in a specific license.\n\n(2) Shall not abandon such source material. Source material may be disposed of as follows:\n\n(i) A cumulative total of 0.5 kg (1.1 lb) of source material in a solid, non-dispersible form may be transferred each calendar year, by a person authorized to receive, possess, use, and transfer source material under this general license to persons receiving the material for permanent disposal. The recipient of source material transferred under the provisions of this paragraph is exempt from the requirements to obtain a license under this part to the extent the source material is permanently disposed. This provision does not apply to any person who is in possession of source material under a specific license issued under this chapter; or\n\n(ii) In accordance with \u00a7 20.2001 of this chapter.\n\n(3) Is subject to the provisions in \u00a7\u00a7 40.1 through 40.10, 40.41(a) through (e), 40.46, 40.51, 40.56, 40.60 through 40.63, 40.71, and 40.81.\n\n(4) Shall respond to written requests from the NRC to provide information relating to the general license within 30 calendar days of the date of the request, or other time specified in the request. If the person cannot provide the requested information within the allotted time, the person shall, within that same time period, request a longer period to supply the information by providing the Director of the Office of Nuclear Material Safety and Safeguards, using an appropriate method listed in \u00a7 40.5(a), a written justification for the request;\n\n(5) Shall not export such source material except in accordance with part 110 of this chapter.\n\n(c) Any person who receives, possesses, uses, or transfers source material in accordance with paragraph (a) of this section shall conduct activities so as to minimize contamination of the facility and the environment. When activities involving such source material are permanently ceased at any site, if evidence of significant contamination is identified, the general licensee shall notify the Director of the Office of Nuclear Material Safety and Safeguards by an appropriate method listed in \u00a7 40.5(a) about such contamination and may consult with the NRC as to the appropriateness of sampling and restoration activities to ensure that any contamination or residual source material remaining at the site where source material was used under this general license is not likely to result in exposures that exceed the limits in \u00a7 20.1402 of this chapter.\n\n(d) Any person who receives, possesses, uses, or transfers source material in accordance with the general license granted in paragraph (a) of this section is exempt from the provisions of parts 19, 20, and 21 of this chapter to the extent that such receipt, possession, use, and transfer are within the terms of this general license, except that such person shall comply with the provisions of \u00a7\u00a7 20.1402 and 20.2001 of this chapter to the extent necessary to meet the provisions of paragraphs (b)(2) and (c) of this section. However, this exemption does not apply to any person who also holds a specific license issued under this chapter.\n\n(e) No person may initially transfer or distribute source material to persons generally licensed under paragraph (a)(1) or (2) of this section, or equivalent regulations of an Agreement State, unless authorized by a specific license issued in accordance with \u00a7 40.54 or equivalent provisions of an Agreement State. This prohibition does not apply to analytical laboratories returning processed samples to the client who initially provided the sample. Initial distribution of source material to persons generally licensed by paragraph (a) of this section before August 27, 2013, without specific authorization may continue for 1 year beyond this date. Distribution may also be continued until the Commission takes final action on a pending application for license or license amendment to specifically authorize distribution submitted on or before August 27, 2014."], ["10:10:1.0.1.1.29.0.96.19", 10, "Energy", "I", "", "40", "PART 40\u2014DOMESTIC LICENSING OF SOURCE MATERIAL", "", "", "", "\u00a7 40.23 General license for carriers of transient shipments of natural uranium other than in the form of ore or ore residue.", "NRC", "", "", "[52 FR 9651, Mar. 26, 1987, as amended at 53 FR 4110, Feb. 12, 1988; 60 FR 24551, May 9, 1995; 68 FR 58806, Oct. 10, 2003; 74 FR 62681, Dec. 1, 2009; 83 FR 58723, Nov. 21, 2018; 86 FR 67842, Nov. 30, 2021]", "(a) A general license is hereby issued to any person to possess a transient shipment of natural uranium, other than in the form of ore or ore residue, in amounts exceeding 500 kilograms.\n\n(b)(1) Persons generally licensed under paragraph (a) of this section, who plan to carry a transient shipment with scheduled stops at a United States port, shall notify the Director Office of Nuclear Security and Incident Response, by email (preferred method) to  AdvanceNotifications.Resource@nrc.gov  or using an appropriate method listed in \u00a7 40.5. The notification must be in writing and must be received at least 10 days before transport of the shipment commences at the shipping facility.\n\n(2) The notification must include the following information:\n\n(i) Location of all scheduled stops in United States territory;\n\n(ii) Arrival and departure times for all scheduled stops in United States territory;\n\n(iii) The type of transport vehicle;\n\n(iv) A physical description of the shipment;\n\n(v) The numbers and types of containers;\n\n(vi) The name and telephone number of the carrier's representatives at each stopover location in the United States territory;\n\n(vii) A listing of the modes of shipments, transfer points, and routes to be used;\n\n(viii) The estimated date and time that shipment will commence and that each nation (other than the United States) along the route is scheduled to be entered;\n\n(ix) For shipment between countries that are not party to the Convention on the Physical Protection of Nuclear Material ( i.e.,  not listed in appendix F to part 73 of this chapter), a certification that arrangements have been made to notify the Director, Office of Nuclear Security and Incident Response when the shipment is received at the destination facility.\n\n(c) Persons generally licensed under this section making unscheduled stops at United States ports, immediately after the decision to make an unscheduled stop, shall provide to the Director, Division of Physical and Cyber Security Policy the information required under paragraph (b) of this section.\n\n(d) A licensee who needs to amend a notification may do so by telephoning the Division of Physical and Cyber Security Policy at (301) 287-3598."], ["10:10:1.0.1.1.29.0.96.20", 10, "Energy", "I", "", "40", "PART 40\u2014DOMESTIC LICENSING OF SOURCE MATERIAL", "", "", "", "\u00a7 40.24 [Reserved]", "NRC", "", "", "", ""], ["10:10:1.0.1.1.29.0.96.21", 10, "Energy", "I", "", "40", "PART 40\u2014DOMESTIC LICENSING OF SOURCE MATERIAL", "", "", "", "\u00a7 40.25 General license for use of certain industrial products or devices.", "NRC", "", "", "[41 FR 53331, Dec. 6, 1976, as amended at 42 FR 28896, June 6, 1977; 43 FR 6923, Feb. 17, 1978; 43 FR 52202, Nov. 9, 1978; 52 FR 31611, Aug. 21, 1987; 60 FR 24551, May 9, 1995; 68 FR 58807, Oct. 10, 2003; 73 FR 5720, Jan. 31, 2008]", "(a) A general license is hereby issued to receive, acquire, possess, use, or transfer, in accordance with the provisions of paragraphs (b), (c), (d), and (e) of this section, depleted uranium contained in industrial products or devices for the purpose of providing a concentrated mass in a small volume of the product or device.\n\n(b) The general license in paragraph (a) of this section applies only to industrial products or devices which have been manufactured or initially transferred in accordance with a specific license issued pursuant to \u00a7 40.34 (a) of this part or in accordance with a specific license issued by an Agreement State which authorizes manufacture of the products or devices for distribution to persons generally licensed by the Agreement State.\n\n(c)(1) Persons who receive, acquire, possess, or use depleted uranium pursuant to the general license established by paragraph (a) of this section shall file NRC Form 244, \u201cRegistration Certificate\u2014Use of Depleted Uranium Under General License,\u201d with the Director, Office of Nuclear Material Safety and Safeguards, by an appropriate method listed in \u00a7 40.5, with a copy to the appropriate NRC Regional Administrator. The form shall be submitted within 30 days after the first receipt or acquisition of such depleted uranium. The registrant shall furnish on NRC Form 244 the following information and such other information as may be required by that form:\n\n(i) Name and address of the registrant;\n\n(ii) A statement that the registrant has developed and will maintain procedures designed to establish physical control over the depleted uranium described in paragraph (a) of this section and designed to prevent transfer of such depleted uranium in any form, including metal scrap, to persons not authorized to receive the depleted uranium; and\n\n(iii) Name and/or title, address, and telephone number of the individual duly authorized to act for and on behalf of the registrant in supervising the procedures identified in paragraph (c)(1)(ii) of this section.\n\n(2) The registrant possessing or using depleted uranium under the general license established by paragraph (a) of this section shall report in writing to the Director, Office of Nuclear Material Safety and Safeguards, with a copy to the Regional Administrator of the appropriate U.S. Nuclear Regulatory Commission Regional Office listed in appendix D of part 20 of this chapter, any changes in information furnished by him in the NRC Form 244 \u201cRegistration Certificate\u2014Use of Depleted Uranium Under General License.\u201d The report shall be submitted within 30 days after the effective date of such change.\n\n(d) A person who receives, acquires, possesses, or uses depleted uranium pursuant to the general license established by paragraph (a) of this section:\n\n(1) Shall not introduce such depleted uranium, in any form, into a chemical, physical, or metallurgical treatment or process, except a treatment or process for repair or restoration of any plating or other covering of the depleted uranium.\n\n(2) Shall not abandon such depleted uranium.\n\n(3) Shall transfer or dispose of such depleted uranium only by transfer in accordance with the provisions of \u00a7 40.51 of this part. In the case where the transferee receives the depleted uranium pursuant to the general license established by paragraph (a) of this section, the transferor shall furnish the transferee a copy of this section and a copy of Form NRC 244. In the case where the transferee receives the depleted uranium pursuant to a general license contained in an Agreement State's regulation equivalent to this section, the transferor shall furnish the transferee a copy of this section and a copy of Form NRC 244 accompanied by a note explaining that use of the product or device is regulated by the Agreement State under requirements substantially the same as those in this section.\n\n(4) Within 30 days of any transfer, shall report in writing to the Director, Office of Nuclear Material Safety and Safeguards, with a copy to the Regional Administrator of the appropriate U.S. Nuclear Regulatory Commission Regional Office listed in appendix D of part 20 of this chapter, the name and address of the person receiving the source material pursuant to such transfer.\n\n(e) Any person receiving, acquiring, possessing, using, or transferring depleted uranium pursuant to the general license established by paragraph (a) of this section is exempt from the requirements of parts 19, 20 and 21 of this chapter with respect to the depleted uranium covered by that general license."], ["10:10:1.0.1.1.29.0.96.22", 10, "Energy", "I", "", "40", "PART 40\u2014DOMESTIC LICENSING OF SOURCE MATERIAL", "", "", "", "\u00a7 40.26 General license for possession and storage of byproduct material as defined in this part.", "NRC", "", "", "[44 FR 50014, Aug. 24, 1979, as amended at 45 FR 12377, Feb. 26, 1980; 45 FR 65531, Oct. 3, 1980; 53 FR 19248, May 27, 1988; 56 FR 40768, Aug. 16, 1991; 73 FR 5720, Jan. 31, 2008]", "(a) A general license is hereby issued to receive title to, own, or possess byproduct material as defined in this part without regard to form or quantity.\n\n(b) The general license in paragraph (a) of this section applies only: In the case of licensees of the Commission, where activities that result in the production of byproduct material are authorized under a specific license issued by the Commission pursuant to this part, to byproduct material possessed or stored at an authorized disposal containment area or transported incident to such authorized activity:  Provided,  That authority to receive title to, own, or possess byproduct material under this general license shall terminate when the specific license for source material expires, is renewed, or is amended to include a specific license for byproduct material as defined in this part.\n\n(c) The general license in paragraph (a) of this section is subject to:\n\n(1) The provisions of parts 19, 20, 21, and \u00a7\u00a7 40.1, 40.2a, 40.3, 40.4, 40.5, 40.6, 40.41, 40.46, 40.60, 40.61, 40.62, 40.63, 40.65, 40.71, and 40.81 of part 40 of this chapter; and\n\n(2) The documentation of daily inspections of tailings or waste retention systems and the immediate notification of the appropriate NRC regional office as indicated in appendix D to part 20 of this chapter, or the Director, Office of Nuclear Material Safety and Safeguards, U.S. Nuclear Regulatory Commission, Washington, DC 20555, of any failure in a tailings or waste retention system that results in a release of tailings or waste into unrestricted areas, or of any unusual conditions (conditions not contemplated in the design of the retention system) that if not corrected could lead to failure of the system and result in a release of tailings or waste into unrestricted areas; and any additional requirements the Commission may by order deem necessary. The licensee shall retain this documentation of each daily inspection as a record for three years after each inspection is documented.\n\n(d) The general license in paragraph (a) of this section shall expire nine months from the effective date of this subparagraph unless an applicable licensee has submitted, pursuant to the provisions of \u00a7 40.31 of this part, an application for license renewal or amendment which includes a detailed program for meeting the technical and financial criteria contained in appendix A of this part."], ["10:10:1.0.1.1.29.0.96.23", 10, "Energy", "I", "", "40", "PART 40\u2014DOMESTIC LICENSING OF SOURCE MATERIAL", "", "", "", "\u00a7 40.27 General license for custody and long-term care of residual radioactive material disposal sites.", "NRC", "", "", "[55 FR 45598, Oct. 30, 1990, as amended at 81 FR 86909, Dec. 2, 2016]", "(a) A general license is issued for the custody of and long-term care, including monitoring, maintenance, and emergency measures necessary to protect public health and safety and other actions necessary to comply with the standards promulgated under section 275(a) of the Atomic Energy Act of 1954, as amended, for disposal sites under title I of the Uranium Mill Tailings Radiation Control Act of 1978, as amended. The license is available only to the Department of Energy, or another Federal agency designated by the President to provide long-term care. The purpose of this general license is to ensure that uranium mill tailings disposal sites will be cared for in such a manner as to protect the public health, safety, and the environment after remedial action has been completed.\n\n(b) The general license in paragraph (a) of this section becomes effective when the Commission accepts a site Long-Term Surveillance Plan (LTSP) that meets the requirements of this section, and when the Commission concurs with the Department of Energy's determination of completion of remedial action at each disposal site. There is no termination of this general license. The LTSP may incorporate by reference information contained in documents previously submitted to the Commission if the references to the individual incorporated documents are clear and specific. Each LTSP must include\u2014\n\n(1) A legal description of the disposal site to be licensed, including documentation on whether land and interests are owned by the United States or an Indian Tribe. If the site is on Indian land, then, as specified in the Uranium Mill Tailings Radiation Control Act of 1978, as amended, the Indian Tribe and any person holding any interest in the land shall execute a waiver releasing the United States of any liability or claim by the Tribe or person concerning or arising from the remedial action and holding the United States harmless against any claim arising out of the performance of the remedial action;\n\n(2) A detailed description, which can be in the form of a reference, of the final disposal site conditions, including existing groundwater characterization and any necessary groundwater protection activities or strategies. This description must be detailed enough so that future inspectors will have a baseline to determine changes to the site and when these changes are serious enough to require maintenance or repairs. If the disposal site has continuing aquifer restoration requirements, then the licensing process will be completed in two steps. The first step includes all items other than groundwater restoration. Groundwater monitoring, which would be addressed in the LTSP, may still be required in this first step to assess performance of the tailings disposal units. When the Commission concurs with the completion of groundwater restoration, the licensee shall assess the need to modify the LTSP and report results to the Commission. If the proposed modifications meet the requirements of this section, the LTSP will be considered suitable to accommodate the second step.\n\n(3) A description of the long-term surveillance program, including proposed inspection frequency and reporting to the Commission (as specified in appendix A, criterion 12 of this part), frequency and extent of groundwater monitoring if required, appropriate constituent concentration limits for groundwater, inspection personnel qualifications, inspection procedures, recordkeeping and quality assurance procedures;\n\n(4) The criteria for follow-up inspections in response to observations from routine inspections or extreme natural events; and\n\n(5) The criteria for instituting maintenance or emergency measures.\n\n(c) The long-term care agency under the general license established by paragraph (a) of this section shall\u2014\n\n(1) Implement the LTSP as described in paragraph (b) of this section;\n\n(2) Care for the disposal site in accordance with the provisions of the LTSP;\n\n(3) Notify the Commission of any changes to the LTSP; the changes may not conflict with the requirements of this section;\n\n(4) Guarantee permanent right-of-entry to Commission representatives for the purpose of periodic site inspections; and\n\n(5) Notify the Commission prior to undertaking any significant construction, actions, or repairs related to the disposal site, even if the action is required by a State or another Federal agency.\n\n(d) As specified in the Uranium Mill Tailings Radiation Control Act of 1978, as amended, the Secretary of the Interior, with the concurrence of the Secretary of Energy and the Commission, may sell or lease any subsurface mineral rights associated with land on which residual radioactive materials are disposed. In such cases, the Commission shall grant a license permitting use of the land if it finds that the use will not disturb the residual radioactive materials or that the residual radioactive materials will be restored to a safe and environmentally sound condition if they are disturbed by the use.\n\n(e) The general license in paragraph (a) of this section is exempt from parts 19, 20, and 21 of this chapter, unless significant construction, actions, or repairs are required. If these types of actions are to be undertaken, the licensee shall explain to the Commission which requirements from these parts apply for the actions and comply with the appropriate requirements."], ["10:10:1.0.1.1.29.0.96.24", 10, "Energy", "I", "", "40", "PART 40\u2014DOMESTIC LICENSING OF SOURCE MATERIAL", "", "", "", "\u00a7 40.28 General license for custody and long-term care of uranium or thorium byproduct materials disposal sites.", "NRC", "", "", "[55 FR 45599, Oct. 30, 1990, as amended at 81 FR 86909, Dec. 2, 2016]", "(a) A general license is issued for the custody of and long-term care, including monitoring, maintenance, and emergency measures necessary to protect the public health and safety and other actions necessary to comply with the standards in this part for uranium or thorium mill tailings sites closed under title II of the Uranium Mill Tailings Radiation Control Act of 1978, as amended. The licensee will be the Department of Energy, another Federal agency designated by the President, or a State where the disposal site is located. The purpose of this general license is to ensure that uranium and thorium mill tailings disposal sites will be cared for in such a manner as to protect the public health, safety, and the environment after closure.\n\n(b) The general license in paragraph (a) of this section becomes effective when the Commission terminates, or concurs in an Agreement State's termination of, the current specific license and a site Long-Term Surveillance Plan (LTSP) meeting the requirements of this section has been accepted by the Commission. There is no termination of this general license. If the LTSP has not been formally received by the NRC prior to termination of the current specific license, the Commission may issue a specific order to the intended custodial agency to ensure continued control and surveillance of the disposal site to protect the public health, safety, and the environment. The Commission will not unnecessarily delay the termination of the specific license solely on the basis that an acceptable LTSP has not been received. The LTSP may incorporate by reference information contained in documents previously submitted to the Commission if the references to the individual incorporated documents are clear and specific. Each LTSP must include\u2014\n\n(1) A legal description of the disposal site to be transferred (unless transfer is exempted under provisions of the Atomic Energy Act, \u00a7 83(b)(1)(A)) and licensed;\n\n(2) A detailed description, which can be in the form of a reference of the final disposal site conditions, including existing groundwater characterization. This description must be detailed enough so that future inspectors will have a baseline to determine changes to the site and when these changes are serious enough to require maintenance or repairs;\n\n(3) A description of the long-term surveillance program, including proposed inspection frequency and reporting to the Commission (as specified in appendix A, Criterion 12 of this part), frequency and extent of groundwater monitoring if required, appropriate constituent concentration limits for groundwater, inspection personnel qualifications, inspection procedures, recordkeeping and quality assurance procedures;\n\n(4) The criteria for follow-up inspections in response to observations from routine inspections or extreme natural events; and\n\n(5) The criteria for instituting maintenance or emergency measures.\n\n(c) The long-term care agency who has a general license established by paragraph (a) of this section shall\u2014\n\n(1) Implement the LTSP as described in paragraph (b) of this section;\n\n(2) Care for the disposal site in accordance with the provisions of the LTSP;\n\n(3) Notify the Commission of any changes to the LTSP; the changes may not conflict with the requirements of this section;\n\n(4) Guarantee permanent right-of-entry to Commission representatives for the purpose of periodic site inspections; and\n\n(5) Notify the Commission prior to undertaking any significant construction, actions, or repairs related to the disposal site, even if the action is required by a State or another Federal agency.\n\n(d) Upon application, the Commission may issue a specific license, as specified in the Uranium Mill Tailings Radiation Control Act of 1978, as amended, permitting the use of surface and/or subsurface estates transferred to the United States or a State. Although an application may be received from any person, if permission is granted, the person who transferred the land to DOE or the State shall receive the right of first refusal with respect to this use of the land. The application must demonstrate that\u2014\n\n(1) The proposed action does not endanger the public health, safety, welfare, or the environment;\n\n(2) Whether the proposed action is of a temporary or permanent nature, the site would be maintained and/or restored to meet requirements in appendix A of this part for closed sites; and\n\n(3) Adequate financial arrangements are in place to ensure that the byproduct materials will not be disturbed, or if disturbed that the applicant is able to restore the site to a safe and environmentally sound condition.\n\n(e) The general license in paragraph (a) of this section is exempt from parts 19, 20, and 21 of this chapter, unless significant construction, actions, or repairs are required. If these types of actions are to be undertaken, the licensee shall explain to the Commission which requirements from these parts apply for the actions and comply with the appropriate requirements.\n\n(f) In cases where the Commission determines that transfer of title of land used for disposal of any byproduct materials to the United States or any appropriate State is not necessary to protect the public health, safety or welfare or to minimize or eliminate danger to life or property (Atomic Energy Act, \u00a7 83(b)(1)(A)), the Commission will consider specific modifications of the custodial agency's LTSP provisions on a case-by-case basis."], ["10:10:1.0.1.1.29.0.97.25", 10, "Energy", "I", "", "40", "PART 40\u2014DOMESTIC LICENSING OF SOURCE MATERIAL", "", "", "", "\u00a7 40.31 Application for specific licenses.", "NRC", "", "", "[26 FR 284, Jan. 14, 1961, as amended at 31 FR 4669, Mar. 19, 1966; 34 FR 19546, Dec. 11, 1969; 36 FR 145, Jan. 6, 1971; 37 FR 5748, Mar. 21, 1972; 46 FR 13497, Feb. 23, 1981; 49 FR 9403, Mar. 12, 1984; 49 FR 19626, May 9, 1984; 49 FR 21699, May 23, 1984; 49 FR 27924, July 9, 1984; 53 FR 24047, June 27, 1988; 54 FR 14061, Apr. 7, 1989; 57 FR 18390, Apr. 30, 1992; 68 FR 58807, Oct. 10, 2003; 73 FR 63570, Oct. 24, 2008; 73 FR 78604, Dec. 23, 2008; 85 FR 65662, Oct. 16, 2020]", "(a) A person may file an application for specific license on NRC Form 313, \u201cApplication for Material License,\u201d in accordance with the instructions in \u00a7 40.5 of this chapter. Information contained in previous applications, statements or reports filed with the Commission may be incorporated by reference provided that the reference is clear and specific.\n\n(b) The Commission may at any time after the filing of the original application, and before the expiration of the license, require further statements in order to enable the Commission to determine whether the application should be granted or denied or whether a license should be modified or revoked. All applications and statements shall be signed by the applicant or licensee or a person duly authorized to act for and on his behalf.\n\n(c) Applications and documents submitted to the Commission in connection with applications will be made available for public inspection in accordance with the provisions of the regulations contained in parts 2 and 9 of this chapter.\n\n(d) An application for a license filed pursuant to the regulations in this part will be considered also as an application for licenses authorizing other activities for which licenses are required by the Act:  Provided,  That the application specifies the additional activities for which licenses are requested and complies with regulations of the Commission as to applications for such licenses.\n\n(e) Each application for a source material license, other than a license exempted from part 170 of this chapter, shall be accompanied by the fee prescribed in \u00a7 170.31 of this chapter. No fee will be required to accompany an application for renewal or amendment of a license, except as provided in \u00a7 170.31 of this chapter.\n\n(f) An application for a license to possess and use source material for uranium milling, production of uranium hexafluoride, or for the conduct of any other activity which the Commission has determined pursuant to subpart A of part 51 of this chapter will significantly affect the quality of the environment shall be filed at least 9 months prior to commencement of construction of the plant or facility in which the activity will be conducted and shall be accompanied by any Environmental Report required pursuant to subpart A of part 51 of this chapter.\n\n(g) An applicant for a license to possess and use source material, or the recipient of such a license shall report information to the Commission as follows:\n\n(1) In response to a written request by the Commission, a uranium or thorium processing plant, and any other applicant for a license to possess and use source material, shall submit facility information described in \u00a7 75.10 of this chapter on IAEA Design Information Questionnaire forms and site information on DOC/NRC Form AP-A, and associated forms;\n\n(2) As required by the Additional Protocol, a uranium or thorium processing plant, and any other applicant for a license to possess and use source material, shall submit location information described in \u00a7 75.11 of this chapter on DOC/NRC Form AP-1 and associated forms; shall permit verification of this information by the International Atomic Energy Agency (IAEA); and shall take other actions as may be necessary to implement the US/IAEA Safeguards Agreement, as described in part 75 of this chapter; or\n\n(3) As required by the Additional Protocol, an ore processing plant or a facility using or storing ore concentrates or other impure source materials shall submit the information described in \u00a7 75.11 of this chapter, as appropriate, on DOC/NRC Form AP-1 and associated forms; shall permit verification of this information by the International Atomic Energy Agency (IAEA); and shall take other actions as may be necessary to implement the US/IAEA Safeguards Agreement, as described in part 75 of this chapter.\n\n(h) An application for a license to receive, possess, and use source material for uranium or thorium milling or byproduct material, as defined in this part, at sites formerly associated with such milling shall contain proposed written specifications relating to milling operations and the disposition of the byproduct material to achieve the requirements and objectives set forth in appendix A of this part. Each application must clearly demonstrate how the requirements and objectives set forth in appendix A of this part have been addressed. Failure to clearly demonstrate how the requirements and objectives in appendix A have been addressed shall be grounds for refusing to accept an application.\n\n(i) As provided by \u00a7 40.36, certain applications for specific licenses filed under this part must contain a proposed decommissioning funding plan or a certification of financial assurance for decommissioning. In the case of renewal applications submitted before July 27, 1990, this submittal may follow the renewal application but must be submitted on or before July 27, 1990.\n\n(j)(1) Each application to possess uranium hexafluoride in excess of 50 kilograms in a single container or 1000 kilograms total must contain either:\n\n(i) An evaluation showing that the maximum intake of uranium by a member of the public due to a release would not exceed 2 milligrams; or\n\n(ii) An emergency plan for responding to the radiological hazards of an accidental release of source material and to any associated chemical hazards directly incident thereto.\n\n(2) One or more of the following factors may be used to support an evaluation submitted under paragraph (j)(1)(i) of this section:\n\n(i) All or part of the radioactive material is not subject to release during an accident because of the way it is stored or packaged;\n\n(ii) Facility design or engineered safety features in the facility would reduce the amount of the release; or\n\n(iii) Other factors appropriate for the specific facility.\n\n(3) An emergency plan submitted under paragraph (j)(1)(ii) of this section must include the following:\n\n(i)  Facility description.  A brief description of the licensee's facility and area near the site.\n\n(ii)  Types of accidents.  An identification of each type of accident for which protective actions may be needed.\n\n(iii)  Classification of accidents.  A classification system for classifying accidents as alerts or site area emergencies.\n\n(iv)  Detection of accidents.  Identification of the means of detecting each type of radioactive materials accident in a timely manner.\n\n(v)  Mitigation of consequences.  A brief description of the means and equipment for mitigating the consequences of each type of accident, including those provided to protect workers onsite, and a description of the program for maintaining the equipment.\n\n(vi)  Assessment of releases.  A brief description of the methods and equipment to assess releases of radioactive materials.\n\n(vii)  Responsibilities.  A brief description of the responsibilities of licensee personnel should an accident occur, including identification of personnel responsible for promptly notifying offsite response organizations and the NRC; also responsibilities for developing, maintaining, and updating the plan.\n\n(viii)  Notification and coordination.  A commitment to and a brief description of the means to promptly notify offsite response organizations and request offsite assistance, including medical assistance for the treatment of contaminated injured onsite workers when appropriate. A control point must be established. The notification and coordination must be planned so that unavailability of some personnel, parts of the facility, and some equipment will not prevent the notification and coordination. The licensee shall also commit to notify the NRC operations center immediately after notification of the offsite response organizations and not later than one hour after the licensee declares an emergency. \n 1\n\n1  These reporting requirements do not supersede or release licensees of complying with the requirements under the Emergency Planning and Community Right-to-Know Act of 1986, Title III. Pub. L. 99-499 or other state or federal reporting requirements.\n\n(ix)  Information to be communicated.  A brief description of the types of information on facility status, radioactive releases, and recommended protective actions, if necessary, to be given to offsite response organizations and to the NRC.\n\n(x)  Training.  A brief description of the frequency, performance objectives and plans for the training that the licensee will provide workers on how to respond to an emergency including any special instructions and orientation tours the licensee would offer to fire, police, medical and other emergency personnel. The training shall familiarize personnel with site-specific emergency procedures. Also, the training shall thoroughly prepare site personnel for their responsibilities in the event of accident scenarios postulated as most probable for the specific site, including the use of team training for such scenarios.\n\n(xi)  Safe shutdown.  A brief description of the means of restoring the facility to a safe condition after an accident.\n\n(xii)  Exercises.  Provisions for conducting quarterly communications checks with offsite response organizations and biennial onsite exercises to test response to simulated emergencies. Quarterly communications checks with offsite response organizations must include the check and update of all necessary telephone numbers. The licensee shall invite offsite response organizations to participate in the biennial exercises. Participation of offsite response organizations in biennial exercises although recommended is not required. Exercises must use accident scenarios postulated as most probable for the specific site and the scenarios shall not be known to most exercise participants. The licensee shall critique each exercise using individuals not having direct implementation responsibility for the plan. Critiques of exercises must evaluate the appropriateness of the plan, emergency procedures, facilities, equipment, training of personnel, and overall effectiveness of the response. Deficiencies found by the critiques must be corrected.\n\n(xiii)  Hazardous chemicals.  A certification that the application has met its responsibilities under the Emergency Planning and Community Right-to-Know Act of 1986, title III, Pub. L. 99-499, if applicable to the applicant's activities at the proposed place of the use of the source material.\n\n(4) The licensee shall allow the offsite response organizations expected to respond in case of an accident 60 days to comment on the licensee's emergency plan before submitting it to the NRC. The licensee shall provide any comments received within the 60 days to the NRC with the emergency plan.\n\n(k) A license application for a uranium enrichment facility must be accompanied by an Environmental Report required under subpart A of part 51 of this chapter.\n\n(l) A license application that involves the use of source material in a uranium enrichment facility must include the applicant's provisions for liability insurance.\n\n(m) Each applicant for a license for the possession of source material at a facility for the production or conversion of uranium hexafluoride shall protect Safeguards Information against unauthorized disclosure in accordance with the requirements in \u00a7\u00a7 73.21 and 73.22 of this chapter, as applicable. Each applicant for a license for source material shall protect Safeguards Information against unauthorized disclosure in accordance with the requirements in \u00a7 73.21 and the requirements of \u00a7 73.22 or \u00a7 73.23 of this chapter, as applicable."], ["10:10:1.0.1.1.29.0.97.26", 10, "Energy", "I", "", "40", "PART 40\u2014DOMESTIC LICENSING OF SOURCE MATERIAL", "", "", "", "\u00a7 40.32 General requirements for issuance of specific licenses.", "NRC", "", "", "[26 FR 284, Jan. 14, 1961, as amended at 36 FR 12731, July 7, 1971; 40 FR 8787, Mar. 3, 1975; 41 FR 53332, Dec. 6, 1976; 43 FR 6924, Feb. 17, 1978; 49 FR 9403, Mar. 12, 1984; 57 FR 18390, Apr. 30, 1992; 73 FR 5721, Jan. 31, 2008; 76 FR 56964, Sept. 15, 2011; 78 FR 32340, May 29, 2013]", "An application for a specific license will be approved if:\n\n(a) The application is for a purpose authorized by the Act; and\n\n(b) The applicant is qualified by reason of training and experience to use the source material for the purpose requested in such manner as to protect health and minimize danger to life or property; and\n\n(c) The applicant's proposed equipment, facilities and procedures are adequate to protect health and minimize danger to life or property; and\n\n(d) The issuance of the license will not be inimical to the common defense and security or to the health and safety of the public; and\n\n(e) In the case of an application for a license for a uranium enrichment facility, or for a license to possess and use source and byproduct material for uranium milling, production of uranium hexafluoride, or for the conduct of any other activity which the NRC determines will significantly affect the quality of the environment, the Director, Office of Nuclear Material Safety and Safeguardsor his/her designee, before commencement of construction, on the basis of information filed and evaluations made pursuant to subpart A of part 51 of this chapter, has concluded, after weighing the environmental, economic, technical and other benefits against environmental costs and considering available alternatives, that the action called for is the issuance of the proposed license, with any appropriate conditions to protect environmental values. Commencement of construction prior to this conclusion is grounds for denial of a license to possess and use source and byproduct material in the plant or facility. Commencement of construction as defined in \u00a7 40.4 may include non-construction activities if the activity has a reasonable nexus to radiological safety and security.\n\n(f) The applicant satisfies any applicable special requirements contained in \u00a7\u00a7 40.34, 40.52, and 40.54.\n\n(g) If the proposed activity involves use of source material in a uranium enrichment facility, the applicant has satisfied the applicable provisions of part 140 of this chapter."], ["10:10:1.0.1.1.29.0.97.27", 10, "Energy", "I", "", "40", "PART 40\u2014DOMESTIC LICENSING OF SOURCE MATERIAL", "", "", "", "\u00a7 40.33 Issuance of a license for a uranium enrichment facility.", "NRC", "", "", "[57 FR 18391, Apr. 30, 1992]", "(a) The Commission will hold a hearing pursuant to 10 CFR part 2, subparts A, G, and I, on each application with regard to the licensing of the construction and operation of a uranium enrichment facility. The Commission will publish public notice of the hearing in the  Federal Register  at least 30 days before the hearing.\n\n(b) A license for a uranium enrichment facility may not be issued before the hearing is completed and a decision issued on the application."], ["10:10:1.0.1.1.29.0.97.28", 10, "Energy", "I", "", "40", "PART 40\u2014DOMESTIC LICENSING OF SOURCE MATERIAL", "", "", "", "\u00a7 40.34 Special requirements for issuance of specific licenses.", "NRC", "", "", "[41 FR 53332, Dec. 6, 1976, as amended at 43 FR 6924, Feb. 17, 1978; 58 FR 67661, Dec. 22, 1993; 59 FR 41643, Aug. 15, 1994]", "(a) An application for a specific license to manufacture industrial products and devices containing depleted uranium, or to initially transfer such products or devices, for use pursuant to \u00a7 40.25 of this part or equivalent regulations of an Agreement State, will be approved if:\n\n(1) The applicant satisfies the general requirements specified in \u00a7 40.32;\n\n(2) The applicant submits sufficient information relating to the design, manufacture, prototype testing, quality control procedures, labeling or marking, proposed uses, and potential hazards of the industrial product or device to provide reasonable assurance that possession, use, or transfer of the depleted uranium in the product or device is not likely to cause any individual to receive in 1 year a radiation dose in excess of 10 percent of the annual limits specified in \u00a7 20.1201(a) of this chapter; and\n\n(3) The applicant submits sufficient information regarding the industrial product or device and the presence of depleted uranium for a mass-volume application in the product or device to provide reasonable assurance that unique benefits will accrue to the public because of the usefulness of the product or device.\n\n(b) In the case of an industrial product or device whose unique benefits are questionable, the Commission will approve an application for a specific license under this paragraph only if the product or device is found to combine a high degree of utility and low probability of uncontrolled disposal and dispersal of significant quantities of depleted uranium into the environment.\n\n(c) The Commission may deny an applicant for a specific license under this paragraph if the end uses of the industrial product or device cannot be reasonably foreseen."], ["10:10:1.0.1.1.29.0.97.29", 10, "Energy", "I", "", "40", "PART 40\u2014DOMESTIC LICENSING OF SOURCE MATERIAL", "", "", "", "\u00a7 40.35 Conditions of specific licenses issued pursuant to \u00a7 40.34.", "NRC", "", "", "[41 FR 53332, Dec. 6, 1976, as amended at 43 FR 6924, Feb. 17, 1978; 52 FR 31611, Aug. 21, 1987; 53 FR 19248, May 27, 1988; 54 FR 14062, Apr. 7, 1989; 68 FR 58807, Oct. 10, 2003; 73 FR 5721, Jan. 31, 2008; 82 FR 52825, Nov. 15, 2017]", "Each person licensed pursuant to \u00a7 40.34 shall:\n\n(a) Maintain the level of quality control required by the license in the manufacture of the industrial product or device, and in the installation of the depleted uranium into the product or device;\n\n(b) Label or mark each unit to: (1) Identify the manufacturer or initial transferor of the product or device and the number of the license under which the product or device was manufactured or initially transferred, the fact that the product or device contains depleted uranium, and the quantity of depleted uranium in each product or device; and (2) state that the receipt, possession, use, and transfer of the product or device are subject to a general license or the equivalent and the regulations of the U.S. NRC or of an Agreement State;\n\n(c) Assure that the depleted uranium before being installed in each product or device has been impressed with the following legend clearly legible through any plating or other covering: \u201cDepleted Uranium\u201d;\n\n(d)(1) Furnish a copy of the general license contained in \u00a7 40.25 and a copy of Form NRC 244 to each person to whom he transfers source material in a product or device for use pursuant to the general license contained in \u00a7 40.25; or\n\n(2) Furnish a copy of the general license contained in the Agreement State's regulation equivalent to \u00a7 40.25 and a copy of the Agreement State's certificate, or alternately, furnish a copy of the general license contained in \u00a7 40.25 and a copy of Form NRC 244 to each person to whom he transfers source material in a product or device for use pursuant to the general license of an Agreement State. If a copy of the general license in \u00a7 40.25 and a copy of Form NRC 244 are furnished to such person, they shall be accompanied by a note explaining that use of the product or device is regulated by the Agreement State under requirements substantially the same as those in \u00a7 40.25; and\n\n(e)(1) Report to the Director, Office of Nuclear Material Safety and Safeguards, by an appropriate method listed in \u00a7 40.5, all transfers of industrial products or devices to persons for use under the general license in \u00a7 40.25. Such report shall identify each general licensee by name and address, an individual by name and/or position who may constitute a point of contact between the Commission and the general licensee, the type and model number of device transferred, and the quantity of depleted uranium contained in the product or device. The report shall be submitted within 30 days after the end of each calendar quarter in which such a product or device is transferred to the generally licensed person. If no transfers have been made to persons generally licensed under \u00a7 40.25 during the reporting period, the report shall so indicate;\n\n(2) Report to the responsible Agreement State Agency all transfers of industrial products or devices to persons for use under the general license in the Agreement State's regulation equivalent to \u00a7 40.25. Such report shall identify each general licensee by name and address, an individual by name and/or position who may constitute a point of contact between the Agency and the general licensee, the type and model number of device transferred, and the quantity of depleted uranium contained in the product or device. The report shall be submitted within 30 days after the end of each calendar quarter in which such product or device is transferred to the generally licensed person. If no transfers have been made to a particular Agreement State during the reporting period, this information shall be reported to the responsible Agreement State Agency;\n\n(3) Keep records showing the name, address, and a point of contact for each general license to whom he or she transfers depleted uranium in industrial products or devices for use pursuant to the general license provided in \u00a7 40.25 or equivalent regulations of an Agreement State. The records must be retained for three years from the date of transfer and must show the date of each transfer, the quantity of depleted uranium in each product or device transferred, and compliance with the report requirements of this section.\n\n(f) Licensees required to submit emergency plans by \u00a7 40.31(j)(1)-(4) shall follow the emergency plan approved by the Commission. The licensee may change the plan without Commission approval if the changes do not decrease the effectiveness of the plan. The licensee shall furnish the change to the Director, Office of Nuclear Material Safety and Safeguards, by an appropriate method listed in \u00a7 40.5, and to affected offsite response organizations, within six months after the change is made. Proposed changes that decrease the effectiveness of the approved emergency plan may not be implemented without application to and prior approval by the Commission."], ["10:10:1.0.1.1.29.0.97.30", 10, "Energy", "I", "", "40", "PART 40\u2014DOMESTIC LICENSING OF SOURCE MATERIAL", "", "", "", "\u00a7 40.36 Financial assurance and recordkeeping for decommissioning.", "NRC", "", "", "[53 FR 24047, June 27, 1988, as amended at 58 FR 39633, July 26, 1993; 58 FR 67661, Dec. 22, 1993; 58 FR 68731, Dec. 29, 1993; 59 FR 1618, Jan. 12, 1994; 60 FR 38238, July 26, 1995; 61 FR 24674, May 16, 1996; 62 FR 39090, July 21, 1997; 63 FR 29543, June 1, 1998; 68 FR 57336, Oct. 3, 2003; 76 FR 35568, June 17, 2011; 78 FR 34247, June 7, 2013; 78 FR 75450, Dec. 12, 2013]", "Except for licenses authorizing the receipt, possession, and use of source material for uranium or thorium milling, or byproduct material at sites formerly associated with such milling, for which financial assurance requirements are set forth in appendix A of this part, criteria for providing financial assurance for decommissioning are as follows:\n\n(a) Each applicant for a specific license authorizing the possession and use of more than 100 mCi of source material in a readily dispersible form shall submit a decommissioning funding plan as described in paragraph (d) of this section.\n\n(b) Each applicant for a specific license authorizing possession and use of quantities of source material greater than 10 mCi but less than or equal to 100 mCi in a readily dispersible form shall either\u2014\n\n(1) Submit a decommissioning funding plan as described in paragraph (d) of this section; or\n\n(2) Submit a certification that financial assurance for decommissioning has been provided in the amount of $225,000 by June 2, 2005 using one of the methods described in paragraph (e) of this section. For an applicant, this certification may state that the appropriate assurance will be obtained after the application has been approved and the license issued but before the receipt of licensed material. If the applicant defers execution of the financial instrument until after the license has been issued, a signed original of the financial instrument obtained to satisfy the requirements of paragraph (e) of this section must be submitted to NRC prior to receipt of licensed material. If the applicant does not defer execution of the financial instrument, the applicant shall submit to NRC, as part of the certification, a signed original of the financial instrument obtained to satisfy the requirements of paragraph (e) of this section.\n\n(c)(1) Each holder of a specific license issued on or after July 27, 1990, which is covered by paragraph (a) or (b) of this section, shall provide financial assurance for decommissioning in accordance with the criteria set forth in this section.\n\n(2) Each holder of a specific license issued before July 27, 1990, and of a type described in paragraph (a) of this section shall submit a decommissioning funding plan as described in paragraph (d) of this section or a certification of financial assurance for decommissioning in an amount at least equal to $1,125,000 in accordance with the criteria set forth in this section. If the licensee submits the certification of financial assurance rather than a decommissioning funding plan, the licensee shall include a decommissioning funding plan in any application for license renewal. Licensees required to submit the $1,125,000 amount must do so by December 2, 2004.\n\n(3) Each holder of a specific license issued before July 27, 1990, and of a type described in paragraph (b) of this section shall submit, on or before July 27, 1990, a decommissioning funding plan, as described in paragraph (d) of this section, or a certification of financial assurance for decommissioning in accordance with the criteria set forth in this section.\n\n(4) Any licensee who has submitted an application before July 27, 1990, for renewal of license in accordance with \u00a7 40.43 shall provide financial assurance for decommissioning in accordance with paragraphs (a) and (b) of this section. This assurance must be submitted when this rule becomes effective November 24, 1995.\n\n(5) If, in surveys made under 10 CFR 20.1501(a), residual radioactivity in the facility and environment, including the subsurface, is detected at levels that would, if left uncorrected, prevent the site from meeting the 10 CFR 20.1402 criteria for unrestricted use, the licensee must submit a decommissioning funding plan within one year of when the survey is completed.\n\n(d)(1) Each decommissioning funding plan must be submitted for review and approval and must contain\u2014\n\n(i) A detailed cost estimate for decommissioning, in an amount reflecting:\n\n(A) The cost of an independent contractor to perform all decommissioning activities;\n\n(B) The cost of meeting the 10 CFR 20.1402 criteria for unrestricted use, provided that, if the applicant or licensee can demonstrate its ability to meet the provisions of 10 CFR 20.1403, the cost estimate may be based on meeting the 10 CFR 20.1403 criteria;\n\n(C) The volume of onsite subsurface material containing residual radioactivity that will require remediation; and\n\n(D) An adequate contingency factor.\n\n(ii) Identification of and justification for using the key assumptions contained in the DCE;\n\n(iii) A description of the method of assuring funds for decommissioning from paragraph (e) of this section, including means for adjusting cost estimates and associated funding levels periodically over the life of the facility;\n\n(iv) A certification by the licensee that financial assurance for decommissioning has been provided in the amount of the cost estimate for decommissioning; and\n\n(v) A signed original, or if permitted, a copy, of the financial instrument obtained to satisfy the requirements of paragraph (e) of this section (unless a previously submitted and accepted financial instrument continues to cover the cost estimate for decommissioning).\n\n(2) At the time of license renewal and at intervals not to exceed 3 years, the decommissioning funding plan must be resubmitted with adjustments as necessary to account for changes in costs and the extent of contamination. If the amount of financial assurance will be adjusted downward, this can not be done until the updated decommissioning funding plan is approved. The decommissioning funding plan must update the information submitted with the original or prior approved plan, and must specifically consider the effect of the following events on decommissioning costs:\n\n(i) Spills of radioactive material producing additional residual radioactivity in onsite subsurface material;\n\n(ii) Waste inventory increasing above the amount previously estimated;\n\n(iii) Waste disposal costs increasing above the amount previously estimated;\n\n(iv) Facility modifications;\n\n(v) Changes in authorized possession limits;\n\n(vi) Actual remediation costs that exceed the previous cost estimate;\n\n(vii) Onsite disposal; and\n\n(viii) Use of a settling pond.\n\n(e) The financial instrument must include the licensee's name, license number, and docket number; and the name, address, and other contact information of the issuer, and, if a trust is used, the trustee. When any of the foregoing information changes, the licensee must, within 30 days, submit financial instruments reflecting such changes. The financial instrument submitted must be a signed original or signed original duplicate, except where a copy is specifically permitted. Financial assurance for decommissioning must be provided by one or more of the following methods:\n\n(1)  Prepayment.  Prepayment is the deposit before the start of operation into an account segregated from licensee assets and outside the licensee's administrative control of cash or liquid assets such that the amount of funds would be sufficient to pay decommissioning costs. Prepayment must be made into a trust account, and the trustee and the trust must be acceptable to the Commission.\n\n(2)  A surety method, insurance, or other guarantee method.  These methods guarantee that decommissioning costs will be paid. A surety method may be in the form of a surety bond, or letter of credit. A parent company guarantee of funds for decommissioning costs based on a financial test may be used if the guarantee and test are as contained in appendix A to part 30 of this chapter. For commercial corporations that issue bonds, a guarantee of funds by the applicant or licensee for decommissioning costs based on a financial test may be used if the guarantee and test are as contained in appendix C to part 30 of this chapter. For commercial companies that do not issue bonds, a guarantee of funds by the applicant or licensee for decommissioning costs may be used if the guarantee and test are as contained in appendix D to part 30 of this chapter. For nonprofit entities, such as colleges, universities, and nonprofit hospitals, a guarantee of funds by the applicant or licensee may be used if the guarantee and test are as contained in appendix E to part 30 of this chapter. Except for an external sinking fund, a parent company guarantee or guarantee by the applicant or licensee may not be used in combination with any other financial methods used to satisfy the requirements of this section. A guarantee by the applicant or licensee may not be used in any situation where the applicant or licensee has a parent company holding majority control of the voting stock of the company. Any surety method or insurance used to provide financial assurance for decommissioning must contain the following conditions:\n\n(i) The surety method or insurance must be open-ended or, if written for a specified term, such as five years, must be renewed automatically unless 90 days or more prior to the renewal date, the issuer notifies the Commission, the beneficiary, and the licensee of its intention not to renew. The surety method or insurance must also provide that the full face amount be paid to the beneficiary automatically prior to the expiration without proof of forfeiture if the licensee fails to provide a replacement acceptable to the Commission within 30 days after receipt of notification of cancellation.\n\n(ii) The surety method or insurance must be payable to a trust established for decommissioning costs. The trustee and trust must be acceptable to the Commission. An acceptable trustee includes an appropriate State or Federal government agency or an entity which has the authority to act as a trustee and whose trust operations are regulated and examined by a Federal or State agency.\n\n(iii) The surety method or insurance must remain in effect until the Commission has terminated the license.\n\n(3)  An external sinking fund in which deposits are made at least annually, coupled with a surety method, insurance, or other guarantee method, the value of which may decrease by the amount being accumulated in the sinking fund.  An external sinking fund is a fund established and maintained by setting aside funds periodically in an account segregated from licensee assets and outside the licensee's administrative control in which the total amount of funds would be sufficient to pay decommissioning costs at the time termination of operation is expected. An external sinking fund must be in the form of a trust. If the other guarantee method is used, no surety or insurance may be combined with the external sinking fund. The surety, insurance, or other guarantee provisions must be as stated in paragraph (e)(2) of this section.\n\n(4) In the case of Federal, State, or local government licensees, a statement of intent containing a cost estimate for decommissioning or an amount based on paragraph (b) of this section, and indicating that funds for decommissioning will be obtained when necessary.\n\n(5) When a government entity is assuming custody and ownership of a site, an arrangement that is deemed acceptable by such government entity.\n\n(f) Each person licensed under this part shall keep records of information important to the decommissioning of a facility in an identified location until the site is released for unrestricted use. Before licensed activities are transferred or assigned in accordance with \u00a7 40.41(b) licensees shall transfer all records described in this paragraph to the new licensee. In this case, the new licensee will be responsible for maintaining these records until the license is terminated. If records important to the decommissioning of a facility are kept for other purposes, reference to these records and their locations may be used. Information the Commission considers important to decommissioning consists of\u2014\n\n(1) Records of spills or other unusual occurrences involving the spread of contamination in and around the facility, equipment, or site. These records may be limited to instances when contamination remains after any cleanup procedures or when there is reasonable likelihood that contaminants may have spread to inaccessible areas as in the case of possible seepage into porous materials such as concrete. These records must include any known information on identification of involved nuclides, quantities, forms, and concentrations.\n\n(2) As-built drawings and modifications of structures and equipment in restricted areas where radioactive materials are used and/or stored, and of locations of possible inaccessible contamination such as buried pipes which may be subject to contamination. If required drawings are referenced, each relevant document need not be indexed individually. If drawings are not available, the licensee shall substitute appropriate records of available information concerning these areas and locations.\n\n(3) Except for areas containing depleted uranium used only for shielding or as penetrators in unused munitions, a list contained in a single document and updated every 2 years, of the following:\n\n(i) All areas designated and formerly designated as restricted areas as defined under 10 CFR 20.1003;\n\n(ii) All areas outside of restricted areas that require documentation under \u00a7 40.36(f)(1);\n\n(iii) All areas outside of restricted areas where current and previous wastes have been buried as documented under 10 CFR 20.2108; and\n\n(iv) All areas outside of restricted areas that contain material such that, if the license expired, the licensee would be required to either decontaminate the area to meet the criteria for decommissioning in 10 CFR part 20, subpart E, or apply for approval for disposal under 10 CFR 20.2002.\n\n(4) Records of the cost estimate performed for the decommissioning funding plan or of the amount certified for decommissioning, and records of the funding method used for assuring funds if either a funding plan or certification is used.\n\n(g) In providing financial assurance under this section, each licensee must use the financial assurance funds only for decommissioning activities and each licensee must monitor the balance of funds held to account for market variations. The licensee must replenish the funds, and report such actions to the NRC, as follows:\n\n(1) If, at the end of a calendar quarter, the fund balance is below the amount necessary to cover the cost of decommissioning, but is not below 75 percent of the cost, the licensee must increase the balance to cover the cost, and must do so within 30 days after the end of the calendar quarter.\n\n(2) If, at any time, the fund balance falls below 75 percent of the amount necessary to cover the cost of decommissioning, the licensee must increase the balance to cover the cost, and must do so within 30 days of the occurrence.\n\n(3) Within 30 days of taking the actions required by paragraph (g)(1) or (g)(2) of this section, the licensee must provide a written report of such actions to the Director, Office of Nuclear Material Safety and Safeguards, and state the new balance of the fund."], ["10:10:1.0.1.1.29.0.97.31", 10, "Energy", "I", "", "40", "PART 40\u2014DOMESTIC LICENSING OF SOURCE MATERIAL", "", "", "", "\u00a7 40.38 Ineligibility of certain applicants.", "NRC", "", "", "[62 FR 6669, Feb. 12, 1997]", "A license may not be issued to the Corporation if the Commission determines that:\n\n(a) The Corporation is owned, controlled, or dominated by an alien, a foreign corporation, or a foreign government; or\n\n(b) The issuance of such a license would be inimical to\u2014\n\n(1) The common defense and security of the United States; or\n\n(2) The maintenance of a reliable and economical domestic source of enrichment services."], ["10:10:1.0.1.1.29.0.98.32", 10, "Energy", "I", "", "40", "PART 40\u2014DOMESTIC LICENSING OF SOURCE MATERIAL", "", "", "", "\u00a7 40.41 Terms and conditions of licenses.", "NRC", "", "", "[26 FR 284, Jan. 14, 1961, as amended at 31 FR 15145, Dec. 2, 1966; 45 FR 65531, Oct. 3, 1980; 48 FR 32328, July 15, 1983; 52 FR 1295, Jan. 12, 1987; 57 FR 18391, Apr. 30, 1992; 73 FR 63571, Oct. 24, 2008]", "(a) Each license issued pursuant to the regulations in this part shall be subject to all the provisions of the act, now or hereafter in effect, and to all rules, regulations and orders of the Commission.\n\n(b) Neither the license nor any right under the license shall be assigned or otherwise transferred in violation of the provisions of the Act.\n\n(c) Each person licensed by the Commission pursuant to the regulations in this part shall confine his possession and use of source or byproduct material to the locations and purposes authorized in the license. Except as otherwise provided in the license, a license issued pursuant to the regulations in this part shall carry with it the right to receive, possess, and use source or byproduct material. Preparation for shipment and transport of source or byproduct material shall be in accordance with the provisions of part 71 of this chapter.\n\n(d) Each license issued pursuant to the regulations in this part shall be deemed to contain the provisions set forth in sections 183b.-d., of the Act, whether or not said provisions are expressly set forth in the license.\n\n(e) The Commission may incorporate in any license at the time of issuance, or thereafter, by appropriate rule, regulation or order, such additional requirements and conditions with respect to the licensee's receipt, possession, use, and transfer of source or byproduct material as it deems appropriate or necessary in order to:\n\n(1) Promote the common defense and security;\n\n(2) Protect health or to minimize danger of life or property;\n\n(3) Protect restricted data;\n\n(4) Require such reports and the keeping of such records, and to provide for such inspections of activities under the license as may be necessary or appropriate to effectuate the purposes of the act and regulations thereunder.\n\n(f)(1) Each licensee shall notify the appropriate NRC Regional Administrator, in writing, immediately following the filing of a voluntary or involuntary petition for bankruptcy under any chapter of title 11 (Bankruptcy) of the United States Code by or against:\n\n(i) The licensee;\n\n(ii) An entity (as that term is defined in 11 U.S.C. 101(14)) controlling the licensee or listing the license or licensee as property of the estate; or\n\n(iii) An affiliate (as that term is defined in 11 U.S.C. 101(2)) of the licensee.\n\n(2) This notification must indicate:\n\n(i) The bankruptcy court in which the petition for bankruptcy was filed; and\n\n(ii) The date of the filing of the petition.\n\n(g) No person may commence operation of a uranium enrichment facility until the Commission verifies through inspection that the facility has been constructed in accordance with the requirements of the license. The Commission shall publish notice of the inspection results in the  Federal Register.\n\n(h) Each licensee shall ensure that Safeguards Information is protected against unauthorized disclosure in accordance with the requirements in \u00a7 73.21 and the requirements of \u00a7 73.22 or \u00a7 73.23 of this chapter, as applicable."], ["10:10:1.0.1.1.29.0.98.33", 10, "Energy", "I", "", "40", "PART 40\u2014DOMESTIC LICENSING OF SOURCE MATERIAL", "", "", "", "\u00a7 40.42 Expiration and termination of licenses and decommissioning of sites and separate buildings or outdoor areas.", "NRC", "", "", "[59 FR 36035, July 15, 1994, as amended at 60 FR 38239, July 26, 1995; 61 FR 1114, Jan. 16, 1996; 61 FR 24674, May 16, 1996; 61 FR 29637, June 12, 1996; 62 FR 39090, July 21, 1997; 66 FR 64738, Dec. 14, 2001; 68 FR 75390, Dec. 31, 2003; 73 FR 42674, July 23, 2008; 81 FR 86909, Dec. 2, 2016]", "(a) Each specific license expires at the end of the day on the expiration date stated in the license unless the licensee has filed an application for renewal under \u00a7 40.43 not less than 30 days before the expiration date stated in the existing license. If an application for renewal has been filed at least 30 days before the expiration date stated in the existing license, the existing license expires at the end of the day on which the Commission makes a final determination to deny the renewal application or, if the determination states an expiration date, the expiration date stated in the determination.\n\n(b) Each specific license revoked by the Commission expires at the end of the day on the date of the Commission's final determination to revoke the license, or on the expiration date stated in the determination, or as otherwise provided by Commission Order.\n\n(c) Each specific license continues in effect, beyond the expiration date if necessary, with respect to possession of source material until the Commission notifies the licensee in writing that the license is terminated. During this time, the licensee shall\u2014\n\n(1) Limit actions involving source material to those related to decommissioning; and\n\n(2) Continue to control entry to restricted areas until they are suitable for release in accordance with NRC requirements;\n\n(d) Within 60 days of the occurrence of any of the following, consistent with the administrative directions in \u00a7 40.5, each licensee shall provide notification to the NRC in writing and either begin decommissioning its site, or any separate building or outdoor area that contains residual radioactivity, so that the building or outdoor area is suitable for release in accordance with NRC requirements, or submit within 12 months of notification a decommissioning plan, if required by paragraph (g)(1) of this section, and begin decommissioning upon approval of that plan if\u2014\n\n(1) The license has expired pursuant to paragraph (a) or (b) of this section; or\n\n(2) The licensee has decided to permanently cease principal activities, as defined in this part, at the entire site or in any separate building or outdoor area; or\n\n(3) No principal activities under the license have been conducted for a period of 24 months; or\n\n(4) No principal activities have been conducted for a period of 24 months in any separate building or outdoor area that contains residual radioactivity such that the building or outdoor area is unsuitable for release in accordance with NRC requirements.\n\n(e) Coincident with the notification required by paragraph (d) of this section, the licensee shall maintain in effect all decommissioning financial assurances established by the licensee pursuant to \u00a7 40.36 in conjunction with a license issuance or renewal or as required by this section. The amount of the financial assurance must be increased, or may be decreased, as appropriate, to cover the detailed cost estimate for decommissioning established pursuant to paragraph (g)(4)(v) of this section.\n\n(1) Any licensee who has not provided financial assurance to cover the detailed cost estimate submitted with the decommissioning plan shall do so when this rule becomes effective November 24, 1995.\n\n(2) Following approval of the decommissioning plan, a licensee may reduce the amount of the financial assurance as decommissioning proceeds and radiological contamination is reduced at the site with the approval of the Commission.\n\n(f) The Commission may grant a request to delay or postpone initiation of the decommissioning process if the Commission determines that such relief is not detrimental to the public health and safety and is otherwise in the public interest. The request must be submitted no later than 30 days before notification pursuant to paragraph (d) of this section. The schedule for decommissioning set forth in paragraph (d) of this section may not commence until the Commission has made a determination on the request.\n\n(g)(1) A decommissioning plan must be submitted if required by license condition or if the procedures and activities necessary to carry out decommissioning of the site or separate building or outdoor area have not been previously approved by the Commission and these procedures could increase potential health and safety impacts to workers or to the public, such as in any of the following cases:\n\n(i) Procedures would involve techniques not applied routinely during cleanup or maintenance operations;\n\n(ii) Workers would be entering areas not normally occupied where surface contamination and radiation levels are significantly higher than routinely encountered during operation;\n\n(iii) Procedures could result in significantly greater airborne concentrations of radioactive materials than are present during operation; or\n\n(iv) Procedures could result in significantly greater releases of radioactive material to the environment than those associated with operation.\n\n(2) The Commission may approve an alternate schedule for submittal of a decommissioning plan required pursuant to paragraph (d) of this section if the Commission determines that the alternative schedule is necessary to the effective conduct of decommissioning operations and presents no undue risk from radiation to the public health and safety and is otherwise in the public interest.\n\n(3) The procedures listed in paragraph (g)(1) of this section may not be carried out prior to approval of the decommissioning plan.\n\n(4) The proposed decommissioning plan for the site or separate building or outdoor area must include:\n\n(i) A description of the conditions of the site or separate building or outdoor area sufficient to evaluate the acceptability of the plan;\n\n(ii) A description of planned decommissioning activities;\n\n(iii) A description of methods used to ensure protection of workers and the environment against radiation hazards during decommissioning;\n\n(iv) A description of the planned final radiation survey; and\n\n(v) An updated detailed cost estimate for decommissioning, comparison of that estimate with present funds set aside for decommissioning, and a plan for assuring the availability of adequate funds for completion of decommissioning.\n\n(vi) For decommissioning plans calling for completion of decommissioning later than 24 months after plan approval, a justification for the delay based on the criteria in paragraph (i) of this section.\n\n(5) The proposed decommissioning plan will be approved by the Commission if the information therein demonstrates that the decommissioning will be completed as soon as practicable and that the health and safety of workers and the public will be adequately protected.\n\n(h)(1) Except as provided in paragraph (i) of this section, licensees shall complete decommissioning of the site or separate building or outdoor area as soon as practicable but no later than 24 months following the initiation of decommissioning.\n\n(2) Except as provided in paragraph (i) of this section, when decommissioning involves the entire site, the licensee shall request license termination as soon as practicable but no later than 24 months following the initiation of decommissioning.\n\n(i) The Commission may approve a request for an alternate schedule for completion of decommissioning of the site or separate building or outdoor area, and license termination if appropriate, if the Commission determines that the alternative is warranted by consideration of the following:\n\n(1) Whether it is technically feasible to complete decommissioning within the allotted 24-month period;\n\n(2) Whether sufficient waste disposal capacity is available to allow completion of decommissioning within the allotted 24-month period;\n\n(3) Whether a significant volume reduction in wastes requiring disposal will be achieved by allowing short-lived radionuclides to decay;\n\n(4) Whether a significant reduction in radiation exposure to workers can be achieved by allowing short-lived radionuclides to decay; and\n\n(5) Other site-specific factors which the Commission may consider appropriate on a case-by-case basis, such as the regulatory requirements of other government agencies, lawsuits, groundwater treatment activities, monitored natural groundwater restoration, actions that could result in more environmental harm than deferred cleanup, and other factors beyond the control of the licensee.\n\n(j) As the final step in decommissioning, the licensee shall\u2014\n\n(1) Certify the disposition of all licensed material, including accumulated wastes, by submitting a completed NRC Form 314 or equivalent information; and\n\n(2) Conduct a radiation survey of the premises where the licensed activities were carried out and submit a report of the results of this survey, unless the licensee demonstrates in some other manner that the premises are suitable for release in accordance with the criteria for decommissioning in 10 CFR part 20, subpart E or, for uranium milling (uranium and thorium recovery) facilities, Criterion 6(6) of Appendix A to this part. The licensee shall, as appropriate\u2014\n\n(i) Report levels of gamma radiation in units of millisieverts (microroentgen) per hour at one meter from surfaces, and report levels of radioactivity, including alpha and beta, in units of megabecquerels (disintegrations per minute or microcuries) per 100 square centimeters removable and fixed for surfaces, megabecquerels (microcuries) per milliliter for water, and becquerels (picocuries) per gram for solids such as soils or concrete; and\n\n(ii) Specify the survey instrument(s) used and certify that each instrument is properly calibrated and tested.\n\n(k) Specific licenses, including expired licenses, will be terminated by written notice to the licensee when the Commission determines that:\n\n(1) Source material has been properly disposed;\n\n(2) Reasonable effort has been made to eliminate residual radioactive contamination, if present; and\n\n(3)(i) A radiation survey has been performed which demonstrates that the premises are suitable for release in accordance with the criteria for decommissioning in 10 CFR part 20, subpart E or, for (uranium and thorium recovery) facilities, Criterion 6(6) of Appendix A to this part; or\n\n(ii) Other information submitted by the licensee is sufficient to demonstrate that the premises are suitable for release in accordance with the criteria for decommissioning in 10 CFR part 20, subpart E or, for uranium milling (uranium and thorium recovery) facilities, Criterion 6(6) of Appendix A to this part.\n\n(4) Records required by \u00a7 40.61 (d) and (f) have been received.\n\n(l) Specific licenses for uranium and thorium milling are exempt from paragraphs (d)(4), (g) and (h) of this section with respect to reclamation of tailings impoundments and/or waste disposal areas."], ["10:10:1.0.1.1.29.0.98.34", 10, "Energy", "I", "", "40", "PART 40\u2014DOMESTIC LICENSING OF SOURCE MATERIAL", "", "", "", "\u00a7 40.43 Renewal of licenses.", "NRC", "", "", "[75 FR 73943, Nov. 30, 2010]", "Application for renewal of a specific license must be filed on NRC Form 313 and in accordance with \u00a7 40.31."], ["10:10:1.0.1.1.29.0.98.35", 10, "Energy", "I", "", "40", "PART 40\u2014DOMESTIC LICENSING OF SOURCE MATERIAL", "", "", "", "\u00a7 40.44 Amendment of licenses at request of licensee.", "NRC", "", "", "[49 FR 19627, May 9, 1984, as amended at 56 FR 40768, Aug. 16, 1991]", "Applications for amendment of a license shall be filed on NRC Form 313 in accordance with \u00a7 40.31 and shall specify the respects in which the licensee desires the license to be amended and the grounds for such amendment."], ["10:10:1.0.1.1.29.0.98.36", 10, "Energy", "I", "", "40", "PART 40\u2014DOMESTIC LICENSING OF SOURCE MATERIAL", "", "", "", "\u00a7 40.45 Commission action on applications to renew or amend.", "NRC", "", "", "[26 FR 284, Jan. 14, 1961, as amended at 43 FR 6924, Feb. 17, 1978]", "In considering an application by a licensee to renew or amend his license the Commission will apply the applicable criteria set forth in \u00a7 40.32."], ["10:10:1.0.1.1.29.0.98.37", 10, "Energy", "I", "", "40", "PART 40\u2014DOMESTIC LICENSING OF SOURCE MATERIAL", "", "", "", "\u00a7 40.46 Inalienability of licenses.", "NRC", "", "", "[26 FR 284, Jan. 14, 1961, as amended at 76 FR 35569, June 17, 2011]", "(a) No license issued or granted pursuant to the regulations in this part shall be transferred, assigned or in any manner disposed of, either voluntarily or involuntarily, directly or indirectly, through transfer of control of any license to any person, unless the Commission shall after securing full information, find that the transfer is in accordance with the provisions of this act, and shall give its consent in writing.\n\n(b) An application for transfer of license must include:\n\n(1) The identity, technical and financial qualifications of the proposed transferee; and\n\n(2) Financial assurance for decommissioning information required by \u00a7 40.36 or Appendix A to this part, as applicable."], ["10:10:1.0.1.1.29.0.99.38", 10, "Energy", "I", "", "40", "PART 40\u2014DOMESTIC LICENSING OF SOURCE MATERIAL", "", "", "", "\u00a7 40.51 Transfer of source or byproduct material.", "NRC", "", "", "[45 FR 65532, Oct. 3, 1980]", "(a) No licensee shall transfer source or byproduct material except as authorized pursuant to this section.\n\n(b) Except as otherwise provided in his license and subject to the provisions of paragraphs (c) and (d) of this section, any licensee may transfer source or byproduct material:\n\n(1) To the Department of Energy;\n\n(2) To the agency in any Agreement State which regulates radioactive materials pursuant to an agreement with the Commission or the Atomic Energy Commission under section 274 of the Act;\n\n(3) To any person exempt from the licensing requirements of the Act and regulations in this part, to the extent permitted under such exemption;\n\n(4) To any person in an Agreement State subject to the jurisdiction of that State who has been exempted from the licensing requirements and regulations of that State, to the extent permitted under such exemptions;\n\n(5) To any person authorized to receive such source or byproduct material under terms of a specific license or a general license or their equivalents issued by the Commission or an Agreement State;\n\n(6) To any person abroad pursuant to an export license issued under part 110 of this chapter; or\n\n(7) As otherwise authorized by the commission in writing.\n\n(c) Before transferring source or byproduct material to a specific licensee of the Commission or an Agreement State or to a general licensee who is required to register with the Commission or with an Agreement State prior to receipt of the source or byproduct material, the licensee transferring the material shall verify that the transferee's license authorizes receipt of the type, form, and quantity of source or byproduct material to be transferred.\n\n(d) The following methods for the verification required by paragraph (c) of this section are acceptable:\n\n(1) The transferor may have in his possession, and read, a current copy of the transferee's specific license or registration certificate;\n\n(2) The transferor may have in his possession a written certification by the transferee that he is authorized by license or registration certificate to receive the type, form, and quantity of source or byproduct material to be transferred, specifying the license or registration certification number, issuing agency and expiration date;\n\n(3) For emergency shipments the transferor may accept oral certification by the transferee that he is authorized by license or registration certificate to receive the type, form, and quantity of source or byproduct material to be transferred, specifying the license or registration certificate number, issuing agency and expiration date:  Provided,  That the oral certification is confirmed in writing within 10 days;\n\n(4) The transferor may obtain other sources of information compiled by a reporting service from official records of the Commission or the licensing agency of an Agreement State as to the identity of licensees and the scope and expiration dates of licenses and registrations; or\n\n(5) When none of the methods of verification described in paragraphs (d)(1) to (4) of this section are readily available or when a transferor desires to verify that information received by one of such methods is correct or up-to-date, the transferor may obtain and record confirmation from the Commission or the licensing agency of an Agreement State that the transferee is licensed to receive the source or byproduct material."], ["10:10:1.0.1.1.29.0.99.39", 10, "Energy", "I", "", "40", "PART 40\u2014DOMESTIC LICENSING OF SOURCE MATERIAL", "", "", "", "\u00a7 40.52 Certain items containing source material; requirements for license to apply or initially transfer.", "NRC", "", "", "[78 FR 32340, May 29, 2013]", "An application for a specific license to apply source material to, incorporate source material into, manufacture, process, or produce the products specified in \u00a7 40.13(c) or to initially transfer for sale or distribution any products containing source material for use under \u00a7 40.13(c) or equivalent provisions of an Agreement State will be approved if:\n\n(a) The applicant satisfies the general requirements specified in \u00a7 40.32. However, the requirements of \u00a7 40.32(b) and (c) do not apply to an application for a license to transfer products manufactured, processed, or produced in accordance with a license issued by an Agreement State or to the import of finished products or parts.\n\n(b) The applicant submits sufficient information regarding the product pertinent to the evaluation of the potential radiation exposures, including:\n\n(1) Chemical and physical form and maximum quantity of source material in each product;\n\n(2) Details of construction and design of each product, if applicable. For coated lenses, this must include a description of manufacturing methods that will ensure that the coatings are unlikely to be removed under the conditions expected to be encountered during handling and use;\n\n(3) For products with applicable quantity or concentration limits, quality control procedures to be followed in the fabrication of production lots of the product and the quality control standards the product will be required to meet;\n\n(4) The proposed method of labeling or marking each unit, and/or its container with the identification of the manufacturer or initial transferor of the product and the source material in the product; and\n\n(5) The means of providing radiation safety precautions and instructions relating to handling, use, and storage of products to be used under \u00a7 40.13(c)(1)(i) and (c)(1)(iii).\n\n(c) Each product will contain no more than the quantity or the concentration of source material specified for that product in \u00a7 40.13(c)."], ["10:10:1.0.1.1.29.0.99.40", 10, "Energy", "I", "", "40", "PART 40\u2014DOMESTIC LICENSING OF SOURCE MATERIAL", "", "", "", "\u00a7 40.53 Conditions for licenses issued for initial transfer of certain items containing source material: Quality control, labeling, and records and reports.", "NRC", "", "", "[78 FR 32340, May 29, 2013]", "(a) Each person licensed under \u00a7 40.52 shall ensure that the quantities or concentrations of source material do not exceed any applicable limit in \u00a7 40.13(c).\n\n(b) Each person licensed under \u00a7 40.52 shall ensure that each product is labeled as provided in the specific exemption under \u00a7 40.13(c) and as required by their license. Those distributing products to be used under \u00a7 40.13(c)(1)(i) and (iii) or equivalent regulations of an Agreement State shall provide radiation safety precautions and instructions relating to handling, use, and storage of these products as specified in the license.\n\n(c)(1) Each person licensed under \u00a7 40.52 shall file a report with the Director, Office of Nuclear Material Safety and Safeguards by an appropriate method listed in \u00a7 40.5(a), including in the address: ATTN: Document Control Desk/Exempt Distribution.\n\n(2) The report must clearly identify the specific licensee submitting the report and include the license number of the specific licensee and indicate that the products are transferred for use under \u00a7 40.13(c), giving the specific paragraph designation, or equivalent regulations of an Agreement State.\n\n(3) The report must include the following information on products transferred to other persons for use under \u00a7 40.13(c) or equivalent regulations of an Agreement State:\n\n(i) A description or identification of the type of each product and the model number(s), if applicable;\n\n(ii) For each type of source material in each type of product and each model number, if applicable, the total quantity of the source material; and\n\n(iii) The number of units of each type of product transferred during the reporting period by model number, if applicable.\n\n(4) The licensee shall file the report, covering the preceding calendar year, on or before January 31 of each year. Licensees who permanently discontinue activities authorized by the license issued under \u00a7 40.52 shall file a report for the current calendar year within 30 days after ceasing distribution.\n\n(5) If no transfers of source material have been made to persons exempt under \u00a7 40.13(c) or the equivalent regulations of an Agreement State, during the reporting period, the report must so indicate.\n\n(6) The licensee shall maintain all information concerning transfers that support the reports required by this section for 1 year after each transfer is included in a report to the Commission."], ["10:10:1.0.1.1.29.0.99.41", 10, "Energy", "I", "", "40", "PART 40\u2014DOMESTIC LICENSING OF SOURCE MATERIAL", "", "", "", "\u00a7 40.54 Requirements for license to initially transfer source material for use under the \u2018small quantities of source material\u2019 general license.", "NRC", "", "", "[78 FR 32340, May 29, 2013]", "An application for a specific license to initially transfer source material for use under \u00a7 40.22, or equivalent regulations of an Agreement State, will be approved if:\n\n(a) The applicant satisfies the general requirements specified in \u00a7 40.32; and\n\n(b) The applicant submits adequate information on, and the Commission approves the methods to be used for quality control, labeling, and providing safety instructions to recipients."], ["10:10:1.0.1.1.29.0.99.42", 10, "Energy", "I", "", "40", "PART 40\u2014DOMESTIC LICENSING OF SOURCE MATERIAL", "", "", "", "\u00a7 40.55 Conditions of licenses to initially transfer source material for use under the \u2018small quantities of source material\u2019 general license: Quality control, labeling, safety instructions, and records and reports.", "NRC", "", "", "[78 FR 32340, May 29, 2013]", "(a) Each person licensed under \u00a7 40.54 shall label the immediate container of each quantity of source material with the type of source material and quantity of material and the words, \u201cradioactive material.\u201d\n\n(b) Each person licensed under \u00a7 40.54 shall ensure that the quantities and concentrations of source material are as labeled and indicated in any transfer records.\n\n(c) Each person licensed under \u00a7 40.54 shall provide the information specified in this paragraph to each person to whom source material is transferred for use under \u00a7 40.22 or equivalent provisions in Agreement State regulations. This information must be transferred before the source material is transferred for the first time in each calendar year to the particular recipient. The required information includes:\n\n(1) A copy of \u00a7\u00a7 40.22 and 40.51, or relevant equivalent regulations of the Agreement State.\n\n(2) Appropriate radiation safety precautions and instructions relating to handling, use, storage, and disposal of the material.\n\n(d) Each person licensed under \u00a7 40.54 shall report transfers as follows:\n\n(1) File a report with the Director, Office of Nuclear Material Safety and Safeguards, U.S. Nuclear Regulatory Commission, Washington, DC 20555. The report shall include the following information:\n\n(i) The name, address, and license number of the person who transferred the source material;\n\n(ii) For each general licensee under \u00a7 40.22 or equivalent Agreement State provisions to whom greater than 50 grams (0.11 lb) of source material has been transferred in a single calendar quarter, the name and address of the general licensee to whom source material is distributed; a responsible agent, by name and/or position and phone number, of the general licensee to whom the material was sent; and the type, physical form, and quantity of source material transferred; and\n\n(iii) The total quantity of each type and physical form of source material transferred in the reporting period to all such generally licensed recipients.\n\n(2) File a report with each responsible Agreement State agency that identifies all persons, operating under provisions equivalent to \u00a7 40.22, to whom greater than 50 grams (0.11 lb) of source material has been transferred within a single calendar quarter. The report shall include the following information specific to those transfers made to the Agreement State being reported to:\n\n(i) The name, address, and license number of the person who transferred the source material; and\n\n(ii) The name and address of the general licensee to whom source material was distributed; a responsible agent, by name and/or position and phone number, of the general licensee to whom the material was sent; and the type, physical form, and quantity of source material transferred.\n\n(iii) The total quantity of each type and physical form of source material transferred in the reporting period to all such generally licensed recipients within the Agreement State.\n\n(3) Submit each report by January 31 of each year covering all transfers for the previous calendar year. If no transfers were made to persons generally licensed under \u00a7 40.22 or equivalent Agreement State provisions during the current period, a report shall be submitted to the Commission indicating so. If no transfers have been made to general licensees in a particular Agreement State during the reporting period, this information shall be reported to the responsible Agreement State agency upon request of the agency.\n\n(e) Each person licensed under \u00a7 40.54 shall maintain all information that supports the reports required by this section concerning each transfer to a general licensee for a period of 1 year after the event is included in a report to the Commission or to an Agreement State agency."], ["10:10:1.0.1.1.29.0.99.43", 10, "Energy", "I", "", "40", "PART 40\u2014DOMESTIC LICENSING OF SOURCE MATERIAL", "", "", "", "\u00a7 40.56 Restrictions on the use of Australian-obligated source material.", "NRC", "", "", "[76 FR 69122, Nov. 8, 2011. Redesignated at 76 FR 78805, Dec. 20, 2011]", "(a) In accordance with Article 8 of the Agreement between the Government of Australia and the Government of the United States of America Concerning Peaceful Uses of Nuclear Energy, dated 2010, Australian-obligated source material shall not be used for military purposes. As used in this section, \u201cmilitary purposes\u201d includes, but is not limited to, the production of tritium for use in nuclear explosive devices; military nuclear propulsion; munitions, including depleted uranium munitions; and other direct military non-nuclear applications. \u201cMilitary purposes\u201d does not include the supply of electricity to a military base from any power network; the production of radioisotopes to be used for medical purposes in military hospitals; and such other similar purposes.\n\n(b) Licensees are prohibited from receiving, processing, transferring, or otherwise using Australian-obligated source material for military purposes."], ["17:17:1.0.1.1.33.0.7.1", 17, "Commodity and Securities Exchanges", "I", "", "40", "PART 40\u2014PROVISIONS COMMON TO REGISTERED ENTITIES", "", "", "", "\u00a7 40.1 Definitions.", "CFTC", "", "", "[89 FR 88622, Nov. 7, 2024]", "As used in this part:\n\nBusiness day  means the intraday period of time starting at 8:15 a.m. and ending at 4:45 p.m. Eastern Standard Time or Eastern Daylight Savings Time, whichever is currently in effect in Washington, DC, on all days except Saturdays, Sundays, and Federal holidays in Washington, DC.\n\nDormant designated contract market  means any designated contract market on which no trading has occurred for a period of 365 days;  provided, however,  no designated contract market shall be considered dormant if its initial and original Commission order of designation was issued within the preceding 1,095 days.\n\nDormant derivatives clearing organization  means any derivatives clearing organization registered pursuant to section 5b of the Act that has not accepted for clearing any agreement, contract or transaction that is required or permitted to be cleared by a derivatives clearing organization under sections 5b(a) and 5b(b) of the Act, respectively, for a period of 365 days;  provided, however,  no derivatives clearing organization shall be considered dormant if its initial and original Commission order of registration was issued within the preceding 1,095 days.\n\nDormant swap data repository  means any registered swap data repository on which no data has resided for a period of 365 days.\n\nDormant swap execution facility  means any swap execution facility on which no trading has occurred for a period of 365 days;  provided, however,  no swap execution facility shall be considered dormant if its initial and original Commission order of registration was issued within the preceding 1,095 days.\n\nEmergency  means any occurrence or circumstance that, in the opinion of the governing board of a registered entity, or a person or persons duly authorized to issue such an opinion on behalf of the governing board of a registered entity under circumstances and pursuant to procedures that are specified by rule, requires immediate action and threatens or may threaten such things as the fair and orderly trading in, or the liquidation of or delivery pursuant to, any agreements, contracts, swaps or transactions or the timely collection and payment of funds in connection with clearing and settlement by a derivatives clearing organization, including:\n\n(1) Any manipulative or attempted manipulative activity;\n\n(2) Any actual, attempted, or threatened corner, squeeze, congestion, or undue concentration of positions;\n\n(3) Any circumstances which may materially affect the performance of agreements, contracts, swaps or transactions, including failure of the payment system or the bankruptcy or insolvency of any participant;\n\n(4) Any action taken by any governmental body, or any other registered entity, board of trade, market or facility which may have a direct impact on trading or clearing and settlement; and\n\n(5) Any other circumstance which may have a severe, adverse effect upon the functioning of a registered entity.\n\nRule  means any constitutional provision, article of incorporation, bylaw, rule, regulation, resolution, interpretation, stated policy, advisory, terms and conditions, trading protocol, margin methodology, agreement or instrument corresponding thereto, including those that authorize a response or establish standards for responding to a specific emergency, and any amendment or addition thereto or repeal thereof, made or issued by a registered entity or by the governing board thereof or any committee thereof, in whatever form adopted.\n\nTerms and conditions  means any definition of the trading unit or the specific commodity underlying a contract for the future delivery of a commodity or commodity option contract, description of the payments to be exchanged under a swap, specification of cash settlement or delivery standards and procedures, and establishment of buyers' and sellers' rights and obligations under the swap or contract. Terms and conditions include provisions relating to the following:\n\n(1) For a contract for the purchase or sale of a commodity for future delivery or an option on such a contract or an option on a commodity (other than a swap):\n\n(i) Quality and other standards that define the commodity or instrument underlying the contract;\n\n(ii) Quantity standards or other provisions related to contract size;\n\n(iii) Any applicable premiums or discounts for delivery of nonpar products;\n\n(iv) Trading hours, trading months and the listing of contracts;\n\n(v) The pricing basis, minimum price fluctuations, and maximum price fluctuations;\n\n(vi) Any price limits, no cancellation ranges, trading halts, or circuit breaker provisions, and procedures for the establishment of daily settlement prices;\n\n(vii) Speculative position limits, position accountability standards, and position reporting requirements, including an indication as to whether the contract meets the definition of a referenced contract as defined in \u00a7 150.1 of this chapter, and if so, the name of either the core referenced futures contract or other referenced contract upon which the new referenced contract submitted under this part is based.\n\n(viii) Delivery points and locational price differentials;\n\n(ix) Delivery standards and procedures, including fees related to delivery or the delivery process; alternatives to delivery and applicable penalties or sanctions for failure to perform;\n\n(x) If cash settled; the definition, composition, calculation and revision of the cash settlement price or index;\n\n(xi) [Reserved];\n\n(xii) Option exercise price, if it is constant, and method for calculating the exercise price, if it is variable;\n\n(xiii) Threshold prices for an option contract, the existence of which is contingent upon those prices; and\n\n(xiv) Any restrictions or requirements for exercising an option; and\n\n(2) For a swap:\n\n(i) Identification of the major group, category, type or class in which the swap falls (such as an interest rate, commodity, credit or equity swap) and of any further sub-group, category, type or class that further describes the swap;\n\n(ii) Notional amounts, quantity standards, or other unit size characteristics;\n\n(iii) Any applicable premiums or discounts for delivery of nonpar products;\n\n(iv) Trading hours and the listing of swaps;\n\n(v) Pricing basis for establishing the payment obligations under, and mark-to-market value of, the swap including, as applicable, the accrual start dates, termination or maturity dates, and, for each leg of the swap, the initial cash flow components, spreads, and points, and the relevant indexes, prices, rates, coupons, or other price reference measures;\n\n(vi) Any price limits, trading halts, or circuit breaker provisions, and procedures for the establishment of daily settlement prices;\n\n(vii) Speculative position limits, position accountability standards, and position reporting requirements, including an indication as to whether the contract meets the definition of economically equivalent swap as defined in \u00a7 150.1 of this chapter, and, if so, the name of either the core referenced futures contract or referenced contract, as applicable, to which the swap submitted under this part is economically equivalent.\n\n(viii) Payment and reset frequency, day count conventions, business calendars, and accrual features;\n\n(ix) If physical delivery applies, delivery standards and procedures, including fees related to delivery or the delivery process, alternatives to delivery and applicable penalties or sanctions for failure to perform;\n\n(x) If cash settled, the definition, composition, calculation and revision of the cash settlement price, and the settlement currency;\n\n(xi) [Reserved]\n\n(xii) Option exercise price, if it is constant, and method for calculating the exercise price, if it is variable;\n\n(xiii) Threshold prices for an option, the existence of which is contingent upon those prices;\n\n(xiv) Any restrictions or requirements for exercising an option; and\n\n(xv) Life cycle events."], ["17:17:1.0.1.1.33.0.7.10", 17, "Commodity and Securities Exchanges", "I", "", "40", "PART 40\u2014PROVISIONS COMMON TO REGISTERED ENTITIES", "", "", "", "\u00a7 40.10 Special certification procedures for submission of rules by systemically important derivatives clearing organizations.", "CFTC", "", "", "[76 FR 44790, July 27, 2011, as amended at 89 FR 88628, Nov. 7, 2024]", "(a)  Advance notice.  A systemically important derivatives clearing organization, as defined in \u00a7 39.2 of this chapter, shall provide notice to the Commission not less than 60 days in advance of any proposed change to its rules, procedures, or operations that could materially affect the nature or level of risks presented by the systemically important derivatives clearing organization. A notice submitted under this section shall be subject to the filing requirements of \u00a7 40.6(a)(1) and the website publication requirements of \u00a7 40.6(a)(2).\n\n(1) The notice of a proposed change shall provide the information required to be submitted under \u00a7 40.6(a)(7) and shall specifically describe:\n\n(i) The nature of the change and expected effects on risks to the systemically important derivatives clearing organization, its clearing members, or the market; and\n\n(ii) How the systemically important derivatives clearing organization plans to manage any identified risks.\n\n(2) Concurrent with providing the Commission with the advance notice or any request or other information related to the advance notice, the systemically important derivatives clearing organization shall provide the Board of Governors of the Federal Reserve System with a copy of such notice, request or other information in the same format and manner as required by the Board of Governors for those designated financial market utilities for which it is the Supervisory Agency pursuant to section 803(8) of the Dodd-Frank Wall Street Reform and Consumer Protection Act.\n\n(3) The systemically important derivatives clearing organization may request that the Commission expedite the review on the grounds that the change would materially decrease risk. The Commission, in its discretion, may expedite the review and, pursuant to paragraph (g) of this section, notify the systemically important derivatives clearing organization in less than 60 days from the date the Commission receives the notice of proposed change in writing that it does not object to the proposed change and authorizes implementation of the change on an earlier date.\n\n(b)  Changes requiring advance notice.  Changes to a systemically important derivatives clearing organization's rules, procedures, or operations that could materially affect the nature or level of risks presented by the systemically important derivatives clearing organization may include, but are not limited to: material changes to its default management plan or default rules or procedures required under \u00a7 39.16 or 39.35 of this chapter, program of risk analysis and oversight required under \u00a7 39.18 of this chapter, or recovery and wind down plans required under \u00a7 39.39 of this chapter; the adoption of a new or materially revised margin methodology; the establishment of a cross-margining program or similar arrangement with another clearing organization; and material changes to its approach to the stress testing required under \u00a7 39.13(h)(3) or 39.36(a) or (c) of this chapter. If a systemically important derivatives clearing organization determines that a proposed change could not materially affect the nature or level of risks it presents and therefore does not file an advance notice, the Commission may determine otherwise and require the systemically important derivatives clearing organization to withdraw the proposed change and provide notice pursuant to this section.\n\n(c)  Further information.  The Commission may require the systemically important derivatives clearing organization to provide any further information necessary to assess the effect the proposed change would have on the nature or level of risks associated with the systemically important derivatives clearing organization's payment, clearing, or settlement activities and the sufficiency of any proposed risk management techniques.\n\n(d)  Notice of objection.  A systemically important derivatives clearing organization shall not implement a change to which the Commission has an objection on the grounds that the proposed change is not consistent with the Act or 17 CFR chapter I, or any applicable rules, orders, or standards prescribed under section 805(a) of the Dodd-Frank Act. The Commission will notify the systemically important derivatives clearing organization in writing of any objection regarding the proposed change within 60 days from the later of:\n\n(1) The date that the notice of the proposed change was received; or\n\n(2) The date the Commission received any further information it had requested for consideration of the notice.\n\n(e)  Implementation of change absent Commission objection.  A systemically important derivatives clearing organization may implement a change if it has not received an objection to the proposed change within 60 days from the later of:\n\n(1) The date that the Commission received the notice of proposed change; or\n\n(2) The date the Commission received any further information it had requested for consideration of the notice.\n\n(f)  Extended review.  The Commission may, during the 60-day review period, extend the review period if the proposed change raises novel or complex issues. A notification by the Commission pursuant to this paragraph will extend the review for an additional 60 days. Any extension under this paragraph will extend the time periods under paragraphs (d) and (e) of this section for an additional 60 days.\n\n(g)  Change allowed earlier if notified of no objection.  A systemically important derivatives clearing organization may implement a change in less than 60 days from the date the Commission receives the notice of proposed change or the date the Commission receives any further information it has requested, if the Commission notifies the systemically important derivatives clearing organization in writing that it does not object to the proposed change and authorizes implementation of the change on an earlier date, subject to any conditions imposed by the Commission.\n\n(h)  Emergency changes.  A systemically important derivatives clearing organization may implement a change that would otherwise require advance notice under this section if it determines that an emergency exists and immediate implementation of the change is necessary for the systemically important derivatives clearing organization to continue to provide its services in a safe and sound manner.\n\n(1) The systemically important derivatives clearing organization shall provide notice of any such emergency change to the Commission as soon as practicable, which shall be no later than 24 hours after implementation of the change.\n\n(2) The notice of an emergency change shall:\n\n(i) Provide the information required for advance notice as set forth in paragraph (a) of this section;\n\n(ii) Describe the nature of the emergency; and\n\n(iii) Describe the reason the change was necessary for the systemically important derivatives clearing organization to continue to provide its services in a safe and sound manner.\n\n(3) The Commission may require modification or rescission of the emergency change if it finds that the change is not consistent with the Act or 17 CFR chapter I, or any applicable rules, orders, or standards prescribed under section 805(a) of the Dodd-Frank Act.\n\n(i) Where in \u00a7\u00a7 39.3(g), 39.4(f), 39.13(i), and 39.15(b)(2) of this chapter a derivatives clearing organization is required to submit rules for approval pursuant to \u00a7 40.5, a systemically important derivatives clearing organization instead shall submit such rules pursuant to this section if the rules could materially affect the nature or level of risks presented by the systemically important derivatives clearing organization."], ["17:17:1.0.1.1.33.0.7.11", 17, "Commodity and Securities Exchanges", "I", "", "40", "PART 40\u2014PROVISIONS COMMON TO REGISTERED ENTITIES", "", "", "", "\u00a7 40.11 Review of event contracts based upon certain excluded commodities.", "CFTC", "", "", "", "(a)  Prohibition.  A registered entity shall not list for trading or accept for clearing on or through the registered entity any of the following:\n\n(1) An agreement, contract, transaction, or swap based upon an excluded commodity, as defined in Section 1a(19)(iv) of the Act, that involves, relates to, or references terrorism, assassination, war, gaming, or an activity that is unlawful under any State or Federal law; or\n\n(2) An agreement, contract, transaction, or swap based upon an excluded commodity, as defined in Section 1a(19)(iv) of the Act, which involves, relates to, or references an activity that is similar to an activity enumerated in \u00a7 40.11(a)(1) of this part, and that the Commission determines, by rule or regulation, to be contrary to the public interest.\n\n(b) [Reserved]\n\n(c)  90-day review and approval of certain event contracts.  The Commission may determine, based upon a review of the terms or conditions of a submission under \u00a7 40.2 or \u00a7 40.3, that an agreement, contract, transaction, or swap based on an excluded commodity, as defined in Section 1a(19)(iv) of the Act, which may involve, relate to, or reference an activity enumerated in \u00a7 40.11(a)(1) or \u00a7 40.11(a)(2), be subject to a 90-day review. The 90-day review shall commence from the date the Commission notifies the registered entity of a potential violation of \u00a7 40.11(a).\n\n(1) The Commission shall request that a registered entity suspend the listing or trading of any agreement, contract, transaction, or swap based on an excluded commodity, as defined in Section 1a(19)(iv) of the Act, which may involve, relate to, or reference an activity enumerated in \u00a7 40.11(a)(1) or \u00a7 40.11(a)(2), during the Commission's 90-day review period. The Commission shall post on the Web site a notification of the intent to carry out a 90-day review.\n\n(2)  Final determination.  The Commission shall issue an order approving or disapproving an agreement, contract, transaction, or swap that is subject to a 90-day review under \u00a7 40.11(c) not later than 90 days subsequent to the date that the Commission commences review, or if applicable, at the conclusion of such extended period agreed to or requested by the registered entity."], ["17:17:1.0.1.1.33.0.7.12", 17, "Commodity and Securities Exchanges", "I", "", "40", "PART 40\u2014PROVISIONS COMMON TO REGISTERED ENTITIES", "", "", "", "\u00a7 40.12 Staying of certification and tolling of review period pending jurisdictional determination.", "CFTC", "", "", "", "(a)  Notice of novel derivative products.  (1) A registered entity certifying, submitting for approval, or otherwise filing a proposal to list, trade, or clear a novel derivative product (other than a product subject to the provisions of \u00a7 1.8 of this chapter) having elements of both a security and a contract for the sale of a commodity for future delivery (or an option on such contract or an option on a commodity) may provide notice of its proposal to the Commission and the Securities and Exchange Commission with a statement that written notice has been provided to both agencies through an appropriate means provided in each Commission's regulations.\n\n(2) If concurrent notice is not provided pursuant to \u00a7 40.12(a)(1), the Commission shall notify the Securities and Exchange Commission of the registered entity's submission of a novel derivative product described in \u00a7 40.12(a)(1) and accompany such notice with a copy of the submission. The Commission shall determine whether a particular submission is a novel derivative product requiring notice to the Securities and Exchange Commission not later than five business days subsequent to the date that the registered entity submits the product for Commission review.\n\n(b)  Tolling of review period.  Upon receipt of a request for a jurisdictional determination, pursuant to Section 718(a)(2) of the Dodd-Frank Act, by the Commission or the Securities and Exchange Commission, the product certification shall be stayed or the approval review period shall be tolled until a final determination order is issued.\n\n(1) The Commission will provide the registered entity with a written notice of stay pending issuance of a final determination order by the Commission or the Securities and Exchange Commission.\n\n(2) The stay shall be withdrawn or the approval review period shall resume upon the Commission's or the Securities and Exchange Commission's issuance of a final determination order finding that the Commission has jurisdiction over the submission.\n\n(3)  Determination order.  A final determination, for purposes of \u00a7 40.12(b) of this part, shall be a determination order issued by the Commission or the Securities and Exchange Commission pursuant to Section 718(a)(3) of the Dodd-Frank Act.\n\n(c)  Judicial review of determination order.  The filing of a petition by a complaining Commission, pursuant to Section 718(b) of the Dodd-Frank Act, shall operate as a stay of the agency order.\n\n(1) The stay shall remain in effect until the date on which the United States Court of Appeals for the District of Columbia Circuit issues a final determination pursuant to Section 718(b)(4) of the Dodd-Frank Act, or until such date that there is a final disposition of an appeal of that determination.\n\n(2) The submission review period shall resume upon issuance of a final determination, as described in \u00a7 40.12(c)(1), that the Commission has jurisdiction over the submission."], ["17:17:1.0.1.1.33.0.7.2", 17, "Commodity and Securities Exchanges", "I", "", "40", "PART 40\u2014PROVISIONS COMMON TO REGISTERED ENTITIES", "", "", "", "\u00a7 40.2 Listing products for trading by certification.", "CFTC", "", "", "[76 FR 44790, July 27, 2011, as amended at 89 FR 88623, Nov. 7, 2024; 89 FR 96897, Dec. 6, 2024]", "(a)  Submission requirements.  A designated contract market or a swap execution facility must comply with the submission requirements of this section prior to listing a product for trading that has not been approved under \u00a7 40.3. A submission shall comply with the following conditions:\n\n(1) The designated contract market or the swap execution facility has filed its submission electronically in a format and manner specified by the Commission;\n\n(2) The Commission has received the submission by the open of business on the business day preceding the product's listing; and\n\n(3) The submission includes:\n\n(i) The information required by appendix D to this part;\n\n(ii) A copy of the rules that set forth the contract's terms and conditions;\n\n(iii) The intended listing date;\n\n(iv) A certification by the designated contract market or the swap execution facility that the product to be listed complies with the Act and Commission regulations thereunder;\n\n(v) A concise explanation and analysis that is complete with respect to the product's terms and conditions, the underlying commodity, and the product's compliance with applicable provisions of the Act, including core principles, and the Commission's regulations thereunder. This explanation and analysis shall either be accompanied by the documentation relied upon to establish the basis for compliance with applicable law, or incorporate information contained in such documentation, with appropriate citations to data sources;\n\n(vi) A certification that the registered entity posted a notice of a pending product certification with the Commission and a copy of the submission, concurrent with the filing of a submission with the Commission, on the registered entity's website. Information that the registered entity seeks to keep confidential may be redacted from the documents published on the registered entity's website but must be republished consistent with any determination made pursuant to \u00a7 40.8(c)(4); and\n\n(vii) A request for confidential treatment, if appropriate, as permitted under \u00a7 40.8.\n\n(b)  Additional information.  If requested by Commission staff, a registered entity shall provide any additional evidence, information or data that demonstrates that the contract meets, initially or on a continuing basis, the requirements of the Act or the Commission's regulations or policies thereunder.\n\n(c)  Stay.  The Commission may stay the listing of a contract pursuant to paragraph (a) of this section during the pendency of Commission proceedings for filing a false certification or during the pendency of a petition to alter or amend the contract terms and conditions pursuant to Section 8a(7) of the Act. The decision to stay the listing of a contract in such circumstances shall not be delegable to any employee of the Commission.\n\n(d)  Class certification of swaps.  (1) A designated contract market or swap execution facility may list or facilitate trading in any swap or number of swaps based upon an \u201cexcluded commodity,\u201d as defined in section 1a(19)(i) of the Act, not including any security, security index, and currency other than the United States Dollar and a \u201cmajor foreign currency,\u201d as defined in \u00a7 15.03(a) of this chapter, or an \u201cexcluded commodity,\u201d as defined in section 1a(19)(ii)-(iv) of the Act, provided the designated contract market or swap execution facility certifies, under paragraphs (a)(1) and (2) and (a)(3)(i), (iv), and (vi) of this section, the following:\n\n(i) Each particular swap within the certified class of swaps is based upon an excluded commodity specified in paragraph (d)(1) of this section;\n\n(ii) Each particular swap within the certified class of swaps is based upon an excluded commodity with an identical pricing source, formula, procedure, and methodology for calculating reference prices and payment obligations;\n\n(iii) The pricing source, formula, procedure, and methodology for calculating reference prices and payment obligations in each particular swap within the certified class of swaps is identical to a pricing source, formula, procedure, and methodology for calculating reference prices and payment obligations in a product previously submitted to the Commission and certified or approved pursuant to this section or \u00a7 40.3; and\n\n(iv) Each particular swap within the certified class of swaps is based upon an excluded commodity involving an identical currency or identical currencies.\n\n(2) The Commission may in its discretion require a registered entity to withdraw its certification under paragraph (d)(1) of this section and to submit each individual swap or certain individual swaps within the submission for Commission review pursuant to this section or \u00a7 40.3."], ["17:17:1.0.1.1.33.0.7.3", 17, "Commodity and Securities Exchanges", "I", "", "40", "PART 40\u2014PROVISIONS COMMON TO REGISTERED ENTITIES", "", "", "", "\u00a7 40.3 Voluntary submission of new products for Commission review and approval.", "CFTC", "", "", "[76 FR 44790, July 27, 2011, as amended at 89 FR 88623, Nov. 7, 2024]", "(a)  Request for approval.  Pursuant to section 5c(c) of the Act, a designated contract market, a swap execution facility, or a derivatives clearing organization may request that the Commission approve a new product prior to listing the product for trading or accepting the product for clearing, or if a product was initially submitted under \u00a7 40.2 or \u00a7 39.5 of this chapter, subsequent to listing the product for trading or accepting the product for clearing. A submission requesting approval shall:\n\n(1) Be filed electronically in a format and manner specified by the Commission;\n\n(2) Include the information required by appendix D to this part;\n\n(3) Include a copy of the rules that set forth the contract's terms and conditions;\n\n(4) Include an explanation and analysis that is complete with respect to the product's terms and conditions, the underlying commodity, and the product's compliance with applicable provisions of the Act, including core principles, and the Commission's regulations thereunder. This explanation and analysis shall either be accompanied by the documentation relied upon to establish the basis for compliance with the applicable law, or incorporate information contained in such documentation, with appropriate citations to data sources;\n\n(5) Describe any agreements or contracts entered into with other parties that enable the registered entity to carry out its responsibilities;\n\n(6) Include the certifications required in \u00a7 41.22 for product approval of a commodity that is a security future or a security futures product as defined in Sections 1a(44) or 1a(45) of the Act, respectively;\n\n(7) Include, if appropriate, a request for confidential treatment as permitted under \u00a7 40.8;\n\n(8) Include the filing fee required under appendix A to this part;\n\n(9) Certify that the registered entity posted a notice of its request for Commission approval of the new product and a copy of the submission, concurrent with the filing of a submission with the Commission, on the registered entity's website. Information the registered entity seeks to keep confidential may be redacted from the documents published on the registered entity's website but must be republished consistent with any determination made pursuant to \u00a7 40.8(c)(4); and\n\n(10) Include, if requested by Commission staff, additional evidence, information or data demonstrating that the contract meets, initially or on a continuing basis, the requirements of the Act, or other requirement for designation or registration under the Act, or the Commission's regulations or policies thereunder. The registered entity shall submit the requested information by the time specified by Commission staff, or at the conclusion of any extended period agreed to by Commission staff after timely receipt of a written request from the registered entity.\n\n(b)  Standard for review and approval.  The Commission shall approve a new product unless the terms and conditions of the product violate the Act or the Commission's regulations.\n\n(c)  Commission review.  (1) All products submitted for Commission approval pursuant to, and in compliance with the submission requirements of, paragraph (a) of this section shall be subject to review by the Commission for a period of 45 days after receipt by the Commission.\n\n(2) The Commission may extend the initial 45-day review period for up to an additional 45 days if the product raises novel or complex issues that require additional time to analyze, the submission is incomplete or the requestor does not respond completely to Commission questions in a timely manner, in which case the Commission shall notify the submitting registered entity within the initial 45-day review period and shall briefly describe the nature of the specific issues for which additional time for review shall be required.\n\n(3) At any time during its review of a proposed product under this section, the Commission may extend the review period for any period of time to which the registered entity agrees in writing.\n\n(4) Any amendment or supplementation made by the registered entity to the submission will be treated as the filing of a new submission under this section and be subject to the initial 45-day review period in accordance with paragraph (c)(1) of this section, unless the amendment or supplementation is requested by the Commission or is made for correction of typographical errors, renumbering or other non-substantive revisions.\n\n(5) If the review period described in paragraph (c)(1) of this section would end on a day that is not a business day, such review period shall instead be extended to end on the next business day.\n\n(d)  Commission Determination \u2014(1)  Approval.  Any product submitted for Commission approval in compliance with paragraph (a) of this section shall be deemed approved by the Commission under section 5c(c) of the Act at the conclusion of the applicable review period under paragraph (c) of this section, unless the Commission issues a notice of non-approval to the registered entity under paragraph (d)(2) of this section within the applicable review period.\n\n(2)  Notice of non-approval.  Any time during its review under this section, the Commission may notify the registered entity that it will not, or is unable to, approve the new product. This notification will briefly specify the nature of the issues raised and the specific provision of the Act or the Commission's regulations, including the form or content requirements of this section, with which the new product is inconsistent or appears to be inconsistent with the Act or the Commission's regulations.\n\n(e)  Effect of non-approval.  (1) Notification to a registered entity under paragraph (d)(2) of this section of the Commission's determination not to approve a product does not prevent the entity from subsequently submitting a revised version of the product for Commission approval, or from submitting the product as initially proposed, in a supplemented submission; the revised or supplemented submission will be reviewed without prejudice.\n\n(2) Notification to a registered entity under paragraph (d)(2) of this section of the Commission's determination not to approve a product shall be presumptive evidence that the entity may not truthfully certify under \u00a7 40.2 that the same, or substantially the same, product complies with the Act and the Commission's regulations thereunder."], ["17:17:1.0.1.1.33.0.7.4", 17, "Commodity and Securities Exchanges", "I", "", "40", "PART 40\u2014PROVISIONS COMMON TO REGISTERED ENTITIES", "", "", "", "\u00a7 40.4 Amendments to terms or conditions of enumerated agricultural products.", "CFTC", "", "", "[89 FR 88624, Nov. 7, 2024]", "(a) Notwithstanding the provisions of this part, a designated contract market must submit for Commission approval under the procedures of \u00a7 40.5, prior to its implementation, any rule that, for a delivery month having open interest, would materially change a product's term or condition, as defined in \u00a7 40.1, of a contract for future delivery in an agricultural commodity enumerated in section 1a(9) of the Act, or of an option on such a contract or commodity.\n\n(b) The following rules or rule amendments are not material and are not required by this section to be submitted for Commission approval under the procedures of \u00a7 40.5:\n\n(1) Rules or rule amendments that are enumerated in \u00a7 40.6(d)(2) may be implemented without prior approval or certification, provided that they are implemented pursuant to the notification procedures of \u00a7 40.6(d);\n\n(2) Rules or rule amendments that are enumerated in \u00a7 40.6(e)(2) may be implemented without prior approval or certification or notification as permitted pursuant to \u00a7 40.6(e);\n\n(3) Rules or rule amendments governing trading hours may be implemented without prior approval, provided that they are implemented pursuant to the procedures of sect; 40.6(a);\n\n(4) Rules or rule amendments that are required to comply with a binding order of a court of competent jurisdiction, or a rule, regulation or order of the Commission or of another Federal regulatory authority, may be implemented without prior approval, provided that they are implemented pursuant to the procedures of \u00a7 40.6(a); or\n\n(5) Any rule or rule amendment:\n\n(i) The text of which has been submitted pursuant to the procedures of paragraph (b)(5) of this section and \u00a7 40.6(a) at least ten business days prior to its implementation and that has been labeled \u201cNon-Material Agricultural Rule Change;\u201d\n\n(ii) For which the designated contract market has provided an explanation as to why it considers the rule \u201cnon-material,\u201d and any other information that may be beneficial to the Commission in analyzing the merits of the entity's claim of non-materiality including, if applicable, a copy of a previously approved rule or rule amendment that is, in substance, the same as the non-material rule or rule amendment; and\n\n(iii) With respect to which the Commission has not notified the contract market during the review period that the rule appears to require or does require prior approval under this section."], ["17:17:1.0.1.1.33.0.7.5", 17, "Commodity and Securities Exchanges", "I", "", "40", "PART 40\u2014PROVISIONS COMMON TO REGISTERED ENTITIES", "", "", "", "\u00a7 40.5 Voluntary submission of rules for Commission review and approval.", "CFTC", "", "", "[76 FR 44790, July 27, 2011, as amended at 89 FR 88625, Nov. 7, 2024; 89 FR 96897, Dec. 6, 2024]", "(a)  Request for approval of rules.  Pursuant to section 5c(c) of the Act, a registered entity may request that the Commission approve a new rule or rule amendment prior to implementation of the rule, or if the rule or rule amendment was initially submitted under \u00a7 40.2 or 40.6, subsequent to implementation of the rule. A request for approval shall:\n\n(1) Be filed electronically in a format and manner specified by the Commission;\n\n(2) Include the information required by appendix D to this part;\n\n(3) Set forth the text of the rule or rule amendment (in the case of a rule amendment, deletions and additions must be indicated);\n\n(4) Describe the proposed effective date of the rule or rule amendment and any action taken or anticipated to be taken to adopt the proposed rule by the registered entity or by its governing board or by any committee thereof, and cite the rules of the entity that authorize the adoption of the proposed rule;\n\n(5) Provide an explanation and analysis that is complete with respect to the operation, purpose, and effect of the proposed rule or rule amendment and its compliance with applicable provisions of the Act, including core principles, and the Commission's regulations thereunder, including, as applicable, a description of the anticipated benefits to market participants or others, any potential anticompetitive effects on market participants or others, and how the rule fits into the registered entity's framework of self-regulation;\n\n(6) Certify that the registered entity posted a notice of its request for Commission approval of the new rule or rule amendment and a copy of the submission, concurrent with the filing of a submission with the Commission, on the registered entity's website. Information the registered entity seeks to keep confidential may be redacted from the documents published on the registered entity's website but must be republished consistent with any determination made pursuant to \u00a7 40.8(c)(4);\n\n(7) Provide additional information which may be beneficial to the Commission in analyzing the new rule or rule amendment. If a proposed rule affects, directly or indirectly, the application of any other rule of the registered entity, the pertinent text of any such rule must be set forth and the anticipated effect described;\n\n(8) Provide a brief explanation of any substantive opposing views expressed to the registered entity by governing board or committee members, members of the entity or market participants that were not incorporated into the rule, or a statement that no such opposing views were expressed;\n\n(9) Identify any Commission regulation that the Commission may need to amend, or sections of the Act or the Commission's regulations that the Commission may need to interpret, in order to approve the new rule or rule amendment. To the extent that such an amendment or interpretation is necessary to accommodate a new rule or rule amendment, the submission should include a reasoned analysis supporting the amendment to the Commission's regulation or the interpretation; and\n\n(10) As appropriate, include a request for confidential treatment as permitted under the procedures of \u00a7 40.8.\n\n(b)  Standard for review and approval.  The Commission shall approve a new rule or rule amendment unless the rule or rule amendment is inconsistent with the Act or the Commission's regulations.\n\n(c)  Commission review.  (1) Any rule submitted for Commission approval pursuant to, and in compliance with the submission requirements of, paragraph (a) of this section shall be subject to review by the Commission for a period of 45 days after receipt by the Commission.\n\n(2) The Commission may extend the initial 45-day review period for up to an additional 45 days if the proposed rule raises novel or complex issues that require additional time for review or is of major economic significance, the submission is incomplete or the requestor does not respond completely to Commission questions in a timely manner, in which case the Commission shall notify the submitting registered entity within the initial 45-day review period and shall briefly describe the nature of the specific issues for which additional time for review shall be required.\n\n(3) At any time during its review of a proposed rule under this section, the Commission may extend the review period for any period of time to which the registered entity agrees in writing.\n\n(4) Any amendment or supplementation made by the registered entity to the submission will be treated as the filing of a new submission under this section and be subject to the initial 45-day review period in accordance with paragraph (c)(1) of this section, unless the amendment or supplementation is requested by the Commission or is made for correction of typographical errors, renumbering or other non-substantive revisions.\n\n(5) If a rule or rule amendment that is submitted for Commission approval under paragraph (a) of this section is also submitted and labeled as a \u201cNon-Material Agricultural Rule Change\u201d in accordance with \u00a7 40.4(b)(5), the Commission shall commence the 45-day review period in paragraph (c)(1) of this section ten business days after receiving the submission.\n\n(6) If the review period described in paragraph (c)(1) of this section would end on a day that is not a business day, such review period shall instead be extended to end on the next business day.\n\n(d)  Commission determination \u2014(1)  Approval.  Any rule submitted for Commission approval in compliance with paragraph (a) of this section shall be deemed approved by the Commission under section 5c(c) of the Act at the conclusion of the applicable review period under paragraph (c) of this section, unless the Commission issues a notice of non-approval to the registered entity under paragraph (d)(3) of this section within the applicable review period.\n\n(2)  Expedited approval.  Notwithstanding the provisions of paragraph (c) of this section, a proposed rule or rule amendment, including changes to terms and conditions of a product that are consistent with the Act and Commission regulations, may be approved by the Commission at such time and under such conditions as the Commission shall specify in a written notification.\n\n(3)  Notice of non-approval.  Any time during its review under this section, the Commission may notify the registered entity that it will not, or is unable to, approve the new rule or rule amendment. This notification will briefly specify the nature of the issues raised and the specific provision of the Act or the Commission's regulations, including the form or content requirements of this section, with which the new rule or rule amendment is inconsistent or appears to be inconsistent with the Act or the Commission's regulations.\n\n(e)  Effect of non-approval.  (1) Notification to a registered entity under paragraph (d)(3) of this section of the Commission's determination not to approve a new rule or rule amendment does not prevent the registered entity from subsequently submitting a revised version of the proposed rule or rule amendment for Commission review and approval, or from submitting the new rule or rule amendment as initially proposed, in a supplemented submission; the revised or supplemented submission will be reviewed without prejudice.\n\n(2) Notification to a registered entity under paragraph (d)(3) of this section of the Commission's determination not to approve a proposed rule or rule amendment of a registered entity shall be presumptive evidence that the entity may not truthfully certify under \u00a7 40.6 that the same, or substantially the same, proposed rule or rule amendment complies with the Act and 17 CFR chapter I."], ["17:17:1.0.1.1.33.0.7.6", 17, "Commodity and Securities Exchanges", "I", "", "40", "PART 40\u2014PROVISIONS COMMON TO REGISTERED ENTITIES", "", "", "", "\u00a7 40.6 Self-certification of rules.", "CFTC", "", "", "[76 FR 44790, July 27, 2011, as amended at 76 FR 45666, Aug. 1, 2011; 89 FR 88626, Nov. 7, 2024]", "(a)  Submission requirements.  A registered entity shall comply with the certification and submission requirements of this section prior to implementing any rule that has not obtained Commission approval under \u00a7 40.5, or that is submitted under \u00a7 40.10, except as otherwise provided by \u00a7 40.10(a). A submission shall comply with the following conditions:\n\n(1) The registered entity has filed its submission electronically in a format and manner specified by the Commission.\n\n(2) The registered entity has provided a certification that the registered entity posted a notice of pending certification with the Commission and a copy of the submission, concurrent with the filing of a submission with the Commission, on the registered entity's website. Information that the registered entity seeks to keep confidential may be redacted from the documents published on the registered entity's website but it must be republished consistent with any determination made pursuant to \u00a7 40.8(c)(4).\n\n(3) The Commission has received the submission not later than the open of business on the business day that is 10 business days prior to the registered entity's implementation of the rule or rule amendment.\n\n(4) The Commission has not stayed the submission pursuant to \u00a7 40.6(c).\n\n(5) The rule or rule amendment is not a rule or rule amendment of a designated contract market that materially changes a term or condition of a contract for future delivery of an agricultural commodity enumerated in section 1a(9) of the Act or an option on such a contract or commodity in a delivery month having open interest.\n\n(6) Rule certifications implemented in response to an emergency.\n\n(i) Rules or rule amendments implemented under procedures of the governing board to respond to an emergency as defined in \u00a7 40.1, shall, if practicable, be filed with the Commission prior to the implementation or, if not practicable, be filed with the Commission at the earliest possible time after implementation, but in no event more than twenty-four hours after implementation. Such rules shall be subject to the review and stay provisions of paragraphs (b) and (c) of this section.\n\n(ii) New rules or rule amendments that establish standards for responding to an emergency must be submitted pursuant to paragraph (a) of this section or may be submitted pursuant to \u00a7 40.5.\n\n(7) The rule submission shall include:\n\n(i) The information required by appendix D to this part (\u201cEmergency Rule Certification\u201d should be noted in the Description section in the case of a rule or rule amendment that responds to an emergency);\n\n(ii) The text of the rule (in the case of a rule amendment, deletions and additions must be indicated);\n\n(iii) The date of intended implementation;\n\n(iv) A certification by the registered entity that the rule complies with the Act and the Commission's regulations thereunder;\n\n(v) A concise explanation and analysis that is complete with respect to the operation, purpose, and effect of the proposed rule or rule amendment and its compliance with applicable provisions of the Act, including core principles, and the Commission's regulations thereunder;\n\n(vi) A brief explanation of any substantive opposing views expressed to the registered entity by governing board or committee members, members of the entity or market participants, that were not incorporated into the rule, or a statement that no such opposing views were expressed; and\n\n(vii) As appropriate, a request for confidential treatment pursuant to the procedures provided in \u00a7 40.8;\n\n(8) The registered entity shall provide, if requested by Commission staff, additional evidence, information or data that may be beneficial to the Commission in conducting a due diligence assessment of the filing and the registered entity's compliance with any of the requirements of the Act or the Commission's regulations or policies thereunder; and\n\n(9) Notwithstanding the 10 business day filing requirement of paragraphs (a)(3) and (b)(1) of this section, a registered entity may file a submission and certification of a new rule or a rule amendment that delists, or withdraws the certification of, a product that has no open interest and may make the delisting or withdrawal of the product with no open interest effective immediately upon filing the submission, provided that the submission is made in compliance with paragraphs (a)(1), (2) and (7) of this section.\n\n(b)  Review by the Commission.  (1) The Commission shall have 10 business days to review the new rule or rule amendment before the new rule or rule amendment is deemed certified and can be made effective, unless the Commission notifies the registered entity during the 10-business day review period that it intends to issue a stay of the certification under paragraph (c) of this section.\n\n(2) Any amendment or supplementation made by the registered entity to the submission will be treated as the filing of a new submission under this section and be subject to the initial 10-business day review period in accordance with paragraph (b)(1) of this section, unless the amendment or supplementation is requested by the Commission or is made for correction of typographical errors, renumbering or other non-substantive revisions.\n\n(c)  Stay \u2014(1)  Stay of certification of new rule or rule amendment.  The Commission may stay the certification of a new rule or rule amendment submitted pursuant to paragraph (a) of this section by issuing a notification informing the registered entity that the Commission is staying the certification of the rule or rule amendment on the grounds that the rule or rule amendment presents novel or complex issues that require additional time to analyze, the rule or rule amendment is accompanied by an inadequate explanation or the rule or rule amendment is potentially inconsistent with the Act or the Commission's regulations thereunder. The Commission will have an additional 90 days from the date of the notification to conduct the review. The decision to stay the certification of a rule in such circumstances shall be delegable pursuant to \u00a7 40.7 of this part.\n\n(2)  Public comment.  The Commission shall provide a 30-day comment period within the 90-day period in which the stay is in effect as described in paragraph (c)(1) of this section. The Commission shall publish a notice of the 30-day comment period on the Commission website. Comments from the public shall be submitted as specified in that notice.\n\n(3)  Expiration of a stay of certification of new rule or rule amendment.  A new rule or rule amendment subject to a stay pursuant to this paragraph (c)(3) shall become effective and can be implemented, pursuant to the certification, at the expiration of the 90-day review period described in paragraph (c)(1) of this section unless the Commission withdraws the stay prior to that time, or the Commission notifies the registered entity during the 90-day time period that it objects to the certification on the grounds that the proposed rule or rule amendment is inconsistent with the Act or 17 CFR chapter I.\n\n(4)  Stay of effectiveness of rules or rule amendments already implemented.  The Commission may stay the effectiveness of an implemented rule during the pendency of Commission proceedings for filing a false certification or during the pendency of a petition to alter or amend the rule pursuant to section 8a(7) of the Act. The decision to stay the effectiveness of a rule in such circumstances shall not be delegable to any employee of the Commission.\n\n(5)  Effect of objection.  (i) Notification to a registered entity under paragraph (c) of this section of the Commission's objection to a certification by a registered entity on the grounds that the proposed rule or rule amendment is inconsistent with the Act or the Commission's regulations does not prevent the registered entity from subsequently submitting a revised version of the proposed rule or rule amendment for certification or Commission review and approval, or from submitting the new rule or rule amendment as initially proposed, in a supplemented submission; the revised or supplemented submission will be reviewed without prejudice.\n\n(ii) Notification to a registered entity under paragraph (c) of this section of the Commission's objection to a certification by a registered entity shall be presumptive evidence that the entity may not truthfully certify under this part that the same, or substantially the same, proposed rule or rule amendment complies with the Act and the Commission's regulations thereunder.\n\n(d)  Notification of rule amendments.  Notwithstanding the rule certification requirement of Section 5c(c)(1) of the Act and paragraph (a) of this section, a registered entity may place the following rules or rule amendments into effect without certification to the Commission if the following conditions are met:\n\n(1) The registered entity provides to the Commission at least weekly a summary notice of all rule amendments made effective pursuant to this paragraph (d)(1) during the preceding week. Such notice must be labeled \u201cWeekly Notification of Rule Amendments\u201d and need not be filed for weeks during which no such actions have been taken. One copy of each such submission shall be furnished electronically in a format and manner specified by the Commission; and\n\n(2) The rule governs:\n\n(i)  Non-substantive revisions.  Corrections of typographical errors, renumbering, periodic routine updates to identifying information about registered entities and other such non-substantive revisions of a product's terms and conditions that have no effect on the economic characteristics of the product;\n\n(ii)  Delivery standards set by third parties.  Changes to grades or standards of commodities deliverable on a product that are established by an independent third party and that are incorporated by reference as product terms, provided that the grade or standard is not established, selected or calculated solely for use in connection with futures or option trading and such changes do not affect deliverable supplies or the pricing basis for the product;\n\n(iii)  Index products.  Routine changes in the composition, computation, or method of selection of component entities of an index (other than routine changes to securities indexes to the extent that such changes are not described in paragraph (e)(2)(vi) of this section) referenced and defined in the product's terms, that do not affect the pricing basis of the index, which are made by an independent third party whose business relates to the collection or dissemination of price information and which was not formed solely for the purpose of compiling an index for use in connection with a futures or option product;\n\n(iv)  Option contract terms.  Changes to option contract rules, which may qualify for implementation without notice pursuant to paragraph (e)(2)(vii) of this section, relating to the strike price listing procedures, strike price intervals, and the listing of strike prices on a discretionary basis;\n\n(v)  Fees.  Fees or fee changes, other than fees or fee changes associated with market making or trading incentive programs, that:\n\n(A) Total $1.00 or more per contract, and\n\n(B) Are established by an independent third party or are unrelated to delivery, trading, clearing or dispute resolution.\n\n(vi)  Survey lists.  Changes to lists of banks, brokers, dealers, or other entities that provide price or cash market information to an independent third party and that are incorporated by reference as product terms;\n\n(vii)  Approved brands.  Changes in lists of approved brands or markings pursuant to previously certified or Commission approved standards or criteria;\n\n(viii)  Delivery facilities and delivery service providers.  Changes in lists of approved delivery facilities and delivery service providers (including weigh masters, assayers, and inspectors) at a delivery location, pursuant to previously certified or Commission approved standards or criteria;\n\n(ix)  Trading months.  The initial listing of trading months, or an amendment to existing trading months, which may qualify for implementation without notice pursuant to paragraph (e)(2)(viii) of this section, within the currently established cycle of trading months;\n\n(x)  Minimum tick.  Reductions in the minimum price fluctuation (or \u201ctick\u201d).\n\n(xi)  Contact information.  Updates of email addresses or other contact information that market participants use to submit block trades;\n\n(xii)  Changes to no cancellation ranges.  For a contract for the purchase or sale of a commodity for future delivery or an option on such a contract or an option on a commodity (other than a swap), changes to no cancellation ranges (which are the price ranges within which a trade will not be cancelled); or\n\n(xiii)  Option premiums or margins.  For a contract for the purchase or sale of a commodity for future delivery or an option on such a contract or an option on a commodity (other than a swap), payment or collection of commodity options premiums or margins; or for a swap, payment or collection of option premiums or margins.\n\n(e)  Notification of rule amendments not required.  Notwithstanding the rule certification requirements of section 5c(c)(1) of the Act and paragraph (a) of this section, a registered entity may place the following rules or rule amendments into effect without certification or notice to the Commission if the following conditions are met:\n\n(1) The registered entity maintains documentation regarding all changes to rules; and\n\n(2) The rule governs:\n\n(i)  Transfer of membership or ownership.  Procedures and forms for the purchase, sale or transfer of membership or ownership, but not including qualifications for membership or ownership, any right or obligation of membership or ownership or dues or assessments;\n\n(ii)  Administrative procedures.  The organization and administrative procedures of a registered entity governing bodies such as a Board of Directors, Officers and Committees, but not voting requirements, Board of Directors or Committee composition requirements or procedures, decision making procedures, use or disclosure of material non-public information gained through the performance of official duties, or requirements relating to conflicts of interest;\n\n(iii)  Administration.  The routine, daily administration, direction and control of employees, requirements relating to gratuity and similar funds, but not guaranty, reserves, or similar funds; declaration of holidays, and changes to facilities housing the market, trading floor or trading area;\n\n(iv)  Standards of decorum.  Standards of decorum or attire or similar provisions relating to admission to the floor, badges, or visitors, but not the establishment of penalties for violations of such rules; and\n\n(v)  Fees.  Fees or fee changes, other than fees or fee changes associated with market making or trading incentive programs, that:\n\n(A) Are less than $1.00 per contract; or\n\n(B) Relate to matters such as dues, badges, telecommunication services, booth space, real time quotations, historical information, publications, software licenses or other matters that are administrative in nature.\n\n(vi)  Securities indexes.  Routine changes to the composition, computation or method of security selection of an index that is referenced and defined in the product's rules, and which is made by an independent third party.\n\n(vii)  Option contract terms.  For registered entities that are in compliance with the daily reporting requirements of \u00a7 16.01 of this chapter, changes to option contract rules relating to the strike price listing procedures, strike price intervals, and the listing of strike prices on a discretionary basis.\n\n(viii)  Trading months.  For registered entities that are in compliance with the daily reporting requirements of \u00a7 16.01 of this chapter, the initial listing of trading months which are within the currently established cycle of trading months."], ["17:17:1.0.1.1.33.0.7.7", 17, "Commodity and Securities Exchanges", "I", "", "40", "PART 40\u2014PROVISIONS COMMON TO REGISTERED ENTITIES", "", "", "", "\u00a7 40.7 Delegations.", "CFTC", "", "", "[76 FR 44790, July 27, 2011, as amended at 78 FR 22419, Apr. 16, 2013; 89 FR 88628, Nov. 7, 2024]", "(a)  Procedural matters.  (1) The Commission hereby delegates, until it orders otherwise, to the Director of the Division of Clearing and Risk and, separately, to the Director of the Division of Market Oversight, to be exercised by either Director, as appropriate, or by such employees of the Commission that either Director may designate from time to time, the following authorities, with the concurrence of the General Counsel or the General Counsel's delegate:\n\n(i) To request, pursuant to \u00a7 40.3(c)(2) or \u00a7 40.5(c)(1)(ii) of this part, that the registered entity requesting approval amend the proposed product, rule or rule amendment, or supplement the submission to the Commission;\n\n(ii) To notify the registered entity, pursuant to \u00a7 40.3(e) or \u00a7 40.5(e) of this part, that the Commission is not approving, or is unable to approve, the proposed product, rule or rule amendment;\n\n(iii) To make all determinations reserved to the Commission in \u00a7 40.10.\n\n(2) The Commission hereby delegates, until it orders otherwise, to the Director of the Division of Clearing and Risk and, separately, to the Director of the Division of Market Oversight, to be exercised by either Director, as appropriate, or by such employees of the Commission that either Director may designate from time to time, the following authorities, after consultation with the Office of General Counsel or the General Counsel's delegate to notify a registered entity:\n\n(i) Pursuant to \u00a7 40.3(d) of this part, that the time for review of the submission has been extended because the product raises novel or complex issues that require additional time for review;\n\n(ii) Pursuant to \u00a7 40.5(d) of this part, that the time for review of the submission has been extended because the proposed rule or rule amendment raises novel or complex issues that require additional time for review or is of major economic significance;\n\n(iii) Pursuant to \u00a7 40.6(c) of this part, that the proposed rule or rule amendment has been stayed because there exist novel or complex issues that require additional time to analyze, or there is potential inconsistency with the Act or the Commission's regulations.\n\n(3) The Commission hereby delegates, until it orders otherwise, to the Director of the Division of Clearing and Risk and, separately, to the Director of the Division of Market Oversight, to be exercised by either Director, as appropriate, or by such employees of the Commission that either Director may designate from time to time, the authority to notify a registered entity, pursuant to \u00a7 40.3(d) or \u00a7 40.5(d) of this part, that the time for review of the submission has been extended, or that a rule certified pursuant to \u00a7 40.6(c) has been stayed, because the submission is incomplete or provides an inadequate explanation.\n\n(4)  Emergency rules.  The Commission hereby delegates to the Director of the Division of Market Oversight and, separately, to the Director of the Division of Clearing and Risk, to be exercised by either Director, as appropriate, or by such other employee or employees of the Commission that either Director may designate from time to time, authority to receive notification of emergency rules under \u00a7 40.6(a)(6)(ii) of this part.\n\n(5) The Commission hereby delegates to the Director of the Division of Market Oversight, to be exercised by the Director or by such employees of the Commission that the Director may designate from time to time, with the concurrence of the General Counsel or the General Counsel's delegate, the authority to determine whether a rule or rule amendment submitted by a designated contract market is material under \u00a7 40.4(b)(5), and to notify the designated contract market of such determination.\n\n(b)  Approval authority.  The Commission hereby delegates, until it orders otherwise, to the Director of the Division of Clearing and Risk and, separately, to the Director of the Division of Market Oversight, to be exercised by either Director, as appropriate, or by such employees of the Commission that either Director may designate from time to time, with the concurrence of the General Counsel or the General Counsel's delegate, the authority to approve, pursuant to section 5c(c)(3) of the Act and \u00a7 40.5 of this part, rules or rule amendments of a registered entity that:\n\n(1) Relate to, but do not substantially change, the quantity, quality, or other delivery specifications, procedures, or obligations for delivery, cash settlement, or exercise under an agreement, contract or transaction approved for trading by the Commission; daily settlement prices; clearing position limits; requirements or procedures for governance of a registered entity; procedures for transfer trades; trading hours; minimum price fluctuations; and maximum price limit and trading suspension provisions;\n\n(2) Reflect routine modifications that are required or anticipated by the terms of the rule of a registered entity;\n\n(3) Establish or amend or relate to speculative limits or position accountability provisions that are in compliance with the requirements of the Act and17 CFR chapter I;\n\n(4) Are in substance the same as a rule of the same or another registered entity which has been approved previously by the Commission pursuant to section 5c(c)(3) of the Act;\n\n(5) Are consistent with a specific, stated policy or interpretation of the Commission; or\n\n(6) Relate to the listing of additional trading months of approved contracts.\n\n(c) Notwithstanding the provisions of this section, the Director of the Division of Clearing and Risk and, separately, the Director of the Division of Market Oversight may submit to the Commission for its consideration any matter that has been delegated pursuant to this section.\n\n(d) Nothing in this section shall be deemed to prohibit the Commission, at its election, from exercising any of the authority delegated pursuant to this section.\n\n(e) The Commission hereby delegates, until it orders otherwise, to the Director of the Division of Clearing and Risk and, separately, to the Director of the Division of Market Oversight, to be exercised by either Director, as appropriate, or by such employees of the Commission that either Director may designate from time to time, the authority to specify the format and manner to be used by a registered entity when filing a submission pursuant to this part."], ["17:17:1.0.1.1.33.0.7.8", 17, "Commodity and Securities Exchanges", "I", "", "40", "PART 40\u2014PROVISIONS COMMON TO REGISTERED ENTITIES", "", "", "", "\u00a7 40.8 Availability of public information.", "CFTC", "", "", "[76 FR 44790, July 27, 2011, as amended at 80 FR 59578, Oct. 2, 2015]", "(a) The following sections of all applications to become a designated contract market, swap execution facility, derivatives clearing organization, or swap data repository shall be made publicly available: Transmittal letter and first page of the application cover sheet, proposed rules, narrative summary of the applicant's proposed activities and regulatory compliance chart, documents establishing the applicant's legal status, documents setting forth the applicant's corporate and governance structure and any other part of the application not covered by a request for confidential treatment.\n\n(b) [Reserved]\n\n(c) A registered entity's filing of new products pursuant to the self-certification procedures of \u00a7 40.2 of this part, new products for Commission review and approval pursuant to \u00a7 40.3 of this part, new rules and rule amendments for Commission review and approval pursuant to \u00a7 40.4 or \u00a7 40.5 of this part, and new rules and rule amendments pursuant to the self-certification procedures of \u00a7 40.6 and \u00a7 40.10 of this part shall be treated as public information unless accompanied by a request for confidential treatment. If a registered entity files a request for confidential treatment, the following procedures shall apply:\n\n(1) A detailed written justification of the confidential treatment request must be filed simultaneously with the request for confidential treatment. The form and content of the detailed written justification shall be governed by \u00a7 145.9 of this chapter;\n\n(2) All material for which confidential treatment is requested must be segregated in an appendix to the submission;\n\n(3) The submission itself must indicate that material has been segregated and, as appropriate, an additional redacted version provided;\n\n(4) Commission staff may make an initial determination with respect to the request for confidential treatment without regard to whether a request for the information has been sought under the Freedom of Information Act;\n\n(5) All requests for confidential treatment shall be subject to the process provided by \u00a7 145.9 of this chapter.\n\n(6) A submitter of information under this part may appeal an adverse decision by staff to the Commission's Office of General Counsel. The form and content of such appeal shall be governed by \u00a7 145.9(g) of this chapter.\n\n(7) The grant of any part of a request for confidential treatment under this section may be reconsidered if a subsequent request under the Freedom of Information Act is made for the information.\n\n(d) Commission staff will not consider confidential treatment requests for information that is required to be made public under the Act. The terms and conditions of a product submitted to the Commission pursuant to \u00a7\u00a7 40.2, 40.3, 40.5 and 40.6 of this part shall be made publicly available at the time of submission."], ["17:17:1.0.1.1.33.0.7.9", 17, "Commodity and Securities Exchanges", "I", "", "40", "PART 40\u2014PROVISIONS COMMON TO REGISTERED ENTITIES", "", "", "", "\u00a7 40.9 [Reserved]", "CFTC", "", "", "", ""], ["24:24:1.1.1.1.24.0.59.1", 24, "Housing and Urban Development", "", "", "40", "PART 40\u2014ACCESSIBILITY STANDARDS FOR DESIGN, CONSTRUCTION, AND ALTERATION OF PUBLICLY OWNED RESIDENTIAL STRUCTURES", "", "", "", "\u00a7 40.1 Purpose.", "HUD", "", "", "", "This part prescribes standards for the design, construction, and alteration of publicly owned residential structures to insure that physically handicapped persons will have ready access to, and use of, such structures."], ["24:24:1.1.1.1.24.0.59.2", 24, "Housing and Urban Development", "", "", "40", "PART 40\u2014ACCESSIBILITY STANDARDS FOR DESIGN, CONSTRUCTION, AND ALTERATION OF PUBLICLY OWNED RESIDENTIAL STRUCTURES", "", "", "", "\u00a7 40.2 Definition of \u201cresidential structure\u201d.", "HUD", "", "", "[36 FR 24437, Dec. 22, 1971, as amended at 49 FR 31620, Aug. 7, 1984; 83 FR 26361, June 7, 2018]", "(a) As used in this part, the term  residential structure  means a residential structure (other than a privately owned residential structure and a residential structure on a military reservation):\n\n(1) Constructed or altered by or on behalf of the United States;\n\n(2) Leased in whole or in part by the United States after August 12, 1968, if constructed or altered in accordance with plans and specifications of the United States; or\n\n(3) Financed in whole or in part by a grant or loan made by the United States after August 12, 1968, if such residential structure is subject to standards for design, construction, or alteration issued under authority of the law authorizing such grant or loan.\n\n(b) As used in this part,  residential structure  includes the following:\n\n(1) Any residential structure which, in whole or in part, is intended for occupancy by the physically handicapped or designed for occupancy by the elderly;\n\n(2) All elevator residential structures;\n\n(3) Any residential structure that contains 15 or more housing units, unless otherwise specifically prescribed by the Uniform Federal Accessibility Standards.\n\n(4) Nonresidential structures appurtenant to a residential structure covered under this part."], ["24:24:1.1.1.1.24.0.59.3", 24, "Housing and Urban Development", "", "", "40", "PART 40\u2014ACCESSIBILITY STANDARDS FOR DESIGN, CONSTRUCTION, AND ALTERATION OF PUBLICLY OWNED RESIDENTIAL STRUCTURES", "", "", "", "\u00a7 40.3 Applicability.", "HUD", "", "", "", "(a) The standards prescribed in \u00a7 40.4 are applicable to residential structures designed after the effective date of this part. If the design of a structure commenced prior to that date, the standards shall be made applicable to the maximum extent practicable, as determined by the head of the department, agency, or instrumentality of the United States concerned. If no design stage is involved in the construction or alteration of a residential structure, the standards of \u00a7 40.4 shall be applicable to construction or alteration for which bids are solicited after the effective date of this part.\n\n(b) The standards prescribed in \u00a7 40.4 are not applicable to:\n\n(1) Any portion of a residential structure or its grounds which need not, because of its intended use, be made accessible to, or usable by, the public or by physically handicapped persons;\n\n(2) The alteration of an existing residential structure to the extent that the alteration does not involve work which is related to the standards of this part; or\n\n(3) The alteration of an existing building, or of such portions thereof, to which application of the standards is not structurally feasible."], ["24:24:1.1.1.1.24.0.59.4", 24, "Housing and Urban Development", "", "", "40", "PART 40\u2014ACCESSIBILITY STANDARDS FOR DESIGN, CONSTRUCTION, AND ALTERATION OF PUBLICLY OWNED RESIDENTIAL STRUCTURES", "", "", "", "\u00a7 40.4 Standards.", "HUD", "", "", "[49 FR 31621, Aug. 7, 1984, as amended at 83 FR 26361, June 7, 2018]", "Residential structures subject to this part shall be designed, constructed or altered to ensure that physically handicapped persons have access to, and use of, these structures. This requirement is satisfied by using the Uniform Federal Accessibility Standards (UFAS)."], ["24:24:1.1.1.1.24.0.59.5", 24, "Housing and Urban Development", "", "", "40", "PART 40\u2014ACCESSIBILITY STANDARDS FOR DESIGN, CONSTRUCTION, AND ALTERATION OF PUBLICLY OWNED RESIDENTIAL STRUCTURES", "", "", "", "\u00a7 40.5 [Reserved]", "HUD", "", "", "", ""], ["24:24:1.1.1.1.24.0.59.6", 24, "Housing and Urban Development", "", "", "40", "PART 40\u2014ACCESSIBILITY STANDARDS FOR DESIGN, CONSTRUCTION, AND ALTERATION OF PUBLICLY OWNED RESIDENTIAL STRUCTURES", "", "", "", "\u00a7 40.6 Records.", "HUD", "", "", "", "The administering agency's file on each contract, grant, or loan involving the design, construction, or alteration of a residential structure shall include appropriate documentation indicating: (a) That the standards prescribed in \u00a7 40.4 are applicable to and have been or will be incorporated in the residential structure, or (b) that the grant or loan has been or will be made subject to the requirement that the standards are applicable and will be incorporated in the residential structure. The file should also indicate any modification or waiver of the standards which has been issued by the Secretary of HUD."], ["24:24:1.1.1.1.24.0.59.7", 24, "Housing and Urban Development", "", "", "40", "PART 40\u2014ACCESSIBILITY STANDARDS FOR DESIGN, CONSTRUCTION, AND ALTERATION OF PUBLICLY OWNED RESIDENTIAL STRUCTURES", "", "", "", "\u00a7 40.7 Availability of Accessibility Standards.", "HUD", "", "", "[61 FR 5204, Feb. 9, 1996]", "Copies of the Uniform Federal Accessibility Standards are available from the Office of Fair Housing and Equal Opportunity, U.S. Department of Housing and Urban Development, Room 5230, 451 Seventh Street, SW., Washington, DC 20410, telephone (202) 755-5404 (this is not a toll-free number). Hearing or speech-impaired individuals may call HUD's TDD number (202) 708-0113 or 1-800-877-8399 (Federal Information Relay Service TDD). (Other than the \u201c800\u201d number, these are not toll-free numbers.)"], ["28:28:1.0.1.1.41.1.32.1", 28, "Judicial Administration", "I", "", "40", "PART 40\u2014STANDARDS FOR INMATE GRIEVANCE PROCEDURES", "A", "Subpart A\u2014Minimum Standards for Inmate Grievance Procedures", "", "\u00a7 40.1 Definitions.", "DOJ", "", "", "", "For the purposes of this part\u2014\n\n(a)  Act  means the Civil Rights of Institutionalized Persons Act, Public Law 96-247, 94 Stat. 349 (42 U.S.C. 1997).\n\n(b)  Applicant  means a state or political subdivision of a state that submits to the Attorney General a request for certification of a grievance procedure.\n\n(c)  Attorney General  means the Attorney General of the United States or the Attorney General's designees.\n\n(d)  Grievance  means a written complaint by an inmate on the inmate's own behalf regarding a policy applicable within an institution, a condition in an institution, an action involving an inmate of an institution, or an incident occurring within an institution. The term \u201cgrievance\u201d does not include a complaint relating to a parole decision.\n\n(e)  Inmate  means an individual confined in an institution for adults, who has been convicted of a crime.\n\n(f)  Institution  means a jail, prison, or other correctional facility, or pretrial detention facility that houses adult inmates and is owned, operated, or managed by or provides services on behalf of a State or political subdivision of a State.\n\n(g)  State  means a State of the United States, the District of Columbia, the commonwealth of Puerto Rico, or any of the territories and possessions of the United States.\n\n(h)  Substantial compliance  means that there is no omission of any essential part from compliance, that any omission consists only of an unimportant defect or omission, and that there has been a firm effort to comply fully with the standards."], ["28:28:1.0.1.1.41.1.32.10", 28, "Judicial Administration", "I", "", "40", "PART 40\u2014STANDARDS FOR INMATE GRIEVANCE PROCEDURES", "A", "Subpart A\u2014Minimum Standards for Inmate Grievance Procedures", "", "\u00a7 40.10 Records\u2014nature; confidentiality.", "DOJ", "", "", "", "(a)  Nature.  Records regarding the filing and disposition of grievances shall be collected and maintained systematically by the institution. Such records shall be preserved for at least three years following final disposition of the grievance. At a minimum, such records shall include aggregate information regarding the numbers, types and dispositions of grievances, as well as individual records of the date of and the reasons for each disposition at each stage of the procedure.\n\n(b)  Confidentiality.  Records regarding the participation of an individual in the grievance proceedings shall be considered confidential and shall be handled under the same procedures used to protect other confidential case records. Consistent with ensuring confidentiality, staff who are participating in the disposition of a grievance shall have access to records essential to the resolution of the grievance."], ["28:28:1.0.1.1.41.1.32.2", 28, "Judicial Administration", "I", "", "40", "PART 40\u2014STANDARDS FOR INMATE GRIEVANCE PROCEDURES", "A", "Subpart A\u2014Minimum Standards for Inmate Grievance Procedures", "", "\u00a7 40.2 Adoption of procedures.", "DOJ", "", "", "", "Each applicant seeking certification of its grievance procedure for purposes of the Act shall adopt a written grievance procedure. Inmates and employees shall be afforded an advisory role in the formulation and implementation of a grievance procedure adopted after the effective date of these regulations, and shall be afforded an advisory role in reviewing the compliance with the standards set forth herein of a grievance procedure adopted prior to the effective date of these regulations."], ["28:28:1.0.1.1.41.1.32.3", 28, "Judicial Administration", "I", "", "40", "PART 40\u2014STANDARDS FOR INMATE GRIEVANCE PROCEDURES", "A", "Subpart A\u2014Minimum Standards for Inmate Grievance Procedures", "", "\u00a7 40.3 Communication of procedures.", "DOJ", "", "", "", "The written grievance procedure shall be readily available to all employees and inmates of the institution. Additionally, each inmate and employee shall, upon arrival at the institution, receive written notification and an oral explanation of the procedure, including the opportunity to have questions regarding the procedure answered orally. The written procedure shall be available in any language spoken by a significant portion of the institution's population, and appropriate provisions shall be made for those not speaking those languages, as well as for the impaired and the handicapped."], ["28:28:1.0.1.1.41.1.32.4", 28, "Judicial Administration", "I", "", "40", "PART 40\u2014STANDARDS FOR INMATE GRIEVANCE PROCEDURES", "A", "Subpart A\u2014Minimum Standards for Inmate Grievance Procedures", "", "\u00a7 40.4 Accessibility.", "DOJ", "", "", "", "Each inmate shall be entitled to invoke the grievance procedure regardless of any disciplinary, classification, or other administrative or legislative decision to which the inmate may be subject. The institution shall ensure that the procedure is accessible to impaired and handicapped inmates."], ["28:28:1.0.1.1.41.1.32.5", 28, "Judicial Administration", "I", "", "40", "PART 40\u2014STANDARDS FOR INMATE GRIEVANCE PROCEDURES", "A", "Subpart A\u2014Minimum Standards for Inmate Grievance Procedures", "", "\u00a7 40.5 Applicability.", "DOJ", "", "", "", "The grievance procedure shall be applicable to a broad range of complaints and shall state specifically the types of complaints covered and excluded. At a minimum, the grievance procedure shall permit complaints by inmates regarding policies and conditions within the jurisdiction of the institution or the correctional agency that affect them personally, as well as actions by employees and inmates, and incidents occurring within the institution that affect them personally. The grievance procedure shall not be used as a disciplinary procedure."], ["28:28:1.0.1.1.41.1.32.6", 28, "Judicial Administration", "I", "", "40", "PART 40\u2014STANDARDS FOR INMATE GRIEVANCE PROCEDURES", "A", "Subpart A\u2014Minimum Standards for Inmate Grievance Procedures", "", "\u00a7 40.6 Remedies.", "DOJ", "", "", "", "The grievance procedure shall afford a successful grievant a meaningful remedy. Although available remedies may vary among institutions, a reasonable range of meaningful remedies in each institution is necessary."], ["28:28:1.0.1.1.41.1.32.7", 28, "Judicial Administration", "I", "", "40", "PART 40\u2014STANDARDS FOR INMATE GRIEVANCE PROCEDURES", "A", "Subpart A\u2014Minimum Standards for Inmate Grievance Procedures", "", "\u00a7 40.7 Operation and decision.", "DOJ", "", "", "[Order No. 957-81, 46 FR 48186, Oct. 1, 1981, as amended by Order No. 1618-92, 57 FR 38773, Aug. 27, 1992; Order No. 1955-95, 60 FR 13902, Mar. 15, 1995]", "(a)  Initiation.  The institution may require an inmate to attempt informal resolution before the inmate files a grievance under this procedure. The procedure for initiating a grievance shall be simple and include the use of a standard form. Necessary materials shall be freely available to all inmates and assistance shall be readily available for inmates who cannot complete the forms themselves. Forms shall not demand unnecessary technical compliance with formal structure or detail, but shall encourage a simple and straightforward statement of the inmate's grievance.\n\n(b)  Inmate and employee participation.  The institution shall provide for an advisory role for employees and inmates in the operation of the grievance system. In-person hearings and committees consisting of either inmates or employees or both are not required by this paragraph, but they are permitted so long as no inmate participates in the resolution of any other inmate's grievance over the objection of the grievant.\n\n(c)  Investigation and consideration.  No inmate or employee who appears to be involved in the matter shall participate in any capacity in the resolution of the grievance.\n\n(d)  Reasoned, written responses.  Each grievance shall be answered in writing at each level of decision and review. The response shall state the reasons for the decision reached and shall include a statement that the inmate is entitled to further review, if such is available, and shall contain simple directions for obtaining such review.\n\n(e)  Fixed time limits.  Responses shall be made within fixed time limits at each level of decision. Time limits may vary between institutions, but expeditious processing of grievances at each level of decision is essential to prevent grievance from becoming moot. Unless the grievant has been notified of an extension of time for a response, expiration of a time limit at any stage of the process shall entitle the grievant to move to the next stage of the process. In all instances grievances must be processed from initiation to final disposition within 180 days, inclusive of any extensions.\n\n(f)  Review.  The grievant shall be entitled to review by a person or other entity, not under the institution's supervision or control, of the disposition of all grievances, including alleged reprisals by an employee against an inmate. A request for review shall be allowed automatically without interference by administrators or employees of the institution and such review shall be conducted without influence or interference by administrators or employees of the institution."], ["28:28:1.0.1.1.41.1.32.8", 28, "Judicial Administration", "I", "", "40", "PART 40\u2014STANDARDS FOR INMATE GRIEVANCE PROCEDURES", "A", "Subpart A\u2014Minimum Standards for Inmate Grievance Procedures", "", "\u00a7 40.8 Emergency procedure.", "DOJ", "", "", "", "The grievance procedure shall contain special provision for responding to grievances of an emergency nature. Emergency grievances shall be defined, at a minimum, as matters regarding which disposition according to the regular time limits would subject the inmate to a substantial risk of personal injury, or cause other serious and irreparable harm to the inmate. Emergency grievances shall be forwarded immediately, without substantive review, to the level at which corrective action can be taken. The procedure for resolving emergency grievances shall provide for expedited responses at every level of decision. The emergency procedure shall also include review by a person or entity not under the supervision or control of the institution."], ["28:28:1.0.1.1.41.1.32.9", 28, "Judicial Administration", "I", "", "40", "PART 40\u2014STANDARDS FOR INMATE GRIEVANCE PROCEDURES", "A", "Subpart A\u2014Minimum Standards for Inmate Grievance Procedures", "", "\u00a7 40.9 Reprisals.", "DOJ", "", "", "", "The grievance procedure shall prohibit reprisals. \u201cReprisal\u201d means any action or threat of action against anyone for the good faith use of or good faith participation in the grievance procedure. The written procedure shall include assurance that good faith use of or good faith participation in the grievance mechanism will not result in formal or informal reprisal. An inmate shall be entitled to pursue through the grievance procedure a complaint that a reprisal occurred."], ["28:28:1.0.1.1.41.2.32.1", 28, "Judicial Administration", "I", "", "40", "PART 40\u2014STANDARDS FOR INMATE GRIEVANCE PROCEDURES", "B", "Subpart B\u2014Procedures for Obtaining Certification of a Grievance Procedure", "", "\u00a7 40.11 Submissions by applicant.", "DOJ", "", "", "[Order No. 1955-95, 60 FR 13903, Mar. 15, 1995]", "(a)  Written statement.  An application for certification of a grievance procedure under the Act shall be submitted to the Office of the Attorney General, U.S. Department of Justice, Main Justice Building, Washington, DC 20530, and shall include a written statement describing the grievance procedure, a brief description of the institution or institutions covered by the procedure, and accompanying plans for or evidence of implementation in each institution.\n\n(b)  Evidence of compliance with established standards.  An applicant seeking certification of a grievance procedure as being in substantial compliance with the standards promulgated herein should submit evidence of compliance with those standards, including the following information:\n\n(1)  Instructional materials.  A copy of the instructional materials for inmates and employees regarding use of the grievance procedure together with a description of the manner in which such materials are distributed, a description of the oral explanation of the grievance procedure, including the circumstances under which it is delivered, and a description of the training, if any, provided to employees and inmates in the skills necessary to operate the grievance procedure.\n\n(2)  Form.  A copy of the form used by inmates to initiate a grievance and to obtain review of the disposition of a grievance.\n\n(3)  Information regarding past compliance.  For a grievance procedure that has operated for more than one year at the time of the application, the applicant shall submit information regarding the number and types of grievances filed over the preceding year, the disposition of the grievances with sample responses from each level of decision, the remedies granted, evidence of compliance with time limits at each level of decision, and a description of the role of inmates and employees in the formulation, implementation, and operation of the grievance procedure.\n\n(4)  Plan for collecting information.  For a grievance procedure that has operated for less than one year at the time of the application, the applicant shall submit a plan for collecting the information described in paragraph (b)(3) of this section.\n\n(5)  Assurance of confidentiality.  A description of the steps taken to ensure the confidentiality of records of individual use of or participation in the grievance procedure.\n\n(6)  Evaluation.  A description of the plans for periodic evaluation of the grievance procedure, including identification of the group, individuals or individual who will conduct the evaluation and identification of the person or entity not under the control of supervision of the institution who will review the evaluation, together with two copies of the most recent evaluation, if one has been performed.\n\n(c)  Fair and effective procedures.  The Attorney General shall also certify a grievance procedure under the Act, even if the procedure is not in substantial compliance with the standards promulgated herein, if the Attorney General determines that the procedure is otherwise fair and effective for the consideration and disposition of grievances filed by inmates. If a grievance procedure is not in substantial compliance with all standards herein, the applicant shall identify the aspects in which the procedure is in substantial compliance and those in which it is not, describe the other relevant features of the procedure, and explain why the procedure is otherwise fair and effective."], ["28:28:1.0.1.1.41.2.32.10", 28, "Judicial Administration", "I", "", "40", "PART 40\u2014STANDARDS FOR INMATE GRIEVANCE PROCEDURES", "B", "Subpart B\u2014Procedures for Obtaining Certification of a Grievance Procedure", "", "\u00a7 40.20 Contemplated change in certified procedure.", "DOJ", "", "", "", "A proposed change in a certified procedure must be submitted to the Attorney General thirty days in advance of its proposed effective date. The Attorney General shall review such proposed change and notify the applicant in writing before the effective date of the proposed change if such change will result in suspension or withdrawal of the certification of the grievance procedure."], ["28:28:1.0.1.1.41.2.32.11", 28, "Judicial Administration", "I", "", "40", "PART 40\u2014STANDARDS FOR INMATE GRIEVANCE PROCEDURES", "B", "Subpart B\u2014Procedures for Obtaining Certification of a Grievance Procedure", "", "\u00a7 40.21 Notification of court.", "DOJ", "", "", "", "The Attorney General shall notify in writing the Chief Judges of the U.S. Court of Appeals and of the U.S. District Court(s) within whose jurisdiction the applicant is located of the certification, suspension of certification, withdrawal of certification and recertification of the applicant's grievance procedure. The Attorney General shall also notify the court of the certification status of any grievance procedure at the request of the court or any party in an action by an adult inmate pursuant to 42 U.S.C. 1983."], ["28:28:1.0.1.1.41.2.32.12", 28, "Judicial Administration", "I", "", "40", "PART 40\u2014STANDARDS FOR INMATE GRIEVANCE PROCEDURES", "B", "Subpart B\u2014Procedures for Obtaining Certification of a Grievance Procedure", "", "\u00a7 40.22 Significance of certification.", "DOJ", "", "", "[Order No. 1955-95, 60 FR 13904, Mar. 15, 1995]", "Certification of a grievance procedure by the Attorney General shall signify only that on the basis of the information submitted, the Attorney General believes the grievance procedure is in substantial compliance with the minimum standards or is otherwise fair and effective. Certification shall not indicate approval of the use or application of the grievance procedure in a particular case."], ["28:28:1.0.1.1.41.2.32.2", 28, "Judicial Administration", "I", "", "40", "PART 40\u2014STANDARDS FOR INMATE GRIEVANCE PROCEDURES", "B", "Subpart B\u2014Procedures for Obtaining Certification of a Grievance Procedure", "", "\u00a7 40.12 Notice of intent to apply for certification.", "DOJ", "", "", "", "The applicant shall post notice of its intent to request certification in prominent places in each institution to be covered by the procedure and shall provide similar written notice to the U.S. District Court(s) having jurisdiction over each institution to be covered by the procedure. The notices shall invite comments regarding the grievance procedure and direct them to the Attorney General."], ["28:28:1.0.1.1.41.2.32.3", 28, "Judicial Administration", "I", "", "40", "PART 40\u2014STANDARDS FOR INMATE GRIEVANCE PROCEDURES", "B", "Subpart B\u2014Procedures for Obtaining Certification of a Grievance Procedure", "", "\u00a7 40.13 Review by the Attorney General.", "DOJ", "", "", "", "The Attorney General shall review and respond to each application as promptly as the circumstances, including the need for independent investigation and consideration of the comments of agencies, and interested groups and persons, permit."], ["28:28:1.0.1.1.41.2.32.4", 28, "Judicial Administration", "I", "", "40", "PART 40\u2014STANDARDS FOR INMATE GRIEVANCE PROCEDURES", "B", "Subpart B\u2014Procedures for Obtaining Certification of a Grievance Procedure", "", "\u00a7 40.14 Conditional certification.", "DOJ", "", "", "[Order No. 1955-95, 60 FR 13903, Mar. 15, 1995]", "If, in the judgment of the Attorney General, a grievance procedure that has been in existence less than one year is at the time of application in substantial compliance with the standards promulgated herein or is otherwise fair and effective, the Attorney General shall grant conditional certification for one year or until the applicant satisfies the requirements of \u00a7 40.15, whichever period is shorter."], ["28:28:1.0.1.1.41.2.32.5", 28, "Judicial Administration", "I", "", "40", "PART 40\u2014STANDARDS FOR INMATE GRIEVANCE PROCEDURES", "B", "Subpart B\u2014Procedures for Obtaining Certification of a Grievance Procedure", "", "\u00a7 40.15 Full certification.", "DOJ", "", "", "[Order No. 1955-95, 60 FR 13903, Mar. 15, 1995]", "If, in the judgment of the Attorney General, a grievance procedure that has been in existence longer than one year at the time of application is in substantial compliance with the standards promulgated herein or is otherwise fair and effective, the Attorney General shall grant full certification. Such certification shall remain in effect unless and until the Attorney General finds reasonable cause to believe that the grievance procedure is no longer in substantial compliance with the minimum standards or is no longer fair and effective, and so notifies the applicant in writing."], ["28:28:1.0.1.1.41.2.32.6", 28, "Judicial Administration", "I", "", "40", "PART 40\u2014STANDARDS FOR INMATE GRIEVANCE PROCEDURES", "B", "Subpart B\u2014Procedures for Obtaining Certification of a Grievance Procedure", "", "\u00a7 40.16 Denial of certification.", "DOJ", "", "", "[Order No. 1955-95, 60 FR 13903, Mar. 15, 1995]", "If the Attorney General finds that the grievance procedure is not in substantial compliance with the standards promulgated herein or is no longer fair and effective, the Attorney General shall deny certification and inform the applicant in writing of the area or areas in which the grievance procedure or the application is deemed inadequate."], ["28:28:1.0.1.1.41.2.32.7", 28, "Judicial Administration", "I", "", "40", "PART 40\u2014STANDARDS FOR INMATE GRIEVANCE PROCEDURES", "B", "Subpart B\u2014Procedures for Obtaining Certification of a Grievance Procedure", "", "\u00a7 40.17 Reapplication after denial of certification.", "DOJ", "", "", "", "An applicant denied certification may resubmit an application for certification at any time after the inadequacy in the application or the grievance procedure is corrected."], ["28:28:1.0.1.1.41.2.32.8", 28, "Judicial Administration", "I", "", "40", "PART 40\u2014STANDARDS FOR INMATE GRIEVANCE PROCEDURES", "B", "Subpart B\u2014Procedures for Obtaining Certification of a Grievance Procedure", "", "\u00a7 40.18 Suspension of certification.", "DOJ", "", "", "[Order No. 957-81, 46 FR 48186, Oct. 1, 1981, as amended by Order No. 1955-95, 60 FR 13903, Mar. 15, 1995]", "(a)  Reasonable belief of non-compliance.  If the Attorney General has reasonable grounds to believe that a previously certified grievance procedure may no longer be in substantial compliance with the minimum standards or may no longer be fair and effective, the Attorney General shall suspend certification. The suspension shall continue until such time as the deficiency is corrected, in which case certification shall be reinstated, or until the Attorney General determines that substantial compliance no longer exists or that the procedure is no longer fair and effective, in which case, except as provided in paragraph (b) of this section, the Attorney General shall withdraw certification pursuant to \u00a7 40.19 of this part.\n\n(b)  Defect may be readily remedied; good faith effort.  If the Attorney General determines that a grievance procedure is no longer in substantial compliance with the minimum standards or is no longer fair and effective, but has reason to believe that the defect may be readily corrected and that good faith efforts are underway to correct it, the Attorney General may suspend certification until the grievance procedure returns to compliance with the minimum standards or is otherwise fair and effective.\n\n(c)  Recertification after suspension pursuant to paragraph (a) of this section.  The Attorney General shall reinstate the certification of an applicant whose certification was suspended pursuant to paragraph (a) of this section upon a demonstration in writing by the applicant that the specific deficiency on which the suspension was based has been corrected or that the information that caused the Attorney General to suspend certification was erroneous.\n\n(d)  Recertification after suspension pursuant to paragraph (b) of this section.  The Attorney General shall reinstate the certification of an applicant whose certification has been suspended pursuant to paragraph (b) of this section upon a demonstration in writing that the deficiency on which the suspension was based has been corrected.\n\n(e)  Notification in writing of suspension or reinstatement.  The Attorney General shall notify an applicant in writing that certification has been suspended or reinstated and state the reasons for the action."], ["28:28:1.0.1.1.41.2.32.9", 28, "Judicial Administration", "I", "", "40", "PART 40\u2014STANDARDS FOR INMATE GRIEVANCE PROCEDURES", "B", "Subpart B\u2014Procedures for Obtaining Certification of a Grievance Procedure", "", "\u00a7 40.19 Withdrawal of certification.", "DOJ", "", "", "[Order No. 957-81, 46 FR 48186, Oct. 1, 1981, as amended by Order No. 1955-95, 60 FR 13903, Mar. 15, 1995]", "(a)  Finding of non-compliance.  If the Attorney General finds that a grievance procedure is no longer in substantial compliance with the minimum standards or is no longer otherwise fair and effective, the Attorney General shall withdraw certification, unless the Attorney General concludes that suspension of certification under \u00a7 40.18(b) of this part is appropriate.\n\n(b)  Notification in writing of withdrawal of certification.  The Attorney General shall notify an applicant in writing that certification has been withdrawn and state the reasons for the action.\n\n(c)  Recertification after withdrawal.  An applicant whose certification has been withdrawn and who wishes to receive recertification shall submit a new application for certification."], ["33:33:1.0.1.2.16.0.1.1", 33, "Navigation and Navigable Waters", "I", "B", "40", "PART 40\u2014CADETS OF THE COAST GUARD", "", "", "", "\u00a7 40.1 Program for appointing cadets.", "USCG", "", "", "[USCG-2008-0179, 73 FR 35002, June 19, 2008]", "The Coast Guard conducts a program for appointing qualified men and women as cadets who are admitted to the Coast Guard Academy, New London, Connecticut. The Superintendent of the Coast Guard Academy tenders appointments on the basis of previous academic performance, reported College Entrance Examination Board or American College Testing scores, and the findings of a Cadet Candidate Evaluation Board, consisting of Coast Guard officers appointed by the Superintendent of the Coast Guard Academy, which reviews each applicant's personal qualifications. In addition, a Service Academy Medical Examination must be satisfactorily completed before appointment. Applications must be submitted online at  http://www.uscga.edu  using Coast Guard forms CGA-14, CGA-14A, CGA-14B, CGA-14C, and CGA-14D. These forms, along with additional information on the Cadet appointment program, may be obtained from the Director of Admissions, U.S. Coast Guard Academy, New London, CT 06320."], ["38:38:2.0.1.1.13.0.360.1", 38, "Pensions, Bonuses, and Veterans' Relief", "I", "", "40", "PART 40\u2014INTERGOVERNMENTAL REVIEW OF DEPARTMENT OF VETERANS AFFAIRS PROGRAMS AND ACTIVITIES", "", "", "", "\u00a7 40.1 Purpose.", "VA", "", "", "", "(a) The regulations in this part implement Executive Order 12372, \u201cIntergovernmental Review of Federal Programs\u201d, issued on July 14, 1982 and amended on April 8, 1983. These regulations also implement applicable provisions of section 401 of the Intergovernmental Cooperation Act of 1968 and section 204 of the Demonstration Cities and Metropolitan Development Act of 1966.\n\n(b) These regulations are intended to foster an intergovernmental partnership and a strengthened Federalism by relying on State processes and on State, areawide, regional, and local coordination for review of proposed Federal financial assistance and direct Federal development.\n\n(c) These regulations are intended to improve the internal management of the VA, and are not intended to create any right or benefit enforceable at law by a party against the VA or its officers."], ["38:38:2.0.1.1.13.0.360.10", 38, "Pensions, Bonuses, and Veterans' Relief", "I", "", "40", "PART 40\u2014INTERGOVERNMENTAL REVIEW OF DEPARTMENT OF VETERANS AFFAIRS PROGRAMS AND ACTIVITIES", "", "", "", "\u00a7 40.10 Making efforts to accommodate intergovernmental concerns.", "VA", "", "", "", "(a) If a State process provides a State process recommendation to VA through its single point of contact, the Secretary either:\n\n(1) Accepts the recommendation;\n\n(2) Reaches a mutually agreeable solution with the State process; or\n\n(3) Provides the single point of contact with such written explanation of the decision, as the Secretary in his or her discretion deems appropriate. The Secretary may also supplement the written explanation by providing the explanation to the single point of contact by telephone, other telecommunication, or other means.\n\n(b) In any explanation under paragraph (a)(3) of this section, the Secretary informs the single point of contact that:\n\n(1) The VA will not implement its decision for at least ten days after the single point of contact receives the explanation; or\n\n(2) The Secretary has reviewed the decision and determined that, because of unusual circumstances, the waiting period of at least ten days is not feasible.\n\n(c) For purposes of computing the waiting period under paragraph (b)(1) of this section, a single point of contact is presumed to have received written notification five days after the date of mailing of such notification."], ["38:38:2.0.1.1.13.0.360.11", 38, "Pensions, Bonuses, and Veterans' Relief", "I", "", "40", "PART 40\u2014INTERGOVERNMENTAL REVIEW OF DEPARTMENT OF VETERANS AFFAIRS PROGRAMS AND ACTIVITIES", "", "", "", "\u00a7 40.11 Interstate.", "VA", "", "", "", "(a) The Secretary is responsible for:\n\n(1) Identifying proposed Federal financial assistance and direct Federal development that have an impact on interstate areas;\n\n(2) Notifying appropriate officials and entities in States which have adopted a process and which select VA's program or activity.\n\n(3) Making efforts to identify and notify the affected State, areawide, regional, and local officials and entities in those States that have not adopted a process under the order or do not select VA's program or activity;\n\n(4) Responding pursuant to \u00a7 40.10 of this part if the Secretary receives a recommendation from a designated areawide agency transmitted by a single point of contact, in cases in which the review, coordination, and communication with VA have been delegated, or\n\n(b) The Secretary uses the procedures in \u00a7 40.10 if a State process provides a State process recommendation to VA through a single point of contact."], ["38:38:2.0.1.1.13.0.360.12", 38, "Pensions, Bonuses, and Veterans' Relief", "I", "", "40", "PART 40\u2014INTERGOVERNMENTAL REVIEW OF DEPARTMENT OF VETERANS AFFAIRS PROGRAMS AND ACTIVITIES", "", "", "", "\u00a7 40.12 [Reserved]", "VA", "", "", "", ""]], "truncated": false, "filtered_table_rows_count": 334, "expanded_columns": [], "expandable_columns": [], "columns": ["section_id", "title_number", "title_name", "chapter", "subchapter", "part_number", "part_name", "subpart", "subpart_name", "section_number", "section_heading", "agency", "authority", "source_citation", "amendment_citations", "full_text"], "primary_keys": ["section_id"], "units": {}, "query": {"sql": "select section_id, title_number, title_name, chapter, subchapter, part_number, part_name, subpart, subpart_name, section_number, section_heading, agency, authority, source_citation, amendment_citations, full_text from cfr_sections where \"part_number\" = :p0 order by section_id limit 101", "params": {"p0": "40"}}, "facet_results": {"title_number": {"name": "title_number", "type": "column", "hideable": false, "toggle_url": "/openregs/cfr_sections.json?part_number=40", "results": [{"value": 49, "label": 49, "count": 190, "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=40&title_number=49", "selected": false}, {"value": 10, "label": 10, "count": 54, "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=40&title_number=10", "selected": false}, {"value": 40, "label": 40, "count": 35, "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=40&title_number=40", "selected": false}, {"value": 28, "label": 28, "count": 22, "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=40&title_number=28", "selected": false}, {"value": 38, "label": 38, "count": 13, "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=40&title_number=38", "selected": false}, {"value": 17, "label": 17, "count": 12, "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=40&title_number=17", "selected": false}, {"value": 24, "label": 24, "count": 7, "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=40&title_number=24", "selected": false}, {"value": 33, "label": 33, "count": 1, "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=40&title_number=33", "selected": false}], "truncated": false}, "agency": {"name": "agency", "type": "column", "hideable": false, "toggle_url": "/openregs/cfr_sections.json?part_number=40", "results": [{"value": "DOT", "label": "DOT", "count": 190, "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=40&agency=DOT", "selected": false}, {"value": "NRC", "label": "NRC", "count": 54, "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=40&agency=NRC", "selected": false}, {"value": "EPA", "label": "EPA", "count": 35, "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=40&agency=EPA", "selected": false}, {"value": "DOJ", "label": "DOJ", "count": 22, "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=40&agency=DOJ", "selected": false}, {"value": "VA", "label": "VA", "count": 13, "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=40&agency=VA", "selected": false}, {"value": "CFTC", "label": "CFTC", "count": 12, "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=40&agency=CFTC", "selected": false}, {"value": "HUD", "label": "HUD", "count": 7, "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=40&agency=HUD", "selected": false}, {"value": "USCG", "label": "USCG", "count": 1, "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=40&agency=USCG", "selected": false}], "truncated": false}, "part_number": {"name": "part_number", "type": "column", "hideable": false, "toggle_url": "/openregs/cfr_sections.json?part_number=40", "results": [{"value": "40", "label": "40", "count": 334, "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json", "selected": true}], "truncated": false}}, "suggested_facets": [{"name": "title_name", "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=40&_facet=title_name"}, {"name": "chapter", "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=40&_facet=chapter"}, {"name": "subchapter", "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=40&_facet=subchapter"}, {"name": "part_name", "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=40&_facet=part_name"}, {"name": "subpart", "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=40&_facet=subpart"}, {"name": "subpart_name", "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=40&_facet=subpart_name"}], "next": "38~3A38~3A2~2E0~2E1~2E1~2E13~2E0~2E360~2E12,38~3A38~3A2~2E0~2E1~2E1~2E13~2E0~2E360~2E12", "next_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=40&_next=38~3A38~3A2~2E0~2E1~2E1~2E13~2E0~2E360~2E12%2C38~3A38~3A2~2E0~2E1~2E1~2E13~2E0~2E360~2E12&_sort=section_id", "private": false, "allow_execute_sql": true, "query_ms": 1230.0824150443077, "source": "Federal Register API & Regulations.gov API", "source_url": "https://www.federalregister.gov/developers/api/v1", "license": "Public Domain (U.S. Government data)", "license_url": "https://www.regulations.gov/faq"}