55278

Proposed Rules Federal Register Vol. 76, No. 173

Wednesday, September 7, 2011

This section of the FEDERAL REGISTER the export of which requires a specific Independence Avenue, SW., contains notices to the public of the proposed authorization from the Secretary. Washington, DC 20585, telephone 202– issuance of rules and regulations. The Additionally, DOE is proposing to add 586–3429 (Ms. Barsy) or 202–586–1755 purpose of these notices is to give interested regulations to address ‘‘deemed (Mr. Oxman); or Katie Strangis, National persons an opportunity to participate in the exports.’’ Companies seeking to employ Nuclear Security Administration, Office rule making prior to the adoption of the final rules. foreign nationals in positions involving of the General Counsel, 1000 a proposed transfer of technology are Independence Avenue, SW., provided information on the Washington, DC 20585, telephone 202– DEPARTMENT OF ENERGY documentation required to be submitted 586–8623. to request specific authorization for SUPPLEMENTARY INFORMATION: 10 CFR Part 810 those transfers. Finally, DOE proposes I. Background to update its regulations in this area to II. Description of Proposed Changes RIN 1994–AA02 reflect terminological and other changes III. Public Comment Procedures in nuclear technology since the last Assistance to Foreign Atomic Energy IV. Regulatory Review major update in 1986. Finally, points of A. Executive Order 12866 Activities contact references have been updated to B. National Environmental Policy Act C. Regulatory Flexibility Act AGENCY: National Nuclear Security reflect the current DOE organizational structure. D. Paperwork Reduction Act Administration, Department of Energy E. Unfunded Mandates Reform Act of 1995 (DOE). DATES: Written comments must be F. Treasury and Government ACTION: Notice of proposed rulemaking. postmarked on or before November 7, Appropriations Act, 1999 2011 to ensure consideration. G. Executive Order 13132 H. Executive Order 12988 SUMMARY: DOE proposes to amend its ADDRESSES: You may submit comments, I. Treasury and General Government regulation concerning unclassified identified by RIN 1994–AA02, by any of assistance to foreign atomic energy Appropriations Act, 2001 the following methods: J. Executive Order 13211 activities. This regulation provides that 1. Federal eRulemaking Portal: http:// V. Approval by the Office of the Secretary persons subject to the jurisdiction of the www.regulations.gov. Follow the who engage directly or instructions for submitting comments. I. Background indirectly in the production of special 2. E-mail: [email protected] DOE’s regulation in 10 CFR part 810 nuclear material outside the United Include RIN 1994–AA02 in the subject implements section 57b. of the Atomic States must be authorized to do so by line of the message. Energy Act of 1954, as amended by the Secretary of Energy (Secretary). The 3. Mail: Richard Goorevich, Senior section 302 of the Nuclear Non- proposed revisions update and clarify Policy Advisor, Office of Proliferation Act of 1978 (NNPA) (42 several provisions in the current Nonproliferation and International U.S.C 2077(b)). The statute provides that regulation, and identify information Security, NA 24, National Nuclear it ‘‘shall be unlawful for any person to applicants are required to submit in Security Administration, Department of directly or indirectly engage or support of applications for an Energy, 1000 Independence Avenue, participate in the development or authorization under this part. The SW., Washington, DC 20585. production of any special nuclear revisions are intended to reduce Due to potential delays in DOE’s material outside of the United States uncertainties for industry users receipt and processing of mail sent except (1) As specifically authorized concerning which foreign nuclear- through the U.S. Postal Service, DOE under an agreement for cooperation related activities by U.S. persons are encourages responders to submit made pursuant to section 123 * * * or ‘‘generally authorized’’ under the comments electronically to ensure (2) upon authorization by the Secretary regulation and which activities require timely receipt. of Energy after a determination that a ‘‘specific authorization’’ from the All submissions must include the RIN such activity will not be inimical to the Secretary. In this regard, one proposed for this rulemaking, RIN 1994–AA02. interest of the United States. * * *’’ organizational change is the listing of For detailed instructions on submitting Part 810 regulates the export of countries and territories for which a comments and additional information unclassified nuclear technology and general authorization for foreign atomic on the rulemaking process, see the assistance, to facilitate international energy activities is available. This ‘‘Public Comment Procedures’’ heading commerce while at the same time proposed change contrasts with the of the SUPPLEMENTARY INFORMATION protecting against the spread of nuclear current regulation, which lists those section of this document. technologies and material that would be countries for which a specific FOR FURTHER INFORMATION CONTACT: contrary to the nonproliferation and authorization to conduct such activities Richard Goorevich, Senior Policy other national security interests of the is required. Unclassified nuclear Advisor, Office of Nonproliferation and United States. More specifically, the activities are generally authorized with International Security, NA 24, National purposes of the part 810 regulation are: respect to these listed countries if they Nuclear Security Administration, (1) To enable DOE to control the export do not involve ‘‘sensitive nuclear Department of Energy, 1000 of nuclear technologies and services technology’’ as defined in the Independence Avenue, SW., while protecting the interest of, and regulation. Conversely, the proposed Washington, DC 20585, telephone 202– advancing, U.S. nonproliferation and revised regulation specifically identifies 586–0589; Janet Barsy or Elliot Oxman, other national security objectives; (2) to those assistance activities and Office of the General Counsel, GC–53, facilitate such exports by identifying technologies under DOE’s jurisdiction, Department of Energy, 1000 nuclear technology and related

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assistance activities that can be 2. The proposed changes to ‘‘Interpretations’’ would be changed to ‘‘generally authorized’’ by the Secretary paragraghs (a) and (b) in § 810.2 identify the responsible office under the and thus require no further ‘‘Scope’’ are intended to state explicitly current Departmental organizational authorization under part 810; (3) to DOE’s jurisdiction under section 57 b. of structure to which applications, identify the specific transfers of the Atomic Energy Act with regard to questions, or requests should be assistance and technology which require unclassified nuclear export activities by addressed. This proposed revision is specific authorization by the Secretary; U.S. persons that include assistance and intended to ensure that part 810-related (4) to explain how to request a specific transfer of technology abroad and to correspondence will be directed authorization from the Secretary; and (5) foreign nationals employed by U.S. appropriately and help facilitate prompt to identify the reporting requirements companies, whether the subject responses to those applications, for activities subject to part 810. activities are conducted in the United questions, or other requests. The part 810 regulation has not been States or abroad by U.S. persons or by 5. The current § 810.6 ‘‘Authorization comprehensively updated since 1986. licensees, contractors or subsidiaries requirement’’ quotes section 57 b. of the Some of the terminology contained in under their direction, supervision, Atomic Energy Act. This notice the current regulation has become responsibility, or control. Proposed proposes to delete the quotation, and to inconsistent with guidelines issued by § 810.2(c) would retain the exemptions address the statutory basis instead in the the Nuclear Suppliers Group (NSG), an for all exports licensed by the Nuclear ‘‘Authority’’ section of the preamble and international group of nuclear supplier Regulatory Commission; and would proposed § 810.1 ‘‘Purpose’’. countries, including the United States, exempt ‘‘public information’’ and ‘‘basic 6. Proposed § 810.6 ‘‘Generally which seeks to promote the scientific research’’ as those terms are Authorized Activities’’—currently nonproliferation of nuclear weapons proposed to be defined in § 810.3. § 810.7, re-numbered § 810.6 in the through the implementation of Additionally, proposed § 810.2(c) would proposed rule—would identify activities guidelines for nuclear exports. The make clear the exclusion from the scope that are generally authorized by the existing part 810 regulation also of the part 810 regulation of uranium Secretary, and the countries and contains certain technical references and thorium mining and milling and territories to which general and definitions that do not reflect nuclear fusion reactors when not used authorizations apply. Section 810.6(a) current science, and other terms and in support of systems involving would identify generally authorized references whose inclusion in the hydrogen isotope separation. The activities. Section 810.6(b) would regulation is no longer necessary. proposed addition of these two identify the countries and territories, and facilities therein, that would qualify II. Description of Proposed Changes exemptions is intended to clarify that activities related to uranium and for a general authorization. The current DOE is publishing this notice of thorium mining and milling and nuclear § 810.7 (b) ‘‘furnishing public proposed rulemaking (NOPR) to clarify fusion reactors, per se, are not within information’’ would be deleted from the the regulatory restrictions and the scope of part 810. list of generally authorized activities requirements pertaining to unclassified 3. In proposed § 810.3 ‘‘Definitions’’, and would be included in proposed atomic energy assistance, and nuclear a number of new definitions are § 810.2, as exempt from the scope of this technology transfers, to foreign proposed to reflect terminological part. Current § 810.7(c) would be destinations. The proposed changes changes and technological deleted. The ‘‘fast track’’ safety general would update some of the definitions developments since the part 810 authorization has rarely been used, and used in the regulation; identify regulation was last updated (in 1986), has proved confusing to applicants. In countries and territories as to which a and to provide additional clarity to summary, the proposed § 810.6 would ‘‘general authorization’’ applies; and certain terms currently defined and identify the activities, countries, identify the activities subject to a used in the regulation. For example, the territories, destinations, and facilities to ‘‘specific authorization’’. Additionally, definition of ‘‘accelerator-driven which the general authorization is the proposed rule would: (1) Make clear subcritical assembly’’ would be replaced applicable. what types of technology transfers, with ‘‘production accelerator-driven 7. Proposed § 810.7 Activities which can include either technical data subcritical assembly system’’; the terms requiring specific authorization. This or technical assistance, fall within the ‘‘non-nuclear-weapon state’’, proposed section, renumbered from scope of the regulation; (2) provide for ‘‘operational safety’’ and ‘‘subcritical § 810.8, would be modified to indicate added technical clarity of certain terms assembly’’ are proposed to be deleted that, unless an activity is generally and technology; (3) revise, delete, and from the current definitions. The authorized under proposed § 810.6, a add definitions for certain terms proposed rule would also add new and specific authorization from the contained in the regulation; (4) identify revised definitions: ‘‘basic scientific Secretary would be required before the information required to be provided research,’’ ‘‘cooperative enrichment engaging directly or indirectly in the by applicants for a part 810 enterprise’’, ‘‘enrichment,’’ ‘‘fissile production of special nuclear material authorization, including requests for material’’, ‘‘production accelerator’’, outside the United States. The current authorization of ‘‘deemed exports’’; and ‘‘production accelerator-driven regulation in § 810.2 (a) provides a (5) update points of contact information subcritical assembly system’’, broad general authorization for all to reflect current Departmental ‘‘production subcritical assembly’’, activities not requiring a specific organizational structure and office ‘‘reprocessing’’, ‘‘specific authorization as described in § 810.8. designations. authorization’’, ‘‘specifically authorized 8. Proposed § 810.8 Restrictions on The proposed changes to part 810 are nuclear activities’’, ‘‘technology’’ general and specific authorization. The summarized below in the order in (including ‘‘development’’ and present restrictions, currently in § 810.9, which they appear: ‘‘production’’), ‘‘technical assistance’’, would remain unchanged. 1. The proposed changes to § 810.1 ‘‘technical data’’, and ‘‘use’’. Definitions 9. Proposed § 810.9 ‘‘Grant of specific ‘‘Purpose’’ would state the statutory are also proposed to be added for authorization’’—currently § 810.10— basis for the regulation and clarify the ‘‘DOE’’ and ‘‘Secretary’’. would add a new paragraph (b) to purpose and authorization 4. Proposed §§ 810.4 establish a time limit on all specific requirements. ‘‘Communications’’ and 810.5 authorizations. Each specific

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authorization approved by the Secretary intended to address situations Room (1E–190), 1000 Independence is proposed to be limited to a period of comparable to those covered by the Avenue, SW., Washington, DC 20585, up to five years. This proposal is ‘‘deemed export’’ rule in 15 CFR between the hours of 9 a.m. and 4 p.m., intended to ensure that U.S. persons 734.2(b)(2) of the Commerce Monday through Friday, except Federal granted specific authorizations from the Department’s Export Administration holidays. Members of the public who Secretary keep DOE informed of their Regulations. Under this proposal, no wish to review the comments submitted activities and planned nuclear part 810 specific authorization would be should contact Alexander Morris, FOIA technology transfers, and to facilitate required if the foreign national Officer, at (202) 586–3159. Comments DOE’s ability to confirm the adherence employee (or prospective employee) is made on this rulemaking will also be of those activities to U.S. lawfully admitted for permanent posted on http://www.regulations.gov. nonproliferation policy. Additionally, residence in the United States, or is a Written comments received by the date language would be included in protected individual under the indicated in the DATES section of this proposed § 810.9(b) identifying the Immigration and Nationalization Act (8 notice of proposed rulemaking will be factors, consonant with U.S. U.S.C. 1324b(a)(3)). As proposed, the addressed and considered prior to international nonproliferation part 810 regulation would make explicit publication of the final rule. Any commitments, considered by the DOE’s current practice of requiring an information that a commenter considers Secretary in granting a specific applicant to provide detailed to be confidential must be so identified authorization. Proposed § 810.9(c) information concerning the nationality, and submitted in writing, one copy would be expanded to provide clarity to visa status, educational background, and only. DOE reserves the right to applicants that request a specific employment history of each foreign determine the appropriateness of authorization to transfer sensitive national to whom the applicant seeks to confidential status for the information nuclear technology as defined in grant access to technology subject to the and to treat it in accordance with its proposed § 810.3. In addition to the part 810 regulation. In addition, the determination. See 10 CFR 1004.11. current requirements of sections 127 applicant must provide a description of and 128 of the Atomic Energy Act, the the subject technology, a copy of any IV. Regulatory Review proposed regulation lists criteria, confidentiality agreement between the A. Executive Order 12866 relevant to U.S. nonproliferation policy U.S. company employer and the foreign and international commitments, that national, and written nonproliferation This proposed rule has been would be considered in determining assurances by the foreign national. determined to not be a significant whether to authorize an export Finally, proposed paragragh (d) would regulatory action under Executive Order involving sensitive nuclear technology. identify the information required to be 12866, ‘‘Regulatory Planning and A new paragraph (d) is proposed to be submitted by an applicant seeking a Review,’’ 58 FR 51735 (October 4, 1993). added, concerning requests to engage in specific authorization to engage in Accordingly, this action was not subject foreign atomic energy assistance foreign atomic energy assistance to review under that Executive Order by activities related to the enrichment of activities related to the enrichment of the Office of Information and Regulatory fissile material (as defined in proposed fissile material. Affairs of the Office of Management and § 810.3). The proposed provision is 12. The current §§ 810.13, 810.14, and Budget. designed to facilitate U.S. conformity to 810.15 would be renumbered as B. National Environmental Policy Act the Nuclear Suppliers Group proposed § 810.12 Reports, proposed Guidelines. § 810.13 Additional information, and DOE has determined that this 10. The current § 810.11 is proposed proposed § 810.14 Violations. A proposed rule is covered under the as § 810.10 Revocation, suspension, or proposed addition in § 810.12(g) would Categorical Exclusion found in DOE’s modification of authorization. Proposed allow DOE to require companies granted National Environmental Policy Act § 810.10(c) would add the phrase ‘‘or authorizations under part 810 to submit regulations at paragraph A5 of technology transfer’’ after the words certain reports to DOE, to include Appendix A to subpart D, 10 CFR part ‘‘authorized assistance.’’ information required by U.S. law 1021, categorical exclusion A5, which 11. The current § 810.12 is proposed concerning specific nuclear activities or applies to a rule or regulation that as § 810.11, Information required in an specific countries exports to which interprets or amends an ‘‘existing rule or application for specific authorization, require a specific authorization. regulation that does not change the and would be expanded to add more Because DOE is making changes to environmental effect of the rule or detail about the information required for most sections of part 810, it is regulation being amended.’’ DOE to process a specific authorization publishing the entire part 810 for public Accordingly, neither an environmental request, including applications for comment. assessment nor an environmental ‘‘deemed export’’ authorization. Section impact statement is required. 810.11(a) would require the submission III. Public Comment Procedures C. Regulatory Flexibility Act of the same information required by the Interested persons are invited to current regulation (§ 810.12(a)). participate by submitting data, views, or The Regulatory Flexibility Act (5 Proposed paragraph (b) would solicit arguments. Written comments should be U.S.C. 601 et seq.) requires preparation any information the applicant wishes to submitted to the address indicated in of an initial regulatory flexibility provide concerning the factors listed in the ADDRESSES section of this notice. All analysis for any rule that by law must proposed § 810.9(b). Proposed comments submitted in writing or in be proposed for public comment, unless paragraph (c) would address the electronic form may be made available the agency certifies that the rule, if required content for applications filed to the public in their entirety. Personal promulgated, will not have a significant by U.S. companies seeking to employ, information such as your name, address, economic impact on a substantial and to accord access to nuclear telephone number, e-mail address, etc., number of small entities. As required by technology subject to this part by, will not be removed from your Executive Order 13272, ‘‘Proper foreign nationals with temporary, submission. Comments will be available Consideration of Small Entities in student, or immigrant visa status in the for public inspection in the DOE Agency Rulemaking,’’ 67 FR 53461 United States. This proposed section is Freedom of Information Act Reading (August 16, 2002), DOE published

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procedures and policies on February 19, and ‘‘use’’. These definitional updates applying for a specific authorization. 2003, to ensure that the potential and additions would not change the Paragragh (a) would provide updated impacts of its rules on small entities are scope of the activities controlled under information on the current DOE properly considered during the this part. Rather, the new and revised organizational structure. Paragragh (b) rulemaking process (68 FR 7990). DOE definitions should provide greater would retain identification of the other has made its procedures and policies clarity to small businesses, decrease the U.S. departments and agencies (the available on the Office of the General time for small businesses to evaluate Departments of State, Defense, and Counsel’s Web site: http:// activities for implications of this Commerce, and the Nuclear Regulatory www.gc.doe.gov. regulation, and also lessen the costs Commission) that review part 810 DOE has reviewed this proposed rule associated with developing authorization requests; it would also under the provisions of the Regulatory documentation to support their include a time limit on specific Flexibility Act and the procedures and applications for authorization. authorizations, and revise and add policies published on February 19, Section 810.4 and § 810.5 are factors DOE would consider in making 2003. The proposed rule offers clarity proposed to be changed to reflect the an authorization determination. The on regulatory restrictions and current organizational structure of the five-year maximum period has been a requirements pertaining to unclassified DOE office responsible for matter of DOE practice for a number of assistance to foreign atomic energy administering part 810, and should not years; it is now being proposed to be activities; it does not expand the scope impact small businesses. The proposed added to the regulation to provide of activities currently regulated under revision will help ensure that clarity to companies applying for a 10 CFR part 810. correspondence is directed specific authorization. Paragragh (b) The proposed changes to the appropriately and expedite application would be expanded to provide preamble of part 810 and § 810.1 processing time. Section 810.6 would be additional information to U.S. reposition (to the ‘‘Authority’’ section, deleted. It quotes the provisions of companies that request a specific above) and update statutory citations, section 57 b. of the Atomic Energy Act authorization to transfer sensitive and clarify the purpose statement. There of 1954 and is not required for the text nuclear technology. This change should is no change that will impact small of the regulation. Its deletion would provide useful information to businesses or the review time necessary require an applicant to consult a source applicants, but not create additional to prepare or submit requests for outside part 810 to locate the statutory requirements or negatively impact a authorization. text of section 57 b. small business applying for a specific Section 810.2 is proposed to be Sections 810.7, Generally authorized authorization. A new paragragh (c) is expanded to provide further detail on activities, and 810.8, Activities proposed, concerning activities related the scope of activities that are subject to requiring specific authorization, would to the enrichment of fissile material; and part 810. As a consequence, more be revised and renumbered as §§ 810.6 has been added to facilitate U.S. information will be available to small and 810.7, respectively. The revised text conformity to the Nuclear Suppliers businesses as they formulate their of § 810.6 would provide more detail Group Guidelines. Although satisfaction business strategies. These changes concerning activities that are generally of the requirements of this proposal should assist small businesses to authorized by the Secretary, and would require more effort by an determine which nuclear export identify countries and territories, and applicant, it is unlikely that a small activities undertaken with foreign facilities therein, to which general business would engage in foreign atomic parties require authorization under this authorizations apply. The proposed energy activities involving the part. This additional information should change should only impact small enrichment of fissile material. reduce the time required to identify businesses positively. Providing this activities that are controlled by part 810, clarification concerning activities that New § 810.10, Revocation, and also lessen the costs associated with are generally authorized would assist suspension, or modification of developing documentation to support small businesses to determine when authorizations, has minimal proposed applications for authorization. they need to submit a request for updates, and is intended to provide Section 810.3, Definitions, is specific authorization, as stated in greater clarity. New § 810.11, proposed to be updated to reflect proposed § 810.7. Paragraghs (a) and (g) Information required in an application changes in technology and to provide of current § 810.7 would be deleted for specific authorization, would be additional clarity. Specifically, for because the regulation does not control expanded to add more detail about the example, the definition of ‘‘accelerator- public information; therefore a general information required to process an driven subcritical assembly’’ would be authorization is not necessary. The authorization, including a ‘‘deemed replaced with ‘‘production accelerator- substance of paragragh (b) of the current export’’ authorization. The revisions to driven subcritical assembly system’’; § 810.7 would be retained and this section would provide additional, and the terms ‘‘non-nuclear-weapon renumbered as § 810.6(b)(2). The current and more specific, information state’’ and ‘‘operational safety and § 810.7(c) would be deleted from the concerning the matters required to be subcritical assembly’’ would be deleted text. This ‘‘fast track’’ safety general addressed in an application, thus from the regulation. New and revised authorization has been used only once, making the application process clearer definitions would be added: ‘‘basic by a large corporation, to address an to small businesses. Adoption of this scientific research’’, ‘‘cooperative imminent threat to the public after an proposed revision should positively enrichment enterprise’’, ‘‘DOE’’, earthquake. impact the amount of time and ‘‘enrichment’’, ‘‘fissile material’’, New § 810.8, Restrictions on general resources a small business would have ‘‘production accelerator-driven and specific authorizations, would to devote to the application process, subcritical assembly system’’, continue the same restrictions as are without adding any new requirements ‘‘production subcritical assembly’’, contained in the current part 810, and for small businesses and also decreasing ‘‘reprocessing’’, ‘‘Secretary’’, ‘‘specific therefore would not add any new the processing time for the application authorization’’, ‘‘specifically authorized burdens on small businesses. New within the Department. New § 810.11 nuclear activities’’, ‘‘technology’’, § 810.9, grant of specific authorization, would also require an applicant to ‘‘technical assistance’’, ‘‘technical data’’, is proposed to outline the process for provide information concerning

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activities related to the enrichment of On the basis of the foregoing, DOE Act, 1999 (Pub. L. 105–277) requires fissile materials. As noted, it is unlikely certifies that this proposed rule would Federal agencies to issue a Family that a small business would engage in not have a significant economic impact Policymaking Assessment for any foreign atomic energy assistance on a substantial number of small proposed rule that may affect family activities of this nature. entities. Accordingly, DOE has not well being. The proposed rule would New § 810.12, Reports, would be prepared a regulatory flexibility analysis not have any impact on the autonomy updated with the correct DOE for this rulemaking. DOE’s certification or integrity of the family as an organizational structure, with no and supporting statement of factual institution. Accordingly, DOE has adverse impact on small businesses. The basis will be provided to the Chief concluded that it is not necessary to proposed changes to §§ 810.13 and Counsel for Advocacy of the Small prepare a Family Policymaking 810.14 are minimal, and should impose Business Administration pursuant to 5 Assessment. U.S.C. 605(b). no increased burden on applicants. G. Executive Order 13132 In practice, the requirements for small D. Paperwork Reduction Act Executive Order 13132, ‘‘Federalism,’’ businesses exporting nuclear technology The proposed rule would not impose 64 FR 43255 (August 4, 1999), imposes would not substantively change because a collection of information requirement certain requirements on agencies the proposed revisions to this rule do subject to the Paperwork Reduction Act formulating and implementing policies not impact sections of the rule (44 U.S.C. 3501 et seq.). or regulations that preempt State law or containing those requirements or add that have federalism implications. new burdens or duties to small E. Unfunded Mandates Reform Act of Agencies are required to examine the businesses. The obligations of any 1995 constitutional and statutory authority person subject to the jurisdiction of the The Unfunded Mandates Reform Act supporting any action that would limit United States who engages directly or of 1995 (Pub. L. 104–4) generally the policymaking discretion of the indirectly in the production of special requires Federal agencies to examine States and carefully assess the necessity nuclear material outside the United closely the impacts of regulatory actions for such actions. DOE has examined this States would not change in a manner on State, local, and tribal governments. proposed rule and has determined that that would have any impact on small Section 101(5) of title I of that law it would not preempt State law and businesses. defines a Federal intergovernmental would not have a substantial direct Furthermore, DOE has conducted a mandate to include any regulation that effect on the States, on the relationship review of the potential small businesses would impose upon State, local, or between the national government and that may be impacted by this proposed tribal governments an enforceable duty, the States, or on the distribution of rule. This review consisted of an except a condition of Federal assistance power and responsibilities among the analysis of the number of businesses or a duty arising from participating in a various levels of government. No further impacted generally since 2007–2008, voluntary federal program. Title II of action is required by Executive Order and a determination of which of those that law requires each Federal agency to 13132. are considered ‘‘small businesses’’ by assess the effects of Federal regulatory H. Executive Order 12988 the Small Business Administration. actions on State, local, and tribal Approximately 90% of the businesses governments, in the aggregate, or to the With respect to the review of existing impacted by this rule are not considered private sector, other than to the extent regulations and the promulgation of small businesses (out of 56 businesses such actions merely incorporate new regulations, section 3(a) of examined, 5 qualify as small requirements specifically set forth in a Executive Order 12988, ‘‘Civil Justice businesses). Additionally, the number of statute. Section 202 of that title requires Reform,’’ 61 FR 4729 (February 7, 1996), requests for authorization or reports of a Federal agency to perform a detailed imposes on Executive agencies the generally authorized activities from assessment of the anticipated costs and general duty to adhere to the following each small business on average was one benefits of any rule that includes a requirements: (1) Eliminate drafting or fewer per year, while larger Federal mandate which may result in errors and ambiguity; (2) write companies had as many as 100 requests costs to State, local, or tribal regulations to minimize litigation; and for authorization or reports of generally governments, or to the private sector, of (3) provide a clear legal standard for authorized activities per year. The latter $100 million or more in any one year affected conduct rather than a general businesses fall within two North (adjusted annually for inflation). 2 standard and promote simplification American Industry Classification U.S.C. 1532(a) and (b). Section 204 of and burden reduction. With regard to System codes, for engineering services that title requires each agency that the review required by section 3(a), and computer systems designs services. proposes a rule containing a significant section 3(b) of Executive Order 12988 Often, their requests for authorization Federal intergovernmental mandate to specifically requires that Executive include the transfer of computer codes develop an effective process for agencies make every reasonable effort to or other similar products. The proposed obtaining meaningful and timely input ensure that the regulation: (1) Clearly changes to this rule would not alter from elected officers of State, local, and specifies the preemptive effect, if any; whether these businesses do or do not tribal governments. 2 U.S.C. 1534. (2) clearly specifies any effect on receive authorization under part 810, This proposed rule would not impose existing Federal law or regulation; thus not adversely affecting their ability a Federal mandate on State, local, or (3) provides a clear legal standard for to conduct business in the same manner tribal governments or on the private affected conduct while promoting they do at present. Moreover, they will sector. Accordingly, no assessment or simplification and burden reduction; benefit from a clarified request process. analysis is required under the Unfunded (4) specifies the retroactive effect, if any; Generally, small businesses reported Mandates Reform Act of 1995. (5) adequately defines key terms; and that their initial filing of a part 810 (6) addresses other important issues request for authorization required up to F. Treasury and General Government affecting clarity and general 40 hours of legal assistance, but follow- Appropriations Act, 1999 draftsmanship under any guidelines on reporting and requests required Section 654 of the Treasury and issued by the Attorney General. Section significantly less such assistance. General Government Appropriations 3(c) of Executive Order 12988 requires

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Executive agencies to review regulations V. Approval by the Office of the and thus require no other authorization in light of applicable standards in Secretary under this part; section 3(a) and section 3(b) to The Office of the Secretary of Energy (b) Identify activities that require determine whether they are met or it is has approved the publication of this specific authorization by the Secretary unreasonable to meet one or more of proposed rule. and explain how to request them. DOE has completed the required authorization; and review and determined that, to the List of Subjects in 10 CFR Part 810 (c) Specify reporting requirements for extent permitted by law, the proposed Foreign relations, Nuclear energy, activities subject to this part. Reporting and recordkeeping rule meets the relevant standards of § 810.2 Scope. Executive Order 12988. requirements. (a) This part applies to: Issued in Washington, DC, on August 17, I. Treasury and General Government 2011. (1) All persons subject to the jurisdiction of the United States Appropriations Act, 2001 Steven Chu, (hereinafter ‘‘U.S. persons’’) who or that The Treasury and General Secretary of Energy. engage directly or indirectly in the Government Appropriations Act, 2001 For the reasons stated in the production of special nuclear material (44 U.S.C. 3516 note), provides for preamble, DOE proposes to amend title outside the United States, by agencies to review most disseminations 10 of the Code of Federal Regulations by transferring to foreign persons of information to the public under revising part 810 to read as follows: technology that is related to the guidelines established by each agency production of special nuclear material; pursuant to general guidelines issued by PART 810—ASSISTANCE TO FOREIGN and OMB. ATOMIC ENERGY ACTIVITIES (2) Assistance and the transfer of OMB’s guidelines were published at Sec. technology by U.S. persons to foreign 67 FR 8452 (February 22, 2002), and 810.1 Purpose. persons, conducted either in the United DOE’s guidelines were published at 67 810.2 Scope. States or abroad by U.S. persons or by 810.3 Definitions. licensees, contractors or subsidiaries FR 62446 (October 7, 2002). DOE has 810.4 Communications. under their direction, supervision, reviewed this proposed rule under the 810.5 Interpretations. responsibility, or control. OMB and DOE guidelines and has 810.6 Generally authorized activities. (b) The activities referred to in concluded that it is consistent with 810.7 Activities requiring specific paragraph (a) of this section involve the applicable policies in those guidelines. authorization. 810.8 Restrictions on general and specific following: J. Executive Order 13211 authorization. (1) Chemical conversion and 810.9 Grant of specific authorization. purification of uranium and thorium Executive Order 13211, ‘‘Actions 810.10 Revocation, suspension, or from milling plant concentrates and in Concerning Regulations That modification of authorization. all subsequent steps in the nuclear fuel Significantly Affect Energy Supply, 810.11 Information required in an cycle; Distribution, or Use,’’ 66 FR 28355 (May application for specific authorization. (2) Chemical conversion and 810.12 Reports. purification of plutonium and 22, 2001), requires Federal agencies to 810.13 Additional information. prepare and submit to OMB a Statement 810.14 Violations. neptunium; of Energy Effects for any proposed 810.15 Effective date and savings clause. (3) Nuclear fuel fabrication, including preparation of fuel elements, fuel significant energy action. A ‘‘significant Authority: Secs. 57, 127, 128, 129, 161, and energy action’’ is defined as any action 223, Atomic Energy Act of 1954, as amended assemblies and cladding thereof; by an agency that promulgated or is by the Nuclear Non-Proliferation Act of 1978, (4) Uranium isotope separation expected to lead to promulgation of a Pub. L. 95–242, 68 Stat. 932, 948, 950, 958, (uranium enrichment), plutonium final rule, and that: (1) Is a significant 92 Stat. 126, 136, 137, 138 (42 U.S.C. 2077, isotope separation, and isotope regulatory action under Executive Order 2156, 2157, 2158, 2201, 2273); sec. 104 of the separation of any other elements 12866, or any successor order; and (2) Energy Reorganization Act of 1974, Pub. L. (including stable isotope separation) 93–438; sec. 301, Department of Energy when the technology or process can be is likely to have a significant adverse Organization Act, Pub. L. 95–91; National effect on the supply, distribution, or use applied directly or indirectly to Nuclear Security Administration Act, Pub. L. uranium or plutonium; of energy, or (3) is designated by the 106–65, 50 U.S.C. 2401 et seq., as amended. (5) Nuclear reactors; Administrator of OIRA as a significant § 810.1 Purpose. (6) Accelerator-driven subcritical energy action. For any proposed assembly systems, specially designed or significant energy action, the agency These regulations implement section 57 b. of the Atomic Energy Act, which intended for plutonium or uranium-233 must give a detailed statement of any production; adverse effects on energy supply, empowers the Secretary, with the concurrence of the Department of State (7) Hydrogen isotope separation and distribution, or use should the proposal and after consultation with the Nuclear heavy water production; be implemented, and of reasonable Regulatory Commission (NRC), the (8) Reprocessing of irradiated nuclear alternatives to the action and their Department of Commerce, and the materials or targets containing special expected benefits on energy supply, Department of Defense, to authorize nuclear material; distribution, and use. This regulatory persons subject to the jurisdiction of the (9) Changes in form or content of action would not have a significant United States to engage directly or irradiated nuclear materials containing adverse effect on the supply, indirectly in the production of special special nuclear material, and hot cell distribution, or use of energy and is nuclear material outside the United facilities; therefore not a significant energy action. States. The purpose of the regulations in (10) Storage of irradiated nuclear Accordingly, DOE has not prepared a this part is to: materials; Statement of Energy Effects. (a) Identify activities that are (11) Processing of high level generally authorized by the Secretary radioactive waste;

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(12) Movement of irradiated nuclear Foreign national means an individual primarily for the production of materials, including specially designed who is not a citizen or national of the plutonium or uranium-233. containers therefor; United States. Production subcritical assembly (13) The transfer of technology for the Foreign person means a person other means an apparatus that contains source development, production, or use of than a U.S. person. material or special nuclear material to equipment or material specially General authorization means an produce a nuclear fission chain reaction designed or prepared for any of the authorization granted by the Secretary that is not self-sustaining and that is above listed activities. (See NRC under section 57 b.(2) of the Atomic specially designed, used, or intended for regulations under 10 CFR part 110, Energy Act to provide assistance to the production of plutonium or Appendix A through Appendix K) for foreign atomic energy activities subject uranium-233. an illustrative list of items considered to to this part 810 and which does not Public information means: be specially designed or prepared for require a request for, or the Secretary’s (1)(i) Information available in certain listed nuclear activities.); and issuance of, a specific authorization. periodicals, books, or other print or (14) Other activities related to the IAEA means the International Atomic electronic media for distribution to any production of special nuclear material Energy Agency. member of the public, or to a NNPA means the Nuclear Non- outside the United States as the community of persons such as those in Proliferation Act of 1978, Pub. L. 95– Secretary may determine, notice of a scientific, engineering, or educational which shall be published in the Federal 242, 22 U.S.C. 3201 et seq. NPT means the Treaty on the Non- discipline or in a particular commercial Register. activity who are interested in a subject (c) This part does not apply to: Proliferation of Nuclear Weapons, done matter; (1) Exports licensed by the NRC; on July 1, 1968. (2) Public information or basic Nuclear reactor means an apparatus, (ii) Information available in public scientific research; other than a nuclear explosive device, libraries, public reading rooms, public (3) Uranium and thorium mining and designed or used to sustain nuclear document rooms, public archives, or milling; and fission in a self-supporting chain public data banks, or in university (4) Nuclear fusion reactors per se, reaction. courses; except for supporting systems involving Open meeting means a conference, (iii) Information that has been hydrogen isotope separation. seminar, trade show, or other gathering presented at an open meeting (see that all technically qualified members of definition of ‘‘open meeting’’); § 810.3 Definitions. the public may attend and at which they (iv) Information that has been made As used in this part 810: may make written or other personal available internationally without Agreement for cooperation means an record of the proceedings, restriction on its further dissemination; agreement with another nation or group notwithstanding that— or of nations concluded under sections 123 (1) A reasonable registration fee may (v) Information contained in an or 124 of the Atomic Energy Act. be charged; or application that has been filed with the Atomic Energy Act means the Atomic (2) A reasonable numerical limit U.S. Patent Office and eligible for Energy Act of 1954, as amended. exists on actual attendance. foreign filing under 35 U.S.C. 184 or Basic scientific research means Person means— that has been made available under 5 experimental or theoretical work (1)(i) Any individual, corporation, U.S.C. 552, the Freedom of Information undertaken principally to acquire new partnership, firm, association, trust, Act. knowledge of the fundamental estate, public or private institution, (2) Public information must be principles of phenomena and observable group, Government agency other than available to the public prior to, or at the facts, not primarily directed towards a DOE, or any State or political entity same time as, it is transmitted to a specific practical aim or objective. within a State; and Classified information means national foreign recipient. It does not include (ii) Any legal successor, any technical embellishment, security information classified under representative, agent, or agency of the Executive Order 13526 or any enhancement, explanation or foregoing. interpretation that in itself is not public predecessor or superseding order, or (2) Persons under U.S. jurisdiction are information, or information subject to Restricted Data classified under the responsible for their foreign licensees, sections 147 and 148 of the Atomic Atomic Energy Act. contractors, or subsidiaries to the extent Energy Act. Cooperative enrichment enterprise that the former have control over the means a multi-country or multi- activities of the latter. Reprocessing means a process or company (where at least two of the Production accelerator means a operation, the purpose of which is to companies are incorporated in different particle accelerator specially designed, extract radioactive isotopes from countries) joint development or used, or intended for use with a irradiated source and special nuclear production effort. The term includes a production subcritical assembly. materials for further use. consortium of countries or companies or Production accelerator-driven Restricted Data means all data a multi-national corporation. subcritical assembly system means a concerning: DOE means the U.S. Department of system comprised of a production (1) Design, manufacture, or utilization Energy. subcritical assembly and a production of atomic weapons; Enrichment means isotope separation accelerator and which is specially (2) The production of special nuclear of uranium or isotope separation of designed, used, or intended for the material; or plutonium, regardless of the type of production of plutonium or uranium- (3) The use of special nuclear material process or separation mechanism used. 233. In such a system, the production in the production of energy, but shall Fissile material means isotopes that accelerator target provides a source of not include data declassified or readily fission after absorbing a neutron neutrons used to effect special nuclear removed from the Restricted Data of any energy, either fast or slow. Fissile material production in the production category pursuant to section 142 of the materials are uranium-235, uranium- subcritical assembly. Atomic Energy Act. 233, plutonium-239, and plutonium- Production reactor means a nuclear Secretary means the Secretary of 241. reactor specially designed or used Energy.

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Sensitive nuclear technology means (i) Design; § 810.5 Interpretations. any information (including information (ii) Design research; (a) The advice of the DOE Office of incorporated in a production or (iii) Design analysis; Nonproliferation and International utilization facility or important (iv) Design concepts; Security may be requested on whether component part thereof) that is not (v) Assembly and testing of a proposed activity falls outside the available to the public (see definition of prototypes; scope of this part, is generally ‘‘public information’’) which is (vi) Pilot production schemes; authorized under § 810.6, or requires important to the design, construction, (vii) Design data; specific authorization under § 810.7. fabrication, operation, or maintenance (viii) Process of transforming design However, unless authorized by the of a uranium enrichment or nuclear fuel data into a product; Secretary in writing, no interpretation of reprocessing facility or a facility for the (ix) Configuration design; the regulations in this part other than a production of heavy water, but shall not (x) Integration design; and written interpretation by the DOE include Restricted Data controlled (xi) Layouts. General Counsel is binding upon DOE. pursuant to chapter 12 of the Atomic (2) Production means all production (b) When advice is requested from the Energy Act. The information may take a phases such as: DOE Office of Nonproliferation and tangible form such as a model, (i) Construction; International Security, or a binding, prototype, blueprint, or operation (ii) Production engineering; written determination is requested from manual or an intangible form such as (iii) Manufacture; the DOE General Counsel, a response technical services. (iv) Integration; normally will be made within 30 days Source material means: and, if this is not feasible, an interim (1) Uranium or thorium, other than (v) Assembly or mounting; (vi) Inspection; response will explain the reason for the special nuclear material; or delay. (2) Ores that contain by weight 0.05 (vii) Testing; and percent or more of uranium or thorium, (viii) Quality assurance. § 810.6 Generally authorized activities. or any combination of these materials. Technical assistance means assistance (a) In accordance with section 57 b.(2) Special nuclear material means: in such forms as instruction, skills, of the Atomic Energy Act, the Secretary (1) Plutonium; training, working knowledge, consulting has determined that activities by U.S. (2) Uranium-233; or services, or any other assistance as persons that involve engaging directly (3) Uranium enriched above 0.711 determined by the Secretary. Technical or indirectly in the production of percent by weight in the isotope assistance may involve transfer of nuclear material outside the United uranium-235. technical data. States, including by providing Specific authorization means an Technical data means data in such assistance or transferring technology in authorization granted by the Secretary forms as blueprints, plans, diagrams, ways that do not involve specifically under section 57 b.(2) of the Atomic models, formulae, engineering designs, authorized nuclear activities, are Energy Act, in response to an specifications, manuals, and application filed under this part, to generally authorized to be undertaken instructions written or recorded on with respect to the IAEA and the engage in specifically authorized other media or devices such as disks, nuclear activities subject to this part. countries and territories, and facilities tapes, read-only memories, and therein, identified in paragraphs (b)(1) Specifically authorized nuclear computational methodologies, activities means the provision of through (5) of this section, provided that algorithms, and computer codes that can no sensitive nuclear technology is assistance, including the transfer of directly or indirectly affect the technology, to foreign persons related transferred. production of special nuclear material. (b) The activities described in to: Use means operation, installation (1) Uranium isotope separation paragraph (a) of this section are (including on-site installation), and (uranium enrichment), plutonium generally authorized with respect to the maintenance (checking), repair, isotope separation, or isotope separation IAEA and: overhaul, and refurbishing. of any other elements (including stable (1) The following countries and United States, when used in a isotope separation) when the technology territories, and the facilities in such geographical sense, includes all or process can be applied directly or countries or territories: territories and possessions of the United indirectly to uranium or plutonium; , (2) Fabrication of nuclear fuel States. , , containing plutonium, including § 810.4 Communications. preparation of fuel elements, fuel Bangladesh, (a) All communications concerning assemblies, and cladding thereof; , (3) Hydrogen isotope separation and the regulations in this part should be , addressed to: U.S. Department of , heavy water production; , (4) Production accelerator-driven Energy, Washington, DC 20585. Attention: Senior Policy Advisor, Colombia, subcritical assembly systems; , (5) Production reactors; and National Nuclear Security , (6) Reprocessing of irradiated nuclear Administration/Office of , fuel or targets containing special nuclear Nonproliferation and International Egypt, material. Security (NA 24), Telephone (202) 586– , Technology means specific 0589. , information required for the (b) Communications also may be , development, production, or use of any delivered to DOE’s headquarters at 1000 , Independence Avenue, SW., , facility or activity listed in § 810.2(c). , This information may take the form of Washington, DC. All clearly marked Indonesia, technical data or technical assistance. proprietary information will be given Ireland, (1) Development is related to all the maximum protection allowed by , phases before production such as: law. ,

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Kazakhstan, (c) Does not authorize a person to enterprise or the supply chain of such , engage in any activity when the person an enterprise; , knows or has reason to know that the (8) The availability of comparable , activity is intended to provide assistance or technology from other , assistance in designing, developing, sources; and Morocco, (9) Any other factors that may bear , fabricating, or testing a nuclear , explosive device. upon the political, economic, or security Peru, interests of the United States, including § 810.9 Grant of specific authorization. , the obligations of the United States , (a) An application for authorization to under treaties or other international Korea, Republic of provide assistance or transfer agreements, and the obligations of the , technology for which specific recipient country or the authorities of , authorization is required under § 810.7 the territory involved under treaties or , should be made to the U.S. Department other international agreements. , of Energy, National Nuclear Security (c) If the proposed assistance or , Administration, Washington, DC 20585, technology transfer involves the export , of sensitive nuclear technology as , Attention: Senior Policy Advisor, Office Taiwan, of Nonproliferation and International defined in § 810.3, the requirements of Thailand, Security (NA 24). sections 127 and 128 of the Atomic , (b) The Secretary will approve an Energy Act and of any applicable United , application for specific authorization if States international commitments must United Arab Emirates, it is determined, with the concurrence also be met. For the export of sensitive . of the Department of State and after nuclear technology, in addition to the (2) Any safeguarded facility in order consultation with the Nuclear factors in subparagraph (b), the to prevent or correct a current or Regulatory Commission, the Department Secretary will take into account: imminent radiological emergency of Commerce, and the Department of (1) Whether the recipient country or posing a significant danger to the health Defense, that the activity will not be the authorities of the recipient territory is/are a party to, or has/have adhered to, and safety of the off-site population and inimical to the interest of the United the NPT and is/are in full compliance that cannot be met by other means, States. Each application approved for with its/their obligations under the provided DOE is notified in writing in specific authorization generally will be NPT; advance and does not object; for a period up to five years. In making (2) Whether the recipient country has (3) Any country or territory, if carried an authorization determination, the signed, ratified, and is implementing a out in the course of implementation of Secretary will take into account the comprehensive safeguards agreement the Agreement between the United following factors: with the IAEA and has in force an States of America and the IAEA for the (1) Whether the United States has an Additional Protocol based on the model Application of Safeguards in the United agreement for peaceful nuclear Additional Protocol, or, pending this, in States; cooperation in force covering exports to the case of a regional accounting and (4) Any country or territory, if carried the country, territory, or international control arrangement for nuclear out in the course of participation in organization involved; materials, is implementing, in exchange programs approved by the (2) Whether the country or the cooperation with the IAEA, a safeguards Department of State in consultation authorities of the territory involved is/ agreement approved by the IAEA Board with DOE; are a party to, or has/have otherwise of Governors prior to the publication of (5) Any country or territory, if carried adhered to, the NPT; INFCIRC/540 (September 1997); or out by persons, other than experts and (3) Whether the country or the alternatively whether comprehensive consultants who are full-time employees authorities of the territory involved is/ safeguards, including the measures of of the IAEA, whose employment is are in good standing with its/their the Model Additional Protocol are being sponsored by the U.S. Government. acknowledged nonproliferation applied in the recipient country or § 810.7 Activities requiring specific commitments; territory; authorization. (4) Whether the country or the (3) Whether the recipient country or authorities of the territory involved has/ Unless generally authorized by the authorities of the territory has/have have accepted IAEA safeguards § 810.6, a U.S. person requires specific not been identified in a report by the obligations on all nuclear materials used authorization by the Secretary before IAEA Secretariat that is under for peaceful purposes and has/have engaging directly or indirectly in the consideration by the IAEA Board of them in force; production of special nuclear material Governors, as being in breach of outside the United States. (5) Whether there exist other obligations to comply with the nonproliferation controls or conditions applicable safeguards agreement, nor § 810.8 Restrictions on general and on the proposed activity, including that continues/continue to be the subject of specific authorization. the recipient is duly authorized by the Board of Governors decisions calling A general or specific authorization country’s government or the authorities upon it/them to take additional steps to granted by the Secretary under this part: of the territory involved to receive and comply with its/their safeguards (a) Is limited to activities involving operate the technology sought to be obligations or to build confidence in the only unclassified information and does transferred; peaceful nature of its/their nuclear not permit furnishing Restricted Data or (6) Significance of the assistance or program, nor as to which the IAEA other classified information; technology transfer relative to the Secretariat has reported that it is unable (b) Does not relieve a person from existing nuclear capabilities of the to implement the applicable safeguards complying with relevant laws or the recipient country or territory; agreement. This criterion would not regulations of other Government (7) Whether the transfer is part of an apply in cases where the IAEA Board of agencies applicable to exports; existing cooperative enrichment Governors or the United Nations

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Security Council subsequently decides (b) For failing to provide a report or (1) A description of the technology that adequate assurances exist as to the for any material false statement in a that will be made available to the peaceful purposes of the recipient’s report submitted pursuant to § 810.12; foreign national; nuclear program and its compliance (c) If any authorized assistance or (2) The purpose of the proposed with the applicable safeguards technology transfer is subsequently release, and a description of the agreements. For the purposes of this determined to be inimical to the interest applicant’s technology control program; paragraph, ‘‘breach’’ refers only to of the United States or otherwise no (3) A copy of any confidentiality serious breaches of proliferation longer meets the legal criteria for agreement between the applicant and concern; approval; or the foreign national; (4) Whether the recipient country or (d) Pursuant to section 129 of the (4) Background information about the territory is adhering to the Nuclear Atomic Energy Act. foreign national, including the Suppliers Group Guidelines and, where individual’s citizenship, all countries or applicable, has reported to the Security § 810.11 Information required in an territories where the individual has Council of the United Nations that it is application for specific authorization. resided for more than six months, the implementing effective export controls (a) An application letter must include training or educational background of as identified by Security Council the following information: the individual, all work experience, any Resolution 1540; and (1) The name, address, and other known affiliations with persons (5) Whether the recipient country or citizenship of the applicant, and engaged in activities subject to this part, territory adheres to international safety complete disclosure of all real parties in and current immigration or visa status conventions relating to nuclear or other interest; if the applicant is a corporation in the United States; and radioactive materials or facilities. (5) A signed undertaking by the (d) Unless otherwise prohibited by or other legal entity, where it is incorporated or organized, the location foreign national that he/she will comply U.S. law, the Secretary may grant an with the regulations under this part; application for specific authorization for of its principal office, and the degree of any control or ownership by any foreign will not disclose the applicant’s activities related to the enrichment of technology without DOE’s prior written source material and special nuclear person; (2) The country or territory, or the authorization; and will not, at any time material, provided that: the United during or after his/her employment with States Government has received written international organization, to receive the assistance or technology; the name and the applicant, use the applicant’s assurances from the government of the technology for any nuclear explosive country or the authorities of the territory location of any facility or project involved; and the name and address of device, for research on or development involved— of any nuclear explosive device, or in (1) That it/they accepts/accept the the person for which the activity is to be performed; furtherance of any military purpose. sensitive enrichment equipment and (d) An applicant for a specific (3) A description of the assistance or enabling technologies, or an operable authorization related to the enrichment technology to be provided, including a enrichment facility under conditions of fissile material must submit complete description of the proposed that do not permit or enable replication information that demonstrates that the activity, its approximate monetary of the facilities; proposed transfer will avoid, so far as (2) That the subject enrichment value, and a detailed description of any practicable, the transfer of enabling activity will not result in the production specific project to which the activity design or manufacturing technology of uranium enriched to greater than relates; and associated with such items; and that the 20% in the isotope uranium-235; and (4) The designation of any applicant will share with the recipient (3) That there are in place appropriate information that if publicly disclosed only information required for the security arrangements to protect the would cause substantial harm to the regulatory purposes of the recipient activity from use or transfer inconsistent competitive position of the applicant. country or territory or to ensure the safe with the country’s national laws or the (b) The applicant should also include, installation and operation of a resulting law applicable in the territory involved. as an attachment to the application (e) Approximately 30 days after the enrichment facility, without divulging letter, any information the applicant enabling technology; Secretary’s grant of a specific wishes to provide concerning the factors authorization, a copy of the Secretary’s listed in § 810.9(b) and (c). § 810.12 Reports. determination may be provided to any (a) Each person who has received a person requesting it at the Department’s (c) U.S. persons seeking to employ a foreign national of a country not listed specific authorization shall, within 30 Public Reading Room, unless the days after beginning the authorized applicant submits information in § 810.6(b) in a position that could result in the transfer or technology activity, provide to DOE a written report demonstrating that public disclosure containing the following information: will cause substantial harm to its subject to § 810.6(a), or seeking to (1) The name, address, and competitive position. This provision employ any foreign national in a citizenship of the person submitting the does not affect any other authority position that could result in the transfer report; provided by law for the non-disclosure of technology subject to § 810.7, must (2) The name, address, and of information. request a specific authorization. No application for specific authorization is citizenship of the person for whom or § 810.10 Revocation, suspension, or required if the foreign national is which the activity is being performed; modification of authorization. lawfully admitted for permanent (3) A description of the activity, the The Secretary may revoke, suspend, residence in the United States, or is a date it began, its location, status, and or modify a general or specific protected individual under the anticipated date of completion; and authorization: Immigration and Naturalization Act (8 (4) A copy of the DOE letter (a) For any material false statement in U.S.C. 1324b(a)(3)). The applicant must authorizing the activity. an application for specific authorization provide, with respect to each foreign (b) Each person carrying out a or in any additional information national to whom the applicant seeks to specifically authorized activity shall submitted in its support; release technology subject to this part: inform DOE, in writing within 30 days,

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of completion of the activity or of its any provision of section 57 of the approved collection of information termination before completion. Atomic Energy Act may be fined up to instruments are placed into OMB’s (c) Each person granted a specific $10,000 or imprisoned up to 10 years, public docket files. The Federal Reserve authorization shall inform DOE, in or both. If the offense is committed with may not conduct or sponsor, and the writing within 30 days, when it is intent to injure the United States or to respondent is not required to respond known that the proposed activity will aid any foreign nation, the penalty to, an information collection that has not be undertaken and the granted could be up to life imprisonment and a been extended, revised, or implemented authorization will not be used. $20,000 fine. on or after October 1, 1995, unless it (d) Each person, within 30 days after (b) Title 18 of the United States Code, displays a currently valid OMB control beginning any generally authorized section 1001, provides that persons number. activity under § 810.6, shall provide to convicted of willfully falsifying, DATES: Comments must be submitted on DOE: concealing, or covering up a material or before November 7, 2011. (1) The name, address, and fact or making false, fictitious or ADDRESSES: You may submit comments, citizenship of the person submitting the fraudulent statements or representations identified by FR Y–14A and FR Y–14Q, report; may be fined up to $10,000 or by any of the following methods: (2) The name, address, and imprisoned up to five years, or both. • Agency Web Site: http:// citizenship of the person for whom or § 810.15 Effective date and savings clause. www.federalreserve.gov. Follow the which the activity is being performed; instructions for submitting comments at Except for actions that may be taken (3) A description of the activity, the http://www.federalreserve.gov/ by DOE pursuant to § 810.10, the date it began, its location, status, and generalinfo/foia/ProposedRegs.cfm. regulations in this part do not affect the anticipated date of completion; and • Federal eRulemaking Portal: http:// validity or terms of any specific (4) An assurance that the applicant www.regulations.gov. Follow the authorizations granted under has an agreement with the recipient instructions for submitting comments. regulations in effect before October 7, ensuring that any subsequent transfer of • E-mail: 2011 or generally authorized activities materials, equipment, or technology [email protected]. under those regulations for which the transferred under general authorization Include docket number in the subject contracts, purchase orders, or licensing to a country or territory with respect to line of the message. which the conditions in § 810.6 are not arrangements were already in effect. • Fax: 202/452–3819 or 202/452– met will take place only if the applicant Persons engaging in activities that were 3102. obtains DOE approval. generally authorized under regulations • Mail: Jennifer J. Johnson, Secretary, (e) Persons engaging in generally in effect before October 7, 2011, but that Board of Governors of the Federal authorized activities as employees of require specific authorization under the Reserve System, 20th Street and persons required to report are not regulations in this part, must request Constitution Avenue, NW., Washington, themselves required to report. specific authorization by December 6, DC 20551. (f) Persons engaging in activities 2011 but may continue their activities All public comments are available generally authorized under § 810.6(b) until DOE acts on the request. from the Board’s Web site at http:// are not subject to reporting requirements [FR Doc. 2011–22679 Filed 9–6–11; 8:45 am] www.federalreserve.gov/generalinfo/ under this section. BILLING CODE 6450–01–P foia/ProposedRegs.cfm as submitted, (g) DOE may require reports to unless modified for technical reasons. include such additional information Accordingly, your comments will not be that may be required by applicable U.S. FEDERAL RESERVE SYSTEM edited to remove any identifying or law, regulation, or policy with respect to contact information. Public comments the specific nuclear activity or country 12 CFR Part 225 may also be viewed electronically or in for which specific authorization is paper form in Room MP–500 of the required. Capital Plans; Proposed Agency Board’s Martin Building (20th and C (h) All reports should be sent to: U.S. Information Collection Activities: Streets, NW.) between 9 a.m. and 5 p.m. Department of Energy, National Nuclear Comment Request on weekdays. Security Administration, Washington, Additionally, commenters should DC 20585, Attention: Senior Policy AGENCY: Board of Governors of the Federal Reserve System. send a copy of their comments to the Advisor, Office of Nonproliferation and OMB Desk Officer by mail to the Office ACTION: Request for comments. International Security (NA 24). of Information and Regulatory Affairs, § 810.13 Additional information. SUMMARY: On June 15, 1984, the Office U.S. Office of Management and Budget, DOE may at any time require a person of Management and Budget (OMB) New Executive Office Building, Room engaging in any generally or specifically delegated to the Board of Governors of 10235, 725 17th Street, NW., authorized activity to submit additional the Federal Reserve System (Board) its Washington, DC 20503 or by fax to 202– information. approval authority under the Paperwork 395–6974. Reduction Act (PRA), pursuant to its FOR FURTHER INFORMATION CONTACT: A § 810.14 Violations. regulations, to approve of and assign copy of the PRA OMB submission, (a) The Atomic Energy Act provides OMB control numbers to collection of including the proposed reporting that: information requests and requirements schedules and instructions, supporting (1) Permanent or temporary conducted or sponsored by the Board statement, and other documentation injunctions or restraining orders may be under conditions set forth in its will be placed into OMB’s public docket granted to prevent any person from regulations. Board-approved collections files, once approved. These documents violating any provision of the Atomic of information are incorporated into the will also be made available on the Energy Act or its implementing official OMB inventory of currently Federal Reserve Board’s public Web site regulations. approved collections of information. at: http://www.federalreserve.gov/ (2) Any person convicted of violating Copies of the Paperwork Reduction Act boarddocs/reportforms/review.cfm or or conspiring or attempting to violate Submission, supporting statements and may be requested from the agency

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