Safeguarding of Restricted Data by Access Permittees, 41503-41508 [2017-18043]
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Federal Register / Vol. 82, No. 169 / Friday, September 1, 2017 / Rules and Regulations
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FOR FURTHER INFORMATION CONTACT:
Done at Washington, DC on: August 29,
2017.
Paul Kiecker,
Acting Administrator.
[FR Doc. 2017–18591 Filed 8–31–17; 8:45 am]
BILLING CODE 3410–DM–P
DEPARTMENT OF ENERGY
10 CFR Part 1016
[Docket No. DOE–HQ–2015–0029–0001]
RIN 1992–AA46
Safeguarding of Restricted Data by
Access Permittees
Department of Energy.
Final rule.
AGENCY:
ACTION:
The Department of Energy
(DOE or Department) has revised its
regulations governing the standards for
safeguarding Restricted Data by access
permittees. The previous version of this
regulation was promulgated in 1983.
Since 1983, changes in organizations,
terminology, and DOE and national
policies rendered portions of the
previous regulation outdated. This
version updates existing requirements.
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SUMMARY:
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This rule is effective October 2,
2017.
Ms.
Linda Ruhnow, Office of Security Policy
at (301) 903–2661; Security.Directives@
hq.doe.gov.
SUPPLEMENTARY INFORMATION:
I. Background
II. Section by Section Analysis
III. Regulatory Review and Procedural
Requirements
A. Review Under Executive Order 12866
B. Review Under the Regulatory Flexibility
Act
C. Review Under Paperwork Reduction Act
D. Review Under the National
Environmental Policy Act
E. Review Under Executive Order 13132
F. Review Under Executive Order 12988
G. Review Under the Unfunded Mandates
Reform Act of 1995
H. Review Under Executive Order 13211
I. Review Under the Treasury and General
Government Appropriations Act of 1999
J. Congressional Notification
K. Approval by the Office of the Secretary
I. Background
The U.S. Department of Energy may
issue an access permit to any person, as
set forth in 10 CFR part 725, who
requires access to Restricted Data
applicable to civil uses of atomic energy
for use in his/her business, trade or
profession. 10 CFR part 725 specifies
the terms and conditions under which
the Department will issue an access
permit and provides for the amendment,
renewal, suspension, termination and
revocation of an access permit.
The regulations in 10 CFR part 1016
establish requirements for the
safeguarding of Secret and Confidential
Restricted Data received or developed
under an access permit. This part does
not apply to Top Secret information
because no such information may be
provided to an access permittee within
the scope of this regulation. The
regulations in this part apply to all
persons who may require access to
Restricted Data used, processed, stored,
reproduced, transmitted, or handled in
connection with an access permit.
The original regulations for the
safeguarding of Restricted Data were
Atomic Energy Commission regulations
that were transferred to the Energy
Research and Development
Administration (ERDA) upon its
formation in 1974 (Energy
Reorganization Act of 1974; Pub. L. 93–
438). The regulations were subsequently
revised to conform to ERDA’s
organization (41 FR 56775, 41 FR
56785–56788, Dec. 30, 1976). The
regulations were updated and
transferred from 10 CFR part 795 to 10
CFR part 1016 in Aug. 10, 1983 (48 FR
36432). DOE has developed this version
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41503
of 10 CFR part 1016 to reflect
organizational, terminology and policy
changes that have occurred since the
regulations were last revised.
DOE proposed changes to the
regulations at 10 CFR part 1016 on
November 16, 2016 (81 FR 80612). No
comments were received. No changes
were made to the proposed regulations
except to modify the definition of an
‘‘L’’ access authorization in § 1016.3,
Definitions.
II. Section by Section Analysis
With the exception of the definition of
an ‘‘L’’ access authorization in § 1016.3,
Definitions, the modifications to 10 CFR
part 1016 adopted in this final rule are
described in the Section by Section
Analysis in section II of DOE’s notice of
proposed rulemaking published on
November 16, 2016 (81 FR 80612). In
§ 1016.3, Definitions, the definition of
‘‘L’’ access authorization was modified
from DOE’s proposed changes to update
the type of background investigation
required by DOE and national level
directives. The reference to National
Agency Checks with Local Agency
Checks and Credit Check background
investigation has been replaced with a
Tier III background investigation.
III. Rulemaking Requirements
A. Review Under Executive Order 12866
This action does not constitute a
‘‘significant regulatory action’’ as
defined in section 3(f) of Executive
Order 12866, ‘‘Regulatory Planning and
Review’’ (58 FR 51735).
B. Review Under the Regulatory
Flexibility Act
The Regulatory Flexibility Act (5
U.S.C. 601 et seq.) requires preparation
of a 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, Aug. 16, 2002), DOE published
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. DOE has made its
procedures and policies available on the
Office of the General Counsel’s Web site
(www.gc.doe.gov).
DOE has reviewed this rule under the
Regulatory Flexibility Act and certifies
that, as adopted, the rule would not
have a significant impact on a
substantial number of small entities.
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This action amends an existing rule
which establishes safeguarding of
Restricted Data by persons granted an
Access Permit according to 10 CFR part
725. The rule would only apply to
Access Permittees, of which there are
historically very few (e.g., between zero
and five), and the changes are
administrative changes (such as
renumbering of several parts and
changing office names to reflect a recent
reorganization), updates to enable
consistency with current policies and
practices, and clarification of
requirements.
Because these standards and
requirements consist of clarifications
and updates to existing standards and
requirements, DOE does not expect that
the impact on any Access Permittees
would be significant. DOE sought
comment on its estimate of the number
of small entities and the expected effects
of this rule and received no comments.
For the above reasons, DOE certifies
that the rule, as adopted, will not have
a significant economic impact on a
substantial number of small entities.
C. Review Under Paperwork Reduction
Act
This rule does not contain a collection
of information subject to OMB approval
under the Paperwork Reduction Act.
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D. Review Under the National
Environmental Policy Act
This rule amends existing policies
and procedures establishing
safeguarding of Restricted Data
standards and requirements for Access
Permittees and has no significant
environmental impact. Consequently,
the Department has determined that this
rule is covered under Categorical
Exclusion A–5, of appendix A to
subpart D, 10 CFR part 1021, which
applies to a rulemaking that addresses
amending 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.
E. Review Under 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 develop a
formal process to ensure meaningful
and timely input by State and local
officials in the development of
regulatory policies that have
‘‘federalism implications.’’ Policies that
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have federalism implications are
defined in the Executive Order to
include regulations that have
‘‘substantial direct effects 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.’’ On March 7,
2011, DOE published a statement of
policy describing the intergovernmental
consultation process it will follow in the
development of such regulations (65 FR
13735, March 14, 2000).
DOE has examined this rule and has
determined that it does 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.
F. Review Under Executive Order 12988
Section 3 of Executive Order 12988,
(61 FR 4729, February 7, 1996), instructs
each agency to adhere to certain
requirements in promulgating new
regulations. These requirements, set
forth in section 3(a) and (b), include
eliminating drafting errors and needless
ambiguity, drafting the regulations to
minimize litigation, providing clear and
certain legal standards for affected legal
conduct, and promoting simplification
and burden reduction. Agencies are also
instructed to make every reasonable
effort to ensure that the regulation
describes any administrative proceeding
to be available prior to judicial review
and any provisions for the exhaustion of
administrative remedies. The
Department has determined that this
regulatory action meets the
requirements of section 3(a) and (b) of
Executive Order 12988.
G. Review Under the Unfunded
Mandates Reform Act of 1995
Title II of the Unfunded Mandates
Reform Act of 1995 (UMRA) requires
each Federal agency to assess the effects
of Federal regulatory action on state,
local and tribal governments and the
private sector. For regulatory actions
likely to result in a rule that may cause
expenditures by State, local, and Tribal
governments, in the aggregate, or by the
private sector of $100 million or more
in any one year (adjusted annually for
inflation), section 202 of UMRA requires
a Federal agency to publish estimates of
the resulting costs, benefits, and other
effects on the national economy. UMRA
also requires Federal agencies to
develop an effective process to permit
timely input by elected officers of State,
local, and Tribal governments on a
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proposed ‘‘significant intergovernmental
mandate.’’ In addition, UMRA requires
an agency plan for giving notice and
opportunity for timely input to small
governments that may be affected before
establishing a requirement that might
significantly or uniquely affect them. On
March 18, 1997, DOE published a
statement of policy on its process for
intergovernmental consultation under
UMRA (62 FR 12820, March 18, 1997).
(This policy is also available at https://
www.gc.doe.gov.) This rule contains
neither an intergovernmental mandate,
nor a mandate that may result in the
expenditure of $100 million or more in
any year, so these requirements do not
apply.
H. Review Under 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 the Office of
Information and Regulatory Affairs
(OIRA), Office of Management and
Budget, a Statement of Energy Effects for
any significant energy action. A
‘‘significant energy action’’ is defined as
any action by an agency that
promulgates or is expected to lead to the
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 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
alternates to the action and their
expected benefits on energy supply,
distribution, and use.
This rule is not a significant energy
action, nor has it been designated as
such by the Administrator of OIRA.
Accordingly, DOE has not prepared a
Statement of Energy Effects.
I. Review Under the 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 or policy that may affect
family well-being. This rule would not
have any impact on the autonomy or
integrity of the family as an institution.
Accordingly, DOE has concluded that it
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is not necessary to prepare a Family
Policymaking Assessment.
J. Congressional Notification
As required by 5 U.S.C. 801, DOE will
report to Congress on the promulgation
of this rule before its effective date. The
report will state that it has been
determined that the rule is not a ‘‘major
rule’’ as defined by 5 U.S.C. 804(2).
K. Approval by the Office of the
Secretary
The Secretary of Energy has approved
publication of this final rule.
List of Subjects in 10 CFR Part 1016
Classified information, Nuclear
energy, Reporting and recordkeeping
requirements, Security measures.
Issued in Washington, DC, on August 15,
2017.
Andrew C. Lawrence,
Acting Associate Under Secretary for
Environment, Health, Safety and Security.
For the reasons set out in the
preamble, DOE amends part 1016 of title
10 of the Code of Federal Regulations as
set forth below:
PART 1016—SAFEGUARDING OF
RESTRICTED DATA BY ACCESS
PERMITTEES
1. The authority citation for part 1016
continues to read as follows:
■
Authority: Sec. 161.i. of the Atomic Energy
Act of 1954, 68 Stat. 948 (42 U.S.C. 2201).
2. The part heading for part 1016 is
revised to read as set forth above.
■ 3. Section 1016.3 is amended by:
■ a. Revising paragraph (a).
■ b. Removing paragraph (c).
■ c. Redesignating paragraphs (d) and
(e) as paragraphs (c) and (d),
respectively.
■ d. Revising newly designated
paragraphs (c) and (d).
■ e. Redesignating paragraphs (f) and (g)
as paragraphs (e) and (f), respectively.
■ f. Removing paragraph (h).
■ g. Redesignating paragraphs (i)
through (k) as paragraphs (g) through (i),
respectively.
■ h. Revising newly designated
paragraphs (h) and (i).
■ i. Removing paragraphs (l) and (m).
■ j. Redesignating paragraphs (n)
through (z) as paragraphs (j) through (v),
respectively.
■ k. Revising newly designated
paragraphs (k) and (u).
The revisions read as follows:
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■
§ 1016.3
Definitions.
(a) Access authorization. An
administrative determination by DOE
that an individual who is either a DOE
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employee, applicant for employment,
consultant, assignee, other Federal
department or agency employee (or
other persons who may be designated by
the Secretary of Energy), or a DOE
contractor or subcontractor employee, or
an access permittee is eligible for access
to Restricted Data. Access
authorizations granted by DOE are
designated as ‘‘Q,’’ ‘‘Q(X),’’ ‘‘L,’’ or
‘‘L(X).’’
(1) ‘‘Q’’ access authorizations are
based upon single scope background
investigations as set forth in applicable
DOE and national-level directives. They
permit an individual who has ‘‘need to
know’’ access to Top Secret, Secret and
Confidential Restricted Data, Formerly
Restricted Data, National Security
Information, or special nuclear material
in Category I or II quantities as required
in the performance of duties, subject to
additional determination that permitting
this access will not endanger the
common defense or national security of
the United States. There may be
additional requirements for access to
specific types of RD information.
(2) ‘‘Q(X)’’ access authorizations are
based upon the same level of
investigation required for a Q access
authorization. When ‘‘Q’’ access
authorizations are granted to access
permittees they are identified as ‘‘Q(X)’’
access authorizations and, as need-toknow applies, authorize access only to
the type of Secret Restricted Data as
specified in the permit and consistent
with appendix A, 10 CFR part 725,
‘‘Categories of Restricted Data
Available.’’
(3) ‘‘L’’ access authorizations are
based upon a Tier III (formerly National
Agency Check with Local Agency
Checks and Credit Checks (NACLC)/
Access National Agency Check with
Inquiries (ANACI)) background
investigation as set forth in applicable
national-level directives. They permit
an individual who has ‘‘need to know’’
access to Confidential Restricted Data,
Secret and Confidential Formerly
Restricted Data, or Secret and
Confidential National Security
Information, required in the
performance of duties, provided such
information is not designated
‘‘CRYPTO’’ (classified cryptographic
information), ‘‘COMSEC’’
(communications security), or
intelligence information and subject to
additional determination that permitting
this access will not endanger the
common defense or national security of
the United States. There may be
additional requirements for access to
specific types of RD information.
(4) ‘‘L(X)’’ access authorizations are
based upon the same level of
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41505
investigation required for an ‘‘L’’ access
authorization. When ‘‘L’’ access
authorizations are granted to access
permittees, they are identified as ‘‘L(X)’’
access authorizations and, as need to
know applies, authorize access only to
the type of Confidential Restricted Data
as specified in the permit and consistent
with appendix A, 10 CFR part 725,
‘‘Categories of Restricted Data
Available.’’
*
*
*
*
*
(c) Classified mail address. A mail
address established for each access
permittee and approved by the DOE to
be used when sending Restricted Data to
the permittee.
(d) Classified matter. Anything in
physical form (including, but not
limited to documents and material) that
contains or reveals classified
information.
*
*
*
*
*
(h) Infraction. An act or omission
involving failure to comply with DOE
safeguards and security orders,
directives, or approvals and may
include a violation of law.
(i) Intrusion detection system. A
security system consisting of sensors
capable of detecting one or more types
of phenomena, signal media,
annunciators, energy sources, alarm
assessment systems, and alarm reporting
elements including alarm
communications and information
display equipment.
*
*
*
*
*
(k) National Security Information.
Information that has been determined
pursuant to Executive Order 13526, as
amended ‘‘Classified National Security
Information’’ or any predecessor order
to require protection against
unauthorized disclosure and is marked
to indicate its classified status when in
documentary form.
*
*
*
*
*
(u) Security Plan. A written plan by
the access permittee, and submitted to
the DOE for approval, which outlines
the permittee’s proposed security
procedures and controls for the
protection of Restricted Data and which
includes a floor plan of the area in
which the classified matter is to be
used, processed, stored, reproduced,
transmitted, or handled.
*
*
*
*
*
■ 4. Section 1016.4 is revised to read as
follows:
§ 1016.4
Communications.
Communications concerning
rulemaking, i.e., petition to change this
part, should be addressed to the
Associate Under Secretary, Office of
Environment, Health, Safety and
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Security, AU–1/Forrestal Building,
Office of Environment, Health, Safety
and Security, U.S. Department of
Energy, 1000 Independence Avenue
SW., Washington, DC 20585. All other
communications concerning the
regulations in this part should be
addressed to the cognizant DOE or
National Nuclear Security
Administration (NNSA) office.
§ 1016.10 Granting, denial, or suspension
of security facility approval.
5. Section 1016.5 is revised to read as
follows:
Notification of the DOE’s granting,
denial, or suspension of security facility
approval will be furnished the permittee
in writing, or orally with written
confirmation. This information may also
be furnished to representatives of the
DOE, DOE contractors, or other Federal
agencies having a need to transmit
Restricted Data to the permittee.
■ 9. Section 1016.11 is revised to read
as follows:
§ 1016.5 Submission of procedures by
access permit holder.
§ 1016.11 Cancellation of requests for
security facility approval.
No access permit holder shall have
access to Restricted Data until he has
submitted to the DOE a written
statement of his procedures for the
safeguarding of Restricted Data and for
the security education of his employees,
and DOE shall have determined and
informed the permittee that his
procedures for the safeguarding of
Restricted Data are in compliance with
the regulations in this part and that his
procedures for the security education of
his employees, who will have access to
Restricted Data, are informed about and
understand the regulations in this part.
These procedures must ensure that
employees with access to Restricted
Data are informed about and understand
who is authorized or required to classify
and declassify RD and FRD information
and classified matter as well as how
documents containing RD or FRD are
marked (see 10 CFR part 1045) and
safeguarded.
When a request for security facility
approval is to be withdrawn or
cancelled, the cognizant DOE Office will
be notified by the requester immediately
by telephone and confirmed in writing
so that processing of this approval may
be terminated.
■ 10. Section 1016.12 is revised to read
as follows:
■
6. The heading for § 1016.8 is revised
to read as follows:
§ § 1016.21 through 1016.23 [Redesignated
as §§ 1016.13 through 1016.15 and
Amended]
§ 1016.8 Request for security facility
approval.
■
■
*
*
*
*
*
7. Section 1016.9 is revised to read as
follows:
■
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Following receipt of an acceptable
request for security facility approval, the
DOE will perform an initial security
survey of the permittee’s facility to
determine that granting a security
facility approval would be consistent
with the national security. If DOE makes
such a determination, security facility
approval will be granted. If not, security
facility approval will be withheld
pending compliance with the security
survey recommendations or until a
waiver is granted pursuant to § 1016.6.
8. Section 1016.10 is revised to read
as follows:
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(a) Security facility approval will be
terminated when:
(1) There is no longer a need to use,
process, store, reproduce, transmit, or
handle Restricted Data at the facility; or
(2) The DOE makes a determination
that continued security facility approval
is not in the interest of common defense
and security.
(b) The permittee will be notified in
writing of a determination to terminate
facility approval, and the procedures
outlined in § 1016.27 will apply.
11. Sections 1016.21 through 1016.23
are redesignated as §§ 1016.13 through
1016.15 and newly redesignated
§§ 1016.13 through 1016.15 are revised
to read as follows:
§ 1016.13
storage.
§ 1016.9 Processing security facility
approval.
■
§ 1016.12 Termination of security facility
approval.
Protection of Restricted Data in
(a) Persons who possess Restricted
Data pursuant to an Access Permit shall
store the Restricted Data classified
matter when not in use in a locked
storage container or DOE-approved
vault to which only persons with
appropriate access authorization and a
need to know the information contained
have access. Storage containers used for
storing classified matter must conform
to U.S. General Services Administration
(GSA) standards and specifications.
(b) Each permittee shall change the
combination on locks of his safekeeping
equipment whenever such equipment is
placed in use, whenever an individual
knowing the combination no longer
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requires access to the repository as a
result of change in duties or position in
the permittee’s organization, or
termination of employment with the
permittee or whenever the combination
has been subjected to compromise, and
in any event at least once a year.
Permittees shall classify records of
combinations no lower than the highest
classification of the classified matter
authorized for storage in the safekeeping
equipment concerned.
§ 1016.14 Protection of Restricted Data
while in use.
While in use, classified matter
containing Restricted Data shall be
under the direct control of a person with
the appropriate access authorization and
need to know. Unauthorized access to
the Restricted Data shall be precluded.
§ 1016.15
Establishment of security areas.
(a) When, because of their nature or
size, it is impracticable to safeguard
classified matter containing Restricted
Data in accordance with the provisions
of §§ 1016.13 and 1016.14, a security
area to protect such classified matter
shall be established.
(b) The following controls shall apply
to security areas:
(1) Security areas shall be separated
from adjacent areas by a physical barrier
designed to prevent entrance into such
areas, and access to the Restricted Data
within the areas, by unauthorized
individuals.
(2) During working hours, admittance
shall be controlled by an appropriately
cleared individual posted at each
unlocked entrance.
(3) During nonworking hours,
admittance shall be controlled by
protective personnel on patrol, with
protective personnel posted at unlocked
entrances, or by such intrusion
detection system as DOE approves.
(4) Each individual authorized to
enter a security area shall be issued a
distinctive badge or pass when the
number of employees assigned to the
area exceeds thirty.
§ 1016.24
[Redesignated as § 1016.16]
12. Section 1016.24 is redesignated as
§ 1016.16.
■
§ 1016.25 [Redesignated as § 1016.17 and
Amended]
13. Section 1016.25 is redesignated as
§ 1016.17 and newly redesignated
§ 1016.17 is revised to read as follows:
■
§ 1016.17
Protective personnel.
Whenever armed protective personnel
are required in accordance with
§ 1016.15, such protective personnel
shall:
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(a) Possess a ‘‘Q’’ or ‘‘L’’ access
authorization or ‘‘Q(X)’’ or ‘‘L(X)’’
access authorization if the Restricted
Data being protected is classified
Confidential, or a ‘‘Q’’ access
authorization or ‘‘Q(X)’’ access
authorization if the Restricted Data
being protected is classified Secret.
(b) Be armed with sidearms of 9mm
or greater.
§ § 1016.31 through 1016.34 [Redesignated
as §§ 1016.18 through 1016.21 and
Amended]
14. Sections 1016.31 through 1016.34
are redesignated as §§ 1016.18 through
1016.21 and newly redesignated
§§ 1016.18 through 1016.21 are revised
to read as follows:
■
§ 1016.18
Access to Restricted Data.
(a) Except as DOE may authorize, no
person subject to the regulations in this
part shall permit any individual to have
access to Restricted Data in his
possession unless the individual has an
appropriate access authorization granted
by DOE, or has been certified by DOD
or NASA through DOE; and
(1) The individual is authorized by an
Access Permit to receive Restricted Data
in the categories involved and the
permittee determines that such access is
required in the course of his duties; or
(2) The individual needs such access
in connection with such duties as a DOE
employee or DOE contractor employee,
or as certified by DOD or NASA.
(b) Inquiries concerning the access
authorization status of individuals, the
scope of Access Permits, or the nature
of contracts should be addressed to the
cognizant DOE or NNSA office.
sradovich on DSK3GMQ082PROD with RULES
§ 1016.19 Review, classification and
marking of classified information.
(a) Classification. Restricted Data
generated or possessed by an Access
Permit holder must be appropriately
classified and marked in accordance
with 10 CFR part 1045. CG–DAR–2,
‘‘Guide to the Declassified Areas of
Nuclear Energy Research U 08/98,’’ will
be furnished each permittee. In the
event a permittee originates classified
information which falls within the
definition of Restricted Data or
information for which the permittee is
not positive that the information is
outside of that definition and CG–DAR–
2 does not provide positive
classification guidance for such
information, the permittee shall
designate the information as
Confidential, Restricted Data and
request classification guidance from the
DOE through the Classification Officer
at the cognizant DOE or NNSA office. If
the DOE Classification Officer does not
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16:20 Aug 31, 2017
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have authority to provide the guidance,
he will refer the request to the Director,
Office of Classification, AU–60/
Germantown Building, Office of
Environment, Health, Safety and
Security, U.S. Department of Energy,
1000 Independence Avenue SW.,
Washington, DC 20585–1290.
(b) Challenges. If a person receives a
document or other classified matter
which, in his opinion, is not properly
classified, or omits the appropriate
classification markings, he is
encouraged to challenge the
classification and there shall be no
retribution for submitting a challenge.
Challenges shall be submitted in
accordance with 10 CFR part 1045.
(c) Classification markings. Restricted
Data generated or possessed by an
individual approved for access must be
appropriately identified and marked in
accordance with 10 CFR part 1045,
Nuclear Classification and
Declassification. Questions and requests
for additional direction or guidance
regarding the marking of classified
matter may be submitted to the Director,
Office of Classification, AU–60/
Germantown Building, Office of
Environment, Health, Safety and
Security, U.S. Department of Energy,
1000 Independence Avenue SW.,
Washington, DC 20585–1290.
§ 1016.20 External transmission of
Restricted Data.
(a) Restrictions. (1) Restricted Data
shall be transmitted only to persons
who possess appropriate access
authorization, need to know, and are
otherwise eligible for access under the
requirements of § 1016.18.
(2) In addition, such classified matter
containing Restricted Data shall be
transmitted only to persons who possess
approved facilities for their physical
security consistent with this part. Any
person subject to the regulations in this
part who transmits such Restricted Data
containing Restricted Data shall be
deemed to have fulfilled his obligations
under this paragraph (a)(2) by securing
a written certification from the
prospective recipient that such recipient
possesses facilities for its physical
security consistent with this part.
(3) Restricted Data shall not be
exported from the United States without
prior authorization from DOE.
(b) Preparation of documents.
Documents containing Restricted Data
shall be prepared for transmission
outside an individual installation in
accordance with the following:
(1) They shall be enclosed in two
sealed, opaque envelopes or wrappers.
(2) The inner envelope or wrapper
shall be addressed in the ordinary
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41507
manner and sealed with tape, the
appropriate classification shall be
marked on both sides of the envelope,
and any additional marking required by
10 CFR part 1045 shall be applied.
(3) The outer envelope or wrapper
shall be addressed in the ordinary
manner. No classification, additional
marking, or other notation shall be
affixed which indicates that the
document enclosed therein contains
classified information or Restricted
Data.
(4) A receipt which identifies the
document, the date of transfer, the
recipient, and the person transferring
the document shall accompany the
document and shall be signed by the
recipient and returned to the sender
whenever the custody of a document
containing Secret Restricted Data is
transferred.
(c) Preparation of other classified
matter. Classified matter, other than
documents, containing Restricted Data
shall be prepared for shipment outside
an individual installation in accordance
with the following:
(1) The classified matter shall be so
packaged that the classified
characteristics will not be revealed.
(2) A receipt which identifies the
classified matter, the date of shipment,
the recipient, and the person
transferring the classified matter shall
accompany the classified matter, and
the recipient shall sign such receipt
whenever the custody of classified
matter containing Secret Restricted Data
is transferred.
(d) Methods of transportation. (1)
Secret classified matter shall be
transported only by one of the following
methods:
(i) By messenger-courier system
specifically created for that purpose and
approved for use by DOE.
(ii) Registered mail.
(iii) By protective services provided
by United States air or surface
commercial carriers under such
conditions as may be preserved by the
DOE.
(iv) Individuals possessing
appropriate DOE access authorization
who have been given written authority
by their employers.
(2) Confidential classified matter may
be transported by one of the methods set
forth in paragraph (d)(1) of this section
or by U.S. first class, express, or
certified mail.
(e) Telecommunication of classified
information. There shall be no
telecommunication of Restricted Data
unless the secure telecommunication
system has been approved by the DOE.
E:\FR\FM\01SER1.SGM
01SER1
41508
Federal Register / Vol. 82, No. 169 / Friday, September 1, 2017 / Rules and Regulations
§ 1016.21 Accountability for Secret
Restricted Data.
§ 1016.27 Termination, suspension, or
revocation of security facility approval.
Each permittee possessing classified
matter (including classified matter in
electronic format) containing Secret
Restricted Data shall establish
accountability procedures and shall
maintain logs to document access to and
record comprehensive disposition
information for all such classified
matter that has been in his custody at
any time.
(a) In accordance with § 1016.12, if
the need to use, process, store,
reproduce, transmit, or handle classified
matter no longer exists, the security
facility approval will be terminated. The
permittee may deliver all Restricted
Data to the DOE or to a person
authorized to receive them; or the
permittee may destroy all such
Restricted Data. In either case, the
facility must submit a certification of
non-possession of Restricted Data to the
DOE.
(b) In any instance where security
facility approval has been suspended or
revoked based on a determination of the
DOE that further possession of classified
matter by the permittee would endanger
the common defense and national
security, the permittee shall, upon
notice from the DOE, immediately
deliver all Restricted Data to the DOE
along with a certificate of nonpossession of Restricted Data.
§ 1016.35
[Redesignated as § 1016.22]
15. Section 1016.35 is redesignated as
§ 1016.22.
■
§ § 1016.36 and 1016.37 [Redesignated as
§§ 1016.23 and 1016.24 and Amended]
16. Sections 1016.36 and 1016.37 are
redesignated as §§ 1016.23 and 1016.24
and newly redesignated §§ 1016.23 and
1016.24 are revised to read as follows:
■
§ 1016.23
Changes in classification.
Classified matter containing
Restricted Data shall not be downgraded
or declassified except as authorized by
DOE and in accordance with 10 CFR
part 1045.
§ 1016.24 Destruction of classified matter
containing Restricted Data.
Documents containing Restricted Data
may be destroyed by burning, pulping,
or another method that assures complete
destruction of the information which
they contain. Restricted Data contained
in classified matter, other than
documents, may be destroyed only by a
method that assures complete
obliteration, removal, or destruction of
the Restricted Data.
■ 17. Add § 1016.25 to read as follows:
§ 1016.25 Storage, use, processing,
transmission and destruction of classified
information on computers, computer
networks, electronic devices/media and
mobile devices.
Storage, use, processing, and
transmission of Restricted Data on
computers, computer networks,
electronic devices/media and mobile
devices must be approved by DOE.
DOE-approved methods must be used
when destroying classified information
that is in electronic format.
sradovich on DSK3GMQ082PROD with RULES
§ 1016.38
§ § 1016.40 through 1016.42 [Redesignated
as §§ 1016.28 through 1016.30]
20. §§ 1016.40 through 1016.42 are
redesignated as §§ 1016.28 through
1016.30.
■
§ 1016.43 [Redesignated as § 1016.31 and
Amended]
21. Section 1016.43 is redesignated as
§ 1016.31 and newly redesignated
§ 1016.31 is revised to read as follows:
■
§ 1016.31
Inspections.
The DOE shall make such inspections
and surveys of the premises, activities,
records, and procedures of any person
subject to the regulations in this part as
DOE deems necessary to effectuate the
purposes of the Act, Executive Order
13526, and DOE orders and procedures.
§ 1016.44
[Redesignated as § 1016.32]
22. Section 1016.44 is redesignated as
§ 1016.32.
■
[FR Doc. 2017–18043 Filed 8–31–17; 8:45 am]
BILLING CODE 6450–01–P
[Redesignated as § 1016.26]
18. Section 1016.38 is redesignated as
§ 1016.26.
■
§ 1016.39 [Redesignated as § 1016.27 and
Amended]
19. Section 1016.39 is redesignated as
§ 1016.27 and newly redesignated
§ 1016.27 is revised to read as follows:
■
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DEPARTMENT OF TRANSPORTATION
Federal Aviation Administration
14 CFR Part 39
[Docket No. FAA–2017–0164; Product
Identifier 2017–NE–06–AD; Amendment 39–
19008; AD 2017–17–18]
RIN 2120–AA64
Airworthiness Directives; General
Electric Company Turbofan Engines
Federal Aviation
Administration (FAA), DOT.
ACTION: Final rule.
AGENCY:
We are adopting a new
airworthiness directive (AD) for certain
General Electric Company (GE) CF34–8
model turbofan engines. This AD was
prompted by analysis that resulted in
the reduction of the life of the affected
fan blades. This AD requires inspections
of the affected fan blades until their
removal. We are issuing this AD to
address the unsafe condition on these
products.
SUMMARY:
This AD is effective October 6,
2017.
The Director of the Federal Register
approved the incorporation by reference
of a certain publication listed in this AD
as of October 6, 2017.
ADDRESSES: For service information
identified in this final rule, contact
General Electric Company, GE—
Aviation, Room 285, 1 Neumann Way,
Cincinnati, OH 45215, phone: 513–552–
3272; fax: 513–552–3329; email:
geae.aoc@ge.com. You may view this
service information at the FAA, Engine
and Propeller Standards Branch, Policy
and Innovation Division, 1200 District
Avenue, Burlington, MA. For
information on the availability of this
material at the FAA, call 781–238–7125.
It is also available on the internet at
https://www.regulations.gov by searching
for and locating Docket No. FAA–2017–
0164.
DATES:
Examining the AD Docket
You may examine the AD docket on
the Internet at https://
www.regulations.gov by searching for
and locating Docket No. FAA–2017–
0164; or in person at the Docket
Management Facility between 9 a.m.
and 5 p.m., Monday through Friday,
except Federal holidays. The AD docket
contains this final rule, the regulatory
evaluation, any comments received, and
other information. The address for the
Docket Office (phone: 800–647–5527) is
Document Management Facility, U.S.
Department of Transportation, Docket
Operations, M–30, West Building
E:\FR\FM\01SER1.SGM
01SER1
Agencies
[Federal Register Volume 82, Number 169 (Friday, September 1, 2017)]
[Rules and Regulations]
[Pages 41503-41508]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2017-18043]
=======================================================================
-----------------------------------------------------------------------
DEPARTMENT OF ENERGY
10 CFR Part 1016
[Docket No. DOE-HQ-2015-0029-0001]
RIN 1992-AA46
Safeguarding of Restricted Data by Access Permittees
AGENCY: Department of Energy.
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: The Department of Energy (DOE or Department) has revised its
regulations governing the standards for safeguarding Restricted Data by
access permittees. The previous version of this regulation was
promulgated in 1983. Since 1983, changes in organizations, terminology,
and DOE and national policies rendered portions of the previous
regulation outdated. This version updates existing requirements.
DATES: This rule is effective October 2, 2017.
FOR FURTHER INFORMATION CONTACT: Ms. Linda Ruhnow, Office of Security
Policy at (301) 903-2661; Security.Directives@hq.doe.gov.
SUPPLEMENTARY INFORMATION:
I. Background
II. Section by Section Analysis
III. Regulatory Review and Procedural Requirements
A. Review Under Executive Order 12866
B. Review Under the Regulatory Flexibility Act
C. Review Under Paperwork Reduction Act
D. Review Under the National Environmental Policy Act
E. Review Under Executive Order 13132
F. Review Under Executive Order 12988
G. Review Under the Unfunded Mandates Reform Act of 1995
H. Review Under Executive Order 13211
I. Review Under the Treasury and General Government
Appropriations Act of 1999
J. Congressional Notification
K. Approval by the Office of the Secretary
I. Background
The U.S. Department of Energy may issue an access permit to any
person, as set forth in 10 CFR part 725, who requires access to
Restricted Data applicable to civil uses of atomic energy for use in
his/her business, trade or profession. 10 CFR part 725 specifies the
terms and conditions under which the Department will issue an access
permit and provides for the amendment, renewal, suspension, termination
and revocation of an access permit.
The regulations in 10 CFR part 1016 establish requirements for the
safeguarding of Secret and Confidential Restricted Data received or
developed under an access permit. This part does not apply to Top
Secret information because no such information may be provided to an
access permittee within the scope of this regulation. The regulations
in this part apply to all persons who may require access to Restricted
Data used, processed, stored, reproduced, transmitted, or handled in
connection with an access permit.
The original regulations for the safeguarding of Restricted Data
were Atomic Energy Commission regulations that were transferred to the
Energy Research and Development Administration (ERDA) upon its
formation in 1974 (Energy Reorganization Act of 1974; Pub. L. 93-438).
The regulations were subsequently revised to conform to ERDA's
organization (41 FR 56775, 41 FR 56785-56788, Dec. 30, 1976). The
regulations were updated and transferred from 10 CFR part 795 to 10 CFR
part 1016 in Aug. 10, 1983 (48 FR 36432). DOE has developed this
version of 10 CFR part 1016 to reflect organizational, terminology and
policy changes that have occurred since the regulations were last
revised.
DOE proposed changes to the regulations at 10 CFR part 1016 on
November 16, 2016 (81 FR 80612). No comments were received. No changes
were made to the proposed regulations except to modify the definition
of an ``L'' access authorization in Sec. 1016.3, Definitions.
II. Section by Section Analysis
With the exception of the definition of an ``L'' access
authorization in Sec. 1016.3, Definitions, the modifications to 10 CFR
part 1016 adopted in this final rule are described in the Section by
Section Analysis in section II of DOE's notice of proposed rulemaking
published on November 16, 2016 (81 FR 80612). In Sec. 1016.3,
Definitions, the definition of ``L'' access authorization was modified
from DOE's proposed changes to update the type of background
investigation required by DOE and national level directives. The
reference to National Agency Checks with Local Agency Checks and Credit
Check background investigation has been replaced with a Tier III
background investigation.
III. Rulemaking Requirements
A. Review Under Executive Order 12866
This action does not constitute a ``significant regulatory action''
as defined in section 3(f) of Executive Order 12866, ``Regulatory
Planning and Review'' (58 FR 51735).
B. Review Under the Regulatory Flexibility Act
The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires
preparation of a 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, Aug. 16, 2002), DOE published
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. DOE has made its procedures
and policies available on the Office of the General Counsel's Web site
(www.gc.doe.gov).
DOE has reviewed this rule under the Regulatory Flexibility Act and
certifies that, as adopted, the rule would not have a significant
impact on a substantial number of small entities.
[[Page 41504]]
This action amends an existing rule which establishes safeguarding of
Restricted Data by persons granted an Access Permit according to 10 CFR
part 725. The rule would only apply to Access Permittees, of which
there are historically very few (e.g., between zero and five), and the
changes are administrative changes (such as renumbering of several
parts and changing office names to reflect a recent reorganization),
updates to enable consistency with current policies and practices, and
clarification of requirements.
Because these standards and requirements consist of clarifications
and updates to existing standards and requirements, DOE does not expect
that the impact on any Access Permittees would be significant. DOE
sought comment on its estimate of the number of small entities and the
expected effects of this rule and received no comments.
For the above reasons, DOE certifies that the rule, as adopted,
will not have a significant economic impact on a substantial number of
small entities.
C. Review Under Paperwork Reduction Act
This rule does not contain a collection of information subject to
OMB approval under the Paperwork Reduction Act.
D. Review Under the National Environmental Policy Act
This rule amends existing policies and procedures establishing
safeguarding of Restricted Data standards and requirements for Access
Permittees and has no significant environmental impact. Consequently,
the Department has determined that this rule is covered under
Categorical Exclusion A-5, of appendix A to subpart D, 10 CFR part
1021, which applies to a rulemaking that addresses amending 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.
E. Review Under 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 develop a formal
process to ensure meaningful and timely input by State and local
officials in the development of regulatory policies that have
``federalism implications.'' Policies that have federalism implications
are defined in the Executive Order to include regulations that have
``substantial direct effects 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.'' On March
7, 2011, DOE published a statement of policy describing the
intergovernmental consultation process it will follow in the
development of such regulations (65 FR 13735, March 14, 2000).
DOE has examined this rule and has determined that it does 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.
F. Review Under Executive Order 12988
Section 3 of Executive Order 12988, (61 FR 4729, February 7, 1996),
instructs each agency to adhere to certain requirements in promulgating
new regulations. These requirements, set forth in section 3(a) and (b),
include eliminating drafting errors and needless ambiguity, drafting
the regulations to minimize litigation, providing clear and certain
legal standards for affected legal conduct, and promoting
simplification and burden reduction. Agencies are also instructed to
make every reasonable effort to ensure that the regulation describes
any administrative proceeding to be available prior to judicial review
and any provisions for the exhaustion of administrative remedies. The
Department has determined that this regulatory action meets the
requirements of section 3(a) and (b) of Executive Order 12988.
G. Review Under the Unfunded Mandates Reform Act of 1995
Title II of the Unfunded Mandates Reform Act of 1995 (UMRA)
requires each Federal agency to assess the effects of Federal
regulatory action on state, local and tribal governments and the
private sector. For regulatory actions likely to result in a rule that
may cause expenditures by State, local, and Tribal governments, in the
aggregate, or by the private sector of $100 million or more in any one
year (adjusted annually for inflation), section 202 of UMRA requires a
Federal agency to publish estimates of the resulting costs, benefits,
and other effects on the national economy. UMRA also requires Federal
agencies to develop an effective process to permit timely input by
elected officers of State, local, and Tribal governments on a proposed
``significant intergovernmental mandate.'' In addition, UMRA requires
an agency plan for giving notice and opportunity for timely input to
small governments that may be affected before establishing a
requirement that might significantly or uniquely affect them. On March
18, 1997, DOE published a statement of policy on its process for
intergovernmental consultation under UMRA (62 FR 12820, March 18,
1997). (This policy is also available at https://www.gc.doe.gov.) This
rule contains neither an intergovernmental mandate, nor a mandate that
may result in the expenditure of $100 million or more in any year, so
these requirements do not apply.
H. Review Under 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
the Office of Information and Regulatory Affairs (OIRA), Office of
Management and Budget, a Statement of Energy Effects for any
significant energy action. A ``significant energy action'' is defined
as any action by an agency that promulgates or is expected to lead to
the 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
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 alternates to the action and
their expected benefits on energy supply, distribution, and use.
This rule is not a significant energy action, nor has it been
designated as such by the Administrator of OIRA. Accordingly, DOE has
not prepared a Statement of Energy Effects.
I. Review Under the 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 or policy that may affect
family well-being. This rule would not have any impact on the autonomy
or integrity of the family as an institution. Accordingly, DOE has
concluded that it
[[Page 41505]]
is not necessary to prepare a Family Policymaking Assessment.
J. Congressional Notification
As required by 5 U.S.C. 801, DOE will report to Congress on the
promulgation of this rule before its effective date. The report will
state that it has been determined that the rule is not a ``major rule''
as defined by 5 U.S.C. 804(2).
K. Approval by the Office of the Secretary
The Secretary of Energy has approved publication of this final
rule.
List of Subjects in 10 CFR Part 1016
Classified information, Nuclear energy, Reporting and recordkeeping
requirements, Security measures.
Issued in Washington, DC, on August 15, 2017.
Andrew C. Lawrence,
Acting Associate Under Secretary for Environment, Health, Safety and
Security.
For the reasons set out in the preamble, DOE amends part 1016 of
title 10 of the Code of Federal Regulations as set forth below:
PART 1016--SAFEGUARDING OF RESTRICTED DATA BY ACCESS PERMITTEES
0
1. The authority citation for part 1016 continues to read as follows:
Authority: Sec. 161.i. of the Atomic Energy Act of 1954, 68
Stat. 948 (42 U.S.C. 2201).
0
2. The part heading for part 1016 is revised to read as set forth
above.
0
3. Section 1016.3 is amended by:
0
a. Revising paragraph (a).
0
b. Removing paragraph (c).
0
c. Redesignating paragraphs (d) and (e) as paragraphs (c) and (d),
respectively.
0
d. Revising newly designated paragraphs (c) and (d).
0
e. Redesignating paragraphs (f) and (g) as paragraphs (e) and (f),
respectively.
0
f. Removing paragraph (h).
0
g. Redesignating paragraphs (i) through (k) as paragraphs (g) through
(i), respectively.
0
h. Revising newly designated paragraphs (h) and (i).
0
i. Removing paragraphs (l) and (m).
0
j. Redesignating paragraphs (n) through (z) as paragraphs (j) through
(v), respectively.
0
k. Revising newly designated paragraphs (k) and (u).
The revisions read as follows:
Sec. 1016.3 Definitions.
(a) Access authorization. An administrative determination by DOE
that an individual who is either a DOE employee, applicant for
employment, consultant, assignee, other Federal department or agency
employee (or other persons who may be designated by the Secretary of
Energy), or a DOE contractor or subcontractor employee, or an access
permittee is eligible for access to Restricted Data. Access
authorizations granted by DOE are designated as ``Q,'' ``Q(X),'' ``L,''
or ``L(X).''
(1) ``Q'' access authorizations are based upon single scope
background investigations as set forth in applicable DOE and national-
level directives. They permit an individual who has ``need to know''
access to Top Secret, Secret and Confidential Restricted Data, Formerly
Restricted Data, National Security Information, or special nuclear
material in Category I or II quantities as required in the performance
of duties, subject to additional determination that permitting this
access will not endanger the common defense or national security of the
United States. There may be additional requirements for access to
specific types of RD information.
(2) ``Q(X)'' access authorizations are based upon the same level of
investigation required for a Q access authorization. When ``Q'' access
authorizations are granted to access permittees they are identified as
``Q(X)'' access authorizations and, as need-to-know applies, authorize
access only to the type of Secret Restricted Data as specified in the
permit and consistent with appendix A, 10 CFR part 725, ``Categories of
Restricted Data Available.''
(3) ``L'' access authorizations are based upon a Tier III (formerly
National Agency Check with Local Agency Checks and Credit Checks
(NACLC)/Access National Agency Check with Inquiries (ANACI)) background
investigation as set forth in applicable national-level directives.
They permit an individual who has ``need to know'' access to
Confidential Restricted Data, Secret and Confidential Formerly
Restricted Data, or Secret and Confidential National Security
Information, required in the performance of duties, provided such
information is not designated ``CRYPTO'' (classified cryptographic
information), ``COMSEC'' (communications security), or intelligence
information and subject to additional determination that permitting
this access will not endanger the common defense or national security
of the United States. There may be additional requirements for access
to specific types of RD information.
(4) ``L(X)'' access authorizations are based upon the same level of
investigation required for an ``L'' access authorization. When ``L''
access authorizations are granted to access permittees, they are
identified as ``L(X)'' access authorizations and, as need to know
applies, authorize access only to the type of Confidential Restricted
Data as specified in the permit and consistent with appendix A, 10 CFR
part 725, ``Categories of Restricted Data Available.''
* * * * *
(c) Classified mail address. A mail address established for each
access permittee and approved by the DOE to be used when sending
Restricted Data to the permittee.
(d) Classified matter. Anything in physical form (including, but
not limited to documents and material) that contains or reveals
classified information.
* * * * *
(h) Infraction. An act or omission involving failure to comply with
DOE safeguards and security orders, directives, or approvals and may
include a violation of law.
(i) Intrusion detection system. A security system consisting of
sensors capable of detecting one or more types of phenomena, signal
media, annunciators, energy sources, alarm assessment systems, and
alarm reporting elements including alarm communications and information
display equipment.
* * * * *
(k) National Security Information. Information that has been
determined pursuant to Executive Order 13526, as amended ``Classified
National Security Information'' or any predecessor order to require
protection against unauthorized disclosure and is marked to indicate
its classified status when in documentary form.
* * * * *
(u) Security Plan. A written plan by the access permittee, and
submitted to the DOE for approval, which outlines the permittee's
proposed security procedures and controls for the protection of
Restricted Data and which includes a floor plan of the area in which
the classified matter is to be used, processed, stored, reproduced,
transmitted, or handled.
* * * * *
0
4. Section 1016.4 is revised to read as follows:
Sec. 1016.4 Communications.
Communications concerning rulemaking, i.e., petition to change this
part, should be addressed to the Associate Under Secretary, Office of
Environment, Health, Safety and
[[Page 41506]]
Security, AU-1/Forrestal Building, Office of Environment, Health,
Safety and Security, U.S. Department of Energy, 1000 Independence
Avenue SW., Washington, DC 20585. All other communications concerning
the regulations in this part should be addressed to the cognizant DOE
or National Nuclear Security Administration (NNSA) office.
0
5. Section 1016.5 is revised to read as follows:
Sec. 1016.5 Submission of procedures by access permit holder.
No access permit holder shall have access to Restricted Data until
he has submitted to the DOE a written statement of his procedures for
the safeguarding of Restricted Data and for the security education of
his employees, and DOE shall have determined and informed the permittee
that his procedures for the safeguarding of Restricted Data are in
compliance with the regulations in this part and that his procedures
for the security education of his employees, who will have access to
Restricted Data, are informed about and understand the regulations in
this part. These procedures must ensure that employees with access to
Restricted Data are informed about and understand who is authorized or
required to classify and declassify RD and FRD information and
classified matter as well as how documents containing RD or FRD are
marked (see 10 CFR part 1045) and safeguarded.
0
6. The heading for Sec. 1016.8 is revised to read as follows:
Sec. 1016.8 Request for security facility approval.
* * * * *
0
7. Section 1016.9 is revised to read as follows:
Sec. 1016.9 Processing security facility approval.
Following receipt of an acceptable request for security facility
approval, the DOE will perform an initial security survey of the
permittee's facility to determine that granting a security facility
approval would be consistent with the national security. If DOE makes
such a determination, security facility approval will be granted. If
not, security facility approval will be withheld pending compliance
with the security survey recommendations or until a waiver is granted
pursuant to Sec. 1016.6.
0
8. Section 1016.10 is revised to read as follows:
Sec. 1016.10 Granting, denial, or suspension of security facility
approval.
Notification of the DOE's granting, denial, or suspension of
security facility approval will be furnished the permittee in writing,
or orally with written confirmation. This information may also be
furnished to representatives of the DOE, DOE contractors, or other
Federal agencies having a need to transmit Restricted Data to the
permittee.
0
9. Section 1016.11 is revised to read as follows:
Sec. 1016.11 Cancellation of requests for security facility approval.
When a request for security facility approval is to be withdrawn or
cancelled, the cognizant DOE Office will be notified by the requester
immediately by telephone and confirmed in writing so that processing of
this approval may be terminated.
0
10. Section 1016.12 is revised to read as follows:
Sec. 1016.12 Termination of security facility approval.
(a) Security facility approval will be terminated when:
(1) There is no longer a need to use, process, store, reproduce,
transmit, or handle Restricted Data at the facility; or
(2) The DOE makes a determination that continued security facility
approval is not in the interest of common defense and security.
(b) The permittee will be notified in writing of a determination to
terminate facility approval, and the procedures outlined in Sec.
1016.27 will apply.
Sec. Sec. 1016.21 through 1016.23 [Redesignated as Sec. Sec.
1016.13 through 1016.15 and Amended]
0
11. Sections 1016.21 through 1016.23 are redesignated as Sec. Sec.
1016.13 through 1016.15 and newly redesignated Sec. Sec. 1016.13
through 1016.15 are revised to read as follows:
Sec. 1016.13 Protection of Restricted Data in storage.
(a) Persons who possess Restricted Data pursuant to an Access
Permit shall store the Restricted Data classified matter when not in
use in a locked storage container or DOE-approved vault to which only
persons with appropriate access authorization and a need to know the
information contained have access. Storage containers used for storing
classified matter must conform to U.S. General Services Administration
(GSA) standards and specifications.
(b) Each permittee shall change the combination on locks of his
safekeeping equipment whenever such equipment is placed in use,
whenever an individual knowing the combination no longer requires
access to the repository as a result of change in duties or position in
the permittee's organization, or termination of employment with the
permittee or whenever the combination has been subjected to compromise,
and in any event at least once a year. Permittees shall classify
records of combinations no lower than the highest classification of the
classified matter authorized for storage in the safekeeping equipment
concerned.
Sec. 1016.14 Protection of Restricted Data while in use.
While in use, classified matter containing Restricted Data shall be
under the direct control of a person with the appropriate access
authorization and need to know. Unauthorized access to the Restricted
Data shall be precluded.
Sec. 1016.15 Establishment of security areas.
(a) When, because of their nature or size, it is impracticable to
safeguard classified matter containing Restricted Data in accordance
with the provisions of Sec. Sec. 1016.13 and 1016.14, a security area
to protect such classified matter shall be established.
(b) The following controls shall apply to security areas:
(1) Security areas shall be separated from adjacent areas by a
physical barrier designed to prevent entrance into such areas, and
access to the Restricted Data within the areas, by unauthorized
individuals.
(2) During working hours, admittance shall be controlled by an
appropriately cleared individual posted at each unlocked entrance.
(3) During nonworking hours, admittance shall be controlled by
protective personnel on patrol, with protective personnel posted at
unlocked entrances, or by such intrusion detection system as DOE
approves.
(4) Each individual authorized to enter a security area shall be
issued a distinctive badge or pass when the number of employees
assigned to the area exceeds thirty.
Sec. 1016.24 [Redesignated as Sec. 1016.16]
0
12. Section 1016.24 is redesignated as Sec. 1016.16.
Sec. 1016.25 [Redesignated as Sec. 1016.17 and Amended]
0
13. Section 1016.25 is redesignated as Sec. 1016.17 and newly
redesignated Sec. 1016.17 is revised to read as follows:
Sec. 1016.17 Protective personnel.
Whenever armed protective personnel are required in accordance with
Sec. 1016.15, such protective personnel shall:
[[Page 41507]]
(a) Possess a ``Q'' or ``L'' access authorization or ``Q(X)'' or
``L(X)'' access authorization if the Restricted Data being protected is
classified Confidential, or a ``Q'' access authorization or ``Q(X)''
access authorization if the Restricted Data being protected is
classified Secret.
(b) Be armed with sidearms of 9mm or greater.
Sec. Sec. 1016.31 through 1016.34 [Redesignated as Sec. Sec.
1016.18 through 1016.21 and Amended]
0
14. Sections 1016.31 through 1016.34 are redesignated as Sec. Sec.
1016.18 through 1016.21 and newly redesignated Sec. Sec. 1016.18
through 1016.21 are revised to read as follows:
Sec. 1016.18 Access to Restricted Data.
(a) Except as DOE may authorize, no person subject to the
regulations in this part shall permit any individual to have access to
Restricted Data in his possession unless the individual has an
appropriate access authorization granted by DOE, or has been certified
by DOD or NASA through DOE; and
(1) The individual is authorized by an Access Permit to receive
Restricted Data in the categories involved and the permittee determines
that such access is required in the course of his duties; or
(2) The individual needs such access in connection with such duties
as a DOE employee or DOE contractor employee, or as certified by DOD or
NASA.
(b) Inquiries concerning the access authorization status of
individuals, the scope of Access Permits, or the nature of contracts
should be addressed to the cognizant DOE or NNSA office.
Sec. 1016.19 Review, classification and marking of classified
information.
(a) Classification. Restricted Data generated or possessed by an
Access Permit holder must be appropriately classified and marked in
accordance with 10 CFR part 1045. CG-DAR-2, ``Guide to the Declassified
Areas of Nuclear Energy Research U 08/98,'' will be furnished each
permittee. In the event a permittee originates classified information
which falls within the definition of Restricted Data or information for
which the permittee is not positive that the information is outside of
that definition and CG-DAR-2 does not provide positive classification
guidance for such information, the permittee shall designate the
information as Confidential, Restricted Data and request classification
guidance from the DOE through the Classification Officer at the
cognizant DOE or NNSA office. If the DOE Classification Officer does
not have authority to provide the guidance, he will refer the request
to the Director, Office of Classification, AU-60/Germantown Building,
Office of Environment, Health, Safety and Security, U.S. Department of
Energy, 1000 Independence Avenue SW., Washington, DC 20585-1290.
(b) Challenges. If a person receives a document or other classified
matter which, in his opinion, is not properly classified, or omits the
appropriate classification markings, he is encouraged to challenge the
classification and there shall be no retribution for submitting a
challenge. Challenges shall be submitted in accordance with 10 CFR part
1045.
(c) Classification markings. Restricted Data generated or possessed
by an individual approved for access must be appropriately identified
and marked in accordance with 10 CFR part 1045, Nuclear Classification
and Declassification. Questions and requests for additional direction
or guidance regarding the marking of classified matter may be submitted
to the Director, Office of Classification, AU-60/Germantown Building,
Office of Environment, Health, Safety and Security, U.S. Department of
Energy, 1000 Independence Avenue SW., Washington, DC 20585-1290.
Sec. 1016.20 External transmission of Restricted Data.
(a) Restrictions. (1) Restricted Data shall be transmitted only to
persons who possess appropriate access authorization, need to know, and
are otherwise eligible for access under the requirements of Sec.
1016.18.
(2) In addition, such classified matter containing Restricted Data
shall be transmitted only to persons who possess approved facilities
for their physical security consistent with this part. Any person
subject to the regulations in this part who transmits such Restricted
Data containing Restricted Data shall be deemed to have fulfilled his
obligations under this paragraph (a)(2) by securing a written
certification from the prospective recipient that such recipient
possesses facilities for its physical security consistent with this
part.
(3) Restricted Data shall not be exported from the United States
without prior authorization from DOE.
(b) Preparation of documents. Documents containing Restricted Data
shall be prepared for transmission outside an individual installation
in accordance with the following:
(1) They shall be enclosed in two sealed, opaque envelopes or
wrappers.
(2) The inner envelope or wrapper shall be addressed in the
ordinary manner and sealed with tape, the appropriate classification
shall be marked on both sides of the envelope, and any additional
marking required by 10 CFR part 1045 shall be applied.
(3) The outer envelope or wrapper shall be addressed in the
ordinary manner. No classification, additional marking, or other
notation shall be affixed which indicates that the document enclosed
therein contains classified information or Restricted Data.
(4) A receipt which identifies the document, the date of transfer,
the recipient, and the person transferring the document shall accompany
the document and shall be signed by the recipient and returned to the
sender whenever the custody of a document containing Secret Restricted
Data is transferred.
(c) Preparation of other classified matter. Classified matter,
other than documents, containing Restricted Data shall be prepared for
shipment outside an individual installation in accordance with the
following:
(1) The classified matter shall be so packaged that the classified
characteristics will not be revealed.
(2) A receipt which identifies the classified matter, the date of
shipment, the recipient, and the person transferring the classified
matter shall accompany the classified matter, and the recipient shall
sign such receipt whenever the custody of classified matter containing
Secret Restricted Data is transferred.
(d) Methods of transportation. (1) Secret classified matter shall
be transported only by one of the following methods:
(i) By messenger-courier system specifically created for that
purpose and approved for use by DOE.
(ii) Registered mail.
(iii) By protective services provided by United States air or
surface commercial carriers under such conditions as may be preserved
by the DOE.
(iv) Individuals possessing appropriate DOE access authorization
who have been given written authority by their employers.
(2) Confidential classified matter may be transported by one of the
methods set forth in paragraph (d)(1) of this section or by U.S. first
class, express, or certified mail.
(e) Telecommunication of classified information. There shall be no
telecommunication of Restricted Data unless the secure
telecommunication system has been approved by the DOE.
[[Page 41508]]
Sec. 1016.21 Accountability for Secret Restricted Data.
Each permittee possessing classified matter (including classified
matter in electronic format) containing Secret Restricted Data shall
establish accountability procedures and shall maintain logs to document
access to and record comprehensive disposition information for all such
classified matter that has been in his custody at any time.
Sec. 1016.35 [Redesignated as Sec. 1016.22]
0
15. Section 1016.35 is redesignated as Sec. 1016.22.
Sec. Sec. 1016.36 and 1016.37 [Redesignated as Sec. Sec. 1016.23
and 1016.24 and Amended]
0
16. Sections 1016.36 and 1016.37 are redesignated as Sec. Sec. 1016.23
and 1016.24 and newly redesignated Sec. Sec. 1016.23 and 1016.24 are
revised to read as follows:
Sec. 1016.23 Changes in classification.
Classified matter containing Restricted Data shall not be
downgraded or declassified except as authorized by DOE and in
accordance with 10 CFR part 1045.
Sec. 1016.24 Destruction of classified matter containing Restricted
Data.
Documents containing Restricted Data may be destroyed by burning,
pulping, or another method that assures complete destruction of the
information which they contain. Restricted Data contained in classified
matter, other than documents, may be destroyed only by a method that
assures complete obliteration, removal, or destruction of the
Restricted Data.
0
17. Add Sec. 1016.25 to read as follows:
Sec. 1016.25 Storage, use, processing, transmission and destruction
of classified information on computers, computer networks, electronic
devices/media and mobile devices.
Storage, use, processing, and transmission of Restricted Data on
computers, computer networks, electronic devices/media and mobile
devices must be approved by DOE. DOE-approved methods must be used when
destroying classified information that is in electronic format.
Sec. 1016.38 [Redesignated as Sec. 1016.26]
0
18. Section 1016.38 is redesignated as Sec. 1016.26.
Sec. 1016.39 [Redesignated as Sec. 1016.27 and Amended]
0
19. Section 1016.39 is redesignated as Sec. 1016.27 and newly
redesignated Sec. 1016.27 is revised to read as follows:
Sec. 1016.27 Termination, suspension, or revocation of security
facility approval.
(a) In accordance with Sec. 1016.12, if the need to use, process,
store, reproduce, transmit, or handle classified matter no longer
exists, the security facility approval will be terminated. The
permittee may deliver all Restricted Data to the DOE or to a person
authorized to receive them; or the permittee may destroy all such
Restricted Data. In either case, the facility must submit a
certification of non-possession of Restricted Data to the DOE.
(b) In any instance where security facility approval has been
suspended or revoked based on a determination of the DOE that further
possession of classified matter by the permittee would endanger the
common defense and national security, the permittee shall, upon notice
from the DOE, immediately deliver all Restricted Data to the DOE along
with a certificate of non-possession of Restricted Data.
Sec. Sec. 1016.40 through 1016.42 [Redesignated as Sec. Sec.
1016.28 through 1016.30]
0
20. Sec. Sec. 1016.40 through 1016.42 are redesignated as Sec. Sec.
1016.28 through 1016.30.
Sec. 1016.43 [Redesignated as Sec. 1016.31 and Amended]
0
21. Section 1016.43 is redesignated as Sec. 1016.31 and newly
redesignated Sec. 1016.31 is revised to read as follows:
Sec. 1016.31 Inspections.
The DOE shall make such inspections and surveys of the premises,
activities, records, and procedures of any person subject to the
regulations in this part as DOE deems necessary to effectuate the
purposes of the Act, Executive Order 13526, and DOE orders and
procedures.
Sec. 1016.44 [Redesignated as Sec. 1016.32]
0
22. Section 1016.44 is redesignated as Sec. 1016.32.
[FR Doc. 2017-18043 Filed 8-31-17; 8:45 am]
BILLING CODE 6450-01-P