Bureau of Political-Military Affairs, Office of Nuclear Energy Affairs; Interagency Procedures for the Implementation of the U.S.-IAEA Safeguards Agreement

DEPARTMENT OF STATE

[Public Notice 2339]

Bureau of Political-Military Affairs, Office of Nuclear Energy

Affairs; Interagency Procedures for the Implementation of the U.S.-IAEA

Safeguards Agreement

This notice sets forth U.S. agency procedures for implementation of

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, with Protocol (IAEA INFCIRC/288),

hereinafter referred to as the Agreement.

For additional information, contact Alex Burkart (phone: 202-647-

4413). Office of Nuclear Energy Affairs, Bureau of Political-Military

Affairs (PM/NE), Department of State, Washington, DC 20520.

A. Coordination

(1) IAEA Steering Committee.

(a) The interagency mechanism for coordinating policy and resolving

disputes relating to the implementation of the Agreement shall be the

IAEA Steering Committee (ISC), which is concerned generally with IAEA

policy matters. The ISC is composed of representatives from the

Department of State (State), the Department of Energy (DOE), the

Nuclear Regulatory Commission (NRC), the Arms Control and Disarmament

Agency (ACDA), the Department of Defense (DOD), the Office of

Management and Budget (OMB), and the staff of the National Security

Council (NSC) and the intelligence community (IC). The ISC is chaired

by the U.S. Representative to the IAEA or such other official as may be

designated by the Secretary of State. Representatives of the agencies

which are ISC members are designated by the respective heads of such

agencies. The ISC shall meet at such intervals set by the ISC and at

any time at the request of any ISC member.

(b) In the event any question of interpretation of the Agreement

affecting NRC arises which is not resolved by the ISC, the NRC shall

seek and be bound by guidance from the President. Neither this

provision, nor any other provision in these procedures, shall in any

way alter the responsibilities of the NRC or in any way limit the

existing authorities and responsibilities of the NRC.

(2) Subgroup on IAEA Safeguards in the U.S.

(a) The ISC shall establish a subcommittee known as the

Subcommittee on International Safeguards and Monitoring (SISM). This

subcommittee will, in turn, establish the Subgroup on IAEA Safeguards

in the U.S. (SISUS). SISUS shall be composed of representatives from

State, ACDA, the NRC and DOE. The NRC will appoint the Chair of the

SISUS. Each agency shall designate its respective representatives to

serve on the SISUS.

(b) The SISUS shall monitor implementation of the Agreement, carry

out responsibilities specifically prescribed in these procedures, and

undertake such other working level activities as may be designated by

the SISM or the ISC.

(3) Negotiating Team.

(a) The Negotiating Team shall be composed of the members of the

Subgroup or their designates. Designates must be full-time Government

employees of the Agency of the member. For negotiations with regard to

NRC licensed or certified facilities, the NRC member will be the head

of the Negotiating Team. For negotiations with regard to DOE facilities

not licensed and subject to DOE orders, the DOE member will be the head

of the Negotiating Team.

(b) The Negotiating Team shall negotiate with the IAEA the

Subsidiary Arrangements and the Transitional Subsidiary Arrangements

(collectively referred to as the Arrangements), and undertake such

other responsibilities as may be designated by the SISM or the ISC.

(c) Counsel and other agency officials may participate in

Negotiating Team activities at the request of their respective agency

representative.

B. Communications

As provided in the Arrangements, normally, official communications

on matters relating to implementation of the Agreement from the IAEA

are to be addressed to State through the Mission of the United States

of America to the IAEA (Mission), and from State are to be addressed to

the IAEA through the Mission. An officer in PM/NE and an officer in the

Mission shall be assigned responsibility for communications to and from

the IAEA in connection with implementation of the Agreement. In the

event of the occurrence of unexpected circumstances, communications may

be undertaken, as appropriate, other than as set forth in this Section

of the procedures.

C. Regulation of NRC Licensed or Certified Facilities and Management of

DOE License-Exempt Facilities

(1) For implementation of the Agreement.

(a) The NRC shall be responsible for maintaining necessary

regulations applicable to NRC licensed or certified facilities; and

(b) DOE shall be responsible for maintaining appropriate mechanisms

applicable to DOE license-exempt facilities.

(2) Requirements contained in the Arrangements shall be implemented

as follows:

(a) With respect to an NRC licensed or certified facility, through

the promulgation of regulations, the incorporation of appropriate

amendments to licenses and the issuance of such orders as may be

necessary to assure compliance; and

(b) With respect to a DOE license-exempt facility, through the

promulgation of appropriate mechanisms.

D. Facility Attachments and Transitional Facility Attachments

The responsible agency (RA) is the NRC for NRC licensed or

certified facilities and the DOE for DOE license-exempt facilities.

(1) Preparation. The RA shall participate with the IAEA in

preparation of the material for the draft facility attachment and

transitional facility attachment (collectively referred to as the draft

attachment) for each facility selected by IAEA, under Article 39 of the

Agreement or Article 2 of the Protocol. The RA shall consult with the

facility operator and, as appropriate, arrange for such operator to

participate in the preparation of the material for the draft attachment

for such facility. The RA shall provide the Negotiating Team an

opportunity to take part in preparation with the IAEA of the draft

facility attachment for use in negotiation.

(2) Negotiation. The draft attachment shall be approved by the

Negotiating Team for negotiation. Each facility attachment or

transitional facility attachment (collectively referred to as the

attachment) shall be negotiated with the IAEA by the Negotiating Team

under the guidance of the SISM. In the course of these negotiations,

the operator of the facility will be consulted and views and interests

of each such operator will be considered. The facility

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operator will be given the opportunity to review and comment on the

attachment before it is agreed to by the U.S. Agreement shall be

indicated by the ISC Chair or his designee initialing the attachment.

E. Information To Be Provided to the IAEA

(1) Reports on the status of nuclear material required to be

submitted to the IAEA pursuant to the Agreement at specified intervals

or occasions shall be compiled and submitted as follows:

(a) Review and transmission of initial reports and periodic

accounting reports, including amplifications and clarifications

thereof, in accordance with Codes 3.3 and 3.4 of the Arrangements,

shall be the obligation of the RA. These reports shall be prepared on

computer diskette by the Nuclear Materials Management and Safeguards

System (NMMSS) operated jointly by NRC and DOE. The RA shall make

arrangements for submission of the necessary data from each facility

operator to NMMSS, which shall compile consolidated reports and send

the diskette to the RA for review and transmission to PM/NE for

delivery to the IAEA. The RA shall consult and provide to PM/NE, and

PM/NE shall provide to the IAEA, the telex address and the telephone

number of appropriate personnel to be available for use by the IAEA in

seeking clarifications and amplifications (including questions

concerning reported data) of the accounting reports.

(b) The RA shall prepare and transmit special reports, including

amplifications and clarification thereof, in accordance with Code 3.5

of the Subsidiary Arrangements. The RA shall send each report to PM/NE

to permit PM/NE to decide if any further review is needed prior to

transmission by PM/NE to the IAEA and whether the report should be

referred to the ISC for its consideration.

(c) In the event a material unaccounted for (MUF) at any facility

selected by the IAEA under the Agreement exceeds the IAEA limits or the

limits specified in 74.31(c)(5) or 74.59(f)(1)(i), whichever is

smaller, the ISC shall determine in satisfying the terms of the

Agreement what information if any relating to any U.S. investigation of

the MUF is to be transmitted to the IAEA.

(2) Information other than reports described in paragraph (1) of

this Section includes completed Design Information Questionnaires and

other information needed in connection with design review, changes in

design, and requirements with respect to radiological protection; and

notification of an intended withdrawal (Agreement Article 12(a)) and of

an international transfer (Agreement Article 89). The RA shall be

responsible for obtaining such required information and ensuring that

it is prepared in prescribed format for transmission to the IAEA in

accordance with Codes 3.1, 3.2, 3.6, and 3.7 of the Subsidiary

Arrangements and Codes 3.1 and 3.2 of the Transitional Subsidiary

Arrangements. Such information and notification shall be transmitted to

the IAEA by State.

(3) The Agreement shall not be construed to permit the

communication to the IAEA of Restricted Data controlled by the Atomic

Energy Act of 1954, as amended.

F. Eligible List

(1) The list of eligible U.S. facilities provided to the IAEA under

Agreement Article 1(b) (eligible list) shall be reviewed by the SISUS

from time to time to determine if any addition or removal of a facility

should be made. The RA shall be responsible for informing the SISUS of

any change in the status of any facility, relative to possible addition

to, or removal from, the eligible list. The SISUS shall recommend to

the ISC changes to be made in the eligible list. In the event that any

ISC member agency believes that for national security reasons a

particular urgency exists relative to the removal of a facility from

the eligible list, such agency may, where disagreement develops or

where immediate affirmative action is deemed essential and cannot be

accommodated by the ISC, seek to have the President decide regarding

such proposed removal.

(2) Any changes in the eligible list shall be submitted to the IAEA

by PM/NE through the Mission as provided in Agreement Article 34, after

the following notification by State to the Congress:

(a) For any addition, after 60 days notice to the Senate Committee

on Foreign Relations and the House Committee on Foreign Affairs, which

notice shall include an explanation of the basis on which the

determination to make the addition was made, and if the Congress has

not during said 60-day period passed a concurrent resolution of

disapproval; and

(b) For any deletion, after notification to the Senate Committee on

Foreign Relations and the House Committee on Foreign Affairs.

(3) State shall provide each of the ISC member agencies with a copy

of the eligible list and changes thereto. The NRC shall make it

available for inspection in the NRC Public Document Room.

G. IAEA Consultants

(1) The Director General of the IAEA, in selecting any facility

under the Agreement, may seek to consult with the United States in the

interest of avoiding discrimination among U.S. facilities in accordance

with Agreement Article 2(c). Moreover, the U.S. and IAEA may likely

consult to insure compliance with Agreement Article 22; and the United

States may request consultations in accordance with Agreement Article

80. All matters concerning any such consultation shall be considered by

the SISM on the basis of recommendations by the SISUS.

(2) In addition to consultations contemplated in paragraph (a) of

this Section, PM/NE shall arrange for periodic consultations between

the SISUS and the IAEA, in accordance with Agreement Article 19, to

review progress in implementation of the Agreement and to consider any

matter relevant to the Agreement which either party to the Agreement

may raise.

H. Matters Raised by Facility Operators

Any question, complaint or request from a facility operator shall

be directed to the RA. The RA shall consider the matter in accordance

with its established procedures. Any questions from a facility operator

concerning any interpretation of the Agreement or the Arrangements, any

question relating to the payment of invoices by the IAEA to the

facility operator, and any request from a facility operator with

respect to exemption or termination of safeguards, other than as

provided for in an attachment, shall be addressed to the RA. The RA

will advise SISUS of such question or request for consideration. If

necessary the matter will be referred to the SISUS, the Negotiating

Team, or the SISM/ISC for consideration or resolution.

I. Matters Raised by the IAEA

Any question, complaint, or request concerning implementation of

the Agreement which is received from IAEA Headquarters by the Mission

in accordance with Codes 1.1 of the Arrangements, and is not otherwise

provided for in these procedures, shall be transmitted to PM/NE. PM/NE

shall refer such matters to the SISUS for consideration and

recommendation or resolution. The Chair of the SISUS will communicate

these matters to the Negotiating Team, the SISM, and the RA, as

appropriate.

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J. Matters Concerning IAEA Inspectors

(1) Any question, complaint or request for assistance from any IAEA

inspector, while performing inspection activities in the United States,

which is not resolved by personnel at the facility in question or

through the RA contact, shall be referred to SISUS. The IAEA shall be

provided with the names of designated officials in the NRC, DOE and PM/

NE for this purpose, including 24-hour telephone number information.

The designated official contacted shall advise the RA as soon as

possible whenever so contacted, to determine whether any immediate

action is appropriate and to obtain any necessary assistance from the

appropriate RA official. If time and circumstances permit, the matter

may be referred to the SISUS and, in any event, the SISUS shall be

advised of the matter and its resolution.

(2) Any question, complaint or request from a facility operator

concerning an action by an IAEA inspector shall be addressed to the RA.

This shall be undertaken in the first instance by contacting an

appropriate RA official, if present at the facility. If necessary, a

designated official at RA headquarters shall be consulted. If not

resolved by such consultation, the matter will then be addressed as

described in Section H above.

(3) The RA shall be responsible for ensuring compliance with

footnotes to Codes 3.2 of the Arrangements with respect to safety,

radiation protection, and medical care of IAEA staff members carrying

out functions under the Agreement.

K. Designation of IAEA Inspectors

Each proposal by the IAEA for designation of one or more inspectors

for service in the United States which is received by the Mission shall

be referred to the SISUS for consideration. If consensus cannot be

reached, the matter will be referred to the SISM. State shall provide

the U.S. response to each such proposal to the Mission for transmittal

to the IAEA. PM/NE shall maintain the list of IAEA inspectors formally

designated for service in the United States and shall provide copies of

the list, and changes as they occur, to each ISC member agency. The NRC

and DOE may provide copies of such lists to facility operators under

their respective jurisdictions for their information.

L. Notification of IAEA Inspections and Visits

NRC and DOE shall consult and provide to PM/NE, and PM/NE shall

provide the IAEA, the name, telex address, and telephone number of an

appropriate official and alternate to be contacted by the IAEA for

advance, informal coordination and planning of any inspection or visit.

This official shall coordinate preparation for each inspection or visit

with any facility involved and provide timely responses directly to the

IAEA. Such coordination shall be in preparation for the formal advance

notification of each IAEA inspection and visit (Agreement Article 81

and Protocol Article 11(b)) which, when received by the Mission, shall

be provided to State by telegram, with the NRC and DOE as information

addresses. SISUS shall maintain a schedule of each planned IAEA

inspection or visit and provide copies to the ISC member agencies upon

request. The operator of each facility to be inspected or visited shall

be so informed by the RA. The RA shall also arrange for the IAEA

inspector to be accompanied by one or more RA representatives. The RA

shall, to the extent possible, accommodate requests by SISUS members to

be present during inspections. Should the IAEA elect to perform

unannounced inspections, the RA, when notified by the facility, shall

make a determination of the need to send a representative to the site

as soon as practical.

M. Reports by the IAEA

Reports by the IAEA, in accordance with Agreement Articles 41, 64

and 88, of its inspections and other safeguards activities in the

United States, when received by the Mission, shall be transmitted to

State. PM/NE shall provide copies to the ISC member agencies and the

Chair of the SISIS, and shall also maintain a file of such reports. The

SISUS shall review these reports and determine any needed action.

N. Implementation Reports

SISUS, on the basis of information collected by the NRC and DOE and

information obtained from the IAEA, may prepare periodic reports

concerning implementation of the Agreement, including, inter alia,

pertinent statistics, lists of facilities inspected, and other relevant

data for the information of government agencies, the Congress and the

public.

O. Agreement Article 22

State shall institute steps as necessary to suspend, for the

duration of the Agreement, the application of IAEA safeguards in the

United States under other safeguards agreements with the IAEA. State

shall maintain a list of the agreements, required by Code 3.8.1 of the

Subsidiary Arrangements, under which the application of such safeguards

has been suspended and shall provide this list and all subsequent

changes to each ISC member agency. DOE shall prepare the reports

required by Codes 3.8.2 and 3.8.3 of the Subsidiary Arrangements for

delivery of these reports to State for transmission by State to the

IAEA within the time limits stipulated in Codes 3.8.2 and 3.8.3 DOE

shall also be responsible for the monitoring function called for in

footnote 3 of Code 3.8 of the Subsidiary Arrangements and for

reporting, at least annually, to State the results of such monitoring.

P. Role of These Procedures and Their Modification

(1) Scope. These procedures are for the purpose of interagency

coordination and shall not affect the internal coordination mechanism

of any agency. These procedures establish requirements solely

applicable to certain agencies of the United States Government, rather

than individuals, and, accordingly, are not rules within the meaning of

the Administrative Procedure Act.

(2) Amendment. These procedures may be amended from time to time by

the ISC.

Dated: February 15, 1996.

Richard J.K. Stratford,

Director, Office of Nuclear Energy Affairs, Bureau of Political-

Military Affairs, United States Department of State.

[FR Doc. 96-4232 Filed 2-23-96; 8:45 am]

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