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Subpart B-Provisions Applicable Only to Ap
plicants and licensees Other Than Federal Agencies and Nonprofit Educational Institutions
140.10 Scope. 140.11 Amounts of financial protection for
certain reactors. 140.12 Amount of financial protection re
quired for other reactors. 140.13 Amount of financial protection re
quired of certain holders of construction
permits. 140.13a Amount of financial protection re
quired for plutonium processing and
fuel fabrication plants. 140.14 Types of financial protection. 140.15 Proof of financial protection. 140.16 Commission review of proof of fi
nancial protection. 140.17 Special provisions applicable to li
censees furnishing financial protection in whole or in part in the form of liabili
ty insurance. 140.18 Special provisions applicable to li
censees furnishing financial protection in whole or in part in the form of ade
quate resources. 140.19 Failure by licensees to maintain fi
nancial protection. 140.20 Indemnity agreements and liens. 140.21 Licensee guarantees of payment of
deferred premiums. 140.22 Commission guarantee and reim
APPENDIXES 140.91 Appendix A-Form of nuclear
energy liability policy for facilities. 140.92 Appendix B-Form of indemnity
agreement with licensees furnishing insurance policies as proof of financial
protection. 140.93 Appendix C-Form of indemnity
agreement with licensees furnishing proof of financial protection in the form
of licensee's resources. 140.94 Appendix D-Form of indemnity
agreement with Federal agencies. 140.95 Appendix E-Form of indemnity
agreement with nonprofit educational
institutions. 140.96 Appendix F-Indemnity locations. 140.107 Appendix G-Form of indemnity
agreement with licensees processing plutonium for use in plutonium processing and fuel fabrication plants and furnishing insurance policies as proof of finan
cial protection. 140.108 Appendix H-Form of indemnity
agreement with licensees possessing plutonium for use in plutonium processing and fuel fabrication plants and furnishing proof of financial protection in the
form of the licensee's resources. AUTHORITY: Secs. 161 and 170. 68 Stat. 948, 71 Stat. 576, as amended; (42 U.S.C. 2201. 2210); Sec. 202, Pub. L. 93-438, 88 Stat. 1244 (42 U.S.C. 5842), unless otherwise noted.
SOURCE: 25 FR 2944. Apr. 7. 1960, unless otherwise noted.
NOMENCLATURE CHANGES: 40 FR 8793, Mar. 3. 1975.
Subpart C-Provisions Applicable Only to
Federal Agencies 140.51 Scope 140.52 Indemnity agreements.
Subpart A-General Provisions bility policy for facilities (Appendix A)
and the forms of indemnity agree$ 110.1 Purpose.
ments with licensees (Appendices B, C.
D, and E) include provisions requiring The regulations in this part are
the waiver of certain defenses with reissued to provide appropriate proce
spect to an extraordinary nuclear Ocdures and requirements for determin
currence. These provisions and Subing the financial protection required
part E are incorporated in this part of licensees and for the indemnification and limitation of liability of cer
pursuant to Public Law 89-645 (80
Stat. 891). They provide additional astain licensees and other persons pursu
surance of prompt compensation ant to section 170 of the Atomic
under available indemnity and underEnergy Act of 1954 (68 Stat. 919), as amended.
lying financial protection for injury or
damage resulting from the hazardous $ 110.2 Scope.
properties of radioactive materials or (a) The regulations in this part
radiation, and they in no way detract
from the protection to the public othapply (1) To each persons who is an appli
erwise provided under this part. cant for or holder of a license issued (Sec. 201. Pub. L. 93-438, as amended, 88 pursuant to Part 50 of this chapter to Stat. 1242. 89 Stat. 415 (42 U.S.C. 5841)) operate a nuclear reactor, and
(25 FR 2944, Apr. 7, 1960, as amended at 33 (2) With respect to extraordinary FR 15998, Oct. 31, 1968: 42 FR 48, Jan. 3. nuclear occurrences, to each person 1977) who is an applicant for or holder of a license to operate a production facility & 110.3 Definitions. or a utilization facility, and to other
As used in this part, persons indemnified with respect to
(a) “Act" means the Atomic Energy such facility.
Act of 1954 (68 Stat. 919) including (3) To each person licensed pursuant
any amendments thereto. to Part 70 of this chapter to possess
(b) “Commission" means the Nucleand use plutonium in a plutonium
ar Regulatory Commission or its duly processing and fuel fabrication plant. (b)(1) Subpart B of this part does
authorized representatives. not apply to any person subject to
(c) 'Federal agency" means a Gor. Subpart C or Subpart D of this part.
ernment agency such that any liability Subpart C of this part applies only to
in tort based on the activities of such persons found by the Commission to
agency would be satisfied by funds apbe Federal agencies. Subpart D of this
propriated by the Congress and paid part applies only to persons found by
out of the United States Treasury. the Commission to be nonprofit educa (d) “Financial protection" means the tional institutions with respect to li
th respect to li. ability to respond in damages for censes and applications for licenses for public liability and to meet the cost of the conduct of educational activities. investigating and defending claims and
(2) Any applicant or licensee subject settling suits for such damages. to this part may apply for a finding (e) “Government agency" means any that such applicant or licensee is sub executive department, commission, inject to the provisions of Subpart C or dependent establishment, corporation, D of this part. The application should wholly or partly owned by the United state the grounds for the requested States of America which is an instrufinding. Any application for a finding mentality of the United States, or any pursuant to this paragraph may be in board, bureau, division, service, office. cluded in an application for license. officer, authority, administration, or
(c) Subpart E of this part sets forth other establishment in the executive the procedures the Commission will branch of the Government. follow and the criteria the Commis (f) “Nuclear reactor" means any ap. sion will apply in making a determina paratus, other than an atomic weapon. tion as to whether or not there has designed or used to sustain nuclear fisbeen an extraordinary nuclear occur- sion in a self-supporting chain reacrence. The form of nuclear energy lia- tion.
(g) "Person" means: (1) Any individ- enriched in the isotope 233 or in the ual, corporation, partnership, firm, as- isotope 235, and any other material sociation, trust, estate, public or pri- which the Commission, pursuant to vate institution, group, Government the provisions of section 51 of the Act, agency other than the Commission or determines to be special nuclear matethe Department, except that the De- rial, but does not include source matepartment shall be considered a person rial; or (2) any material artifically enwithin the meaning of the regulations riched by any of the foregoing, but in this part to the extent that its facile does not include source material. ities and activities are subject to the li (k) Testing reactor" means a nuclecensing and related regulatory author- ar reactor which is of a type described ity of the Commission pursuant to sec. in $ 50.21(c) of this chapter and for tion 202 of the Energy Reorganization which an application has been filed Act of 1974 (88 Stat. 1244), any State for a license authorizing operation at: or any political subdivision thereof, or (1) A thermal power level in excess any political entity within a State, any of 10 megawatts; or foreign government or nation or any (2) A thermal power level in excess political subdivision of any such gove of 1 megawatt, if the reactor is to conernment or nation, or other entity; tain: and (2) any legal successor, repre
(i) A circulating loop through the sentative, agent, or agency of the fore core in which the applicant proposes going.
to conduct fuel experiments; or (h) "Plutonium processing and fuel
(ii) A liquid fuel loading; or fabrication plant" means a plant in
(iii) An experimental facility in the which the following operations or ac
core in excess of 16 square inches in tivities are conducted:
cross-section. (1) Operations for manufacture of
(1) Department" means the Departreactor fuel containing plutonium,
ment of Energy established by the Dewhere the license or licenses authorize
partment of Energy Organization Act the possession of either five or more
(Pub. L. 95-91, 91 Stat. 565, 42 U.S.C. kilograms of plutonium, excluding
7101 et seq.), to the extent that the that contained in sealed sources and
Department, or its duly authorized welded or otherwise sealed unirradiat
representatives, exercises functions ed or irradiated fuel rods, at the site of
formerly vested in the U.S. Atomic the plant or authorize the processing
Energy Commission, its Chairman, of one or more kilograms of plutoni
members, officers and components and um, excluding that contained in sealed
transferred to the U.S. Energy Resources and welded or otherwise sealed
search and Development Administraunirradiated or irradiated fuel rods, at
tion and to the Administrator thereof the plant, including any of the follow
pursuant to sections 104 (b), (c) and ing processes: (i) Preparation of fuel
(d) of the Energy Reorganization Act material; (ii) Formation of fuel materi
of 1974 (Pub. L. 93-438, 88 Stat. 1233 al into desired shapes; (iii) Application
at 1237, 42 U.S.C. 5814) and retransof protective cladding: (iv) Recovery of
ferred to the Secretary of Energy purscrap material; and (v) Storage associ
suant to section 301(a) of the Departated with such operations; or
ment of Energy Organization Act (2) Research and development activi.
(Pub. L. 95-91. 91 Stat. 565 at 577-578, ties involving any of the operations de
42 U.S.C. 7151). scribed in paragraph (h)(1) of this section, except for research and develop (Sec. 201. Pub. L. 93-438, as amended, 88 ment activities where the operator is Stat. 1242, 89 Stat. 415 (42 U.S.C. 5841)) licensed to possess or use plutonium in [25 FR 2944, Apr. 7, 1960, as amended at 40 amounts less than those specified in FR 8793, Mar. 3. 1975; 42 FR 48, Jan. 3, paragraph (h)(1).
1977: 45 FR 14201, Mar. 5, 1980) (i) “Source material" means source material as defined in the regulations
$ 110.1 Interpretations. contained in Part 40 of this chapter. Except as specifically authorized by
(j) Special nuclear material" means: the Commission in writing, no inter(1) Plutonium, uranium 233, uranium pretations of the meaning of the regu
lations 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.
(Sec. 201. Pub. L. 93-438, as amended, 88 Stal. 1242, 89 Stat. 415 (42 U.S.C. 5841)) [25 FR 2944, Apr. 7. 1960. as amended at 41 FR 16447. Apr. 19. 1976: 42 FR 49. Jan. 3. 1977)
8 110. Communications.
Except where otherwise specified in this part, all communications and reports concerning the regulations in this part should be addressed to the Director of Nuclear Reactor Regulation, or Director of Nuclear Material Safety and Safeguards, as appropriate, U.S. Nuclear Regulatory Commission, Washington, D.C. 20555. Communications and reports may be delivered in person at the Commission's offices at 1717 H Street NW., Washington, D.C., or at 7920 Norfolk Avenue, Bethesda, Md. (Sec. 201. Pub. L. 93-438, as amended, 88 Stat. 1242, 89 Stat. 415 (42 U.S.C. 5841)) (40 FR 8794, Mar. 3, 1975, as amended at 42 FR 49, Jan. 3, 1977]
$ 110.6 Reports.
(a) In the event of bodily injury or property damage arising out of or in connection with the possession or use of the radioactive material at the location or in the course of transportation or in the event any claim is made therefor, written notice containing particulars sufficient to identify the licensee and reasonably obtainable in formation with respect to the time, place, and circumstances thereof, or the nature of the claim shall be furnished by or for the licensee to the Di. rector of Nuclear Reactor Regulation, or Director of Nuclear Material Safety and Safeguards, as appropriate, U.S. Nuclear Regulatory Commission, Washington, D.C. 20555 as promptly as practicable. The terms “the radioactive material", "the location", and "in the course of transportation" as used in this section shall have the meanings defined in the applicable indemnity agreement between the licensee and the Commission.
(b) The Commission may require any person subject to this part to keep such records and furnish such reports to the Commission as the Commission deems necessary for the administra tion of the regulations in this part.
$ 110.7 Fees.
(a) Each reactor licensee shall pay a fee to the Commission based on the following schedule:
(1) For indemnification from $500 million to $400 million inclusive, a fee of $30 per year per thousand kilowatts of thermal capacity authorized in the license;
(2) For indemnification from $399 million to $300 million inclusive, a fee of $24 per year per thousand kilowatts of thermal capacity authorized in the license;
(3) For indemnification from $299 million to $200 million inclusive, a fee of $18 per year per thousand kilowatts of thermal capacity authorized in the license:
(4) For indemnification from $199 million to $100 million inclusive, a fee of $12 per year per thousand kilowatts of thermal capacity authorized in the license;
(5) For indemnification from $99 million to $1 million inclusive, a fee of $6 per year per thousand kilowatts of thermal capacity authorized in the license. Provided, however, That no fee shall be less than $100 per annum for any nuclear reactor. Such fee shall be due for the period beginning with the date on which the applicable indemnity agreement is effective and shall be paid in accordance with billing instructions received from the Commission. The various levels of indemnity fees are set forth in the schedule in this paragraph. The amount of indemnifi. cation for determining indemnity fees will be computed by subtracting from the statutory limit of liability the amount of financial protection required of the licensee. In the case of licensees subject to the provisions of $ 140.11(a)(4), this total amount shall be the amount, as determined by the Commission, of the financial protection available to licensees at the close of the calendar year preceding the one in which the fee becomes due. For those instances in which a certified fi
to enter into an indemnity agreement, or agreement amending an indemnity agreement, which contains provisions different from the form of the applicable indemnity agreement set forth in the appendices to this part, as such appendices may be amended from time to time. Such notices will provide at least a fifteen-day period following the date of publication in the FEDERAL REGISTER in which interested persons may file petitions for leave to intervene with respect to the proposed agreement. [26 FR 3457. Apr. 22, 1961)
Subpart B-Provisions Applicable
Only to Applicants and Licensees Other Than Federal Agencies and Nonprofit Educational Institutions
nancial statement is provided as a guarantee of payment of deferred premiums in accordance with $ 140.21(e), a fee of $1,000 or the indemnity fee, whichever is greater, shall be required.
(b) Where a licensee manufactures a number of nuclear reactors each having a power level not exceeding 31:3 megawatts, for sale to others and operates them at the licensee's location temporarily prior to delivery, the licensee shall report to the Commission the maximum number of such reactors to be operated at that location at any one time. In such cases, the fee shall equal $100 multiplied by the number of reactors reported by the licensee. In the event the number of reactors operated at any one time exceed the estimate so reported, the licensee shall report the additional number of reactors to the Commission and additional charges will be made. If experience shows that less than the estimated number of reactors have been operated, appropriate adjustment in subsequent bills will be made by the Commission.
(c) Each person licensed to possess and use plutonium in a plutonium processing and fuel fabrication plant shall pay to the Commission a fee of $5,000 per year for indemnification. This fee shasll be due for the period beginning with the date on which the applicable indemnity agreement is effective and shall be paid in accordance with billing instructions received from the Commission. (Sec. 201, Pub. L. 93-438, as amended, 88 Stat. 1242. 89 Stat. 415 (42 U.S.C. 5841)) [25 FR 2944, Apr. 7, 1960, as amended at 42 FR 49, Jan. 3, 1977)
This subpart applies to applicants for and holders of licenses issued pursuant to Part 50 of this chapter authorizing operation of nuclear reactors, except licenses for the conduct of educational activities issued to, or applied, for by persons found by the Commission to be nonprofit educational institutions and except pers
rsons found by the Commission to be Federal agencies. This subpart also applies to persons licensed to possess and use plutonium in a plutonium processing and fuel fabrication plant. (Sec. 201. Pub. L. 93-438, as amended. 88 Stat. 1242, 89 Siat. 415 (42 U.S.C. 5841)) [42 FR 49. Jan. 3, 1977)
8 110.8 Specific exemptions.
The Commission may, upon application of any interested person or upon its own initiative, grant such exemptions from the requirements of the regulations in this part as it determines are authorized by law and are otherwise in the public interest. 134 FR 19546. Dec. 11, 1969)
$110.11. Amounts of financial protection
for certain reactors. (a) Each licensee is required to have and maintain financial protection:
(1) In the amount of $1,000,000 for each nuclear reactor he is authorized to operate at a thermal power level not exceeding ten kilowatts;
(2) In the amount of $1,500,000 for each nuclear reactor he is authorized to operate at a thermal power level in excess of ten kilowatts but not in excess of one megawatt;
(3) In the amount of $2,500,000 for each nuclear reactor other than a testing reactor or a reactor licensed under section 104b of the Act which he is au
8 110.9 Modifications of indemnity agree
ments. The Commission will publish in the FEDERAL REGISTER a notice of its intent