Assistance to Foreign Atomic Energy Activities, 55278-55288 [2011-22679]
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55278
Proposed Rules
Federal Register
Vol. 76, No. 173
Wednesday, September 7, 2011
This section of the FEDERAL REGISTER
contains notices to the public of the proposed
issuance of rules and regulations. The
purpose of these notices is to give interested
persons an opportunity to participate in the
rule making prior to the adoption of the final
rules.
DEPARTMENT OF ENERGY
10 CFR Part 810
RIN 1994–AA02
Assistance to Foreign Atomic Energy
Activities
National Nuclear Security
Administration, Department of Energy
(DOE).
ACTION: Notice of proposed rulemaking.
AGENCY:
DOE proposes to amend its
regulation concerning unclassified
assistance to foreign atomic energy
activities. This regulation provides that
persons subject to the jurisdiction of the
United States who engage directly or
indirectly in the production of special
nuclear material outside the United
States must be authorized to do so by
the Secretary of Energy (Secretary). The
proposed revisions update and clarify
several provisions in the current
regulation, and identify information
applicants are required to submit in
support of applications for an
authorization under this part. The
revisions are intended to reduce
uncertainties for industry users
concerning which foreign nuclearrelated activities by U.S. persons are
‘‘generally authorized’’ under the
regulation and which activities require
a ‘‘specific authorization’’ from the
Secretary. In this regard, one proposed
organizational change is the listing of
countries and territories for which a
general authorization for foreign atomic
energy activities is available. This
proposed change contrasts with the
current regulation, which lists those
countries for which a specific
authorization to conduct such activities
is required. Unclassified nuclear
activities are generally authorized with
respect to these listed countries if they
do not involve ‘‘sensitive nuclear
technology’’ as defined in the
regulation. Conversely, the proposed
revised regulation specifically identifies
those assistance activities and
technologies under DOE’s jurisdiction,
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SUMMARY:
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the export of which requires a specific
authorization from the Secretary.
Additionally, DOE is proposing to add
regulations to address ‘‘deemed
exports.’’ Companies seeking to employ
foreign nationals in positions involving
a proposed transfer of technology are
provided information on the
documentation required to be submitted
to request specific authorization for
those transfers. Finally, DOE proposes
to update its regulations in this area to
reflect terminological and other changes
in nuclear technology since the last
major update in 1986. Finally, points of
contact references have been updated to
reflect the current DOE organizational
structure.
DATES: Written comments must be
postmarked on or before November 7,
2011 to ensure consideration.
ADDRESSES: You may submit comments,
identified by RIN 1994–AA02, by any of
the following methods:
1. Federal eRulemaking Portal: https://
www.regulations.gov. Follow the
instructions for submitting comments.
2. E-mail: Part810.NOPR@hq.doe.gov
Include RIN 1994–AA02 in the subject
line of the message.
3. Mail: Richard Goorevich, Senior
Policy Advisor, Office of
Nonproliferation and International
Security, NA 24, National Nuclear
Security Administration, Department of
Energy, 1000 Independence Avenue,
SW., Washington, DC 20585.
Due to potential delays in DOE’s
receipt and processing of mail sent
through the U.S. Postal Service, DOE
encourages responders to submit
comments electronically to ensure
timely receipt.
All submissions must include the RIN
for this rulemaking, RIN 1994–AA02.
For detailed instructions on submitting
comments and additional information
on the rulemaking process, see the
‘‘Public Comment Procedures’’ heading
of the SUPPLEMENTARY INFORMATION
section of this document.
FOR FURTHER INFORMATION CONTACT:
Richard Goorevich, Senior Policy
Advisor, Office of Nonproliferation and
International Security, NA 24, National
Nuclear Security Administration,
Department of Energy, 1000
Independence Avenue, SW.,
Washington, DC 20585, telephone 202–
586–0589; Janet Barsy or Elliot Oxman,
Office of the General Counsel, GC–53,
Department of Energy, 1000
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Independence Avenue, SW.,
Washington, DC 20585, telephone 202–
586–3429 (Ms. Barsy) or 202–586–1755
(Mr. Oxman); or Katie Strangis, National
Nuclear Security Administration, Office
of the General Counsel, 1000
Independence Avenue, SW.,
Washington, DC 20585, telephone 202–
586–8623.
SUPPLEMENTARY INFORMATION:
I. Background
II. Description of Proposed Changes
III. Public Comment Procedures
IV. Regulatory Review
A. Executive Order 12866
B. National Environmental Policy Act
C. Regulatory Flexibility Act
D. Paperwork Reduction Act
E. Unfunded Mandates Reform Act of 1995
F. Treasury and Government
Appropriations Act, 1999
G. Executive Order 13132
H. Executive Order 12988
I. Treasury and General Government
Appropriations Act, 2001
J. Executive Order 13211
V. Approval by the Office of the Secretary
I. Background
DOE’s regulation in 10 CFR part 810
implements section 57b. of the Atomic
Energy Act of 1954, as amended by
section 302 of the Nuclear NonProliferation Act of 1978 (NNPA) (42
U.S.C 2077(b)). The statute provides that
it ‘‘shall be unlawful for any person to
directly or indirectly engage or
participate in the development or
production of any special nuclear
material outside of the United States
except (1) As specifically authorized
under an agreement for cooperation
made pursuant to section 123 * * * or
(2) upon authorization by the Secretary
of Energy after a determination that
such activity will not be inimical to the
interest of the United States. * * *’’
Part 810 regulates the export of
unclassified nuclear technology and
assistance, to facilitate international
commerce while at the same time
protecting against the spread of nuclear
technologies and material that would be
contrary to the nonproliferation and
other national security interests of the
United States. More specifically, the
purposes of the part 810 regulation are:
(1) To enable DOE to control the export
of nuclear technologies and services
while protecting the interest of, and
advancing, U.S. nonproliferation and
other national security objectives; (2) to
facilitate such exports by identifying
nuclear technology and related
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assistance activities that can be
‘‘generally authorized’’ by the Secretary
and thus require no further
authorization under part 810; (3) to
identify the specific transfers of
assistance and technology which require
specific authorization by the Secretary;
(4) to explain how to request a specific
authorization from the Secretary; and (5)
to identify the reporting requirements
for activities subject to part 810.
The part 810 regulation has not been
comprehensively updated since 1986.
Some of the terminology contained in
the current regulation has become
inconsistent with guidelines issued by
the Nuclear Suppliers Group (NSG), an
international group of nuclear supplier
countries, including the United States,
which seeks to promote the
nonproliferation of nuclear weapons
through the implementation of
guidelines for nuclear exports. The
existing part 810 regulation also
contains certain technical references
and definitions that do not reflect
current science, and other terms and
references whose inclusion in the
regulation is no longer necessary.
II. Description of Proposed Changes
DOE is publishing this notice of
proposed rulemaking (NOPR) to clarify
the regulatory restrictions and
requirements pertaining to unclassified
atomic energy assistance, and nuclear
technology transfers, to foreign
destinations. The proposed changes
would update some of the definitions
used in the regulation; identify
countries and territories as to which a
‘‘general authorization’’ applies; and
identify the activities subject to a
‘‘specific authorization’’. Additionally,
the proposed rule would: (1) Make clear
what types of technology transfers,
which can include either technical data
or technical assistance, fall within the
scope of the regulation; (2) provide for
added technical clarity of certain terms
and technology; (3) revise, delete, and
add definitions for certain terms
contained in the regulation; (4) identify
the information required to be provided
by applicants for a part 810
authorization, including requests for
authorization of ‘‘deemed exports’’; and
(5) update points of contact information
to reflect current Departmental
organizational structure and office
designations.
The proposed changes to part 810 are
summarized below in the order in
which they appear:
1. The proposed changes to § 810.1
‘‘Purpose’’ would state the statutory
basis for the regulation and clarify the
purpose and authorization
requirements.
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2. The proposed changes to
paragraghs (a) and (b) in § 810.2
‘‘Scope’’ are intended to state explicitly
DOE’s jurisdiction under section 57 b. of
the Atomic Energy Act with regard to
unclassified nuclear export activities by
U.S. persons that include assistance and
transfer of technology abroad and to
foreign nationals employed by U.S.
companies, whether the subject
activities are conducted in the United
States or abroad by U.S. persons or by
licensees, contractors or subsidiaries
under their direction, supervision,
responsibility, or control. Proposed
§ 810.2(c) would retain the exemptions
for all exports licensed by the Nuclear
Regulatory Commission; and would
exempt ‘‘public information’’ and ‘‘basic
scientific research’’ as those terms are
proposed to be defined in § 810.3.
Additionally, proposed § 810.2(c) would
make clear the exclusion from the scope
of the part 810 regulation of uranium
and thorium mining and milling and
nuclear fusion reactors when not used
in support of systems involving
hydrogen isotope separation. The
proposed addition of these two
exemptions is intended to clarify that
activities related to uranium and
thorium mining and milling and nuclear
fusion reactors, per se, are not within
the scope of part 810.
3. In proposed § 810.3 ‘‘Definitions’’,
a number of new definitions are
proposed to reflect terminological
changes and technological
developments since the part 810
regulation was last updated (in 1986),
and to provide additional clarity to
certain terms currently defined and
used in the regulation. For example, the
definition of ‘‘accelerator-driven
subcritical assembly’’ would be replaced
with ‘‘production accelerator-driven
subcritical assembly system’’; the terms
‘‘non-nuclear-weapon state’’,
‘‘operational safety’’ and ‘‘subcritical
assembly’’ are proposed to be deleted
from the current definitions. The
proposed rule would also add new and
revised definitions: ‘‘basic scientific
research,’’ ‘‘cooperative enrichment
enterprise’’, ‘‘enrichment,’’ ‘‘fissile
material’’, ‘‘production accelerator’’,
‘‘production accelerator-driven
subcritical assembly system’’,
‘‘production subcritical assembly’’,
‘‘reprocessing’’, ‘‘specific
authorization’’, ‘‘specifically authorized
nuclear activities’’, ‘‘technology’’
(including ‘‘development’’ and
‘‘production’’), ‘‘technical assistance’’,
‘‘technical data’’, and ‘‘use’’. Definitions
are also proposed to be added for
‘‘DOE’’ and ‘‘Secretary’’.
4. Proposed §§ 810.4
‘‘Communications’’ and 810.5
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‘‘Interpretations’’ would be changed to
identify the responsible office under the
current Departmental organizational
structure to which applications,
questions, or requests should be
addressed. This proposed revision is
intended to ensure that part 810-related
correspondence will be directed
appropriately and help facilitate prompt
responses to those applications,
questions, or other requests.
5. The current § 810.6 ‘‘Authorization
requirement’’ quotes section 57 b. of the
Atomic Energy Act. This notice
proposes to delete the quotation, and to
address the statutory basis instead in the
‘‘Authority’’ section of the preamble and
proposed § 810.1 ‘‘Purpose’’.
6. Proposed § 810.6 ‘‘Generally
Authorized Activities’’—currently
§ 810.7, re-numbered § 810.6 in the
proposed rule—would identify activities
that are generally authorized by the
Secretary, and the countries and
territories to which general
authorizations apply. Section 810.6(a)
would identify generally authorized
activities. Section 810.6(b) would
identify the countries and territories,
and facilities therein, that would qualify
for a general authorization. The current
§ 810.7 (b) ‘‘furnishing public
information’’ would be deleted from the
list of generally authorized activities
and would be included in proposed
§ 810.2, as exempt from the scope of this
part. Current § 810.7(c) would be
deleted. The ‘‘fast track’’ safety general
authorization has rarely been used, and
has proved confusing to applicants. In
summary, the proposed § 810.6 would
identify the activities, countries,
territories, destinations, and facilities to
which the general authorization is
applicable.
7. Proposed § 810.7 Activities
requiring specific authorization. This
proposed section, renumbered from
§ 810.8, would be modified to indicate
that, unless an activity is generally
authorized under proposed § 810.6, a
specific authorization from the
Secretary would be required before
engaging directly or indirectly in the
production of special nuclear material
outside the United States. The current
regulation in § 810.2 (a) provides a
broad general authorization for all
activities not requiring a specific
authorization as described in § 810.8.
8. Proposed § 810.8 Restrictions on
general and specific authorization. The
present restrictions, currently in § 810.9,
would remain unchanged.
9. Proposed § 810.9 ‘‘Grant of specific
authorization’’—currently § 810.10—
would add a new paragraph (b) to
establish a time limit on all specific
authorizations. Each specific
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authorization approved by the Secretary
is proposed to be limited to a period of
up to five years. This proposal is
intended to ensure that U.S. persons
granted specific authorizations from the
Secretary keep DOE informed of their
activities and planned nuclear
technology transfers, and to facilitate
DOE’s ability to confirm the adherence
of those activities to U.S.
nonproliferation policy. Additionally,
language would be included in
proposed § 810.9(b) identifying the
factors, consonant with U.S.
international nonproliferation
commitments, considered by the
Secretary in granting a specific
authorization. Proposed § 810.9(c)
would be expanded to provide clarity to
applicants that request a specific
authorization to transfer sensitive
nuclear technology as defined in
proposed § 810.3. In addition to the
current requirements of sections 127
and 128 of the Atomic Energy Act, the
proposed regulation lists criteria,
relevant to U.S. nonproliferation policy
and international commitments, that
would be considered in determining
whether to authorize an export
involving sensitive nuclear technology.
A new paragraph (d) is proposed to be
added, concerning requests to engage in
foreign atomic energy assistance
activities related to the enrichment of
fissile material (as defined in proposed
§ 810.3). The proposed provision is
designed to facilitate U.S. conformity to
the Nuclear Suppliers Group
Guidelines.
10. The current § 810.11 is proposed
as § 810.10 Revocation, suspension, or
modification of authorization. Proposed
§ 810.10(c) would add the phrase ‘‘or
technology transfer’’ after the words
‘‘authorized assistance.’’
11. The current § 810.12 is proposed
as § 810.11, Information required in an
application for specific authorization,
and would be expanded to add more
detail about the information required for
DOE to process a specific authorization
request, including applications for
‘‘deemed export’’ authorization. Section
810.11(a) would require the submission
of the same information required by the
current regulation (§ 810.12(a)).
Proposed paragraph (b) would solicit
any information the applicant wishes to
provide concerning the factors listed in
proposed § 810.9(b). Proposed
paragraph (c) would address the
required content for applications filed
by U.S. companies seeking to employ,
and to accord access to nuclear
technology subject to this part by,
foreign nationals with temporary,
student, or immigrant visa status in the
United States. This proposed section is
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intended to address situations
comparable to those covered by the
‘‘deemed export’’ rule in 15 CFR
734.2(b)(2) of the Commerce
Department’s Export Administration
Regulations. Under this proposal, no
part 810 specific authorization would be
required if the foreign national
employee (or prospective employee) is
lawfully admitted for permanent
residence in the United States, or is a
protected individual under the
Immigration and Nationalization Act (8
U.S.C. 1324b(a)(3)). As proposed, the
part 810 regulation would make explicit
DOE’s current practice of requiring an
applicant to provide detailed
information concerning the nationality,
visa status, educational background, and
employment history of each foreign
national to whom the applicant seeks to
grant access to technology subject to the
part 810 regulation. In addition, the
applicant must provide a description of
the subject technology, a copy of any
confidentiality agreement between the
U.S. company employer and the foreign
national, and written nonproliferation
assurances by the foreign national.
Finally, proposed paragragh (d) would
identify the information required to be
submitted by an applicant seeking a
specific authorization to engage in
foreign atomic energy assistance
activities related to the enrichment of
fissile material.
12. The current §§ 810.13, 810.14, and
810.15 would be renumbered as
proposed § 810.12 Reports, proposed
§ 810.13 Additional information, and
proposed § 810.14 Violations. A
proposed addition in § 810.12(g) would
allow DOE to require companies granted
authorizations under part 810 to submit
certain reports to DOE, to include
information required by U.S. law
concerning specific nuclear activities or
specific countries exports to which
require a specific authorization.
Because DOE is making changes to
most sections of part 810, it is
publishing the entire part 810 for public
comment.
III. Public Comment Procedures
Interested persons are invited to
participate by submitting data, views, or
arguments. Written comments should be
submitted to the address indicated in
the ADDRESSES section of this notice. All
comments submitted in writing or in
electronic form may be made available
to the public in their entirety. Personal
information such as your name, address,
telephone number, e-mail address, etc.,
will not be removed from your
submission. Comments will be available
for public inspection in the DOE
Freedom of Information Act Reading
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Room (1E–190), 1000 Independence
Avenue, SW., Washington, DC 20585,
between the hours of 9 a.m. and 4 p.m.,
Monday through Friday, except Federal
holidays. Members of the public who
wish to review the comments submitted
should contact Alexander Morris, FOIA
Officer, at (202) 586–3159. Comments
made on this rulemaking will also be
posted on https://www.regulations.gov.
Written comments received by the date
indicated in the DATES section of this
notice of proposed rulemaking will be
addressed and considered prior to
publication of the final rule. Any
information that a commenter considers
to be confidential must be so identified
and submitted in writing, one copy
only. DOE reserves the right to
determine the appropriateness of
confidential status for the information
and to treat it in accordance with its
determination. See 10 CFR 1004.11.
IV. Regulatory Review
A. Executive Order 12866
This proposed rule has been
determined to not be a significant
regulatory action under Executive Order
12866, ‘‘Regulatory Planning and
Review,’’ 58 FR 51735 (October 4, 1993).
Accordingly, this action was not subject
to review under that Executive Order by
the Office of Information and Regulatory
Affairs of the Office of Management and
Budget.
B. National Environmental Policy Act
DOE has determined that this
proposed rule is covered under the
Categorical Exclusion found in DOE’s
National Environmental Policy Act
regulations at paragraph A5 of
Appendix A to subpart D, 10 CFR part
1021, categorical exclusion A5, which
applies to a rule or regulation that
interprets or amends an ‘‘existing rule or
regulation that does not change the
environmental effect of the rule or
regulation being amended.’’
Accordingly, neither an environmental
assessment nor an environmental
impact statement is required.
C. Regulatory Flexibility Act
The Regulatory Flexibility Act (5
U.S.C. 601 et seq.) requires preparation
of an initial regulatory flexibility
analysis for any rule that by law must
be proposed for public comment, unless
the agency certifies that the rule, if
promulgated, will not have a significant
economic impact on a substantial
number of small entities. As required by
Executive Order 13272, ‘‘Proper
Consideration of Small Entities in
Agency Rulemaking,’’ 67 FR 53461
(August 16, 2002), DOE published
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procedures and policies on February 19,
2003, to ensure that the potential
impacts of its rules on small entities are
properly considered during the
rulemaking process (68 FR 7990). DOE
has made its procedures and policies
available on the Office of the General
Counsel’s Web site: https://
www.gc.doe.gov.
DOE has reviewed this proposed rule
under the provisions of the Regulatory
Flexibility Act and the procedures and
policies published on February 19,
2003. The proposed rule offers clarity
on regulatory restrictions and
requirements pertaining to unclassified
assistance to foreign atomic energy
activities; it does not expand the scope
of activities currently regulated under
10 CFR part 810.
The proposed changes to the
preamble of part 810 and § 810.1
reposition (to the ‘‘Authority’’ section,
above) and update statutory citations,
and clarify the purpose statement. There
is no change that will impact small
businesses or the review time necessary
to prepare or submit requests for
authorization.
Section 810.2 is proposed to be
expanded to provide further detail on
the scope of activities that are subject to
part 810. As a consequence, more
information will be available to small
businesses as they formulate their
business strategies. These changes
should assist small businesses to
determine which nuclear export
activities undertaken with foreign
parties require authorization under this
part. This additional information should
reduce the time required to identify
activities that are controlled by part 810,
and also lessen the costs associated with
developing documentation to support
applications for authorization.
Section 810.3, Definitions, is
proposed to be updated to reflect
changes in technology and to provide
additional clarity. Specifically, for
example, the definition of ‘‘acceleratordriven subcritical assembly’’ would be
replaced with ‘‘production acceleratordriven subcritical assembly system’’;
and the terms ‘‘non-nuclear-weapon
state’’ and ‘‘operational safety and
subcritical assembly’’ would be deleted
from the regulation. New and revised
definitions would be added: ‘‘basic
scientific research’’, ‘‘cooperative
enrichment enterprise’’, ‘‘DOE’’,
‘‘enrichment’’, ‘‘fissile material’’,
‘‘production accelerator-driven
subcritical assembly system’’,
‘‘production subcritical assembly’’,
‘‘reprocessing’’, ‘‘Secretary’’, ‘‘specific
authorization’’, ‘‘specifically authorized
nuclear activities’’, ‘‘technology’’,
‘‘technical assistance’’, ‘‘technical data’’,
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and ‘‘use’’. These definitional updates
and additions would not change the
scope of the activities controlled under
this part. Rather, the new and revised
definitions should provide greater
clarity to small businesses, decrease the
time for small businesses to evaluate
activities for implications of this
regulation, and also lessen the costs
associated with developing
documentation to support their
applications for authorization.
Section 810.4 and § 810.5 are
proposed to be changed to reflect the
current organizational structure of the
DOE office responsible for
administering part 810, and should not
impact small businesses. The proposed
revision will help ensure that
correspondence is directed
appropriately and expedite application
processing time. Section 810.6 would be
deleted. It quotes the provisions of
section 57 b. of the Atomic Energy Act
of 1954 and is not required for the text
of the regulation. Its deletion would
require an applicant to consult a source
outside part 810 to locate the statutory
text of section 57 b.
Sections 810.7, Generally authorized
activities, and 810.8, Activities
requiring specific authorization, would
be revised and renumbered as §§ 810.6
and 810.7, respectively. The revised text
of § 810.6 would provide more detail
concerning activities that are generally
authorized by the Secretary, and
identify countries and territories, and
facilities therein, to which general
authorizations apply. The proposed
change should only impact small
businesses positively. Providing this
clarification concerning activities that
are generally authorized would assist
small businesses to determine when
they need to submit a request for
specific authorization, as stated in
proposed § 810.7. Paragraghs (a) and (g)
of current § 810.7 would be deleted
because the regulation does not control
public information; therefore a general
authorization is not necessary. The
substance of paragragh (b) of the current
§ 810.7 would be retained and
renumbered as § 810.6(b)(2). The current
§ 810.7(c) would be deleted from the
text. This ‘‘fast track’’ safety general
authorization has been used only once,
by a large corporation, to address an
imminent threat to the public after an
earthquake.
New § 810.8, Restrictions on general
and specific authorizations, would
continue the same restrictions as are
contained in the current part 810, and
therefore would not add any new
burdens on small businesses. New
§ 810.9, grant of specific authorization,
is proposed to outline the process for
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applying for a specific authorization.
Paragragh (a) would provide updated
information on the current DOE
organizational structure. Paragragh (b)
would retain identification of the other
U.S. departments and agencies (the
Departments of State, Defense, and
Commerce, and the Nuclear Regulatory
Commission) that review part 810
authorization requests; it would also
include a time limit on specific
authorizations, and revise and add
factors DOE would consider in making
an authorization determination. The
five-year maximum period has been a
matter of DOE practice for a number of
years; it is now being proposed to be
added to the regulation to provide
clarity to companies applying for a
specific authorization. Paragragh (b)
would be expanded to provide
additional information to U.S.
companies that request a specific
authorization to transfer sensitive
nuclear technology. This change should
provide useful information to
applicants, but not create additional
requirements or negatively impact a
small business applying for a specific
authorization. A new paragragh (c) is
proposed, concerning activities related
to the enrichment of fissile material; and
has been added to facilitate U.S.
conformity to the Nuclear Suppliers
Group Guidelines. Although satisfaction
of the requirements of this proposal
would require more effort by an
applicant, it is unlikely that a small
business would engage in foreign atomic
energy activities involving the
enrichment of fissile material.
New § 810.10, Revocation,
suspension, or modification of
authorizations, has minimal proposed
updates, and is intended to provide
greater clarity. New § 810.11,
Information required in an application
for specific authorization, would be
expanded to add more detail about the
information required to process an
authorization, including a ‘‘deemed
export’’ authorization. The revisions to
this section would provide additional,
and more specific, information
concerning the matters required to be
addressed in an application, thus
making the application process clearer
to small businesses. Adoption of this
proposed revision should positively
impact the amount of time and
resources a small business would have
to devote to the application process,
without adding any new requirements
for small businesses and also decreasing
the processing time for the application
within the Department. New § 810.11
would also require an applicant to
provide information concerning
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activities related to the enrichment of
fissile materials. As noted, it is unlikely
that a small business would engage in
foreign atomic energy assistance
activities of this nature.
New § 810.12, Reports, would be
updated with the correct DOE
organizational structure, with no
adverse impact on small businesses. The
proposed changes to §§ 810.13 and
810.14 are minimal, and should impose
no increased burden on applicants.
In practice, the requirements for small
businesses exporting nuclear technology
would not substantively change because
the proposed revisions to this rule do
not impact sections of the rule
containing those requirements or add
new burdens or duties to small
businesses. The obligations of any
person subject to the jurisdiction of the
United States who engages directly or
indirectly in the production of special
nuclear material outside the United
States would not change in a manner
that would have any impact on small
businesses.
Furthermore, DOE has conducted a
review of the potential small businesses
that may be impacted by this proposed
rule. This review consisted of an
analysis of the number of businesses
impacted generally since 2007–2008,
and a determination of which of those
are considered ‘‘small businesses’’ by
the Small Business Administration.
Approximately 90% of the businesses
impacted by this rule are not considered
small businesses (out of 56 businesses
examined, 5 qualify as small
businesses). Additionally, the number of
requests for authorization or reports of
generally authorized activities from
each small business on average was one
or fewer per year, while larger
companies had as many as 100 requests
for authorization or reports of generally
authorized activities per year. The latter
businesses fall within two North
American Industry Classification
System codes, for engineering services
and computer systems designs services.
Often, their requests for authorization
include the transfer of computer codes
or other similar products. The proposed
changes to this rule would not alter
whether these businesses do or do not
receive authorization under part 810,
thus not adversely affecting their ability
to conduct business in the same manner
they do at present. Moreover, they will
benefit from a clarified request process.
Generally, small businesses reported
that their initial filing of a part 810
request for authorization required up to
40 hours of legal assistance, but followon reporting and requests required
significantly less such assistance.
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On the basis of the foregoing, DOE
certifies that this proposed rule would
not have a significant economic impact
on a substantial number of small
entities. Accordingly, DOE has not
prepared a regulatory flexibility analysis
for this rulemaking. DOE’s certification
and supporting statement of factual
basis will be provided to the Chief
Counsel for Advocacy of the Small
Business Administration pursuant to 5
U.S.C. 605(b).
D. Paperwork Reduction Act
The proposed rule would not impose
a collection of information requirement
subject to the Paperwork Reduction Act
(44 U.S.C. 3501 et seq.).
E. Unfunded Mandates Reform Act of
1995
The Unfunded Mandates Reform Act
of 1995 (Pub. L. 104–4) generally
requires Federal agencies to examine
closely the impacts of regulatory actions
on State, local, and tribal governments.
Section 101(5) of title I of that law
defines a Federal intergovernmental
mandate to include any regulation that
would impose upon State, local, or
tribal governments an enforceable duty,
except a condition of Federal assistance
or a duty arising from participating in a
voluntary federal program. Title II of
that law requires each Federal agency to
assess the effects of Federal regulatory
actions on State, local, and tribal
governments, in the aggregate, or to the
private sector, other than to the extent
such actions merely incorporate
requirements specifically set forth in a
statute. Section 202 of that title requires
a Federal agency to perform a detailed
assessment of the anticipated costs and
benefits of any rule that includes a
Federal mandate which may result in
costs to State, local, or tribal
governments, or to the private sector, of
$100 million or more in any one year
(adjusted annually for inflation). 2
U.S.C. 1532(a) and (b). Section 204 of
that title requires each agency that
proposes a rule containing a significant
Federal intergovernmental mandate to
develop an effective process for
obtaining meaningful and timely input
from elected officers of State, local, and
tribal governments. 2 U.S.C. 1534.
This proposed rule would not impose
a Federal mandate on State, local, or
tribal governments or on the private
sector. Accordingly, no assessment or
analysis is required under the Unfunded
Mandates Reform Act of 1995.
F. Treasury and General Government
Appropriations Act, 1999
Section 654 of the Treasury and
General Government Appropriations
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Act, 1999 (Pub. L. 105–277) requires
Federal agencies to issue a Family
Policymaking Assessment for any
proposed rule that may affect family
well being. The proposed rule would
not have any impact on the autonomy
or integrity of the family as an
institution. Accordingly, DOE has
concluded that it is not necessary to
prepare a Family Policymaking
Assessment.
G. Executive Order 13132
Executive Order 13132, ‘‘Federalism,’’
64 FR 43255 (August 4, 1999), imposes
certain requirements on agencies
formulating and implementing policies
or regulations that preempt State law or
that have federalism implications.
Agencies are required to examine the
constitutional and statutory authority
supporting any action that would limit
the policymaking discretion of the
States and carefully assess the necessity
for such actions. DOE has examined this
proposed rule and has determined that
it would not preempt State law and
would not have a substantial direct
effect on the States, on the relationship
between the national government and
the States, or on the distribution of
power and responsibilities among the
various levels of government. No further
action is required by Executive Order
13132.
H. Executive Order 12988
With respect to the review of existing
regulations and the promulgation of
new regulations, section 3(a) of
Executive Order 12988, ‘‘Civil Justice
Reform,’’ 61 FR 4729 (February 7, 1996),
imposes on Executive agencies the
general duty to adhere to the following
requirements: (1) Eliminate drafting
errors and ambiguity; (2) write
regulations to minimize litigation; and
(3) provide a clear legal standard for
affected conduct rather than a general
standard and promote simplification
and burden reduction. With regard to
the review required by section 3(a),
section 3(b) of Executive Order 12988
specifically requires that Executive
agencies make every reasonable effort to
ensure that the regulation: (1) Clearly
specifies the preemptive effect, if any;
(2) clearly specifies any effect on
existing Federal law or regulation;
(3) provides a clear legal standard for
affected conduct while promoting
simplification and burden reduction;
(4) specifies the retroactive effect, if any;
(5) adequately defines key terms; and
(6) addresses other important issues
affecting clarity and general
draftsmanship under any guidelines
issued by the Attorney General. Section
3(c) of Executive Order 12988 requires
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Executive agencies to review regulations
in light of applicable standards in
section 3(a) and section 3(b) to
determine whether they are met or it is
unreasonable to meet one or more of
them. DOE has completed the required
review and determined that, to the
extent permitted by law, the proposed
rule meets the relevant standards of
Executive Order 12988.
V. Approval by the Office of the
Secretary
The Office of the Secretary of Energy
has approved the publication of this
proposed rule.
I. Treasury and General Government
Appropriations Act, 2001
Issued in Washington, DC, on August 17,
2011.
Steven Chu,
Secretary of Energy.
The Treasury and General
Government Appropriations Act, 2001
(44 U.S.C. 3516 note), provides for
agencies to review most disseminations
of information to the public under
guidelines established by each agency
pursuant to general guidelines issued by
OMB.
OMB’s guidelines were published at
67 FR 8452 (February 22, 2002), and
DOE’s guidelines were published at 67
FR 62446 (October 7, 2002). DOE has
reviewed this proposed rule under the
OMB and DOE guidelines and has
concluded that it is consistent with
applicable policies in those guidelines.
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J. Executive Order 13211
Executive Order 13211, ‘‘Actions
Concerning Regulations That
Significantly Affect Energy Supply,
Distribution, or Use,’’ 66 FR 28355 (May
22, 2001), requires Federal agencies to
prepare and submit to OMB a Statement
of Energy Effects for any proposed
significant energy action. A ‘‘significant
energy action’’ is defined as any action
by an agency that promulgated or is
expected to lead to promulgation of a
final rule, and that: (1) Is a significant
regulatory action under Executive Order
12866, or any successor order; and (2)
is likely to have a significant adverse
effect on the supply, distribution, or use
of energy, or (3) is designated by the
Administrator of OIRA as a significant
energy action. For any proposed
significant energy action, the agency
must give a detailed statement of any
adverse effects on energy supply,
distribution, or use should the proposal
be implemented, and of reasonable
alternatives to the action and their
expected benefits on energy supply,
distribution, and use. This regulatory
action would not have a significant
adverse effect on the supply,
distribution, or use of energy and is
therefore not a significant energy action.
Accordingly, DOE has not prepared a
Statement of Energy Effects.
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List of Subjects in 10 CFR Part 810
Foreign relations, Nuclear energy,
Reporting and recordkeeping
requirements.
For the reasons stated in the
preamble, DOE proposes to amend title
10 of the Code of Federal Regulations by
revising part 810 to read as follows:
PART 810—ASSISTANCE TO FOREIGN
ATOMIC ENERGY ACTIVITIES
Sec.
810.1 Purpose.
810.2 Scope.
810.3 Definitions.
810.4 Communications.
810.5 Interpretations.
810.6 Generally authorized activities.
810.7 Activities requiring specific
authorization.
810.8 Restrictions on general and specific
authorization.
810.9 Grant of specific authorization.
810.10 Revocation, suspension, or
modification of authorization.
810.11 Information required in an
application for specific authorization.
810.12 Reports.
810.13 Additional information.
810.14 Violations.
810.15 Effective date and savings clause.
Authority: Secs. 57, 127, 128, 129, 161, and
223, Atomic Energy Act of 1954, as amended
by the Nuclear Non-Proliferation Act of 1978,
Pub. L. 95–242, 68 Stat. 932, 948, 950, 958,
92 Stat. 126, 136, 137, 138 (42 U.S.C. 2077,
2156, 2157, 2158, 2201, 2273); sec. 104 of the
Energy Reorganization Act of 1974, Pub. L.
93–438; sec. 301, Department of Energy
Organization Act, Pub. L. 95–91; National
Nuclear Security Administration Act, Pub. L.
106–65, 50 U.S.C. 2401 et seq., as amended.
§ 810.1
Purpose.
These regulations implement section
57 b. of the Atomic Energy Act, which
empowers the Secretary, with the
concurrence of the Department of State
and after consultation with the Nuclear
Regulatory Commission (NRC), the
Department of Commerce, and the
Department of Defense, to authorize
persons subject to the jurisdiction of the
United States to engage directly or
indirectly in the production of special
nuclear material outside the United
States. The purpose of the regulations in
this part is to:
(a) Identify activities that are
generally authorized by the Secretary
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and thus require no other authorization
under this part;
(b) Identify activities that require
specific authorization by the Secretary
and explain how to request
authorization; and
(c) Specify reporting requirements for
activities subject to this part.
§ 810.2
Scope.
(a) This part applies to:
(1) All persons subject to the
jurisdiction of the United States
(hereinafter ‘‘U.S. persons’’) who or that
engage directly or indirectly in the
production of special nuclear material
outside the United States, by
transferring to foreign persons
technology that is related to the
production of special nuclear material;
and
(2) Assistance and the transfer of
technology by U.S. persons to foreign
persons, conducted either in the United
States or abroad by U.S. persons or by
licensees, contractors or subsidiaries
under their direction, supervision,
responsibility, or control.
(b) The activities referred to in
paragraph (a) of this section involve the
following:
(1) Chemical conversion and
purification of uranium and thorium
from milling plant concentrates and in
all subsequent steps in the nuclear fuel
cycle;
(2) Chemical conversion and
purification of plutonium and
neptunium;
(3) Nuclear fuel fabrication, including
preparation of fuel elements, fuel
assemblies and cladding thereof;
(4) Uranium isotope separation
(uranium enrichment), plutonium
isotope separation, and isotope
separation of any other elements
(including stable isotope separation)
when the technology or process can be
applied directly or indirectly to
uranium or plutonium;
(5) Nuclear reactors;
(6) Accelerator-driven subcritical
assembly systems, specially designed or
intended for plutonium or uranium-233
production;
(7) Hydrogen isotope separation and
heavy water production;
(8) Reprocessing of irradiated nuclear
materials or targets containing special
nuclear material;
(9) Changes in form or content of
irradiated nuclear materials containing
special nuclear material, and hot cell
facilities;
(10) Storage of irradiated nuclear
materials;
(11) Processing of high level
radioactive waste;
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(12) Movement of irradiated nuclear
materials, including specially designed
containers therefor;
(13) The transfer of technology for the
development, production, or use of
equipment or material specially
designed or prepared for any of the
above listed activities. (See NRC
regulations under 10 CFR part 110,
Appendix A through Appendix K) for
an illustrative list of items considered to
be specially designed or prepared for
certain listed nuclear activities.); and
(14) Other activities related to the
production of special nuclear material
outside the United States as the
Secretary may determine, notice of
which shall be published in the Federal
Register.
(c) This part does not apply to:
(1) Exports licensed by the NRC;
(2) Public information or basic
scientific research;
(3) Uranium and thorium mining and
milling; and
(4) Nuclear fusion reactors per se,
except for supporting systems involving
hydrogen isotope separation.
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§ 810.3
Definitions.
As used in this part 810:
Agreement for cooperation means an
agreement with another nation or group
of nations concluded under sections 123
or 124 of the Atomic Energy Act.
Atomic Energy Act means the Atomic
Energy Act of 1954, as amended.
Basic scientific research means
experimental or theoretical work
undertaken principally to acquire new
knowledge of the fundamental
principles of phenomena and observable
facts, not primarily directed towards a
specific practical aim or objective.
Classified information means national
security information classified under
Executive Order 13526 or any
predecessor or superseding order, or
Restricted Data classified under the
Atomic Energy Act.
Cooperative enrichment enterprise
means a multi-country or multicompany (where at least two of the
companies are incorporated in different
countries) joint development or
production effort. The term includes a
consortium of countries or companies or
a multi-national corporation.
DOE means the U.S. Department of
Energy.
Enrichment means isotope separation
of uranium or isotope separation of
plutonium, regardless of the type of
process or separation mechanism used.
Fissile material means isotopes that
readily fission after absorbing a neutron
of any energy, either fast or slow. Fissile
materials are uranium-235, uranium233, plutonium-239, and plutonium241.
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Foreign national means an individual
who is not a citizen or national of the
United States.
Foreign person means a person other
than a U.S. person.
General authorization means an
authorization granted by the Secretary
under section 57 b.(2) of the Atomic
Energy Act to provide assistance to
foreign atomic energy activities subject
to this part 810 and which does not
require a request for, or the Secretary’s
issuance of, a specific authorization.
IAEA means the International Atomic
Energy Agency.
NNPA means the Nuclear NonProliferation Act of 1978, Pub. L. 95–
242, 22 U.S.C. 3201 et seq.
NPT means the Treaty on the NonProliferation of Nuclear Weapons, done
on July 1, 1968.
Nuclear reactor means an apparatus,
other than a nuclear explosive device,
designed or used to sustain nuclear
fission in a self-supporting chain
reaction.
Open meeting means a conference,
seminar, trade show, or other gathering
that all technically qualified members of
the public may attend and at which they
may make written or other personal
record of the proceedings,
notwithstanding that—
(1) A reasonable registration fee may
be charged; or
(2) A reasonable numerical limit
exists on actual attendance.
Person means—
(1)(i) Any individual, corporation,
partnership, firm, association, trust,
estate, public or private institution,
group, Government agency other than
DOE, or any State or political entity
within a State; and
(ii) Any legal successor,
representative, agent, or agency of the
foregoing.
(2) Persons under U.S. jurisdiction are
responsible for their foreign licensees,
contractors, or subsidiaries to the extent
that the former have control over the
activities of the latter.
Production accelerator means a
particle accelerator specially designed,
used, or intended for use with a
production subcritical assembly.
Production accelerator-driven
subcritical assembly system means a
system comprised of a production
subcritical assembly and a production
accelerator and which is specially
designed, used, or intended for the
production of plutonium or uranium233. In such a system, the production
accelerator target provides a source of
neutrons used to effect special nuclear
material production in the production
subcritical assembly.
Production reactor means a nuclear
reactor specially designed or used
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primarily for the production of
plutonium or uranium-233.
Production subcritical assembly
means an apparatus that contains source
material or special nuclear material to
produce a nuclear fission chain reaction
that is not self-sustaining and that is
specially designed, used, or intended for
the production of plutonium or
uranium-233.
Public information means:
(1)(i) Information available in
periodicals, books, or other print or
electronic media for distribution to any
member of the public, or to a
community of persons such as those in
a scientific, engineering, or educational
discipline or in a particular commercial
activity who are interested in a subject
matter;
(ii) Information available in public
libraries, public reading rooms, public
document rooms, public archives, or
public data banks, or in university
courses;
(iii) Information that has been
presented at an open meeting (see
definition of ‘‘open meeting’’);
(iv) Information that has been made
available internationally without
restriction on its further dissemination;
or
(v) Information contained in an
application that has been filed with the
U.S. Patent Office and eligible for
foreign filing under 35 U.S.C. 184 or
that has been made available under 5
U.S.C. 552, the Freedom of Information
Act.
(2) Public information must be
available to the public prior to, or at the
same time as, it is transmitted to a
foreign recipient. It does not include
any technical embellishment,
enhancement, explanation or
interpretation that in itself is not public
information, or information subject to
sections 147 and 148 of the Atomic
Energy Act.
Reprocessing means a process or
operation, the purpose of which is to
extract radioactive isotopes from
irradiated source and special nuclear
materials for further use.
Restricted Data means all data
concerning:
(1) Design, manufacture, or utilization
of atomic weapons;
(2) The production of special nuclear
material; or
(3) The use of special nuclear material
in the production of energy, but shall
not include data declassified or
removed from the Restricted Data
category pursuant to section 142 of the
Atomic Energy Act.
Secretary means the Secretary of
Energy.
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Sensitive nuclear technology means
any information (including information
incorporated in a production or
utilization facility or important
component part thereof) that is not
available to the public (see definition of
‘‘public information’’) which is
important to the design, construction,
fabrication, operation, or maintenance
of a uranium enrichment or nuclear fuel
reprocessing facility or a facility for the
production of heavy water, but shall not
include Restricted Data controlled
pursuant to chapter 12 of the Atomic
Energy Act. The information may take a
tangible form such as a model,
prototype, blueprint, or operation
manual or an intangible form such as
technical services.
Source material means:
(1) Uranium or thorium, other than
special nuclear material; or
(2) Ores that contain by weight 0.05
percent or more of uranium or thorium,
or any combination of these materials.
Special nuclear material means:
(1) Plutonium;
(2) Uranium-233; or
(3) Uranium enriched above 0.711
percent by weight in the isotope
uranium-235.
Specific authorization means an
authorization granted by the Secretary
under section 57 b.(2) of the Atomic
Energy Act, in response to an
application filed under this part, to
engage in specifically authorized
nuclear activities subject to this part.
Specifically authorized nuclear
activities means the provision of
assistance, including the transfer of
technology, to foreign persons related
to:
(1) Uranium isotope separation
(uranium enrichment), plutonium
isotope separation, or isotope separation
of any other elements (including stable
isotope separation) when the technology
or process can be applied directly or
indirectly to uranium or plutonium;
(2) Fabrication of nuclear fuel
containing plutonium, including
preparation of fuel elements, fuel
assemblies, and cladding thereof;
(3) Hydrogen isotope separation and
heavy water production;
(4) Production accelerator-driven
subcritical assembly systems;
(5) Production reactors; and
(6) Reprocessing of irradiated nuclear
fuel or targets containing special nuclear
material.
Technology means specific
information required for the
development, production, or use of any
facility or activity listed in § 810.2(c).
This information may take the form of
technical data or technical assistance.
(1) Development is related to all
phases before production such as:
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(i) Design;
(ii) Design research;
(iii) Design analysis;
(iv) Design concepts;
(v) Assembly and testing of
prototypes;
(vi) Pilot production schemes;
(vii) Design data;
(viii) Process of transforming design
data into a product;
(ix) Configuration design;
(x) Integration design; and
(xi) Layouts.
(2) Production means all production
phases such as:
(i) Construction;
(ii) Production engineering;
(iii) Manufacture;
(iv) Integration;
(v) Assembly or mounting;
(vi) Inspection;
(vii) Testing; and
(viii) Quality assurance.
Technical assistance means assistance
in such forms as instruction, skills,
training, working knowledge, consulting
services, or any other assistance as
determined by the Secretary. Technical
assistance may involve transfer of
technical data.
Technical data means data in such
forms as blueprints, plans, diagrams,
models, formulae, engineering designs,
specifications, manuals, and
instructions written or recorded on
other media or devices such as disks,
tapes, read-only memories, and
computational methodologies,
algorithms, and computer codes that can
directly or indirectly affect the
production of special nuclear material.
Use means operation, installation
(including on-site installation), and
maintenance (checking), repair,
overhaul, and refurbishing.
United States, when used in a
geographical sense, includes all
territories and possessions of the United
States.
§ 810.4
Communications.
(a) All communications concerning
the regulations in this part should be
addressed to: U.S. Department of
Energy, Washington, DC 20585.
Attention: Senior Policy Advisor,
National Nuclear Security
Administration/Office of
Nonproliferation and International
Security (NA 24), Telephone (202) 586–
0589.
(b) Communications also may be
delivered to DOE’s headquarters at 1000
Independence Avenue, SW.,
Washington, DC. All clearly marked
proprietary information will be given
the maximum protection allowed by
law.
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§ 810.5
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Interpretations.
(a) The advice of the DOE Office of
Nonproliferation and International
Security may be requested on whether
a proposed activity falls outside the
scope of this part, is generally
authorized under § 810.6, or requires
specific authorization under § 810.7.
However, unless authorized by the
Secretary in writing, no interpretation of
the regulations in this part other than a
written interpretation by the DOE
General Counsel is binding upon DOE.
(b) When advice is requested from the
DOE Office of Nonproliferation and
International Security, or a binding,
written determination is requested from
the DOE General Counsel, a response
normally will be made within 30 days
and, if this is not feasible, an interim
response will explain the reason for the
delay.
§ 810.6
Generally authorized activities.
(a) In accordance with section 57 b.(2)
of the Atomic Energy Act, the Secretary
has determined that activities by U.S.
persons that involve engaging directly
or indirectly in the production of
nuclear material outside the United
States, including by providing
assistance or transferring technology in
ways that do not involve specifically
authorized nuclear activities, are
generally authorized to be undertaken
with respect to the IAEA and the
countries and territories, and facilities
therein, identified in paragraphs (b)(1)
through (5) of this section, provided that
no sensitive nuclear technology is
transferred.
(b) The activities described in
paragraph (a) of this section are
generally authorized with respect to the
IAEA and:
(1) The following countries and
territories, and the facilities in such
countries or territories:
Argentina,
Australia,
Austria,
Bangladesh,
Belgium,
Brazil,
Bulgaria,
Canada,
Colombia,
Cyprus,
Czech Republic,
Denmark,
Egypt,
Estonia,
Finland,
France,
Germany,
Greece,
Hungary,
Indonesia,
Ireland,
Italy,
Japan,
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Kazakhstan,
Latvia,
Lithuania,
Luxembourg,
Malta,
Morocco,
Netherlands,
Norway,
Peru,
Poland,
Portugal,
Korea, Republic of
Romania,
Slovakia,
Slovenia,
South Africa,
Spain,
Sweden,
Switzerland,
Taiwan,
Thailand,
Turkey,
Ukraine,
United Arab Emirates,
United Kingdom.
(c) Does not authorize a person to
engage in any activity when the person
knows or has reason to know that the
activity is intended to provide
assistance in designing, developing,
fabricating, or testing a nuclear
explosive device.
§ 810.9
(2) Any safeguarded facility in order
to prevent or correct a current or
imminent radiological emergency
posing a significant danger to the health
and safety of the off-site population and
that cannot be met by other means,
provided DOE is notified in writing in
advance and does not object;
(3) Any country or territory, if carried
out in the course of implementation of
the Agreement between the United
States of America and the IAEA for the
Application of Safeguards in the United
States;
(4) Any country or territory, if carried
out in the course of participation in
exchange programs approved by the
Department of State in consultation
with DOE;
(5) Any country or territory, if carried
out by persons, other than experts and
consultants who are full-time employees
of the IAEA, whose employment is
sponsored by the U.S. Government.
§ 810.7 Activities requiring specific
authorization.
Unless generally authorized by
§ 810.6, a U.S. person requires specific
authorization by the Secretary before
engaging directly or indirectly in the
production of special nuclear material
outside the United States.
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§ 810.8 Restrictions on general and
specific authorization.
A general or specific authorization
granted by the Secretary under this part:
(a) Is limited to activities involving
only unclassified information and does
not permit furnishing Restricted Data or
other classified information;
(b) Does not relieve a person from
complying with relevant laws or the
regulations of other Government
agencies applicable to exports;
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Grant of specific authorization.
(a) An application for authorization to
provide assistance or transfer
technology for which specific
authorization is required under § 810.7
should be made to the U.S. Department
of Energy, National Nuclear Security
Administration, Washington, DC 20585,
Attention: Senior Policy Advisor, Office
of Nonproliferation and International
Security (NA 24).
(b) The Secretary will approve an
application for specific authorization if
it is determined, with the concurrence
of the Department of State and after
consultation with the Nuclear
Regulatory Commission, the Department
of Commerce, and the Department of
Defense, that the activity will not be
inimical to the interest of the United
States. Each application approved for
specific authorization generally will be
for a period up to five years. In making
an authorization determination, the
Secretary will take into account the
following factors:
(1) Whether the United States has an
agreement for peaceful nuclear
cooperation in force covering exports to
the country, territory, or international
organization involved;
(2) Whether the country or the
authorities of the territory involved is/
are a party to, or has/have otherwise
adhered to, the NPT;
(3) Whether the country or the
authorities of the territory involved is/
are in good standing with its/their
acknowledged nonproliferation
commitments;
(4) Whether the country or the
authorities of the territory involved has/
have accepted IAEA safeguards
obligations on all nuclear materials used
for peaceful purposes and has/have
them in force;
(5) Whether there exist other
nonproliferation controls or conditions
on the proposed activity, including that
the recipient is duly authorized by the
country’s government or the authorities
of the territory involved to receive and
operate the technology sought to be
transferred;
(6) Significance of the assistance or
technology transfer relative to the
existing nuclear capabilities of the
recipient country or territory;
(7) Whether the transfer is part of an
existing cooperative enrichment
PO 00000
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Fmt 4702
Sfmt 4702
enterprise or the supply chain of such
an enterprise;
(8) The availability of comparable
assistance or technology from other
sources; and
(9) Any other factors that may bear
upon the political, economic, or security
interests of the United States, including
the obligations of the United States
under treaties or other international
agreements, and the obligations of the
recipient country or the authorities of
the territory involved under treaties or
other international agreements.
(c) If the proposed assistance or
technology transfer involves the export
of sensitive nuclear technology as
defined in § 810.3, the requirements of
sections 127 and 128 of the Atomic
Energy Act and of any applicable United
States international commitments must
also be met. For the export of sensitive
nuclear technology, in addition to the
factors in subparagraph (b), the
Secretary will take into account:
(1) Whether the recipient country or
the authorities of the recipient territory
is/are a party to, or has/have adhered to,
the NPT and is/are in full compliance
with its/their obligations under the
NPT;
(2) Whether the recipient country has
signed, ratified, and is implementing a
comprehensive safeguards agreement
with the IAEA and has in force an
Additional Protocol based on the model
Additional Protocol, or, pending this, in
the case of a regional accounting and
control arrangement for nuclear
materials, is implementing, in
cooperation with the IAEA, a safeguards
agreement approved by the IAEA Board
of Governors prior to the publication of
INFCIRC/540 (September 1997); or
alternatively whether comprehensive
safeguards, including the measures of
the Model Additional Protocol are being
applied in the recipient country or
territory;
(3) Whether the recipient country or
the authorities of the territory has/have
not been identified in a report by the
IAEA Secretariat that is under
consideration by the IAEA Board of
Governors, as being in breach of
obligations to comply with the
applicable safeguards agreement, nor
continues/continue to be the subject of
Board of Governors decisions calling
upon it/them to take additional steps to
comply with its/their safeguards
obligations or to build confidence in the
peaceful nature of its/their nuclear
program, nor as to which the IAEA
Secretariat has reported that it is unable
to implement the applicable safeguards
agreement. This criterion would not
apply in cases where the IAEA Board of
Governors or the United Nations
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Security Council subsequently decides
that adequate assurances exist as to the
peaceful purposes of the recipient’s
nuclear program and its compliance
with the applicable safeguards
agreements. For the purposes of this
paragraph, ‘‘breach’’ refers only to
serious breaches of proliferation
concern;
(4) Whether the recipient country or
territory is adhering to the Nuclear
Suppliers Group Guidelines and, where
applicable, has reported to the Security
Council of the United Nations that it is
implementing effective export controls
as identified by Security Council
Resolution 1540; and
(5) Whether the recipient country or
territory adheres to international safety
conventions relating to nuclear or other
radioactive materials or facilities.
(d) Unless otherwise prohibited by
U.S. law, the Secretary may grant an
application for specific authorization for
activities related to the enrichment of
source material and special nuclear
material, provided that: the United
States Government has received written
assurances from the government of the
country or the authorities of the territory
involved—
(1) That it/they accepts/accept the
sensitive enrichment equipment and
enabling technologies, or an operable
enrichment facility under conditions
that do not permit or enable replication
of the facilities;
(2) That the subject enrichment
activity will not result in the production
of uranium enriched to greater than
20% in the isotope uranium-235; and
(3) That there are in place appropriate
security arrangements to protect the
activity from use or transfer inconsistent
with the country’s national laws or the
law applicable in the territory involved.
(e) Approximately 30 days after the
Secretary’s grant of a specific
authorization, a copy of the Secretary’s
determination may be provided to any
person requesting it at the Department’s
Public Reading Room, unless the
applicant submits information
demonstrating that public disclosure
will cause substantial harm to its
competitive position. This provision
does not affect any other authority
provided by law for the non-disclosure
of information.
§ 810.10 Revocation, suspension, or
modification of authorization.
The Secretary may revoke, suspend,
or modify a general or specific
authorization:
(a) For any material false statement in
an application for specific authorization
or in any additional information
submitted in its support;
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(b) For failing to provide a report or
for any material false statement in a
report submitted pursuant to § 810.12;
(c) If any authorized assistance or
technology transfer is subsequently
determined to be inimical to the interest
of the United States or otherwise no
longer meets the legal criteria for
approval; or
(d) Pursuant to section 129 of the
Atomic Energy Act.
§ 810.11 Information required in an
application for specific authorization.
(a) An application letter must include
the following information:
(1) The name, address, and
citizenship of the applicant, and
complete disclosure of all real parties in
interest; if the applicant is a corporation
or other legal entity, where it is
incorporated or organized, the location
of its principal office, and the degree of
any control or ownership by any foreign
person;
(2) The country or territory, or the
international organization, to receive the
assistance or technology; the name and
location of any facility or project
involved; and the name and address of
the person for which the activity is to
be performed;
(3) A description of the assistance or
technology to be provided, including a
complete description of the proposed
activity, its approximate monetary
value, and a detailed description of any
specific project to which the activity
relates; and
(4) The designation of any
information that if publicly disclosed
would cause substantial harm to the
competitive position of the applicant.
(b) The applicant should also include,
as an attachment to the application
letter, any information the applicant
wishes to provide concerning the factors
listed in § 810.9(b) and (c).
(c) U.S. persons seeking to employ a
foreign national of a country not listed
in § 810.6(b) in a position that could
result in the transfer or technology
subject to § 810.6(a), or seeking to
employ any foreign national in a
position that could result in the transfer
of technology subject to § 810.7, must
request a specific authorization. No
application for specific authorization is
required if the foreign national is
lawfully admitted for permanent
residence in the United States, or is a
protected individual under the
Immigration and Naturalization Act (8
U.S.C. 1324b(a)(3)). The applicant must
provide, with respect to each foreign
national to whom the applicant seeks to
release technology subject to this part:
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Fmt 4702
Sfmt 4702
55287
(1) A description of the technology
that will be made available to the
foreign national;
(2) The purpose of the proposed
release, and a description of the
applicant’s technology control program;
(3) A copy of any confidentiality
agreement between the applicant and
the foreign national;
(4) Background information about the
foreign national, including the
individual’s citizenship, all countries or
territories where the individual has
resided for more than six months, the
training or educational background of
the individual, all work experience, any
other known affiliations with persons
engaged in activities subject to this part,
and current immigration or visa status
in the United States; and
(5) A signed undertaking by the
foreign national that he/she will comply
with the regulations under this part;
will not disclose the applicant’s
technology without DOE’s prior written
authorization; and will not, at any time
during or after his/her employment with
the applicant, use the applicant’s
technology for any nuclear explosive
device, for research on or development
of any nuclear explosive device, or in
furtherance of any military purpose.
(d) An applicant for a specific
authorization related to the enrichment
of fissile material must submit
information that demonstrates that the
proposed transfer will avoid, so far as
practicable, the transfer of enabling
design or manufacturing technology
associated with such items; and that the
applicant will share with the recipient
only information required for the
regulatory purposes of the recipient
country or territory or to ensure the safe
installation and operation of a resulting
enrichment facility, without divulging
enabling technology;
§ 810.12
Reports.
(a) Each person who has received a
specific authorization shall, within 30
days after beginning the authorized
activity, provide to DOE a written report
containing the following information:
(1) The name, address, and
citizenship of the person submitting the
report;
(2) The name, address, and
citizenship of the person for whom or
which the activity is being performed;
(3) A description of the activity, the
date it began, its location, status, and
anticipated date of completion; and
(4) A copy of the DOE letter
authorizing the activity.
(b) Each person carrying out a
specifically authorized activity shall
inform DOE, in writing within 30 days,
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Federal Register / Vol. 76, No. 173 / Wednesday, September 7, 2011 / Proposed Rules
of completion of the activity or of its
termination before completion.
(c) Each person granted a specific
authorization shall inform DOE, in
writing within 30 days, when it is
known that the proposed activity will
not be undertaken and the granted
authorization will not be used.
(d) Each person, within 30 days after
beginning any generally authorized
activity under § 810.6, shall provide to
DOE:
(1) The name, address, and
citizenship of the person submitting the
report;
(2) The name, address, and
citizenship of the person for whom or
which the activity is being performed;
(3) A description of the activity, the
date it began, its location, status, and
anticipated date of completion; and
(4) An assurance that the applicant
has an agreement with the recipient
ensuring that any subsequent transfer of
materials, equipment, or technology
transferred under general authorization
to a country or territory with respect to
which the conditions in § 810.6 are not
met will take place only if the applicant
obtains DOE approval.
(e) Persons engaging in generally
authorized activities as employees of
persons required to report are not
themselves required to report.
(f) Persons engaging in activities
generally authorized under § 810.6(b)
are not subject to reporting requirements
under this section.
(g) DOE may require reports to
include such additional information
that may be required by applicable U.S.
law, regulation, or policy with respect to
the specific nuclear activity or country
for which specific authorization is
required.
(h) All reports should be sent to: U.S.
Department of Energy, National Nuclear
Security Administration, Washington,
DC 20585, Attention: Senior Policy
Advisor, Office of Nonproliferation and
International Security (NA 24).
§ 810.13
mstockstill on DSK4VPTVN1PROD with PROPOSALS
Violations.
(a) The Atomic Energy Act provides
that:
(1) Permanent or temporary
injunctions or restraining orders may be
granted to prevent any person from
violating any provision of the Atomic
Energy Act or its implementing
regulations.
(2) Any person convicted of violating
or conspiring or attempting to violate
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§ 810.15
Effective date and savings clause.
Except for actions that may be taken
by DOE pursuant to § 810.10, the
regulations in this part do not affect the
validity or terms of any specific
authorizations granted under
regulations in effect before October 7,
2011 or generally authorized activities
under those regulations for which the
contracts, purchase orders, or licensing
arrangements were already in effect.
Persons engaging in activities that were
generally authorized under regulations
in effect before October 7, 2011, but that
require specific authorization under the
regulations in this part, must request
specific authorization by December 6,
2011 but may continue their activities
until DOE acts on the request.
[FR Doc. 2011–22679 Filed 9–6–11; 8:45 am]
BILLING CODE 6450–01–P
FEDERAL RESERVE SYSTEM
12 CFR Part 225
Capital Plans; Proposed Agency
Information Collection Activities:
Comment Request
Board of Governors of the
Federal Reserve System.
ACTION: Request for comments.
AGENCY:
On June 15, 1984, the Office
of Management and Budget (OMB)
delegated to the Board of Governors of
the Federal Reserve System (Board) its
approval authority under the Paperwork
Reduction Act (PRA), pursuant to its
regulations, to approve of and assign
OMB control numbers to collection of
information requests and requirements
conducted or sponsored by the Board
under conditions set forth in its
regulations. Board-approved collections
of information are incorporated into the
official OMB inventory of currently
approved collections of information.
Copies of the Paperwork Reduction Act
Submission, supporting statements and
SUMMARY:
Additional information.
DOE may at any time require a person
engaging in any generally or specifically
authorized activity to submit additional
information.
§ 810.14
any provision of section 57 of the
Atomic Energy Act may be fined up to
$10,000 or imprisoned up to 10 years,
or both. If the offense is committed with
intent to injure the United States or to
aid any foreign nation, the penalty
could be up to life imprisonment and a
$20,000 fine.
(b) Title 18 of the United States Code,
section 1001, provides that persons
convicted of willfully falsifying,
concealing, or covering up a material
fact or making false, fictitious or
fraudulent statements or representations
may be fined up to $10,000 or
imprisoned up to five years, or both.
PO 00000
Frm 00011
Fmt 4702
Sfmt 4702
approved collection of information
instruments are placed into OMB’s
public docket files. The Federal Reserve
may not conduct or sponsor, and the
respondent is not required to respond
to, an information collection that has
been extended, revised, or implemented
on or after October 1, 1995, unless it
displays a currently valid OMB control
number.
DATES: Comments must be submitted on
or before November 7, 2011.
ADDRESSES: You may submit comments,
identified by FR Y–14A and FR Y–14Q,
by any of the following methods:
• Agency Web Site: https://
www.federalreserve.gov. Follow the
instructions for submitting comments at
https://www.federalreserve.gov/
generalinfo/foia/ProposedRegs.cfm.
• Federal eRulemaking Portal: https://
www.regulations.gov. Follow the
instructions for submitting comments.
• E-mail:
regs.comments@federalreserve.gov.
Include docket number in the subject
line of the message.
• Fax: 202/452–3819 or 202/452–
3102.
• Mail: Jennifer J. Johnson, Secretary,
Board of Governors of the Federal
Reserve System, 20th Street and
Constitution Avenue, NW., Washington,
DC 20551.
All public comments are available
from the Board’s Web site at https://
www.federalreserve.gov/generalinfo/
foia/ProposedRegs.cfm as submitted,
unless modified for technical reasons.
Accordingly, your comments will not be
edited to remove any identifying or
contact information. Public comments
may also be viewed electronically or in
paper form in Room MP–500 of the
Board’s Martin Building (20th and C
Streets, NW.) between 9 a.m. and 5 p.m.
on weekdays.
Additionally, commenters should
send a copy of their comments to the
OMB Desk Officer by mail to the Office
of Information and Regulatory Affairs,
U.S. Office of Management and Budget,
New Executive Office Building, Room
10235, 725 17th Street, NW.,
Washington, DC 20503 or by fax to 202–
395–6974.
FOR FURTHER INFORMATION CONTACT: A
copy of the PRA OMB submission,
including the proposed reporting
schedules and instructions, supporting
statement, and other documentation
will be placed into OMB’s public docket
files, once approved. These documents
will also be made available on the
Federal Reserve Board’s public Web site
at: https://www.federalreserve.gov/
boarddocs/reportforms/review.cfm or
may be requested from the agency
E:\FR\FM\07SEP1.SGM
07SEP1
Agencies
[Federal Register Volume 76, Number 173 (Wednesday, September 7, 2011)]
[Proposed Rules]
[Pages 55278-55288]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-22679]
========================================================================
Proposed Rules
Federal Register
________________________________________________________________________
This section of the FEDERAL REGISTER contains notices to the public of
the proposed issuance of rules and regulations. The purpose of these
notices is to give interested persons an opportunity to participate in
the rule making prior to the adoption of the final rules.
========================================================================
Federal Register / Vol. 76, No. 173 / Wednesday, September 7, 2011 /
Proposed Rules
[[Page 55278]]
DEPARTMENT OF ENERGY
10 CFR Part 810
RIN 1994-AA02
Assistance to Foreign Atomic Energy Activities
AGENCY: National Nuclear Security Administration, Department of Energy
(DOE).
ACTION: Notice of proposed rulemaking.
-----------------------------------------------------------------------
SUMMARY: DOE proposes to amend its regulation concerning unclassified
assistance to foreign atomic energy activities. This regulation
provides that persons subject to the jurisdiction of the United States
who engage directly or indirectly in the production of special nuclear
material outside the United States must be authorized to do so by the
Secretary of Energy (Secretary). The proposed revisions update and
clarify several provisions in the current regulation, and identify
information applicants are required to submit in support of
applications for an authorization under this part. The revisions are
intended to reduce uncertainties for industry users concerning which
foreign nuclear-related activities by U.S. persons are ``generally
authorized'' under the regulation and which activities require a
``specific authorization'' from the Secretary. In this regard, one
proposed organizational change is the listing of countries and
territories for which a general authorization for foreign atomic energy
activities is available. This proposed change contrasts with the
current regulation, which lists those countries for which a specific
authorization to conduct such activities is required. Unclassified
nuclear activities are generally authorized with respect to these
listed countries if they do not involve ``sensitive nuclear
technology'' as defined in the regulation. Conversely, the proposed
revised regulation specifically identifies those assistance activities
and technologies under DOE's jurisdiction, the export of which requires
a specific authorization from the Secretary. Additionally, DOE is
proposing to add regulations to address ``deemed exports.'' Companies
seeking to employ foreign nationals in positions involving a proposed
transfer of technology are provided information on the documentation
required to be submitted to request specific authorization for those
transfers. Finally, DOE proposes to update its regulations in this area
to reflect terminological and other changes in nuclear technology since
the last major update in 1986. Finally, points of contact references
have been updated to reflect the current DOE organizational structure.
DATES: Written comments must be postmarked on or before November 7,
2011 to ensure consideration.
ADDRESSES: You may submit comments, identified by RIN 1994-AA02, by any
of the following methods:
1. Federal eRulemaking Portal: https://www.regulations.gov. Follow
the instructions for submitting comments.
2. E-mail: Part810.NOPR@hq.doe.gov Include RIN 1994-AA02 in the
subject line of the message.
3. Mail: Richard Goorevich, Senior Policy Advisor, Office of
Nonproliferation and International Security, NA 24, National Nuclear
Security Administration, Department of Energy, 1000 Independence
Avenue, SW., Washington, DC 20585.
Due to potential delays in DOE's receipt and processing of mail
sent through the U.S. Postal Service, DOE encourages responders to
submit comments electronically to ensure timely receipt.
All submissions must include the RIN for this rulemaking, RIN 1994-
AA02. For detailed instructions on submitting comments and additional
information on the rulemaking process, see the ``Public Comment
Procedures'' heading of the SUPPLEMENTARY INFORMATION section of this
document.
FOR FURTHER INFORMATION CONTACT: Richard Goorevich, Senior Policy
Advisor, Office of Nonproliferation and International Security, NA 24,
National Nuclear Security Administration, Department of Energy, 1000
Independence Avenue, SW., Washington, DC 20585, telephone 202-586-0589;
Janet Barsy or Elliot Oxman, Office of the General Counsel, GC-53,
Department of Energy, 1000 Independence Avenue, SW., Washington, DC
20585, telephone 202-586-3429 (Ms. Barsy) or 202-586-1755 (Mr. Oxman);
or Katie Strangis, National Nuclear Security Administration, Office of
the General Counsel, 1000 Independence Avenue, SW., Washington, DC
20585, telephone 202-586-8623.
SUPPLEMENTARY INFORMATION:
I. Background
II. Description of Proposed Changes
III. Public Comment Procedures
IV. Regulatory Review
A. Executive Order 12866
B. National Environmental Policy Act
C. Regulatory Flexibility Act
D. Paperwork Reduction Act
E. Unfunded Mandates Reform Act of 1995
F. Treasury and Government Appropriations Act, 1999
G. Executive Order 13132
H. Executive Order 12988
I. Treasury and General Government Appropriations Act, 2001
J. Executive Order 13211
V. Approval by the Office of the Secretary
I. Background
DOE's regulation in 10 CFR part 810 implements section 57b. of the
Atomic Energy Act of 1954, as amended by section 302 of the Nuclear
Non-Proliferation Act of 1978 (NNPA) (42 U.S.C 2077(b)). The statute
provides that it ``shall be unlawful for any person to directly or
indirectly engage or participate in the development or production of
any special nuclear material outside of the United States except (1) As
specifically authorized under an agreement for cooperation made
pursuant to section 123 * * * or (2) upon authorization by the
Secretary of Energy after a determination that such activity will not
be inimical to the interest of the United States. * * *''
Part 810 regulates the export of unclassified nuclear technology
and assistance, to facilitate international commerce while at the same
time protecting against the spread of nuclear technologies and material
that would be contrary to the nonproliferation and other national
security interests of the United States. More specifically, the
purposes of the part 810 regulation are: (1) To enable DOE to control
the export of nuclear technologies and services while protecting the
interest of, and advancing, U.S. nonproliferation and other national
security objectives; (2) to facilitate such exports by identifying
nuclear technology and related
[[Page 55279]]
assistance activities that can be ``generally authorized'' by the
Secretary and thus require no further authorization under part 810; (3)
to identify the specific transfers of assistance and technology which
require specific authorization by the Secretary; (4) to explain how to
request a specific authorization from the Secretary; and (5) to
identify the reporting requirements for activities subject to part 810.
The part 810 regulation has not been comprehensively updated since
1986. Some of the terminology contained in the current regulation has
become inconsistent with guidelines issued by the Nuclear Suppliers
Group (NSG), an international group of nuclear supplier countries,
including the United States, which seeks to promote the
nonproliferation of nuclear weapons through the implementation of
guidelines for nuclear exports. The existing part 810 regulation also
contains certain technical references and definitions that do not
reflect current science, and other terms and references whose inclusion
in the regulation is no longer necessary.
II. Description of Proposed Changes
DOE is publishing this notice of proposed rulemaking (NOPR) to
clarify the regulatory restrictions and requirements pertaining to
unclassified atomic energy assistance, and nuclear technology
transfers, to foreign destinations. The proposed changes would update
some of the definitions used in the regulation; identify countries and
territories as to which a ``general authorization'' applies; and
identify the activities subject to a ``specific authorization''.
Additionally, the proposed rule would: (1) Make clear what types of
technology transfers, which can include either technical data or
technical assistance, fall within the scope of the regulation; (2)
provide for added technical clarity of certain terms and technology;
(3) revise, delete, and add definitions for certain terms contained in
the regulation; (4) identify the information required to be provided by
applicants for a part 810 authorization, including requests for
authorization of ``deemed exports''; and (5) update points of contact
information to reflect current Departmental organizational structure
and office designations.
The proposed changes to part 810 are summarized below in the order
in which they appear:
1. The proposed changes to Sec. 810.1 ``Purpose'' would state the
statutory basis for the regulation and clarify the purpose and
authorization requirements.
2. The proposed changes to paragraghs (a) and (b) in Sec. 810.2
``Scope'' are intended to state explicitly DOE's jurisdiction under
section 57 b. of the Atomic Energy Act with regard to unclassified
nuclear export activities by U.S. persons that include assistance and
transfer of technology abroad and to foreign nationals employed by U.S.
companies, whether the subject activities are conducted in the United
States or abroad by U.S. persons or by licensees, contractors or
subsidiaries under their direction, supervision, responsibility, or
control. Proposed Sec. 810.2(c) would retain the exemptions for all
exports licensed by the Nuclear Regulatory Commission; and would exempt
``public information'' and ``basic scientific research'' as those terms
are proposed to be defined in Sec. 810.3. Additionally, proposed Sec.
810.2(c) would make clear the exclusion from the scope of the part 810
regulation of uranium and thorium mining and milling and nuclear fusion
reactors when not used in support of systems involving hydrogen isotope
separation. The proposed addition of these two exemptions is intended
to clarify that activities related to uranium and thorium mining and
milling and nuclear fusion reactors, per se, are not within the scope
of part 810.
3. In proposed Sec. 810.3 ``Definitions'', a number of new
definitions are proposed to reflect terminological changes and
technological developments since the part 810 regulation was last
updated (in 1986), and to provide additional clarity to certain terms
currently defined and used in the regulation. For example, the
definition of ``accelerator-driven subcritical assembly'' would be
replaced with ``production accelerator-driven subcritical assembly
system''; the terms ``non-nuclear-weapon state'', ``operational
safety'' and ``subcritical assembly'' are proposed to be deleted from
the current definitions. The proposed rule would also add new and
revised definitions: ``basic scientific research,'' ``cooperative
enrichment enterprise'', ``enrichment,'' ``fissile material'',
``production accelerator'', ``production accelerator-driven subcritical
assembly system'', ``production subcritical assembly'',
``reprocessing'', ``specific authorization'', ``specifically authorized
nuclear activities'', ``technology'' (including ``development'' and
``production''), ``technical assistance'', ``technical data'', and
``use''. Definitions are also proposed to be added for ``DOE'' and
``Secretary''.
4. Proposed Sec. Sec. 810.4 ``Communications'' and 810.5
``Interpretations'' would be changed to identify the responsible office
under the current Departmental organizational structure to which
applications, questions, or requests should be addressed. This proposed
revision is intended to ensure that part 810-related correspondence
will be directed appropriately and help facilitate prompt responses to
those applications, questions, or other requests.
5. The current Sec. 810.6 ``Authorization requirement'' quotes
section 57 b. of the Atomic Energy Act. This notice proposes to delete
the quotation, and to address the statutory basis instead in the
``Authority'' section of the preamble and proposed Sec. 810.1
``Purpose''.
6. Proposed Sec. 810.6 ``Generally Authorized Activities''--
currently Sec. 810.7, re-numbered Sec. 810.6 in the proposed rule--
would identify activities that are generally authorized by the
Secretary, and the countries and territories to which general
authorizations apply. Section 810.6(a) would identify generally
authorized activities. Section 810.6(b) would identify the countries
and territories, and facilities therein, that would qualify for a
general authorization. The current Sec. 810.7 (b) ``furnishing public
information'' would be deleted from the list of generally authorized
activities and would be included in proposed Sec. 810.2, as exempt
from the scope of this part. Current Sec. 810.7(c) would be deleted.
The ``fast track'' safety general authorization has rarely been used,
and has proved confusing to applicants. In summary, the proposed Sec.
810.6 would identify the activities, countries, territories,
destinations, and facilities to which the general authorization is
applicable.
7. Proposed Sec. 810.7 Activities requiring specific
authorization. This proposed section, renumbered from Sec. 810.8,
would be modified to indicate that, unless an activity is generally
authorized under proposed Sec. 810.6, a specific authorization from
the Secretary would be required before engaging directly or indirectly
in the production of special nuclear material outside the United
States. The current regulation in Sec. 810.2 (a) provides a broad
general authorization for all activities not requiring a specific
authorization as described in Sec. 810.8.
8. Proposed Sec. 810.8 Restrictions on general and specific
authorization. The present restrictions, currently in Sec. 810.9,
would remain unchanged.
9. Proposed Sec. 810.9 ``Grant of specific authorization''--
currently Sec. 810.10-- would add a new paragraph (b) to establish a
time limit on all specific authorizations. Each specific
[[Page 55280]]
authorization approved by the Secretary is proposed to be limited to a
period of up to five years. This proposal is intended to ensure that
U.S. persons granted specific authorizations from the Secretary keep
DOE informed of their activities and planned nuclear technology
transfers, and to facilitate DOE's ability to confirm the adherence of
those activities to U.S. nonproliferation policy. Additionally,
language would be included in proposed Sec. 810.9(b) identifying the
factors, consonant with U.S. international nonproliferation
commitments, considered by the Secretary in granting a specific
authorization. Proposed Sec. 810.9(c) would be expanded to provide
clarity to applicants that request a specific authorization to transfer
sensitive nuclear technology as defined in proposed Sec. 810.3. In
addition to the current requirements of sections 127 and 128 of the
Atomic Energy Act, the proposed regulation lists criteria, relevant to
U.S. nonproliferation policy and international commitments, that would
be considered in determining whether to authorize an export involving
sensitive nuclear technology. A new paragraph (d) is proposed to be
added, concerning requests to engage in foreign atomic energy
assistance activities related to the enrichment of fissile material (as
defined in proposed Sec. 810.3). The proposed provision is designed to
facilitate U.S. conformity to the Nuclear Suppliers Group Guidelines.
10. The current Sec. 810.11 is proposed as Sec. 810.10
Revocation, suspension, or modification of authorization. Proposed
Sec. 810.10(c) would add the phrase ``or technology transfer'' after
the words ``authorized assistance.''
11. The current Sec. 810.12 is proposed as Sec. 810.11,
Information required in an application for specific authorization, and
would be expanded to add more detail about the information required for
DOE to process a specific authorization request, including applications
for ``deemed export'' authorization. Section 810.11(a) would require
the submission of the same information required by the current
regulation (Sec. 810.12(a)). Proposed paragraph (b) would solicit any
information the applicant wishes to provide concerning the factors
listed in proposed Sec. 810.9(b). Proposed paragraph (c) would address
the required content for applications filed by U.S. companies seeking
to employ, and to accord access to nuclear technology subject to this
part by, foreign nationals with temporary, student, or immigrant visa
status in the United States. This proposed section is intended to
address situations comparable to those covered by the ``deemed export''
rule in 15 CFR 734.2(b)(2) of the Commerce Department's Export
Administration Regulations. Under this proposal, no part 810 specific
authorization would be required if the foreign national employee (or
prospective employee) is lawfully admitted for permanent residence in
the United States, or is a protected individual under the Immigration
and Nationalization Act (8 U.S.C. 1324b(a)(3)). As proposed, the part
810 regulation would make explicit DOE's current practice of requiring
an applicant to provide detailed information concerning the
nationality, visa status, educational background, and employment
history of each foreign national to whom the applicant seeks to grant
access to technology subject to the part 810 regulation. In addition,
the applicant must provide a description of the subject technology, a
copy of any confidentiality agreement between the U.S. company employer
and the foreign national, and written nonproliferation assurances by
the foreign national. Finally, proposed paragragh (d) would identify
the information required to be submitted by an applicant seeking a
specific authorization to engage in foreign atomic energy assistance
activities related to the enrichment of fissile material.
12. The current Sec. Sec. 810.13, 810.14, and 810.15 would be
renumbered as proposed Sec. 810.12 Reports, proposed Sec. 810.13
Additional information, and proposed Sec. 810.14 Violations. A
proposed addition in Sec. 810.12(g) would allow DOE to require
companies granted authorizations under part 810 to submit certain
reports to DOE, to include information required by U.S. law concerning
specific nuclear activities or specific countries exports to which
require a specific authorization.
Because DOE is making changes to most sections of part 810, it is
publishing the entire part 810 for public comment.
III. Public Comment Procedures
Interested persons are invited to participate by submitting data,
views, or arguments. Written comments should be submitted to the
address indicated in the ADDRESSES section of this notice. All comments
submitted in writing or in electronic form may be made available to the
public in their entirety. Personal information such as your name,
address, telephone number, e-mail address, etc., will not be removed
from your submission. Comments will be available for public inspection
in the DOE Freedom of Information Act Reading Room (1E-190), 1000
Independence Avenue, SW., Washington, DC 20585, between the hours of 9
a.m. and 4 p.m., Monday through Friday, except Federal holidays.
Members of the public who wish to review the comments submitted should
contact Alexander Morris, FOIA Officer, at (202) 586-3159. Comments
made on this rulemaking will also be posted on https://www.regulations.gov. Written comments received by the date indicated in
the DATES section of this notice of proposed rulemaking will be
addressed and considered prior to publication of the final rule. Any
information that a commenter considers to be confidential must be so
identified and submitted in writing, one copy only. DOE reserves the
right to determine the appropriateness of confidential status for the
information and to treat it in accordance with its determination. See
10 CFR 1004.11.
IV. Regulatory Review
A. Executive Order 12866
This proposed rule has been determined to not be a significant
regulatory action under Executive Order 12866, ``Regulatory Planning
and Review,'' 58 FR 51735 (October 4, 1993). Accordingly, this action
was not subject to review under that Executive Order by the Office of
Information and Regulatory Affairs of the Office of Management and
Budget.
B. National Environmental Policy Act
DOE has determined that this proposed rule is covered under the
Categorical Exclusion found in DOE's National Environmental Policy Act
regulations at paragraph A5 of Appendix A to subpart D, 10 CFR part
1021, categorical exclusion A5, which applies to a rule or regulation
that interprets or amends an ``existing rule or regulation that does
not change the environmental effect of the rule or regulation being
amended.'' Accordingly, neither an environmental assessment nor an
environmental impact statement is required.
C. Regulatory Flexibility Act
The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires
preparation of an initial regulatory flexibility analysis for any rule
that by law must be proposed for public comment, unless the agency
certifies that the rule, if promulgated, will not have a significant
economic impact on a substantial number of small entities. As required
by Executive Order 13272, ``Proper Consideration of Small Entities in
Agency Rulemaking,'' 67 FR 53461 (August 16, 2002), DOE published
[[Page 55281]]
procedures and policies on February 19, 2003, to ensure that the
potential impacts of its rules on small entities are properly
considered during the rulemaking process (68 FR 7990). DOE has made its
procedures and policies available on the Office of the General
Counsel's Web site: https://www.gc.doe.gov.
DOE has reviewed this proposed rule under the provisions of the
Regulatory Flexibility Act and the procedures and policies published on
February 19, 2003. The proposed rule offers clarity on regulatory
restrictions and requirements pertaining to unclassified assistance to
foreign atomic energy activities; it does not expand the scope of
activities currently regulated under 10 CFR part 810.
The proposed changes to the preamble of part 810 and Sec. 810.1
reposition (to the ``Authority'' section, above) and update statutory
citations, and clarify the purpose statement. There is no change that
will impact small businesses or the review time necessary to prepare or
submit requests for authorization.
Section 810.2 is proposed to be expanded to provide further detail
on the scope of activities that are subject to part 810. As a
consequence, more information will be available to small businesses as
they formulate their business strategies. These changes should assist
small businesses to determine which nuclear export activities
undertaken with foreign parties require authorization under this part.
This additional information should reduce the time required to identify
activities that are controlled by part 810, and also lessen the costs
associated with developing documentation to support applications for
authorization.
Section 810.3, Definitions, is proposed to be updated to reflect
changes in technology and to provide additional clarity. Specifically,
for example, the definition of ``accelerator-driven subcritical
assembly'' would be replaced with ``production accelerator-driven
subcritical assembly system''; and the terms ``non-nuclear-weapon
state'' and ``operational safety and subcritical assembly'' would be
deleted from the regulation. New and revised definitions would be
added: ``basic scientific research'', ``cooperative enrichment
enterprise'', ``DOE'', ``enrichment'', ``fissile material'',
``production accelerator-driven subcritical assembly system'',
``production subcritical assembly'', ``reprocessing'', ``Secretary'',
``specific authorization'', ``specifically authorized nuclear
activities'', ``technology'', ``technical assistance'', ``technical
data'', and ``use''. These definitional updates and additions would not
change the scope of the activities controlled under this part. Rather,
the new and revised definitions should provide greater clarity to small
businesses, decrease the time for small businesses to evaluate
activities for implications of this regulation, and also lessen the
costs associated with developing documentation to support their
applications for authorization.
Section 810.4 and Sec. 810.5 are proposed to be changed to reflect
the current organizational structure of the DOE office responsible for
administering part 810, and should not impact small businesses. The
proposed revision will help ensure that correspondence is directed
appropriately and expedite application processing time. Section 810.6
would be deleted. It quotes the provisions of section 57 b. of the
Atomic Energy Act of 1954 and is not required for the text of the
regulation. Its deletion would require an applicant to consult a source
outside part 810 to locate the statutory text of section 57 b.
Sections 810.7, Generally authorized activities, and 810.8,
Activities requiring specific authorization, would be revised and
renumbered as Sec. Sec. 810.6 and 810.7, respectively. The revised
text of Sec. 810.6 would provide more detail concerning activities
that are generally authorized by the Secretary, and identify countries
and territories, and facilities therein, to which general
authorizations apply. The proposed change should only impact small
businesses positively. Providing this clarification concerning
activities that are generally authorized would assist small businesses
to determine when they need to submit a request for specific
authorization, as stated in proposed Sec. 810.7. Paragraghs (a) and
(g) of current Sec. 810.7 would be deleted because the regulation does
not control public information; therefore a general authorization is
not necessary. The substance of paragragh (b) of the current Sec.
810.7 would be retained and renumbered as Sec. 810.6(b)(2). The
current Sec. 810.7(c) would be deleted from the text. This ``fast
track'' safety general authorization has been used only once, by a
large corporation, to address an imminent threat to the public after an
earthquake.
New Sec. 810.8, Restrictions on general and specific
authorizations, would continue the same restrictions as are contained
in the current part 810, and therefore would not add any new burdens on
small businesses. New Sec. 810.9, grant of specific authorization, is
proposed to outline the process for applying for a specific
authorization. Paragragh (a) would provide updated information on the
current DOE organizational structure. Paragragh (b) would retain
identification of the other U.S. departments and agencies (the
Departments of State, Defense, and Commerce, and the Nuclear Regulatory
Commission) that review part 810 authorization requests; it would also
include a time limit on specific authorizations, and revise and add
factors DOE would consider in making an authorization determination.
The five-year maximum period has been a matter of DOE practice for a
number of years; it is now being proposed to be added to the regulation
to provide clarity to companies applying for a specific authorization.
Paragragh (b) would be expanded to provide additional information to
U.S. companies that request a specific authorization to transfer
sensitive nuclear technology. This change should provide useful
information to applicants, but not create additional requirements or
negatively impact a small business applying for a specific
authorization. A new paragragh (c) is proposed, concerning activities
related to the enrichment of fissile material; and has been added to
facilitate U.S. conformity to the Nuclear Suppliers Group Guidelines.
Although satisfaction of the requirements of this proposal would
require more effort by an applicant, it is unlikely that a small
business would engage in foreign atomic energy activities involving the
enrichment of fissile material.
New Sec. 810.10, Revocation, suspension, or modification of
authorizations, has minimal proposed updates, and is intended to
provide greater clarity. New Sec. 810.11, Information required in an
application for specific authorization, would be expanded to add more
detail about the information required to process an authorization,
including a ``deemed export'' authorization. The revisions to this
section would provide additional, and more specific, information
concerning the matters required to be addressed in an application, thus
making the application process clearer to small businesses. Adoption of
this proposed revision should positively impact the amount of time and
resources a small business would have to devote to the application
process, without adding any new requirements for small businesses and
also decreasing the processing time for the application within the
Department. New Sec. 810.11 would also require an applicant to provide
information concerning
[[Page 55282]]
activities related to the enrichment of fissile materials. As noted, it
is unlikely that a small business would engage in foreign atomic energy
assistance activities of this nature.
New Sec. 810.12, Reports, would be updated with the correct DOE
organizational structure, with no adverse impact on small businesses.
The proposed changes to Sec. Sec. 810.13 and 810.14 are minimal, and
should impose no increased burden on applicants.
In practice, the requirements for small businesses exporting
nuclear technology would not substantively change because the proposed
revisions to this rule do not impact sections of the rule containing
those requirements or add new burdens or duties to small businesses.
The obligations of any person subject to the jurisdiction of the United
States who engages directly or indirectly in the production of special
nuclear material outside the United States would not change in a manner
that would have any impact on small businesses.
Furthermore, DOE has conducted a review of the potential small
businesses that may be impacted by this proposed rule. This review
consisted of an analysis of the number of businesses impacted generally
since 2007-2008, and a determination of which of those are considered
``small businesses'' by the Small Business Administration.
Approximately 90% of the businesses impacted by this rule are not
considered small businesses (out of 56 businesses examined, 5 qualify
as small businesses). Additionally, the number of requests for
authorization or reports of generally authorized activities from each
small business on average was one or fewer per year, while larger
companies had as many as 100 requests for authorization or reports of
generally authorized activities per year. The latter businesses fall
within two North American Industry Classification System codes, for
engineering services and computer systems designs services. Often,
their requests for authorization include the transfer of computer codes
or other similar products. The proposed changes to this rule would not
alter whether these businesses do or do not receive authorization under
part 810, thus not adversely affecting their ability to conduct
business in the same manner they do at present. Moreover, they will
benefit from a clarified request process. Generally, small businesses
reported that their initial filing of a part 810 request for
authorization required up to 40 hours of legal assistance, but follow-
on reporting and requests required significantly less such assistance.
On the basis of the foregoing, DOE certifies that this proposed
rule would not have a significant economic impact on a substantial
number of small entities. Accordingly, DOE has not prepared a
regulatory flexibility analysis for this rulemaking. DOE's
certification and supporting statement of factual basis will be
provided to the Chief Counsel for Advocacy of the Small Business
Administration pursuant to 5 U.S.C. 605(b).
D. Paperwork Reduction Act
The proposed rule would not impose a collection of information
requirement subject to the Paperwork Reduction Act (44 U.S.C. 3501 et
seq.).
E. Unfunded Mandates Reform Act of 1995
The Unfunded Mandates Reform Act of 1995 (Pub. L. 104-4) generally
requires Federal agencies to examine closely the impacts of regulatory
actions on State, local, and tribal governments. Section 101(5) of
title I of that law defines a Federal intergovernmental mandate to
include any regulation that would impose upon State, local, or tribal
governments an enforceable duty, except a condition of Federal
assistance or a duty arising from participating in a voluntary federal
program. Title II of that law requires each Federal agency to assess
the effects of Federal regulatory actions on State, local, and tribal
governments, in the aggregate, or to the private sector, other than to
the extent such actions merely incorporate requirements specifically
set forth in a statute. Section 202 of that title requires a Federal
agency to perform a detailed assessment of the anticipated costs and
benefits of any rule that includes a Federal mandate which may result
in costs to State, local, or tribal governments, or to the private
sector, of $100 million or more in any one year (adjusted annually for
inflation). 2 U.S.C. 1532(a) and (b). Section 204 of that title
requires each agency that proposes a rule containing a significant
Federal intergovernmental mandate to develop an effective process for
obtaining meaningful and timely input from elected officers of State,
local, and tribal governments. 2 U.S.C. 1534.
This proposed rule would not impose a Federal mandate on State,
local, or tribal governments or on the private sector. Accordingly, no
assessment or analysis is required under the Unfunded Mandates Reform
Act of 1995.
F. Treasury and General Government Appropriations Act, 1999
Section 654 of the Treasury and General Government Appropriations
Act, 1999 (Pub. L. 105-277) requires Federal agencies to issue a Family
Policymaking Assessment for any proposed rule that may affect family
well being. The proposed rule would not have any impact on the autonomy
or integrity of the family as an institution. Accordingly, DOE has
concluded that it is not necessary to prepare a Family Policymaking
Assessment.
G. Executive Order 13132
Executive Order 13132, ``Federalism,'' 64 FR 43255 (August 4,
1999), imposes certain requirements on agencies formulating and
implementing policies or regulations that preempt State law or that
have federalism implications. Agencies are required to examine the
constitutional and statutory authority supporting any action that would
limit the policymaking discretion of the States and carefully assess
the necessity for such actions. DOE has examined this proposed rule and
has determined that it would not preempt State law and would not have a
substantial direct effect on the States, on the relationship between
the national government and the States, or on the distribution of power
and responsibilities among the various levels of government. No further
action is required by Executive Order 13132.
H. Executive Order 12988
With respect to the review of existing regulations and the
promulgation of new regulations, section 3(a) of Executive Order 12988,
``Civil Justice Reform,'' 61 FR 4729 (February 7, 1996), imposes on
Executive agencies the general duty to adhere to the following
requirements: (1) Eliminate drafting errors and ambiguity; (2) write
regulations to minimize litigation; and (3) provide a clear legal
standard for affected conduct rather than a general standard and
promote simplification and burden reduction. With regard to the review
required by section 3(a), section 3(b) of Executive Order 12988
specifically requires that Executive agencies make every reasonable
effort to ensure that the regulation: (1) Clearly specifies the
preemptive effect, if any; (2) clearly specifies any effect on existing
Federal law or regulation; (3) provides a clear legal standard for
affected conduct while promoting simplification and burden reduction;
(4) specifies the retroactive effect, if any; (5) adequately defines
key terms; and (6) addresses other important issues affecting clarity
and general draftsmanship under any guidelines issued by the Attorney
General. Section 3(c) of Executive Order 12988 requires
[[Page 55283]]
Executive agencies to review regulations in light of applicable
standards in section 3(a) and section 3(b) to determine whether they
are met or it is unreasonable to meet one or more of them. DOE has
completed the required review and determined that, to the extent
permitted by law, the proposed rule meets the relevant standards of
Executive Order 12988.
I. Treasury and General Government Appropriations Act, 2001
The Treasury and General Government Appropriations Act, 2001 (44
U.S.C. 3516 note), provides for agencies to review most disseminations
of information to the public under guidelines established by each
agency pursuant to general guidelines issued by OMB.
OMB's guidelines were published at 67 FR 8452 (February 22, 2002),
and DOE's guidelines were published at 67 FR 62446 (October 7, 2002).
DOE has reviewed this proposed rule under the OMB and DOE guidelines
and has concluded that it is consistent with applicable policies in
those guidelines.
J. Executive Order 13211
Executive Order 13211, ``Actions Concerning Regulations That
Significantly Affect Energy Supply, Distribution, or Use,'' 66 FR 28355
(May 22, 2001), requires Federal agencies to prepare and submit to OMB
a Statement of Energy Effects for any proposed significant energy
action. A ``significant energy action'' is defined as any action by an
agency that promulgated or is expected to lead to promulgation of a
final rule, and that: (1) Is a significant regulatory action under
Executive Order 12866, or any successor order; and (2) is likely to
have a significant adverse effect on the supply, distribution, or use
of energy, or (3) is designated by the Administrator of OIRA as a
significant energy action. For any proposed significant energy action,
the agency must give a detailed statement of any adverse effects on
energy supply, distribution, or use should the proposal be implemented,
and of reasonable alternatives to the action and their expected
benefits on energy supply, distribution, and use. This regulatory
action would not have a significant adverse effect on the supply,
distribution, or use of energy and is therefore not a significant
energy action. Accordingly, DOE has not prepared a Statement of Energy
Effects.
V. Approval by the Office of the Secretary
The Office of the Secretary of Energy has approved the publication
of this proposed rule.
List of Subjects in 10 CFR Part 810
Foreign relations, Nuclear energy, Reporting and recordkeeping
requirements.
Issued in Washington, DC, on August 17, 2011.
Steven Chu,
Secretary of Energy.
For the reasons stated in the preamble, DOE proposes to amend title
10 of the Code of Federal Regulations by revising part 810 to read as
follows:
PART 810--ASSISTANCE TO FOREIGN ATOMIC ENERGY ACTIVITIES
Sec.
810.1 Purpose.
810.2 Scope.
810.3 Definitions.
810.4 Communications.
810.5 Interpretations.
810.6 Generally authorized activities.
810.7 Activities requiring specific authorization.
810.8 Restrictions on general and specific authorization.
810.9 Grant of specific authorization.
810.10 Revocation, suspension, or modification of authorization.
810.11 Information required in an application for specific
authorization.
810.12 Reports.
810.13 Additional information.
810.14 Violations.
810.15 Effective date and savings clause.
Authority: Secs. 57, 127, 128, 129, 161, and 223, Atomic Energy
Act of 1954, as amended by the Nuclear Non-Proliferation Act of
1978, Pub. L. 95-242, 68 Stat. 932, 948, 950, 958, 92 Stat. 126,
136, 137, 138 (42 U.S.C. 2077, 2156, 2157, 2158, 2201, 2273); sec.
104 of the Energy Reorganization Act of 1974, Pub. L. 93-438; sec.
301, Department of Energy Organization Act, Pub. L. 95-91; National
Nuclear Security Administration Act, Pub. L. 106-65, 50 U.S.C. 2401
et seq., as amended.
Sec. 810.1 Purpose.
These regulations implement section 57 b. of the Atomic Energy Act,
which empowers the Secretary, with the concurrence of the Department of
State and after consultation with the Nuclear Regulatory Commission
(NRC), the Department of Commerce, and the Department of Defense, to
authorize persons subject to the jurisdiction of the United States to
engage directly or indirectly in the production of special nuclear
material outside the United States. The purpose of the regulations in
this part is to:
(a) Identify activities that are generally authorized by the
Secretary and thus require no other authorization under this part;
(b) Identify activities that require specific authorization by the
Secretary and explain how to request authorization; and
(c) Specify reporting requirements for activities subject to this
part.
Sec. 810.2 Scope.
(a) This part applies to:
(1) All persons subject to the jurisdiction of the United States
(hereinafter ``U.S. persons'') who or that engage directly or
indirectly in the production of special nuclear material outside the
United States, by transferring to foreign persons technology that is
related to the production of special nuclear material; and
(2) Assistance and the transfer of technology by U.S. persons to
foreign persons, conducted either in the United States or abroad by
U.S. persons or by licensees, contractors or subsidiaries under their
direction, supervision, responsibility, or control.
(b) The activities referred to in paragraph (a) of this section
involve the following:
(1) Chemical conversion and purification of uranium and thorium
from milling plant concentrates and in all subsequent steps in the
nuclear fuel cycle;
(2) Chemical conversion and purification of plutonium and
neptunium;
(3) Nuclear fuel fabrication, including preparation of fuel
elements, fuel assemblies and cladding thereof;
(4) Uranium isotope separation (uranium enrichment), plutonium
isotope separation, and isotope separation of any other elements
(including stable isotope separation) when the technology or process
can be applied directly or indirectly to uranium or plutonium;
(5) Nuclear reactors;
(6) Accelerator-driven subcritical assembly systems, specially
designed or intended for plutonium or uranium-233 production;
(7) Hydrogen isotope separation and heavy water production;
(8) Reprocessing of irradiated nuclear materials or targets
containing special nuclear material;
(9) Changes in form or content of irradiated nuclear materials
containing special nuclear material, and hot cell facilities;
(10) Storage of irradiated nuclear materials;
(11) Processing of high level radioactive waste;
[[Page 55284]]
(12) Movement of irradiated nuclear materials, including specially
designed containers therefor;
(13) The transfer of technology for the development, production, or
use of equipment or material specially designed or prepared for any of
the above listed activities. (See NRC regulations under 10 CFR part
110, Appendix A through Appendix K) for an illustrative list of items
considered to be specially designed or prepared for certain listed
nuclear activities.); and
(14) Other activities related to the production of special nuclear
material outside the United States as the Secretary may determine,
notice of which shall be published in the Federal Register.
(c) This part does not apply to:
(1) Exports licensed by the NRC;
(2) Public information or basic scientific research;
(3) Uranium and thorium mining and milling; and
(4) Nuclear fusion reactors per se, except for supporting systems
involving hydrogen isotope separation.
Sec. 810.3 Definitions.
As used in this part 810:
Agreement for cooperation means an agreement with another nation or
group of nations concluded under sections 123 or 124 of the Atomic
Energy Act.
Atomic Energy Act means the Atomic Energy Act of 1954, as amended.
Basic scientific research means experimental or theoretical work
undertaken principally to acquire new knowledge of the fundamental
principles of phenomena and observable facts, not primarily directed
towards a specific practical aim or objective.
Classified information means national security information
classified under Executive Order 13526 or any predecessor or
superseding order, or Restricted Data classified under the Atomic
Energy Act.
Cooperative enrichment enterprise means a multi-country or multi-
company (where at least two of the companies are incorporated in
different countries) joint development or production effort. The term
includes a consortium of countries or companies or a multi-national
corporation.
DOE means the U.S. Department of Energy.
Enrichment means isotope separation of uranium or isotope
separation of plutonium, regardless of the type of process or
separation mechanism used.
Fissile material means isotopes that readily fission after
absorbing a neutron of any energy, either fast or slow. Fissile
materials are uranium-235, uranium-233, plutonium-239, and plutonium-
241.
Foreign national means an individual who is not a citizen or
national of the United States.
Foreign person means a person other than a U.S. person.
General authorization means an authorization granted by the
Secretary under section 57 b.(2) of the Atomic Energy Act to provide
assistance to foreign atomic energy activities subject to this part 810
and which does not require a request for, or the Secretary's issuance
of, a specific authorization.
IAEA means the International Atomic Energy Agency.
NNPA means the Nuclear Non-Proliferation Act of 1978, Pub. L. 95-
242, 22 U.S.C. 3201 et seq.
NPT means the Treaty on the Non-Proliferation of Nuclear Weapons,
done on July 1, 1968.
Nuclear reactor means an apparatus, other than a nuclear explosive
device, designed or used to sustain nuclear fission in a self-
supporting chain reaction.
Open meeting means a conference, seminar, trade show, or other
gathering that all technically qualified members of the public may
attend and at which they may make written or other personal record of
the proceedings, notwithstanding that--
(1) A reasonable registration fee may be charged; or
(2) A reasonable numerical limit exists on actual attendance.
Person means--
(1)(i) Any individual, corporation, partnership, firm, association,
trust, estate, public or private institution, group, Government agency
other than DOE, or any State or political entity within a State; and
(ii) Any legal successor, representative, agent, or agency of the
foregoing.
(2) Persons under U.S. jurisdiction are responsible for their
foreign licensees, contractors, or subsidiaries to the extent that the
former have control over the activities of the latter.
Production accelerator means a particle accelerator specially
designed, used, or intended for use with a production subcritical
assembly.
Production accelerator-driven subcritical assembly system means a
system comprised of a production subcritical assembly and a production
accelerator and which is specially designed, used, or intended for the
production of plutonium or uranium-233. In such a system, the
production accelerator target provides a source of neutrons used to
effect special nuclear material production in the production
subcritical assembly.
Production reactor means a nuclear reactor specially designed or
used primarily for the production of plutonium or uranium-233.
Production subcritical assembly means an apparatus that contains
source material or special nuclear material to produce a nuclear
fission chain reaction that is not self-sustaining and that is
specially designed, used, or intended for the production of plutonium
or uranium-233.
Public information means:
(1)(i) Information available in periodicals, books, or other print
or electronic media for distribution to any member of the public, or to
a community of persons such as those in a scientific, engineering, or
educational discipline or in a particular commercial activity who are
interested in a subject matter;
(ii) Information available in public libraries, public reading
rooms, public document rooms, public archives, or public data banks, or
in university courses;
(iii) Information that has been presented at an open meeting (see
definition of ``open meeting'');
(iv) Information that has been made available internationally
without restriction on its further dissemination; or
(v) Information contained in an application that has been filed
with the U.S. Patent Office and eligible for foreign filing under 35
U.S.C. 184 or that has been made available under 5 U.S.C. 552, the
Freedom of Information Act.
(2) Public information must be available to the public prior to, or
at the same time as, it is transmitted to a foreign recipient. It does
not include any technical embellishment, enhancement, explanation or
interpretation that in itself is not public information, or information
subject to sections 147 and 148 of the Atomic Energy Act.
Reprocessing means a process or operation, the purpose of which is
to extract radioactive isotopes from irradiated source and special
nuclear materials for further use.
Restricted Data means all data concerning:
(1) Design, manufacture, or utilization of atomic weapons;
(2) The production of special nuclear material; or
(3) The use of special nuclear material in the production of
energy, but shall not include data declassified or removed from the
Restricted Data category pursuant to section 142 of the Atomic Energy
Act.
Secretary means the Secretary of Energy.
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Sensitive nuclear technology means any information (including
information incorporated in a production or utilization facility or
important component part thereof) that is not available to the public
(see definition of ``public information'') which is important to the
design, construction, fabrication, operation, or maintenance of a
uranium enrichment or nuclear fuel reprocessing facility or a facility
for the production of heavy water, but shall not include Restricted
Data controlled pursuant to chapter 12 of the Atomic Energy Act. The
information may take a tangible form such as a model, prototype,
blueprint, or operation manual or an intangible form such as technical
services.
Source material means:
(1) Uranium or thorium, other than special nuclear material; or
(2) Ores that contain by weight 0.05 percent or more of uranium or
thorium, or any combination of these materials.
Special nuclear material means:
(1) Plutonium;
(2) Uranium-233; or
(3) Uranium enriched above 0.711 percent by weight in the isotope
uranium-235.
Specific authorization means an authorization granted by the
Secretary under section 57 b.(2) of the Atomic Energy Act, in response
to an application filed under this part, to engage in specifically
authorized nuclear activities subject to this part.
Specifically authorized nuclear activities means the provision of
assistance, including the transfer of technology, to foreign persons
related to:
(1) Uranium isotope separation (uranium enrichment), plutonium
isotope separation, or isotope separation of any other elements
(including stable isotope separation) when the technology or process
can be applied directly or indirectly to uranium or plutonium;
(2) Fabrication of nuclear fuel containing plutonium, including
preparation of fuel elements, fuel assemblies, and cladding thereof;
(3) Hydrogen isotope separation and heavy water production;
(4) Production accelerator-driven subcritical assembly systems;
(5) Production reactors; and
(6) Reprocessing of irradiated nuclear fuel or targets containing
special nuclear material.
Technology means specific information required for the development,
production, or use of any facility or activity listed in Sec.
810.2(c). This information may take the form of technical data or
technical assistance.
(1) Development is related to all phases before production such as:
(i) Design;
(ii) Design research;
(iii) Design analysis;
(iv) Design concepts;
(v) Assembly and testing of prototypes;
(vi) Pilot production schemes;
(vii) Design data;
(viii) Process of transforming design data into a product;
(ix) Configuration design;
(x) Integration design; and
(xi) Layouts.
(2) Production means all production phases such as:
(i) Construction;
(ii) Production engineering;
(iii) Manufacture;
(iv) Integration;
(v) Assembly or mounting;
(vi) Inspection;
(vii) Testing; and
(viii) Quality assurance.
Technical assistance means assistance in such forms as instruction,
skills, training, working knowledge, consulting services, or any other
assistance as determined by the Secretary. Technical assistance may
involve transfer of technical data.
Technical data means data in such forms as blueprints, plans,
diagrams, models, formulae, engineering designs, specifications,
manuals, and instructions written or recorded on other media or devices
such as disks, tapes, read-only memories, and computational
methodologies, algorithms, and computer codes that can directly or
indirectly affect the production of special nuclear material.
Use means operation, installation (including on-site installation),
and maintenance (checking), repair, overhaul, and refurbishing.
United States, when used in a geographical sense, includes all
territories and possessions of the United States.
Sec. 810.4 Communications.
(a) All communications concerning the regulations in this part
should be addressed to: U.S. Department of Energy, Washington, DC
20585. Attention: Senior Policy Advisor, National Nuclear Security
Administration/Office of Nonproliferation and International Security
(NA 24), Telephone (202) 586-0589.
(b) Communications also may be delivered to DOE's headquarters at
1000 Independence Avenue, SW., Washington, DC. All clearly marked
proprietary information will be given the maximum protection allowed by
law.
Sec. 810.5 Interpretations.
(a) The advice of the DOE Office of Nonproliferation and
International Security may be requested on whether a proposed activity
falls outside the scope of this part, is generally authorized under
Sec. 810.6, or requires specific authorization under Sec. 810.7.
However, unless authorized by the Secretary in writing, no
interpretation of the regulations in this part other than a written
interpretation by the DOE General Counsel is binding upon DOE.
(b) When advice is requested from the DOE Office of
Nonproliferation and International Security, or a binding, written
determination is requested from the DOE General Counsel, a response
normally will be made within 30 days and, if this is not feasible, an
interim response will explain the reason for the delay.
Sec. 810.6 Generally authorized activities.
(a) In accordance with section 57 b.(2) of the Atomic Energy Act,
the Secretary has determined that activities by U.S. persons that
involve engaging directly or indirectly in the production of nuclear
material outside the United States, including by providing assistance
or transferring technology in ways that do not involve specifically
authorized nuclear activities, are generally authorized to be
undertaken with respect to the IAEA and the countries and territories,
and facilities therein, identified in paragraphs (b)(1) through (5) of
this section, provided that no sensitive nuclear technology is
transferred.
(b) The activities described in paragraph (a) of this section are
generally authorized with respect to the IAEA and:
(1) The following countries and territories, and the facilities in
such countries or territories:
Argentina,
Australia,
Austria,
Bangladesh,
Belgium,
Brazil,
Bulgaria,
Canada,
Colombia,
Cyprus,
Czech Republic,
Denmark,
Egypt,
Estonia,
Finland,
France,
Germany,
Greece,
Hungary,
Indonesia,
Ireland,
Italy,
Japan,
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Kazakhstan,
Latvia,
Lithuania,
Luxembourg,
Malta,
Morocco,
Netherlands,
Norway,
Peru,
Poland,
Portugal,
Korea, Republic of
Romania,
Slovakia,
Slovenia,
South Africa,
Spain,
Sweden,
Switzerland,
Taiwan,
Thailand,
Turkey,
Ukraine,
United Arab Emirates,
United Kingdom.
(2) Any safeguarded facility in order to prevent or correct a
current or imminent radiological emergency posing a significant danger
to the health and safety of the off-site population and that cannot be
met by other means, provided DOE is notified in writing in advance and
does not object;
(3) Any country or territory, if carried out in the course of
implementation of the Agreement between the United States of America
and the IAEA for the Application of Safeguards in the United States;
(4) Any country or territory, if carried out in the course of
participation in exchange programs approved by the Department of State
in consultation with DOE;
(5) Any country or territory, if carried out by persons, other than
experts and consultants who are full-time employees of the IAEA, whose
employment is sponsored by the U.S. Government.
Sec. 810.7 Activities requiring specific authorization.
Unless generally authorized by Sec. 810.6, a U.S. person requires
specific authorization by the Secretary before engaging directly or
indirectly in the production of special nuclear material outside the
United States.
Sec. 810.8 Restrictions on general and specific authorization.
A general or specific authorization granted by the Secretary under
this part:
(a) Is limited to activities involving only unclassified
information and does not permit furnishing Restricted Data or other
classified information;
(b) Does not relieve a person from complying with relevant laws or
the regulations of other Government agencies applicable to exports;
(c) Does not authorize a person to engage in any activity when the
person knows or has reason to know that the activity is intended to
provide assistance in designing, developing, fabricating, or testing a
nuclear explosive device.
Sec. 810.9 Grant of specific authorization.
(a) An application for authorization to provide assistance or
transfer technology for which specific authorization is required under
Sec. 810.7 should be made to the U.S. Department of Energy, National
Nuclear Security Administration, Washington, DC 20585, Attention:
Senior Policy Advisor, Office of Nonproliferation and International
Security (NA 24).
(b) The Secretary will approve an application for specific
authorization if it is determined, with the concurrence of the
Department of State and after consultation with the Nuclear Regulatory
Commission, the Department of Commerce, and the Department of Defense,
that the activity will not be inimical to the interest of the United
States. Each application approved for specific authorization generally
will be for a period up to five years. In making an authorization
determination, the Secretary will take into account the following
factors:
(1) Whether the United States has an agreement for peaceful nuclear
cooperation in force covering exports to the country, territory, or
international organization involved;
(2) Whether the country or the authorities of the territory
involved is/are a party to, or has/have otherwise adhered to, the NPT;
(3) Whether the country or the authorities of the territory
involved is/are in good standing with its/their acknowledged
nonproliferation commitments;
(4) Whether the country or the authorities of the territory
involved has/have accepted IAEA safeguards obligations on all nuclear
materials used for peaceful purposes and has/have them in force;
(5) Whether there exist other nonproliferation controls or
conditions on the proposed activity, including that the recipient is
duly authorized by the country's government or the authorities of the
territory involved to receive and operate the technology sought to be
transferred;
(6) Significance of the assistance or technology transfer relative
to the existing nuclear capabilities of the recipient country or
territory;
(7) Whether the transfer is part of an existing cooperative
enrichment enterprise or the supply chain of such an enterprise;
(8) The availability of comparable assistance or technology from
other sources; and
(9) Any other factors that may bear upon the political, economic,
or security interests of the United States, including the obligations
of the United States under treaties or other international agreements,
and the obligations of the recipient country or the authorities of the
territory involved under treaties or other international agreements.
(c) If the proposed assistance or technology transfer involves the
export of sensitive nuclear technology as defined in Sec. 810.3, the
requirements of sections 127 and 128 of the Atomic Energy Act and of
any applicable United States international commitments must also be
met. For the export of sensitive nuclear technology, in addition to the
factors in subparagraph (b), the Secretary will take into account:
(1) Whether the recipient country or the authorities of the
recipient territory is/are a party to, or has/have adhered to, the NPT
and is/are in full compliance with its/their obligations under the NPT;
(2) Whether the recipient country has signed, ratified, and is
implementing a comprehensive safeguards agreement with the IAEA and has
in force an Additional Protocol based on the model Additional Protocol,
or, pending this, in the case of a regional accounting and control
arrangement for nuclear materials, is implementing, in cooperation with
the IAEA, a safeguards agreement approved by the IAEA Board of
Governors prior to the publication of INFCIRC/540 (September 1997); or
alternatively whether comprehensive safeguards, including the measures
of the Model Additional Protocol are being applied in the recipient
country or territory;
(3) Whether the recipient country or the authorities of the
territory has/have not been identified in a report by the IAEA
Secretariat that is under consideration by the IAEA Board of Governors,
as being in breach of obligations to comply with the applicable
safeguards agreement, nor continues/continue to be the subject of Board
of Governors decisions calling upon it/them to take additional steps to
comply with its/their safeguards obligations or to build confidence in
the peaceful nature of its/their nuclear program, nor as to which the
IAEA Secretariat has reported that it is unable to implement the
applicable safeguards agreement. This criterion would not apply in
cases where the IAEA Board of Governors or the United Nations
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Security Council subsequently decides that adequate assurances exist as
to the peaceful purposes of the recipient's nuclear program and its
compliance with the applicable safeguards agreements. For the purposes
of this paragraph, ``breach'' refers only to serious breaches of
proliferation concern;
(4) Whether the recipient country or territory is adhering to the
Nuclear Suppliers Group Guidelines and, where applicable, has reported
to the Security Council of the United Nations that it is implementing
effective export controls as identified by Security Council Resolution
1540; and
(5) Whether the recipient country or terr