[Federal Register Volume 61, Number 38 (Monday, February 26, 1996)]
[Notices]
[Pages 7130-7132]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-4232]



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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 

[[Page 7131]]
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.

[[Page 7132]]


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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