Additional Protocol Regulations: Mandatory Electronic Submission of Reports Through the Additional Protocol Reporting System (APRS)
| Published date | 29 December 2021 |
| Citation | 86 FR 74006 |
| Record Number | 2021-27836 |
| Section | Proposed rules |
| Court | Industry And Security Bureau |
Federal Register, Volume 86 Issue 247 (Wednesday, December 29, 2021)
[Federal Register Volume 86, Number 247 (Wednesday, December 29, 2021)]
[Proposed Rules]
[Pages 74006-74018]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-27836]
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DEPARTMENT OF COMMERCE
Bureau of Industry and Security
15 CFR Parts 781, 782, 783, 784, 785, and 786
[Docket No. 211210-0258]
RIN 0694-AH95
Additional Protocol Regulations: Mandatory Electronic Submission
of Reports Through the Additional Protocol Reporting System (APRS)
AGENCY: Bureau of Industry and Security, Commerce.
ACTION: Proposed rule.
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SUMMARY: The Additional Protocol is an agreement between the United
States and the International Atomic Energy Agency (IAEA) to allow
monitoring and reporting of certain civil nuclear fuel cycle-related
activities. The Bureau of Industry and Security (BIS) administers the
Additional Protocol Regulations (APR), which implement the provisions
of the Additional Protocol affecting U.S. industry and other U.S.
persons engaged in certain civil nuclear fuel cycle-related activities
that are not regulated by the U.S. Nuclear Regulatory Commission (NRC),
or its domestic Agreement States, and are not situated at certain U.S.
government locations. The APR describe the requirement to report such
activities to BIS, as well as the conduct of on-site activities in
conjunction with IAEA complementary access to locations where such
civil nuclear fuel cycle-related activities take place. This rule
proposes to amend the APR to replace the existing manual reporting and
processing procedures with a mandatory requirement to submit reports
and other documents on-line through the Additional Protocol Reporting
System (APRS). As a result of this proposed change, all persons and
locations in the United States that are subject to the reporting
requirements in the APR would be required to register on-line to set up
an APRS account, submit reports and other documents to BIS via APRS,
and maintain current user account information in APRS. This rule also
proposes to amend the APR to clarify and update other requirements
(e.g., by removing the provisions that address the Initial Report
requirements for calendar year 2008, replacing the provisions that
address Amended Report requirements, and revising the definitions of
certain terms used in the APR).
DATES: Comments must be received by BIS no later than February 14,
2022.
ADDRESSES: You may submit comments, identified by docket number BIS-
2021-0034 or RIN 0694-AH95, through any of the following:
Federal eRulemaking Portal: http://www.regulations.gov.
Follow the instructions for submitting comments. You can find this
proposed rule by searching for its regulations.gov docket number, which
is BIS-2021-0034.
Email: [email protected]. Include RIN 0694-AH95
in the subject line of the message.
All filers using the portal or email should use the name of the
person or entity submitting the comments as the name of their files, in
accordance with the instructions below. Anyone submitting business
confidential information should clearly identify the business
confidential portion at the time of submission, file a statement
justifying nondisclosure and referring to the specific legal authority
claimed, and provide a non-confidential submission.
For comments submitted electronically containing business
confidential information, the file name of the business confidential
version should begin with the characters ``BC.'' Any page containing
business confidential information must be clearly marked ``BUSINESS
CONFIDENTIAL'' on the top of that page. The corresponding non-
confidential version of those comments must be clearly marked
``PUBLIC.'' The file name of the non-confidential version should begin
with the character ``P.'' The ``BC'' and ``P'' should be followed by
the name of the person or entity submitting the comments or rebuttal
comments. Any submissions with file names that do not begin with a
``P'' or ``BC'' will be assumed to be public and will be made publicly
available through http://www.regulations.gov.
FOR FURTHER INFORMATION CONTACT: For general information on APR
requirements, including the APRS requirements proposed by this rule,
contact Hung Ly, Treaty Compliance Division, Office of Nonproliferation
and Treaty Compliance, Email: [email protected]. For questions on the
submission of comments in response to this proposed rule, contact
Willard Fisher, Regulatory Policy Division, Office of Exporter
Services, Bureau of Industry and Security, U.S. Department of Commerce,
Email: [email protected].
SUPPLEMENTARY INFORMATION:
Background
The Protocol Additional to the Agreement Between the United States
of America and the International Atomic Energy Agency for the
Application of Safeguards in the United States of America (hereinafter
referred to as the ``Additional Protocol'' or ``AP'') was developed to
strengthen existing verification agreements established under the
International Atomic Energy Agency (IAEA) safeguards regime and to
promote the non-proliferation of nuclear weapons, which is a
cornerstone of U.S. foreign and national security policy. The U.S.
Additional Protocol requires the United States to declare to the IAEA a
number of commercial nuclear and nuclear-related items, materials, and
activities that have peaceful nuclear applications, but are also
necessary elements for a nuclear weapons program.
To obtain the information needed to prepare the U.S. Declaration
under the Additional Protocol, BIS administers the Additional Protocol
Regulations (APR) (15 CFR 781-786) reporting requirements related to:
(1) Nuclear fuel cycle research and development activities not
involving nuclear materials; (2) nuclear-related
[[Page 74007]]
manufacturing, assembly, or construction activities; and (3) uranium
hard-rock mining or ore beneficiation activities. Currently, U.S.
industry and other U.S. persons with reportable activities submit their
AP reports via facsimile, hand delivery, courier or the mail, using
paper forms. BIS uses a manual process to receive and process these
reports, to draft the U.S. Declaration for interagency review and
approval, and to deliver the U.S. Declaration to the IAEA.
To facilitate compliance with the reporting requirements in the
APR, BIS has developed the Additional Protocol Reporting System (APRS),
an internet-based application, for industry to use to prepare and
submit AP reports. APRS is a user-friendly, time-saving tool that will
reduce the burden on industry related to the preparation and submission
of these reports. Accordingly, BIS is proposing to amend the APR to
replace the existing manual reporting requirement (i.e., submission via
facsimile, hand delivery, courier or the mail, using paper forms) with
a requirement that all persons and locations with reportable activities
register on-line for an APRS account and electronically submit their
reports through APRS thereafter.
This proposed APRS electronic submission requirement would be
mandatory only for the BIS administered AP reporting requirements
described in Sec. 783.1 of the APR. This APRS submission requirement
would not be mandatory for information submitted in accordance with the
AP-related reporting requirements in the regulations administered by
the Nuclear Regulatory Commission (NRC), as follows: (1) Information
concerning exports of nuclear facilities and equipment and non-nuclear
materials (nuclear grade graphite for nuclear end use and deuterium)
listed in Annex II of the Additional Protocol and submitted in
accordance with 10 CFR 110.54(a); (2) facility information described in
10 CFR 75.10(b)(5) and submitted in accordance with 10 CFR 75.6(c) and
75.10(e); and (3) location information described in 10 CFR 75.11(b) and
submitted in accordance with 10 CFR 75.6(d) and 75.11(c). Consequently,
locations and sites subject to these NRC reporting requirements would
have the option of continuing to submit their AP reports to BIS
manually, in accordance with the instructions provided in the
aforementioned NRC regulations, or registering for access to submit
their reports electronically to BIS via APRS (provided that the
locations and sites otherwise satisfy their NRC reporting
requirements).
In addition to proposing the mandatory electronic submission of AP
reports via APRS, this rule proposes to amend the APR to: (1) Clarify
the uranium hard-rock mine and ore beneficiation activities that are
subject to the reporting requirements in the APR; (2) remove the
provisions that address the outdated requirement to submit Initial
Reports covering calendar year 2008 activities; (3) replace the APR
provisions that address the submission of amendments to AP reports with
provisions requiring that such information be submitted through APRS;
and (4) make miscellaneous updates and clarifications.
I. Establishment of Mandatory Requirement To Submit AP Reports via APRS
Part 781 (General Information and Overview)
This rule proposes to amend Sec. 781.1 of the APR (Definitions of
Terms) by adding a definition of the Additional Protocol Reporting
System (APRS). This definition would describe APRS as ``the automated
tool for persons or locations to submit electronic AP reports on
nuclear fuel cycle related activities to BIS via the internet.''
Part 782 (General Information Regarding Reporting Requirements)
The most extensive and substantive amendments related to the
establishment of APRS are proposed to the provisions in part 782 of the
APR.
First, this rule proposes to replace the last two sentences in
Sec. 782.1 of the APR, which currently provide information on how to
obtain hard copies of AP report forms, with a sentence instructing
persons or locations subject to the APR reporting requirements to
submit their AP reports via APRS in accordance with the instructions
provided in Sec. Sec. 782.5 and 782.6 of the APR (as proposed to be
amended by this rule).
Second, this rule proposes to amend Sec. 782.5 of the APR to
indicate that persons and locations subject to the reporting
requirements described in Sec. 783.1 of the APR must submit their AP
reports to BIS via the internet, using their APRS account. Section
782.5 also would be amended to indicate that BIS would provide persons
and locations subject to the reporting requirements in the APR with
information on how to use APRS (including the roles of the account
administrator and individual users and how to electronically file AP
reports with BIS) as part of the APRS registration process.
Furthermore, this section would indicate that the AP Forms required to
submit these reports, including the due dates of the reports, are
identified in supplement no. 1 to part 783 of the APR and may be
accessed via the location's APRS account. The AP website maintained by
BIS at https://www.bis.doc.gov/index.php/other-areas/additional-protocol-ap, as updated to address the mandatory APRS requirements
proposed in this rule for the submission of AP reports required by the
APR (e.g., by including an ``Additional Protocol Reporting System
(APRS) User Manual''), also would be referenced in Sec. 782.5 as
another source of information on how to comply with the AP reporting
requirements.
Third, this rule proposes to revise Sec. 782.6 of the APR to
require U.S. persons or locations with reportable activities under the
APR to register on-line with BIS to request the establishment of a user
account for the purpose of electronically submitting AP reports through
the APRS. Specifically, each person or location with reportable
activities under the APR, as proposed to be amended by this rule, would
be required to designate at least one individual who would be
authorized to act on behalf of that person or location as an APRS
account administrator. The account administrator would be responsible
for registering to open an account under APRS for the purpose of
submitting AP reports to BIS on behalf of the person or location.
To register for an account in APRS, the account administrator would
visit the APRS login page, at http://www.ap.gov/XXXX, and provide the
following information to BIS: (1) The name and address of the person or
location with reportable activities; and (2) the account
administrator's name, telephone and facsimile numbers, and email
address. The account administrator also would be required to certify
the person's or location's compliance with the requirements of the APR,
including any requirements pertaining to the authorized use of APRS.
Upon receiving the registration request to open an APRS account, BIS
would send a confirmation email to the account administrator and also
verify the account administrator's credentials. If the request for
opening an account to access APRS is approved by BIS, a second email
would be sent to the account administrator with a password reset link
for logging into the APRS account.
Following BIS's approval of the registration request for an APRS
account, the account administrator would be authorized to add or remove
individual users, who would be able to use the account to view, add,
edit and
[[Page 74008]]
submit AP reports to BIS on behalf of the person or location with whom
the account administrator's registration is affiliated. In addition,
the account administrator would be authorized to designate other
individual users to act as an account administrator on behalf of the
same person or location. Any individual user so designated would
possess all the authority of an account administrator for that person
or location. Account administrators also would be able to deactivate
the account of an individual user or reactivate the account of a
previously deactivated individual user.
For persons and locations that have previously submitted a report
pursuant to the APR, BIS would notify the AP report point of contact
(POC), via email, indicating the date on which electronic submission of
AP reports under APRS would become mandatory and instructing the POC or
designated organization administrator on how to register on the APRS
login page, at https://www.ap.gov/XXXX, to request the creation of an
account in APRS. This email also would describe how to use APRS,
including the roles of the account administrator and individual users
(as proposed in Sec. 782.6 ``Registering for electronic submission of
Additional Protocol reports'').
As a result of these proposed amendments to Sec. Sec. 782.5 and
782.6 of the APR, all reports required under the APR would have to be
submitted electronically using APRS, instead of manually, as is
currently the case. However, the information collected and reported
electronically under APRS would be the same type of information that is
currently required to be submitted using paper AP report forms. BIS
expects that the implementation of APRS would, over time, reduce
industry's processing times and errors (e.g., through APRS's copy
feature, the ability of users to update personal contact information,
and the relative ease of use compared with the current manual reporting
system).
Part 783 (Civil Nuclear Fuel Cycle-Related Activities Not Involving
Nuclear Materials)
This rule proposes to amend Sec. 783.1 (Reporting Requirements) to
include a number of specific references to the mandatory APRS
electronic registration and reporting requirements described in
Sec. Sec. 782.5 and 782.6, as proposed to be amended by this rule. BIS
also is proposing a similar conforming change in the introductory text
of Sec. 783.4 (Deadlines for Submission of Reports).
II. Clarification of Reportable Hard-Rock Mining and Ore Beneficiation
Activities
To clarify the types of uranium hard-rock mines and ore
beneficiation plants that are subject to the reporting requirements of
the APR and to ensure that the description of these mines and plants in
the APR is consistent with the terminology used in the Additional
Protocol, this rule proposes to amend Sec. 781.1 of the APR by: (1)
Adding a definition for ``Uranium Hard-Rock Mine (Decommissioned); ''
(2) revising the definitions of ``Uranium Hard-Rock Mine (Closed-down)
'' and ``Uranium Hard-Rock Mine (Operating); '' and (3) removing the
definition of ``Uranium Hard-Rock Mine (Suspended).''
The proposed addition of the definition ``Uranium Hard-Rock Mine
(Decommissioned)'' reflects the use of the term ``decommissioned'' in a
manner similar to its use in the Additional Protocol to describe
certain ``facilities'' or ``locations outside facilities.'' As proposed
in this rule, the definition of ``Uranium Hard-Rock Mine
(Decommissioned)'' refers to ``a uranium hard-rock mine or ore
beneficiation (concentration) plant where all of the structures and
equipment essential for ore operations have been removed and the
location can no longer be used to extract or process ore.''
The proposed changes to the definition of ``Uranium Hard-Rock Mine
(Closed-down)'' are intended to make this definition more closely
reflect the use of the term ``closed-down'' as it is applied to
describe certain ``facilities'' or ``locations outside facilities'' in
the Additional Protocol. Specifically, this rule proposes to revise the
definition of ``Uranium Hard-Rock Mine (Closed-down)'' to mean ``a
uranium hard-rock mine or ore beneficiation (concentration) plant where
all ore operations have ceased, but the structures and equipment
essential for ore operations have not been decommissioned.''
Consequently, the definition of ``Uranium Hard-Rock Mine (Closed-
down),'' as proposed to be revised by this rule, would replace the
definition of ``Uranium Hard-Rock Mine (Suspended),'' which would be
removed because the term ``suspended'' neither appears, nor is
described, in any of the definitions in the Additional Protocol.
This rule also proposes to revise the definition of ``Uranium Hard-
Rock Mine (Operating),'' consistent with the definitions described
above, to mean ``a uranium hard-rock mine or ore beneficiation
(concentration) plant where ore is extracted or processed on a routine
basis.'' This proposed change would not, in any way, affect the scope
or substance of this definition. Instead, it would clarify that the
uranium hard-rock mining activities subject to the reporting
requirements in the APR may include ore beneficiation (concentration)
activities, in addition to the actual extraction of natural deposits
from the ground--see Sec. 781.1 of the APR, definition of ``Uranium
Hard-Rock Mine,'' paragraph (3).
In addition, this rule proposes to amend the APR to make conforming
changes to the ``Initial Report'' requirements in Sec. 783.1(a)(3) and
the annual reporting requirements in Sec. 783.1(b)(3)(iii), consistent
with the amendments to the uranium hard-rock mine definitions described
above.
III. Removal of Initial Report Requirements Covering Calendar Year 2008
Activities
This rule proposes to amend Sec. 783.1(a) introductory text and
(a)(3), Sec. 783.4(a) and Supplement No. 1 to part 783 of the APR to
remove references to calendar year 2008 activities (including the due
date for reporting such activities) from the Initial Report
requirements. This change is proposed on the basis that the Initial
Report requirements in the APR that are specific to calendar year 2008
activities address reportable activities that took place on or before
the October 31, 2008, effective date of the APR final rule (73 FR
65120) and therefore were required to have been reported to BIS no
later than December 1, 2008. Consequently, these Initial Report
requirements for calendar year 2008 are no longer necessary. However,
this rule does not propose to change the current requirement that
reports for activities commencing after the October 31, 2008, effective
date of the APR final rule must be submitted to BIS no later than
January 31 of the year following any calendar year in which the
activities began.
IV. Supplemental Information Report To Replace Amended Report as Means
To Notify BIS of Changes to Information Contained in Previously
Submitted AP Reports
This rule proposes to amend Sec. 783.2 of the APR by replacing the
current Amended Reports requirements with a requirement to report
changes to reportable activities or location information contained in a
person's or location's most recent AP report through the submission of
a Supplemental Information Report (Form AP-15) to BIS via APRS. This
change is proposed on the basis that the Additional Protocol Annual
Update Declaration is
[[Page 74009]]
comprised of an aggregate of data based on reports from locations and
sites, as well as reports from other U.S. Government agencies. All of
the information contained in the U.S. Declaration must undergo
interagency review and clearance (referred to as ``vetting'') before
the Declaration can be submitted to the IAEA. The compilation of the
reports and the interagency vetting process takes place once each year.
Similarly, any information contained in Amended Reports also must be
vetted before submission to the IAEA. BIS has determined that, under
the current procedures, the information contained in Amended Reports
generally cannot be processed in time to be included when the U.S.
Declaration is submitted to the IAEA, and that it is not practical to
submit such information to the IAEA afterwards (i.e., separately from
the U.S. Declaration). Consequently, the proposed APRS would not be
designed to provide for the submission of Amended Reports. Instead, BIS
proposes to amend Sec. 783.2 to require that APRS account
administrators and individual users notify BIS of changes to reportable
activities and organization and location information contained in their
most recent AP reports by submitting these changes to BIS in a
Supplemental Information Report (Form AP-15) via APRS, as provided in
Sec. Sec. 782.5 and 782.6 of the APR, thereby ensuring that BIS would
continue to have timely access to such information for purposes of
meeting its responsibilities under the APR.
To reflect the elimination of the Amended Report requirements from
the APR, this rule proposes to amend Sec. 782.1 (Overview of reporting
requirements) to remove the reference to submitting Amended Reports to
BIS. Because the overview in Sec. 782.1 already references the
Supplemental Information Report (which would be submitted to BIS to
indicate changes to reportable activities and organization and location
information, under the circumstances described above), no additional
change to the text in this section is proposed by this rule, in this
regard. In addition, BIS proposes to amend Sec. 783.4 (Deadlines for
submission of reports) by: (1) Revising the introductory text to remove
all references to Amended Reports; (2) revising paragraph (e) to
indicate that a Supplementary Information Report must be submitted to
BIS either in response to a written notification from BIS, following
its receipt of a specific request from the IAEA, or to report changes
to information contained in a location's most recent AP report; and (3)
removing paragraph (f), which currently addresses Amended Reports.
Supplement No. 1 to part 783 (Deadlines for Submission of Reports) is
proposed to be amended to remove the row in the table that currently
addresses the AP forms and due dates for submission of Amended Reports
to BIS and to revise the row in the table that addresses the AP forms
and due dates for Supplemental Information Reports to reference the
requirement that Form AP-15 must be submitted to BIS within 30 calendar
days after any of the following: (1) The receipt of a post-
complementary access letter from BIS; (2) the discovery of an error or
omission in activity information in the location's most recent AP
report; or (3) a change in company information or in ownership of the
location. Also, Sec. 784.6 (Post complementary access activities) is
proposed to be amended by revising the parenthetical at the end of the
section to remove the reference to Amended Report requirements.
V. Miscellaneous Amendments to the APR
Section 782.4(a)(1) of the APR, which addresses the submission of
activity determination requests to BIS, is proposed to be amended to
remove and replace the current email address identified therein (i.e.,
[email protected]) with the email address [email protected]. Section
782.4(b) is proposed to be amended to clarify the procedures for
obtaining verbal or written guidance from BIS concerning other
requirements in the APR--these changes would include, inter alia,
updates to the instructions on how to submit requests for written
guidance from BIS.
Supplement No. 1 to part 783 of the APR is proposed to be amended
to clarify, within the text identifying the due date for Annual Update
Reports, the circumstances under which such reports must be submitted.
The legal authorities for 15 CFR parts 781 through 786 are revised
by removing the reference to the applicable public law (i.e., the
United States Additional Protocol Implementation Act of 2006, Pub. L.
No. 109-401) and the U.S. Statutes at Large citation therefor (i.e.,
120 Stat. 2726 (December 18, 2006)), consistent with the requirements
of Document Drafting Handbook (Office of the Federal Register). Because
the Additional Protocol Implementation Act has been codified, the
relevant provisions of the United States Code (i.e., 22 U.S.C. 8101-
8181) are the only statutory authority that needs to be cited.
Rulemaking Requirements
1. Executive Orders 13563 and 12866 direct agencies to assess all
costs and benefits of available regulatory alternatives and, if
regulation is necessary, to select regulatory approaches that maximize
net benefits (including: Potential economic, environmental, public
health and safety effects; distributive impacts; and equity). Executive
Order 13563 emphasizes the importance of quantifying both costs and
benefits and of reducing costs, harmonizing rules, and promoting
flexibility. This proposed rule has been determined to be not
significant for purposes of Executive Order 12866.
2. Notwithstanding any other provision of law, no person is
required to respond to, nor shall any person be subject to a penalty
for failure to comply with, a collection of information subject to the
requirements of the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et
seq.) (PRA), unless that collection of information displays a currently
valid OMB Control Number. This rule contains the following collection
of information subject to the requirements of the PRA. This collection
has been approved by OMB under control number 0694-0135 (Additional
Protocol to the U.S.--International Atomic Energy Agency Safeguards).
The approved information collection under OMB control number 0694-0135
for submitting Additional Protocol (AP) reports by Department of
Commerce (DOC) and Nuclear Regulatory Commission (NRC) locations and
NRC sites, as required by the Additional Protocol Regulations (APR),
carries a total burden estimate of 920.3 hours per annum. The total
burden under this information collection for DOC and NRC locations is
estimated to be 390.2 hours per annum. The total burden under this
information collection for NRC sites is estimated to be 530.1 hours per
annum. These total estimated burden hours carry a burden estimate
ranging between as few as 23 minutes and as much as 6 hours, per
response, and are based upon the sum of the number of forms submitted
for each activity multiplied by the estimated average number of hours
needed to complete each type of report form (the estimated average
number of hours, per each type of report, is based on the responses
provided by persons, locations and sites to a survey conducted by BIS's
Office of Strategic Industries and Economic Security). The total
estimated burden hours also include the time for reviewing
instructions, searching existing data sources, gathering and
[[Page 74010]]
maintaining the data needed, and completing and reviewing the
collection of information.
The estimated annual cost to all respondents (locations and sites)
of preparing and submitting the reports required under the APR is
$42,054. The cost per hour for the respondents was derived from the
cost per hour of the salaries and overhead of the Federal employees
working on this project. Thus, the estimated total annual cost burden
to all respondents for these activities is 920.3 hours x $38.08/hour
(GS-13 Step 1) x 1.2 (20% Overhead) = $42,054.
This approved information collection also involves a recordkeeping
requirement of three years, as specified in Sec. 786.2 of the APR. The
estimated recordkeeping cost for this collection is $675. Each AP
report submitted to BIS averages around 25 pages of supporting
documents that can be stored in a filing cabinet occupying 0.15 square
feet of office space. The average estimated cost of office space in the
Washington, DC area is around of $45/sq. ft./year. Applying this cost
to the approximately 100 respondents, per annum, who submit AP reports
to BIS yields an estimated annual recordkeeping cost for this
information collection of $675 (0.15 sq.ft. x $45/sq.ft. x 100
reports).
The estimated total annual cost to all locations and sites of
preparing and submitting their AP reports to BIS, together with the
recordkeeping costs associated with these reports, is $42,729 [$42,054
(annual cost of preparing and submitting AP reports) + $675 (annual
cost of complying with the APR recordkeeping requirements associated
with these reports) = $42,729.]
Although this rule proposes to replace the current method of
manually submitting AP reports (e.g., via facsimile, hand delivery,
courier, or the mail using paper forms) with a mandatory internet-based
system (i.e., the APRS) for the electronic submission of such reports,
BIS believes that the total impact (i.e., in terms of costs and burden
hours) on those persons, locations or sites subject to this reporting
requirement would be minimal if implemented in a final rule.
Specifically, BIS expects that the burden hours associated with this
approved collection would remain essentially unchanged, at least in the
short term, due to the one-time additional burden that persons,
locations or sites would incur as a result of switching over from the
current manual AP reporting system to the internet-based APRS.
Consequently, the immediate effect of this proposed change to the AP
reporting system would fall well within the existing burden estimate
currently associated with OMB control number 0694-0135 (i.e., rounded
to 920 burden hours). However, once persons, locations or sites have
completed the initial setup phase for APRS, BIS expects there to be at
least a modest reduction in the total burden hours associated with this
information collection. Although the information collected and reported
electronically under APRS would be the same information that is
currently required to be submitted using paper AP report forms, BIS
expects that the implementation of APRS would reduce industry's
processing times and errors (e.g., through the APRS's copy feature and
the ability to update personal contact information, as well as the
relative ease of use compared with the current manual reporting
system).
Written comments and recommendations for the information collection
referenced above should be sent within 30 days of the publication of
this final rule to: www.reginfo.gov/public/do/PRAMain. Find this
particular information collection by selecting ``Currently under 30-day
Review--Open for Public Comments'' or by using the search function.
3. This rule does not contain policies with federalism implications
as that term is defined in Executive Order 13132.
4. The provisions of the Administrative Procedure Act (5 U.S.C.
553) requiring notice of proposed rulemaking, the opportunity for
public participation, and a delay in effective date, are inapplicable
because this regulation involves a military and foreign affairs
function of the United States (see 5 U.S.C. 553(a)(1)).
Notwithstanding, BIS believes this rule would benefit from public
comment prior to issuance. Consistent with the Regulatory Flexibility
Act, as amended by the Small Business Regulatory Enforcement Fairness
Act of 1996 (SBREFA) (5 U.S.C. 601 et seq.), BIS has prepared the
following initial regulatory flexibility analysis (IRFA) of the impact
that this proposed rule, if adopted, would have on small businesses.
Description of the Reasons Why Action Is Being Considered
The policy reasons for issuing this proposed rule are discussed in
the background section of the preamble of this document and,
consequently, are not repeated here.
Statement of the Objectives of, and Legal Basis for, the Proposed Rule;
Identification of All Relevant Federal Rules Which May Duplicate,
Overlap or Conflict With the Proposed Rule
The objective of the amendments proposed by this rule is to
facilitate the compliance of locations and sites who have reporting
requirements under the APR by implementing the Additional Protocol
Reporting System (APRS), an internet-based application designed for
industry to use in preparing and submitting reports required by the
APR. The legal basis for this proposed rule is as follows: 22 U.S.C.
8101-8181; Executive Order 13458 (February 4, 2008).
No other federal rules duplicate, overlap, or conflict with this
proposed rule.
Number and Description of Small Entities Regulated by the Proposed
Action
This proposed rule would apply to locations and sites who are
engaged in certain civil nuclear fuel cycle-related activities that are
not regulated by the NRC, or its domestic Agreement States, and are not
situated at certain U.S. government locations. The APR require that
such activities be reported to BIS, and also contain requirements
concerning the conduct of on-site activities in conjunction with IAEA
complementary access to locations where such civil nuclear fuel cycle-
related activities take place. Currently, these reports are submitted
to BIS via facsimile, hand delivery, courier, or the mail using paper
forms. This rule proposes to amend the APR to replace the existing
manual reporting and processing procedures with a mandatory requirement
to submit reports and other documents through an on-line application
known as the Additional Protocol Reporting System (APRS).
BIS does not collect or maintain the data necessary to determine
how many of the affected persons or locations are small entities as
that term is used by the Small Business Administration. However, BIS
does maintain data on the number of AP reports that the agency
receives, annually, in response to the reporting requirements of the
APR, and is using these data as a means of assessing the impact that
the changes proposed in this rule would have on small businesses.
Based on the data provided for calendar year 2019, in BIS's most
recent Supporting Statement for the information collection approved
under OMB control number 0694-0135, there are approximately 300 AP
report forms
[[Page 74011]]
submitted to BIS, per annum, in accordance with the requirements of the
APR. Specifically, the number of AP report forms submitted to BIS by
Department of Commerce (DOC) locations for reportable activities during
calendar year 2019 was approximately 115 forms. Nuclear Regulatory
Commission (NRC) locations submitted approximately 85 AP report forms
to BIS for their 2019 reportable activities, while NRC sites submitted
approximately 108 AP report forms. Based on these data, the actual
total number of AP report forms submitted to BIS was slightly in excess
of 300 forms for reportable 2019 activities [115 (forms submitted by
DOC locations) + 85 (forms submitted by NRC locations) + 108 (forms
submitted by NRC sites) = 308 total AP report forms].
The aforementioned BIS Supporting Statement and the information
collection approved under OMB control number 0694-0135 estimate the
total number of AP reports submitted to BIS per annum, instead of
indicating the estimated number of entities (i.e., persons having
locations or sites subject to the reporting requirements in the APR)
who must submit such reports each year. However, the total number of
such entities would be less than the total number of AP reports
submitted per annum. This is because a significant number of entities
submit more than one type of AP report to BIS per annum. In its 2008
Supporting Statement for the information collection approved under OMB
0694-0135, BIS estimated that 129 entities, annually, would submit AP
reports. Based on actual reporting data compiled by BIS since 2008, BIS
now estimates that approximately 100 entities, annually, would be
affected by the changes proposed by this rule.
As indicated in the preamble of this proposed rule, participation
in APRS would be mandatory only for those entities having one or more
locations or sites subject to the reporting requirements described in
Sec. 738.1 of the APR. For location and site information that is
subject to the AP reporting requirements in the NRC's regulations
(i.e., information concerning exports of nuclear facilities and
equipment and non-nuclear materials as submitted per 10 CFR 110.54(a),
facility information described in 10 CFR 75.10(b)(5) and submitted per
10 CFR 75.6(c) and 75.10(e), and location information described in 10
CFR 75.11(b) and submitted per 10 CFR 75.6(d) and 75.11(c)),
participation in APRS would be optional. Nevertheless, for purposes of
this analysis, and to ensure that the potential impact of the proposed
changes in this rule on small entities is not underestimated, BIS
estimates that there would be approximately 100 entities having
locations or sites that would be affected by the changes to the APR
reporting requirements proposed by this rule.
Although BIS estimates that the majority of these entities are
substantially sized entities, having more than 500 employees, BIS does
not have sufficient information on these businesses and organizations
to definitively characterize them as large entities. The Small Business
Administration (SBA) has established standards for what constitutes a
small business, with respect to each of the Standard Industrial
Classification (SIC) code categories. For example, a business in the
uranium mining industry (NAICS Code: 212291, SIC Code: 1094), is
considered by SBA to be a small business if it is independently owned
and operated and not dominant in its field of operation and it employs
500 or fewer persons on a full-time basis, part-time, temporary, or
other basis. The Mine Safety and Health Administration (MSHA) estimates
that approximately 99.8% of the metal/non-metal mining industry would
qualify as small businesses. However, many of the uranium mining and
milling entities in the United States appear to be subsidiaries of
large companies and BIS estimates that most of the small entities
likely to be impacted by the AP reporting changes proposed by this rule
would fall within one of the following categories: (1) Colleges and
universities; (2) nuclear fuel manufacturers and utility companies; or
(3) corporate entities and contractors involved in research and
development, manufacturing, assembly and construction activities. In
addition, BIS is not able to determine which SIC code categories apply
to other locations or sites that are likely to be impacted by the AP
reporting changes proposed by this rule. Therefore, for the purpose of
assessing the impact of this proposed rule, BIS assumes that all of the
approximately 100 entities having locations and sites that are likely
to be affected by the proposed changes are small entities. Although
this proposed rule would likely affect a substantial number of small
entities (i.e., approximately 100 entities having such locations and
sites), the implementation of APRS is not expected to have a
significant economic impact on these entities.
As indicated in the PRA analysis for this rule (see Rulemaking
Requirements #2, above), the total estimated annual burden hours for
preparing and submitting AP reports to BIS is 920.3 hours and the total
estimated annual cost is $42,054 [920.3 hours x $38.08/hour (GS-13 Step
1) x 1.2 (20% Overhead) = $42,054]. In addition, BIS estimates that the
total annual cost to locations and sites for satisfying the
recordkeeping requirement of three years, as specified in Sec. 786.2
of the APR, is $675 (see the PRA analysis in Rulemaking Requirements
#2, above).
The total estimated annual burden hours required to comply with the
AP reporting and recordkeeping requirements described above would be
920 burden hours and the total estimated annual cost would be $42,729.
Although the primary impact of these new requirements would affect a
substantial number of small entities (i.e., approximately 100 entities
having locations or sites subject to the reporting requirements in the
APR), the total economic impact on the affected entities (i.e., $42,729
per annum, for all of the affected entities) would not be significant.
The average impact per entity would be slightly more than $427 (i.e.,
$42,729 / 100) per annum, which represents a small percentage of the
net annual revenue of a typical small business.
Based on the analysis provided above, the amendments proposed in
this rule would not impose a significant economic impact on a
substantial number of small businesses.
Description of the Projected Reporting, Recordkeeping, and Other
Compliance Requirements of the Proposed Rule
The changes proposed in this rule, if adopted, would mean that the
AP reports required under Sec. 783.1 of the APR, which currently must
be submitted to BIS via facsimile, hand delivery, courier, or the mail
using paper forms, would have to be submitted electronically to BIS
using APRS. Neither the scope nor the type of information that would
have to be reported to BIS would be affected by these proposed changes.
In addition, although the changes proposed by this rule might result in
more records being maintained electronically than is currently the
case, the scope of the recordkeeping requirements described in Sec.
786.2 of the APR would not be affected as a result of the changes
proposed by this rule.
Furthermore, this proposed mandatory APRS electronic submission
requirement would apply only to those locations and sites subject to
the BIS administered reporting requirements described in Sec. 783.1 of
the APR. Locations and sites whose information is subject to the AP
reporting requirements in the NRC's regulations
[[Page 74012]]
(as described above, under the subheading ``Number and Description of
Small Entities Regulated by the Proposed Action''), would not be
subject to this proposed APRS requirement. Consequently, locations and
sites that are subject to these NRC regulations would have the option
of continuing to submit their AP reports to BIS manually or registering
for access to submit their reports electronically to BIS via APRS
(provided that the locations and sites otherwise satisfy their NRC
reporting requirements).
To the extent that compliance with the changes proposed in this
rule would impose a burden on entities, including small businesses, BIS
believes the burden would be minimal. As indicated in the above
analysis of the description and number of small entities likely to be
affected by these proposed changes, these new APRS submission
requirements would affect a substantial number of small entities (i.e.,
approximately 100 entities having locations or sites subject to the
reporting requirements in the APR), but the total economic impact on
the affected entities (i.e., $42,729 per annum, for all of the affected
entities) would not be significant. The average impact per entity would
be slightly more than $427 (i.e., $42,729 / 100) per annum, which
represents a small percentage of the net annual revenue of a typical
small business. In addition, once these entities have completed the
initial setup phase (including registration) for using APRS to submit
their AP reports, BIS expects there to be at least a modest reduction
in the total burden hours associated with the information collection
approved under OMB control number 0694-0135. Although the information
collected and reported electronically under APRS would be the same
information that is currently required to be reported via facsimile or
using paper AP report forms, BIS anticipates that the implementation of
APRS would reduce industry's processing times and errors (e.g., through
the APRS's copy feature and the ability to update personal contact
information, as well as the relative ease of use compared with the
current manual reporting system).
Significant Alternatives and Underlying Analysis
As noted above, BIS does not believe that the amendments proposed
in this rule, if implemented in a final rule, would have a significant
economic impact on small businesses. Nevertheless, as required by 5
U.S.C. 603(c), BIS considered significant alternatives to these
proposed amendments to assess whether the alternatives would: (1)
Accomplish the stated objective of this rule (i.e., to facilitate the
compliance of locations and sites with the reporting requirements in
the APR); and (2) minimize any significant economic impact of this rule
on small entities.
BIS could have proposed more extensive changes to the reporting
requirements in the APR to further facilitate compliance of affected
locations and sites with these requirements. However, the changes
proposed by this rule should be viewed in light of the fact that BIS's
discretion in addressing the reporting requirements of the APR is
limited by the necessity of meeting U.S. obligations under the
Additional Protocol. The Additional Protocol specifies the information
that the United States must declare to the IAEA. Nevertheless, in
addressing these requirements in this proposed rule, BIS has attempted
to minimize the recordkeeping and reporting burden by: (1) Ensuring
that only information that the United States must declare to the IAEA
will have to be reported to BIS; and (2) making the process by which
this information must be submitted to BIS as seamless as possible
(e.g., in terms of ease of use and costs) for affected locations and
sites.
BIS is not proposing different compliance or reporting requirements
for small businesses. If a small business is subject to a reporting
requirement under the APR, then it would submit an AP report using the
same process as any other company (i.e., electronically via APRS). This
submission process is free of charge to all entities, including small
businesses. In addition, the resources made available by BIS to
locations and sites subject to the reporting requirements in the APR
(e.g., the procedures for requesting assistance from BIS, as described
in Sec. 782.4 of the APR, and the AP website maintained by BIS at
https://www.bis.doc.gov/index.php/other-areas/additional-protocol-ap,
which would be updated to address the proposed mandatory APRS
requirements) typically serve to lessen the impact of these
requirements on small businesses.
Lastly, as required under 5 U.S.C. 603(c), BIS assessed the use of
performance standards rather than design standards and also considered
whether an exemption for small businesses was practical under the
circumstances (i.e., within the context of the changes proposed in this
rule).
This rule proposes the establishment of a mandatory internet-based
AP reporting submission requirement (i.e., APRS) for entities having
locations or sites subject to the reporting requirements in the APR, in
lieu of providing other options for submitting these reports, because
BIS anticipates that the implementation of APRS would provide the most
effective approach for reducing industry's processing times and errors
(e.g., through the APRS's copy feature and the ability to update
personal contact information, as well as the relative ease of use
compared with the current manual reporting system). After initially
implementing an AP reporting system based on the submission of reports
via facsimile, hand delivery, courier, or the mail using paper forms,
BIS concluded that an electronic AP reporting system based on specific
design standards would be the most appropriate way to achieve these
objectives. Furthermore, the approach proposed in this rule would
facilitate compliance with these AP reporting requirements while, at
the same time, reducing the cost to locations and facilities of such
compliance, over the long term.
This rule does not propose to exempt small businesses from the
requirement to use APRS to submit their AP reports, because BIS and its
interagency partners have determined that this new electronic
submission process will facilitate the efforts of locations and sites
to submit their AP reports to BIS by providing an approach that would
be less time consuming and more cost effective, irrespective of the
size of the entity. This approach also would ensure more timely and
accurate reporting of the information needed by BIS to prepare the U.S.
declaration for submission to the IAEA. Consequently, an exemption for
small businesses would undermine the effectiveness of the changes
proposed by this rule.
Conclusion
Although BIS has determined that the provisions of the
Administrative Procedure Act (5 U.S.C. 553) requiring notice of
proposed rulemaking, the opportunity for public participation, and a
delay in effective date, are inapplicable because this regulation
involves a military and foreign affairs function of the United States
(see 5 U.S.C. 553(a)(1)), BIS believes that this rule would benefit
from public comment, prior to issuance, and has prepared this initial
regulatory flexibility analysis (IRFA), consistent with the analytical
requirements of the Regulatory Flexibility Act (5 U.S.C. 601 et seq.),
of the impact that this proposed rule, if adopted, would have on small
businesses.
Please submit any comments concerning this IRFA in accordance
[[Page 74013]]
with the instructions provided in the ADDRESSES section of this
proposed rule.
List of Subjects
15 CFR Part 781
Imports, Nuclear energy, Reporting and recordkeeping requirements,
Treaties.
15 CFR Parts 782 and 786
Nuclear energy, Reporting and recordkeeping requirements.
15 CFR Parts 783 and 784
Imports, Nuclear energy, Reporting and recordkeeping requirements.
15 CFR Part 785
Administrative practice and procedure.
For the reasons stated in the preamble, parts 781 through 786 of
the Additional Protocol Regulations (15 CFR parts 781-786) are proposed
to be amended as follows:
PART 781--[AMENDED]
0
1. The authority citation for 15 CFR part 781 is revised to read as
follows:
Authority: 22 U.S.C. 8101-8181; Executive Order 13458 (February
4, 2008).
0
2. Section 781.1 is amended:
0
a. By adding, in alphabetical order, the definition for ``Additional
Protocol Reporting System (APRS)'';
0
b. By revising the definition of ``Uranium Hard-Rock Mine (Closed-
down)'';
0
c. By adding, in alphabetical order, the definition for ``Uranium Hard-
Rock Mine (Decommissioned)'';
0
d. By revising the definition of ``Uranium Hard-Rock Mine
(Operating)''; and
0
e. By removing the definition of ``Uranium Hard-Rock Mine
(Suspended)''.
The additions and revisions read as follows:
Sec. 781.1 Definitions of terms used in the Additional Protocol
Regulations (APR).
* * * * *
Additional Protocol Reporting System (APRS). The automated tool for
persons or locations to submit electronic AP reports on nuclear fuel
cycle related activities to BIS via the internet.
* * * * *
Uranium Hard-Rock Mine (Closed-down). A uranium hard-rock mine or
ore beneficiation (concentration) plant where all ore operations have
ceased, but the structures and equipment essential for ore operations
have not been decommissioned.
Uranium Hard-Rock Mine (Decommissioned). A uranium hard-rock mine
or ore beneficiation (concentration) plant where all of the structures
and equipment essential for ore operations have been removed and the
location can no longer be used to extract or process ore.
Uranium Hard-Rock Mine (Operating). A uranium hard-rock mine or ore
beneficiation (concentration) plant where ore is extracted or processed
on a routine basis.
* * * * *
PART 782--[AMENDED]
0
3. The authority citation for 15 CFR part 782 is revised to read as
follows:
Authority: 22 U.S.C. 8101-8181; Executive Order 13458 (February
4, 2008).
0
4. Section 782.1 is revised to read as follows:
Sec. 782.1 Overview of reporting requirements under the APR.
Part 783 of the APR describes the reporting requirements for
specified activities. For each activity identified in part 783, BIS may
require that an Initial Report, an Annual Update Report, a No Changes
Report, an Import Confirmation Report or a Supplemental Information
Report be submitted to BIS. In addition, persons and locations subject
to the APR may be required to provide BIS with information needed to
assist the IAEA in clarifying or verifying information specified in the
U.S. declaration or in clarifying or amplifying information concerning
the nature of the activities conducted at a location (see Sec. Sec.
783.1(d)(1) and 784.1(b)(2) of the APR for Supplemental Information
Report requirements). If, after reviewing part 783 of the APR, you
determine that you are subject to one or more reporting requirements,
you must submit an electronic AP report to BIS via the Additional
Protocol Reporting System (APRS) (see Sec. 782.6 of the APR for
instructions on how to register on-line with BIS to submit electronic
reports under APRS).
0
5. Section 782.4 is amended:
0
a. By revising the section heading;
0
b. By revising the heading of paragraph (a); and
0
c. By revising paragraphs (a)(1) and (b).
The revisions read as follows:
Sec. 782.4 Requesting assistance from BIS to determine your AP
reporting obligations.
(a) Activity determination requests. (1) If you need assistance in
determining whether or not your activity is subject to the reporting
requirements in the APR, submit your written request for an activity
determination to BIS. Such requests may be submitted to BIS
electronically, via facsimile to (202) 482-1731 or by email to
[email protected], or in hard copy by hand delivery, courier or the mail
to the following address: Treaty Compliance Division, Bureau of
Industry and Security, U.S. Department of Commerce, Attn: AP Activity
Determination Request, 14th Street and Pennsylvania Avenue NW, Room
4515, Washington, DC 20230. Your activity determination request should
include the information described in paragraph (a)(2) of this section
to ensure an accurate determination. Also include any additional
information that would be relevant to the activity described in your
request. If you are unable to provide all of the information required
in paragraph (a)(2) of this section, you must include an explanation
identifying the reasons that preclude you from supplying such
information to BIS. If BIS cannot make a determination based upon the
information submitted with your request, BIS will send you written
notification identifying the type of information required to complete
the activity determination. BIS will provide a written response to your
activity determination request, or send you written notification to
submit additional information, within 10 business days of receipt of
the request.
* * * * *
(b) Other requests for assistance--(1) Telephone inquiries. If you
need guidance in interpreting additional provisions of the APR,
including APRS registration and reporting requirements, or need
assistance with complementary access issues, you may contact BIS's
Treaty Compliance Division, by phone, at (202) 482-1001.
(2) Advisory opinion requests. If you wish to obtain a written
response from BIS to an inquiry, you must submit a detailed written
request to BIS that identifies the specific type of guidance or
assistance needed. Submit your written request to BIS via facsimile or
email, or in hard copy, in accordance with the instructions provided
for the submission of AP activity determination requests in paragraph
(a)(1) of this section, and also include contact information as
specified in paragraph (a)(2) of this section. To ensure that your
request is properly routed, include the notation, ``ATTENTION: AP
Advisory Opinion Request,'' on your submission to BIS. If BIS is unable
to provide guidance or assistance based upon the information submitted
with your request, BIS will send you written notification identifying
the type of information required for BIS to respond to your request.
[[Page 74014]]
0
6. Sections 782.5 and 782.6 are revised to read as follows:
Sec. 782.5 Requirement to submit AP reports to BIS via the internet
using APRS.
Persons and locations subject to the reporting requirements
described in Sec. 783.1 of the APR must submit their Additional
Protocol (AP) reports to BIS via the internet, using their Additional
Protocol Reporting System (APRS) account. Changes to information
submitted by reportable locations in their most recent AP reports also
must be submitted to BIS, via APRS, in accordance with the instructions
provided in Sec. 783.2 of the APR. Section 782.6 of the APR describes
how to register for an APRS account. BIS will provide persons and
locations subject to the AP reporting requirements with information on
how to use APRS (including the roles of the account administrator and
individual users and how to electronically file AP reports with BIS) as
part of the APRS registration process. The specific AP Forms required
to submit these reports, including due dates, are indicated in
supplement no. 1 to part 783 of the APR. AP Forms may be accessed via
the location's APRS account. For additional information on how to
prepare and submit AP reports, see the ``Additional Protocol Reporting
System (APRS) User Manual,'' which is located on the ``Additional
Protocol (AP)'' website maintained by BIS, at: https://www.bis.doc.gov/index.php/other-areas/additional-protocol-ap-XX.
Sec. 782.6 Registration requirement for electronic submission of
Additional Protocol reports.
(a) Scope. This section describes the procedures for registering to
submit electronic Additional Protocol (AP) reports to BIS. The
procedures in this section apply to the submission of AP reports (as
described in part 783 of the APR) from persons and locations in the
United States with reportable activities.
(b) Registering to use BIS's Additional Protocol Reporting System
(APRS). Each person or location with reportable activities under the
APR is required to designate at least one individual authorized to act
on behalf of that person or location as an APRS account administrator.
The account administrator is responsible for registering to open an
account in APRS for the purpose of submitting AP reports to BIS on
behalf of the person or location. To register for an account in APRS,
the account administrator must visit the APRS login page, at http://www.ap.gov/XXXX, and provide the following information to BIS: The name
of the company or organization, location name, personal information
including mailing address, telephone number, facsimile number, and
primary and secondary email addresses. Account administrators must
certify that they will abide by the requirements of the APR, including
all requirements and procedures applicable to the authorized use of
APRS. After receiving the account administrator's registration request,
BIS will send a confirmation email to the account administrator. Once
BIS has verified the account administrator's credentials and granted
access to APRS, BIS will send the account administrator another email
containing a password reset link for logging into APRS.
(c) Role of the account administrator. The account administrator,
who serves as the authorized representative of the person or location
subject to reporting requirements under the APR, may designate
individual users to have access to the APRS account to view, add, edit
and submit AP reports to BIS on behalf of the same reportable person or
location. The account administrator may designate an individual user to
also act as an account administrator on behalf of the same person or
location--any individual user so designated will also have the
authority of an account administrator for that person or location. The
account administrator also may deactivate the account of an individual
user, including an individual user who is acting as an account
administrator, or reactivate the account of a previously deactivated
individual user or account administrator.
(d) Role of the individual user. An individual user designated in
accordance with the requirements of paragraph (c) of this section may
view, add, edit and submit reports required by part 783 of the APR.
(e) Authorization to submit AP reports to BIS. BIS may reject an
electronic submission if it has reason to believe that the account
administrator or individual user making the submission lacks the
authority to do so. However, BIS is not obligated to verify that an
account administrator or individual user has the necessary
authorization to submit AP reports to BIS on behalf of a particular
person or location and generally will treat account administrators and
individual users as acting within their authority, in the absence of
clear evidence to the contrary. When an individual user is no longer
authorized to submit AP reports to BIS on behalf of a particular person
or location, an account administrator for that person or location must
act, promptly, to remove the individual user's access to the APRS
account.
(f) Requirement to update (or otherwise maintain the accuracy of)
APRS account information--(1) Locations. Account administrators must
contact BIS via email, at [email protected], to update the location
information associated with their APRS account (e.g., company or
organization name, mailing address, email address, and telephone and
facsimile numbers) to ensure that such information remains current and
accurate. (Also see Sec. 783.2(b) of the APR for instructions on how
to notify BIS, via APRS, if there are changes to reportable location
information, including whether a reportable location is sold or
purchased, or has gone out of business, since submission of its most
recent Initial Report, Annual Update Report, or No Changes Report to
BIS.)
(2) Account administrators. Account administrators must update
their personal information (e.g., name, telephone number, facsimile
number and email address) as necessary, via the User Profile in their
APRS account, to ensure that such information remains current and
accurate.
(3) Individual users. Individual users must update their personal
information (e.g., name, telephone number, facsimile number and email
address) as necessary, via the User Profile in their APRS account, to
ensure that such information remains current and accurate.
PART 783--[AMENDED]
0
7. The authority citation for 15 CFR part 783 is revised to read as
follows:
Authority: 22 U.S.C. 8101-8181; Executive Order 13458 (February
4, 2008).
0
8. Sections 783.1 through 783.4 are revised to read as follows:
Sec. 783.1 Additional Protocol (AP) reporting requirements.
(a) Initial report. If you commenced any of the civil nuclear fuel
cycle-related activities described in this paragraph (a) at a location
for which you have not previously submitted an Initial Report to BIS,
you must submit an Initial Report to BIS no later than January 31 of
the year following the calendar year in which these activities
commenced (see supplement no. 1 to this part). You may report any of
these activities as part of your Annual Update Report, in lieu of
submitting a separate Initial Report, if you also have an Annual Update
Report requirement for other civil nuclear fuel cycle-related
activities described in this paragraph (a) that applies to the same
location and covers the same reporting period (see paragraph (b) of
this section). In order
[[Page 74015]]
to satisfy the Initial Report requirements under this paragraph (a),
you must complete and submit to BIS Form AP-1, Form AP-2 and other
appropriate AP Forms, as specified in this paragraph (a). The
appropriate AP Forms must be submitted to BIS via APRS, as provided in
Sec. Sec. 782.5 and 782.6 of the APR.
(1) Research and development activities not involving nuclear
material. You must submit an Initial Report to BIS if you commenced any
of the civil nuclear fuel cycle-related research and development
activities identified in paragraph (a)(1)(i) or (ii) of this section
during the previous calendar year. Activities subject to these
reporting requirements include research and development activities
related to safe equipment operations for a nuclear fuel cycle-related
activity, but do not include activities related to theoretical or basic
scientific research or to research and development on industrial
radioisotope applications, medical, hydrological and agricultural
applications, health and environmental effects and improved
maintenance.
(i) You must complete and submit Form AP-3 if you conducted any
civil nuclear fuel cycle-related research and development activities
defined in Sec. 781.1 of the APR that:
(A) Did not involve nuclear material; and
(B) Were funded, specifically authorized or controlled by, or
conducted on behalf of, the United States.
(ii) You must complete and submit Form AP-4 if you conducted any
civil nuclear fuel cycle-related research and development activities
defined in Sec. 781.1 of the APR that:
(A) Did not involve nuclear material;
(B) Were specifically related to enrichment, reprocessing of
nuclear fuel, or the processing of intermediate or high-level waste
containing plutonium, high enriched uranium or uranium-233 (where
``processing'' involves the separation of elements); and
(C) Were not funded, specifically authorized or controlled by, or
conducted on behalf of, the United States.
(2) Civil nuclear-related manufacturing, assembly or construction
activities. You must submit an Initial Report to BIS if you commenced
any of the activities specified in supplement no. 2 to this part during
the previous calendar year. To report these activities, complete and
submit Form AP-5.
(3) Uranium hard-rock mining and ore beneficiation activities. You
must submit an Initial Report to BIS if you commenced operations at a
uranium hard-rock mine or an ore beneficiation (concentration) plant
during the previous calendar year. This reporting requirement applies
not only to the commencement of operations at a location for which you
have not previously submitted an Initial Report to BIS, but also to the
resumption of operations at a mine or ore beneficiation plant that was
last reported to BIS as being in ``decommissioned'' status (see Sec.
781.1 of the APR for the definitions of ``uranium hard-rock mine'' and
uranium hard-rock mines in ``operating,'' ``decommissioned'' or
``closed-down'' status). To report these activities, complete and
submit Form AP-6.
(b) Annual reporting requirements. You must submit either an Annual
Update Report or a No Changes Report to BIS if, during the previous
calendar year, you continued to engage in civil nuclear fuel cycle-
related activities at a location for which you submitted an Initial
Report to BIS in accordance with the AP reporting requirements
described in paragraph (a) of this section.
(1) Annual Update Report. You must submit an Annual Update Report
if you have updates or changes to report concerning either the
activities conducted at your location (including the commencement of
additional activities) or any information previously submitted on Form
AP-1 (other than updates or changes to the certifying official) or Form
AP-2 since your most recent report of activities to BIS. When preparing
your Annual Update Report, you must complete the same AP report forms
that you used for submitting your Initial Report on these activities
and submit them to BIS. However, additional AP report forms will be
required if your location engaged in any civil nuclear fuel cycle-
related activities described in paragraph (a) of this section that you
did not previously report to BIS. The appropriate AP report forms for
each type of activity that must be reported are identified in
paragraphs (a)(1) through (3) of this section. You must submit your
Annual Update Report to BIS, via APRS, no later than January 31 of the
year following any calendar year in which the activities took place or
there were changes to previously reported activities (see supplement
no. 1 to this part).
(2) No Changes Report. You may submit a No Changes Report, in lieu
of an Annual Update Report, if you have no updates or changes to report
concerning either the activities conducted at your location (including
the commencement of additional activities) or any information
previously reported on Form AP-1 (other than updates or changes to the
certifying official) or AP-2 since your most recent report of
activities to BIS. In order to satisfy the reporting requirements under
this paragraph (b)(2), you must complete Form AP-17 and submit it to
BIS, via APRS, no later than January 31 of the year following any
calendar year in which there were no changes to previously ``reported''
activities or location information (see supplement no. 1 to this part).
(3) Additional guidance on annual reporting requirements. (i) If
your Initial Report or your most recent Annual Update Report for a
location indicates that all civil nuclear fuel cycle-related activities
described therein have ceased at that location, and no other reportable
activities have occurred during the previous calendar year, then you do
not have a reporting requirement for the location under paragraph (b)
of this section.
(ii) If your location ceases to engage in activities subject to the
AP reporting requirements described in paragraph (a) of this section,
and you have not previously reported this to BIS, you must submit an
Annual Update Report covering the calendar year in which you ceased to
engage in such activities.
(iii) The decommissioned status of a uranium hard-rock mine or ore
beneficiation (concentration) plant must be reported by submitting an
Annual Update Report to BIS covering the calendar year in which the
mine or plant was decommissioned. If you subsequently resume operations
at a mine or ore beneficiation plant that was last reported to BIS as
being in ``decommissioned'' status, you must submit an Initial Report
to BIS, as described in paragraph (a)(3) of this section (see Sec.
781.1 of the APR for the definitions of ``uranium hard- rock mine'' and
uranium hard-rock mines in ``operating,'' ``decommissioned'' or
``closed-down'' status).
(c) Import Confirmation Report. You must complete Forms AP-1, AP-2
and AP-14 for each import of equipment or non-nuclear material
identified in supplement no. 3 to this part and submit these forms to
BIS, via APRS, if BIS sends you written notification requiring that you
provide information concerning imports of such equipment and non-
nuclear material. These AP report forms must be submitted within 30
calendar days of the date that you receive written notification of this
requirement from BIS (see supplement no. 1 to this part). BIS will
provide such notification when it receives a request from the IAEA for
information concerning imports of this type of equipment or non-nuclear
material. The IAEA may request this information to
[[Page 74016]]
verify that you received specified equipment or non-nuclear material
that was shipped to you by a person, organization or government from a
foreign country.
(d) Supplemental Information Report--(1) IAEA request for
amplification or clarification. You must complete Forms AP-1, AP-2 and
AP-15 and submit them to BIS, via APRS, if BIS sends you written
notification requiring that you provide information about the
activities conducted at your location, insofar as relevant for the
purpose of safeguards. These AP report forms must be submitted within
15 calendar days of the date that you receive written notification of
this requirement from BIS (see supplement no. 1 to this part). BIS will
provide such notification only if the IAEA specifically requests
amplification or clarification concerning any information provided in
the U.S. Declaration based on your report(s).
(2) Changes to information previously reported to BIS. You must
complete Form AP-15 and submit it to BIS, via APRS, to report changes
to activity information, organization and location information,
ownership of organization and changes related to complementary access
within 30 calendar days of any such changes (see Sec. 783.2 and
Supplement No.1 to this part).
(e) Reportable location. A location that must submit an Initial
Report, Annual Update Report or No Changes Report to BIS, pursuant to
the requirements of this section, is considered to be a reportable
location with declared activities.
Sec. 783.2 Changes to information in previously submitted AP
reports.
In order for BIS to maintain accurate information on previously
submitted AP reports, including information necessary for BIS to
facilitate complementary access notifications or to communicate that
specific AP reporting requirements may apply, changes to information
submitted by reportable locations in their most recent AP reports must
be reported to BIS under the circumstances described in paragraphs (a),
(b), and (d) of this section. This section applies only to changes
affecting information contained in Initial Reports and Annual Update
Reports that were submitted to BIS in accordance with the requirements
of Sec. 783.1(a) and (b) of the APR. The specific report forms that
you must use to prepare and submit such changes will depend upon the
type of information that you are required to provide, pursuant to this
section. Changes to reportable location information must be submitted
to BIS via APRS. For additional guidance on how to submit changes to
information contained in previously submitted AP reports, contact BIS's
Treaty Compliance Division by phone, at (202) 482-1001, or by email, at
[email protected].
(a) Changes to activity information. You must notify BIS within 30
calendar days of the time that you discover an error or omission in
your most recent Initial Report or Annual Update Report that involves
information concerning an activity subject to the reporting
requirements described in Sec. 783.1(a) or (b) of the APR. Use the
Supplemental Information Report Form AP-15 to submit these changes to
BIS via APRS.
(b) Changes to organization and location information that must be
maintained by BIS--(1) Internal organization changes. You must notify
BIS within 30 calendar days of any change in the following information
(use Supplemental Information Report Form AP-15 to submit your changes
to BIS via APRS):
(i) Name of report point of contact (R-POC), including telephone
number, facsimile number, and email address;
(ii) Name(s) of complementary access point(s) of contact (A-POC),
including telephone number(s), facsimile number(s) and email
address(es);
(iii) Organization name;
(iv) Organization mailing address;
(v) Location owner, including telephone number, and facsimile
number; or
(vi) Location operator, including telephone number, and facsimile
number.
(2) Change in ownership of organization. You must notify BIS if you
sold a reportable location or if your reportable location went out of
business since submitting your most recent Initial Report, Annual
Update Report, or No Changes Report to BIS. You must also notify BIS if
you purchased a reportable location that submitted an Initial Report,
Annual Update Report, or No Changes Report to BIS for the most recent
reporting period, as specified in Sec. 783.1(a) and (b) of the APR.
Submit your changes to BIS, via APRS, either before the effective date
of the change in ownership or within 30 calendar days after the
effective date of the change.
(i) The following information must be submitted to BIS by an
organization that is selling or that has sold a reportable location
(use Supplemental Information Report Form AP-15 to describe your
changes and to provide specific details regarding the sale of a
reportable location):
(A) Name of seller (i.e., name of the organization selling a
reportable location);
(B) Reporting Code (this code is assigned to a reportable location
after BIS has approved a request to open an APRS account for the
location);
(C) Name of purchaser (i.e., name of the new organization/owner
purchasing a reportable location) and name and address of contact
person for the purchaser, if known;
(D) Date of ownership transfer or change;
(E) Additional details on the sale of the reportable location
relevant to ownership or operational control over any portion of the
reportable location (e.g., whether the entire location or only a
portion of the reportable location has been sold to a new owner); and
(F) Details regarding whether the new owner of a reportable
location will submit the next report for the entire calendar year in
which the ownership change occurred, or whether the previous owner and
new owner will submit separate reports for the periods of the calendar
year during which each owned the reportable location.
(ii) The following information must be submitted to BIS by an
organization that is purchasing or that has purchased a reportable
location (use Supplemental Information Report Form AP-15 to describe
your changes):
(A) Name of purchaser (i.e., name of the new organization/owner
purchasing a reportable location) and name and address of contact
person for the purchaser;
(B) Details on the purchase of the reportable location relevant to
ownership or operational control over any portion of the reportable
location (e.g., whether the purchaser intends to purchase and to
maintain operational control over the entire location or only a portion
of the reportable location); and
(C) Details on whether the purchaser intends to continue existing
civil nuclear fuel cycle-related activities at the reportable location
or to cease such activities during the current reporting period.
(iii) If the new owner of a reportable location is responsible for
submitting a report that covers the entire calendar year in which the
ownership change occurred, the new owner must obtain and maintain
possession of the location's records covering the entire year,
including those records for the period of the year during which the
previous owner still owned the property.
NOTE 1 to Sec. 783.2(b): Information that is submitted to BIS
to identify changes
[[Page 74017]]
involving internal organization information or changes in ownership
is used only for internal U.S. Government purposes and is not
forwarded to the IAEA. BIS uses this information to update contact
information for internal oversight purposes and for IAEA
complementary access notifications.
NOTE 2 to Sec. 783.2(b): For ownership changes, the reportable
location will maintain its original Reporting Code, unless the
location is sold to multiple owners, at which time BIS will assign a
new Reporting Code.
(c) Non-substantive changes. If you discover one or more non-
substantive typographical errors in your Initial Report or Annual
Update Report, after submitting the report to BIS, you are not required
to submit your corrections, separately, to BIS via APRS. Instead, you
may correct these errors when you submit your next Annual Update Report
to BIS.
(d) Changes related to complementary access. If you are required to
submit additional information to BIS following the completion of
complementary access (see part 784 of the APR), BIS will notify you, in
writing, of any issues that would require follow-up action on your
part, pursuant to Sec. 784.6 of the APR. Complete and submit
Supplemental Information Report Form AP-15 and/or the specific report
forms required by Sec. 783.1(a) or (b) of the APR, according to the
type(s) of activities for which information is being requested. You
must submit your responses to BIS, via APRS, no later than 30 calendar
days following your receipt of BIS's post complementary access letter.
Sec. 783.3 Reports containing information determined by BIS not to
be required by the APR.
If you submit a report and BIS determines that none of the
information contained therein is required by the APR, BIS will not
process the report and will notify you, either electronically or in
writing, explaining the basis for its decision. BIS will not maintain
any record of the report. However, BIS will maintain a copy of the
notification.
Sec. 783.4 Deadlines for submission of reports.
Reports required under this part must be submitted to BIS via APRS,
as provided in Sec. Sec. 782.5 and 782.6 of the APR, no later than the
appropriate due date indicated in supplement no. 1 to this part.
Required reports include those identified in paragraphs (a) through (e)
of this section.
(a) Initial Report: Submitted by a location that commenced one or
more of the civil nuclear fuel cycle-related activities described in
Sec. 783.1(a) of the APR during the previous calendar year, but that
has not yet reported such activities to BIS. However, you may report
any of these activities as part of your Annual Update Report, in lieu
of submitting a separate Initial Report, if you also have an Annual
Update Report requirement for other civil nuclear fuel cycle-related
activities described in Sec. 783.1(a) of the APR that applies to the
same location and covers the same reporting period (see Sec. 783.1(b)
of the APR and paragraph (b) of this section).
(b) Annual Update Report: Submitted by a reportable location--this
report describes updates or changes to a location's previously reported
activities or information, or the commencement of additional activities
at the location, since the location's most recent report to BIS.
(c) No Changes Report: Submitted by a reportable location, in lieu
of an Annual Update Report, when there are no updates or changes to a
location's previously reported activities or information, and no new
activities to report, since the location's most recent report to BIS.
(d) Import Confirmation Report: Submitted in response to a written
notification from BIS, following a specific request by the IAEA.
(e) Supplemental Information Report: Submitted in response to a
written notification from BIS, following a specific request by the
IAEA, and to report changes to information submitted to BIS by
reportable locations in their most recent AP reports.
0
9. Supplement No. 1 to part 783 is revised to read as follows:
Supplement No. 1 to Part 783--Deadlines for Submission of Reports
----------------------------------------------------------------------------------------------------------------
Reports Applicable forms Due dates
----------------------------------------------------------------------------------------------------------------
Initial Report........................ Forms AP-1 and AP-2 and:...... January 31 of the year following any
--AP-3 or AP-4 for R&D calendar year in which you commenced
activities;. activities at a location for which you
--AP-5 for civil nuclear- have not previously submitted an
related manufacturing, Initial Report to BIS. If you are
assembly or construction; and. required to submit an Annual Update
--AP-6 for mining and ore Report because of on-going previously
beneficiation. reported activities at the same
location, during the same reporting
period, you may include the new
activities in your Annual Update
Report, instead of submitting a
separate Initial Report.
Annual Update Report.................. Forms AP-1 and AP-2 and:...... January 31 of the year following any
--AP-3 or AP-4 for R&D calendar year in which changes to
activities;. location activities or information took
--AP-5 for civil nuclear- place if there were:
related manufacturing, --Changes to previously reported
assembly or construction; and. activities;
--AP-6 for mining and ore --Changes or updates to information on
beneficiation. Form AP-1 (other than updates or
changes to the certifying official) or
Form AP-2; or
--New activities not previously reported
(included, in lieu of submitting a
separate Initial Report, when an Annual
Update Report is otherwise required for
the same location).
No Changes Report..................... Form AP-17.................... January 31 of the year following any
calendar year in which there were no
changes to previously reported
activities or location information
(other than updates or changes to the
certifying official).
Import Confirmation Report............ Forms AP-1, AP-2, and AP-14... Within 30 calendar days of receiving
notification from BIS.
Supplemental Information Report....... Forms AP-1, AP-2, and AP-15... --Within 15 calendar days of receiving
notification from BIS concerning an
IAEA request for amplification or
clarification.
Form AP-15.................... --Within 30 calendar days after:
You receive a post-
complementary access letter from BIS.
You discover an error or
omission in activity information
contained in your most recent AP
report; or
There is a change in company
information or in ownership of a
location.
----------------------------------------------------------------------------------------------------------------
[[Page 74018]]
PART 784--[AMENDED]
0
10. The authority citation for 15 CFR part 784 is revised to read as
follows:
Authority: 22 U.S.C. 8101-8181; Executive Order 13458 (February
4, 2008).
0
11. Section 784.6 is revised to read as follows:
Sec. 784.6 Post complementary access activities.
Upon receiving the IAEA's final report on complementary access, BIS
will forward a copy of the report to the location for its review, in
accordance with Sec. 784.3(k)(2) of the APR. Locations may submit
comments concerning the IAEA's final report to BIS, and BIS will
consider them, as appropriate, when preparing its comments to the IAEA
on the final report. BIS also will send locations a post complementary
access letter detailing the issues that require follow-up action (see
Sec. 783.2(d) of the APR).
PART 785--[AMENDED]
0
12. The authority citation for 15 CFR part 785 is revised to read as
follows:
Authority: 22 U.S.C. 8101-8181; Executive Order 13458 (February
4, 2008).
PART 786--[AMENDED]
0
13. The authority citation for 15 CFR part 786 is revised to read as
follows:
Authority: 22 U.S.C. 8101-8181; Executive Order 13458 (February
4, 2008).
Matthew S. Borman,
Deputy Assistant Secretary for Export Administration.
[FR Doc. 2021-27836 Filed 12-28-21; 8:45 am]
BILLING CODE 3510-33-P
