11 February 1998
Source: http://www.access.gpo.gov/su_docs/aces/aces140.html

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[Federal Register: February 11, 1998 (Volume 63, Number 28)]
[Notices]
[Page 7041-7044]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr11fe98-117]

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DEPARTMENT OF STATE

[Public Notice 2722]


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, NRC, DOE, and DOD. 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
    (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.

[[Page 7042]]

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 as the draft
attachment) for each facility selected by the 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 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.

[[Page 7043]]

G. IAEA Consultations

    (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.

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 SISUS, 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

[[Page 7044]]

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: January 16, 1998.
Richard J. K. Stratford,
Director, Office of Nuclear Energy Affairs, Bureau of Political-
Military Affairs, United States Department of State.
[FR Doc. 98-3381 Filed 2-10-98; 8:45 am]
BILLING CODE 4710-25-P
