ML20042C763
| ML20042C763 | |
| Person / Time | |
|---|---|
| Issue date: | 04/01/1983 |
| From: | Dircks W NRC OFFICE OF THE EXECUTIVE DIRECTOR FOR OPERATIONS (EDO) |
| To: | |
| Shared Package | |
| ML20037D485 | List: |
| References | |
| FOIA-92-436, TASK-RINV, TASK-SE SECY-83-123, NUDOCS 8304220324 | |
| Download: ML20042C763 (52) | |
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j April 1, 1983 SECY-83-123 RULEMAKING ISSUE (Notation Vote)
For:
1he Commissioners From:
William J. Dircks l
Executive Director for Operations
Subject:
PROPOSED AMENDMENTS TO PARTS 40, 70 AND 73 IMPLEMENTING PROVISIONS OF THE CONVENTION ON THE PHYSICAL PROTECTION OF NUCLEAR MATERIAL
Purpose:
To consider issuance of proposed amendments to Commission regu-lations that are necessary to implement the Convention on the Physical Protection of Nuclear Material.
Category:
A Safeguards policy matter requiring Commission approval.
Issue:
Whether the proposed requirements are appropriate to implement the Convention.
Discussion: On March 3, 1980, the United States signed the Convention on the Physical Protection of Nuclear Material (the Convention) (Enclosure 2). Its purpose is to provide for the establishment of physical security with respect to international shipment of significant quantities of source or special nuclear material.
The implementing legislation was signed by the President on October 18, 1982.
The Convention will enter into force on the thirtieth day following the date of deposit of the twenty-first instrument of ratification with the IAEA. The U.S. deposited its instrument on December 13, 1982.
Currently there are five additional parties to the Convention.
The staff reviewed NRC regulations and procedures in order to assess the degree of compliance with the provisions of the Con-vention. The review disclosed that current regulations satis-factorily meet the provisions of the Convention except for:
(a) Physical protection requirements for transient shipments of special nuclear material of moderate and low strategic signi-ficance, irradiated reactor fuel and natural uranium;
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(b) Advance notification to NRC concerning export of Convention defined nuclear materials *;
(c)AdvancenotificationandassuranceofprotectiontoNRCcon-cerning transient shipments of Convention defined nuclear material between countries that are not parties to the Con-vention; and (d) Advance notification and assurance of protection to-NRC con-cerning the importation of Convention defined nuclear mate-rials from countries that are not parties to the Convention.
In order to implement the provisions of the Convention, the staff has drafted the following amendments to NRC regulations (Enclosure 1):
o Revision of the carriers exemption.in 40.12 and addition of 40.21 general license for a carrier to possess a transient shipment of natural uranium, other than in the form of ore or ore residue, in amounts exceeding 500 kilograms.
Under the new 40.21a, a carrier would be issued a general _ license to possess a transient shipment of natural uranium and be required to notify NMSS of scheduled stops at U.S. ports, 14 days in advance of the shipping date.
For transient shipments between nations that are not party.to the Convention, the licensee must provide assurances that the material will be protected during international transport at levels described in Annex 1 to the Convention.
The Department of State (DOS) has agreed to be the point of contact for the receipt and dissemination of country notification and exchange of physical protection assurances as required by the Convention. When NRC receives notification of'an export shipment, import shipment from a country not party-to the Convention or a transient shipment between countries not party to the Convention, the Division of Safeguards will draft a telegram notifying receiving and/or transient countries of.the shipment.
The telegram will be transmitted by DOS through its connunications channels to the af-fected countries.
Plutonium except that with isotopic concentration exceeding 80% in plutonium-238; uranium-233; uranium enriched in isotopes 235 or 233; uranium containing the mixture of isotopes as occurring in nature other than in the fann of ore or ore rasidue; any material containing one or more of the foregoing. Uranium enriched in the isotopes 235 or 233 means uranium containing the isotopes 235 or 233 or both in an amount such that the abundance ratio of the sum of these isotopes to the isotope 238 is greater than the ratio of the isotope 235 to the isotope 238 occurring in nature.
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o Revision of the Part 70 general license for carriers of transient shipments of formula quantities to include special nuclear mate-rial of moderate and. low strategic significance and irradiated reactor fuel.
o Changes-Parts 40 and 73 by. revising 73.72 and. adding new para-graphs 40.66 and 73.73 requiring. licensees to notify NRC 14 days in advance of the shipping date concerning_U.S. export ship-ments of nuclear material as defined in the Convention. The advance notification to NRC is needed to' permit. advance notifica-tion.of-shipments to nations'which the nuclear material is expected to enter, o Addition to Parts 40 and 73, new 40.67 and 73.74, requiring that importers of Convention defined; nuclear material, shipped from coun-tries that are not parties to the Convention, send notification to the NRC regarding such shipments, and provide assurances that the
- l materials will be protected during transport 'in accordance _with -
Annex I to the Convention... Notification w411 then be..sent, via DOS,.
to nations which the material will transit.
It has been determined that the. modifications described above.are the only changes necessary to satisfy the provisions of the_ Convention.
During the consideration of_U.S. compliance with the Convention, the-question arose as to whether the U.S. protects source material "in accordance with prudent management practices" as specified in INFCIRC/
225/Rev. 1.
A discussion of this matter is presented in Enclosure 3.
A review of regulations and actual industry practices found that con-trols required in handling source material by 10.CFR:40 are sufficient to permit the conclusion that the U.S. nuclear industry is applying prudent management practice to the protection of source _ material.
Impacts:
With regard to the new physical protection requirements for transient shipments, the increased cost to licensees is likely to be insignifi-cant if-present shipping-patterns continue. During the past four years there have been only two known transientishipments. The_addi-tional' cost for protecting transient shipments of _ Convention-defined materials is estimated to-be-less than $500 for each shipment of Category 11 material; less than $200 for eai:h shipment of Category III material and natural uranium; and about $1700. per,_24-hour layover for each spent fuel shipment.
With regard:to the proposed advance. notification requirements, a.._
review of_ export transactions ~of Convention' defined nuclear material disclosed that approximately 1300 shipments were.made during FY 1982.
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Considering processing time, overhead, postage and stationery costs, etc., the staff estimates that' a licensee will spend approximately.
$100 per notification',
For import shipments from countries not-party
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to the Convention, notification costs would also be about $100 1
per shipment.
However, because most nations who export to the a
U.S. will be signatories to the Convention, there will be very i
few notifications required.
Concerning the change to increase reporting requirements from 7 to 14 days for shipments of formula quantities.of SNM of moderate strategic significance, the staff estimates minimal increased costs to licensees because of the limited number of export shipments (about 20 per year) and current industry prac--
tice of notifying NRC well in advance of the 7 day requirement.
Resource The staff estimates that the adoption of the proposed amendments:
Estimates:
and revisions would require an increase-in workload of.5 staff years.
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Recommendations: That the Commission:
1.
Approve for publication in the-Federal Register the proposed amendments set forth in Enclosure 1.
2.
Certify, in order to satisfy the requirements of the.Regula-tory Flexibility Act, 5 U.S.C. 605(b), that this rule, if promulgated, will not have a significant economic impact on a substantial number of small entities. This Certification is included in the enclosed Federal Register notice.
3.
Note:
a.
That the proposed new regulations will be published in-the Federal Register allowing 90 days for public comment.
b.
That the Subcommittee on Nuclear Regulation of the Senate Comittee on Environment and Public Works; the Subcomittee on Energy and Environment of the House Committee on Interior and Insular Affairs; the Subcom-mittee on Energy Conservation and Power of the House Comittee on Energy and Commerce; Subcommittee on Arms Control, Oceans, International Operations -and Environ-ment of the Senate Committee on Foreign Relations; the Subcommittee on Energy. Nuclear Proliferation and Gov-ernment Processes of the Senate Committee for Govern-mental Affairs; Subcommittee on International Economic Policy Trade of the House Committee on Foreign Affairs; and the Subcommittee on Oversight:and Investigation of the House Committee on Interior and Insular Affairs will beinformed(Enclosure 4)..
c.
That a public announcement (Enclosure 5) will be issued by the Office of Public Affairs when the notice of pro-posed rulemaking is filed with the Office of the Federal-
-Register.
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The Commissioners.
E d.
That pursuant to 10 CFR: 51.5(d)(3), no environmental impact appraisal, negative declaration or environmental-impact statement for this rulemaking action is required.
1 e.
That the Departments of. Transportation and State have -
reviewed the proposed revisions and-have no objection..
f.
That copies of this notice will"be: distributed.to affected licensees and other interested persons by the -
4 Office of Administration.
g.
That1the Chief-Counsel for Advocacy of the Small i
Business Administration'will be-informed of the certi-fication and the reasons for-it as required by the-Regulatory Flexibility. Act.
h.- That the Office of Management and Budget will be noti-fied in advance of publication of the proposed rule as specified in Executive Order 12291.
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W'lliam'. Dircks-i Executive Director for Operations
Enclosures:
- 1. Proposed Federal Register Notice
- 2. Convention on the Physical Protection of Nuclear Material
- 3. Source Material Protection in the United States
- 4. Congressional Letter of Notification (tobefurnishedlater)
- 5. Public Announcement (to be furnished later) i i
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Commissioners' comments or consent should be_provided directly.
to the Office of the Secretary by c.o.b. Monday, April 18, 1983.
Commission Staff Office comments, if any, should be submitted to the Commissioners NLT Monday, April 11, 1983, with an information copy to the Office of the Secretary.
If the paper is of such a nature that it requires additional time for analytical review and comment',-the Commissioners and the Secretariat should be apprised.of when comments may be expected.
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ENCLOSURE 1
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-NUCLEAR: REGULATORY; COMMISSION' dil
- 0 10 CFR Parts 70'and 73 d
Implementation of-the: Convention _on theiPhysical' d
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Protection of; Nuclear: Material:
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' AGENCY:-
- Nu cl e a r. ' Re g'ul atory Commi s s i on~. 3 d
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' ACTION:
' Proposed rule..
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SUMMARY
' The Nuclear Regulatory.Commissionf proposesy to amend itsLregulations '
in. order-_to implement the' provisions of.the: Convention: on': the.- Physical:
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- i Protection of Nuclear Material'. { The proposhd amendments would requirei
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. (1) the physical.~ protection of transientishipmentshof special. nuclear.
,g material 'of moderate andilow' strategic: significance, irradiatedLreactor; j
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1 fuel and natural uranium; (2) advancej notification.: to the' NRC"regarding' 3
the export of. Convention; defined nuclear: materials;)(3) idvance notifi-:
cation 'and-assurance of protectioni o{the.NRCLconcerning;transientiship '
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t ments of. Convention defined nuclear material? shipped between countries.
l that are not parties to thel Convention; rand 1(4) advande n'otification and -
l assurance' of protection'to the NRC concerning the11mportationlof_Conven;
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' tion defined nuclear materials from countriesithht!Lare not: parties (to; the Convention.- ByJadopting the proposed amendments, the'U.SFwill-j
'l have ; implemented the provisions of the Convention resulting in improved [
j security for Convention defined nuclear materialdurisig international-transport.
DATE:
Comment period expires Commentsireceived.after f
j this-date will be considered if.it is: practical?to do.so,7 ut assurance' b
~ f: consideration cannot be:given except as to comments received on'or:
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before this date.-
ENCLOSURE 1j qj
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4 ADDRESSES: Mail written comments to Secretary, U.S. Nuclear Regulatory Comis-sion, Washington, DC 20555, Attention: Docketing and Service Branch.
Deliver comments to Room 1121, 1717 H Street NW, Washington, DC between 8:15 am and 5:00 pm weekdays.
Copies of the regulatory analysis, OMB clearance supporting state-ment and coments received may_ be examined at the NRC Public Docu-ment Room at 1717 H Street, NW, Washington, DC.
FOR FURTHER INFORMATION CONTACT:
Steven J. Brown, Office of Nuclear Material Safety and Safeguards, U.S. Nuclear Regulatory Comission, Washington, DC 20555, Telephone (301)427-4186.
SUPPLEMENTARY INFORMATION BACKGROUND On March 3,1980, the United States signed the Convention on the Physical Protection of Nuclear Material (the Convention)(Exec. H, Senate, 96th Cong., 2d Sess.). This Convention is the result of a U.S. proposal originally made by the Secretary of State in 1974 and its purpose is to provide for the establish-ment and maintenance of adequate physical security with respect to international shipment of significant quantities of source or special nuclear material.
The Senate approved the Convention on July 30, 1981 and the implementing legislation has been enacted by the Congress and signed by the President on October 18, 1982 (P.L.97-351, 96 Stat. 1663).
The Convention will enter into force on the thirtieth day following the date of deposit of the twenty-first instrument of.
ratification with the IAEA. The U.S. deposited its instrument on December 13, 1982. l
A review of NRC regulations and procedures disclosed that the U.S. is in com-pliance with the Convention except for regulations regarding (1) the physical protection of transient shipments of special nuclear material of moderate and low strategic significance and irradiated reactor fuel; (2) advance notification to the NRC regarding the export of Convention defined nuclear materials; (3) ad-vance notification and assurance of protection to NRC concerning transient ship-ments of Convention defined nuclear material between countries that are not parties to the Convention; and (4) advance notification and assurance of protection to the NRC regarding the importation of Convention defined nuclear materials from nations that are not parties to the Convention.
DESCRIPTION In order to comply with the provisions of the Convention, the Comission is pr[pos-ing the following amendments to its regulations:
(1) A general license would be added to 10 CFR Part 40 for transient shipments of natural uranium requiring advance notice to NRC concerning transient shipments of natural uranium, other than in the form of ore or ore residue, in amounts ex-ceeding 500 kilograms.
For shipments between nations not party to the Convention, general licensees would be required to provide assurances that the material will be protected during international transport at levels described in the Convention.
(2) The general license provisions in 10 CFR Part 70 for carriers of transient shipments would be revised to include special nuclear material of moderate and low strategic significance and irradiated reactor fuel.
Currently, 70.20b grants carriers a general license to possess transient shipments of formula quantities of special nuclear material from the time the shipment enters a U.S. port until it exits that or another port.
This revision will expand the scope of 70.20b by in-cluding transient shipments of special nuclear material of moderate and low stra-tegic significance and irradiated reactor fuel.
Carriers of transient shipments of these materials will be issued a general license.
For transient shipments of special n'uclear material of moderate and low strategic significance, the licensee would be required to comply with the appropriate requirements of 73.67.
For transient.hipments of irradiated reactor fuel, a licensee would be required to comply witi, the appropriate requirements of j73.37. Where neither the exporting.
nor importing nation is a party to the Convention, licensees must also provide assurances that the nuclear material will be protected during international international transport at levels described in Annex I to the Convention.
(3) 10 CFR Parts 40 and 73 would be revised to require advance notification to the NRC regarding U.S. export shipments of Convention defined nuclear material.
As required by the Convention, this advance notice will be sent to nations which the nuclear material is expected to transit by land or international waterways or
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whose airports or seaports it is expected to enter.
Those parts would also be amended to require importers of Convention-defined nuclear material, shipped from nations that are not parties to the Convention, send notification to the NRC regard-ing any shipment and provide assurances that the material will be protected during transport in accordance with Annex I to the Convention.
IMPACT With regard to the proposed transient shipments amendments to Parts 40 and 70, increased costs to licensees are likely to be insignificant if present shipping patterns continue.
During the past four years, there have been only one known transient shipment o# irradiated fuel, one known shipment of Category II material and no known shipments' of Category III material or natural uranium.
The additional r
cost for protecting transient shipments of these materials is estimated to be less than $500 for each shipment of Category II material; less than $200 for each ship-ment of Category III material and natural uranium; and about $1700 per twenty-four hour layover for each spent fuel shipment.
With regard to the proposed Parts 40 and 73 import and export amendments, a review of FY 1982 export / import transactions of Convention defined nuclear
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materials disclosed that approximately 2300 shipments were made. Of this number 1300 were export shipments and 1000 were imports. Considering processing time, overhead, postage and stationary costs, etc., it is esti-i mated that a licensee will spend $100'per notification.. For export ship-ments, the maximum industry cost would. be approximately. $130,000 per year if present shipping trends continue. This figure may be overstated since costs could be reduced by including series of shipments in one notification.
For import shipments from countries not parties to the Convention, the ex-pense to licensees is approximately $100,000_ per year.. This figure'may. also be overstated because initially the number of notifications will be high during the time when nations are ratifying the Convention. The majority of nations that export to the U.S. are expected to be parties to the Convention. Conse-quently, the total number of notifications and assurances is expected to de-crease in the future. Concerning the. change in reporting requirement from 7 to 14 days for exports of formula quantities of strategic special nuclear mate-rial and special nuclear material of moderate strategic significance, the staff estimates minimal '.1 creased costs to licensees because of the limited number of export shipments (about 20 per year) and current industry practice of notifying NRC well in advance of the 7 day requirement.
PAPERWORK REDUCTION ACT STATEMENT The proposed rule will be submitted to the Office of Management and' Budget for
. clearance of the information collection requirements that may be appropriate under the Paperwork Reduction Act (44 U.S.C. 3501, et seq.). The SF-83, " Request for Clearance," Supporting Statement, and' related documentation submitted to j
OMB will be placed in the NRC Public Document Room at 1717.H Street, NW,
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Washington DC 20555. This material will be available for inspection or copying for a fee.
k REGULATORY FLEXIBILITY CERTIFICATION Based upon the informat, ion available at this stage of the rulemaking proceeding and in accordance with the Regulatory Flexibility Act of 1980, 5 U.S.C. 605(b),
the Commission hereby certifies that, if promulgated, this rule will not have a significant economic impact upon a substantial number of small entities.
i The proposed rule affects about 85 export and import _ licensees.
No small businesses will be affected.
Any small entity subject to this regulation who determines that, because of its size, it is likely to bear a disporportionate adverse economic impact should notify the Commission of this in a comment that indicates:
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(a) The licensee's size in terms of annual' income or revenue and number of '
i employees; a
(b) How the proposed regulation would result in a significant economic burden upon the licensee as compared to that on a larger licensee; (c) How the proposed regulation could be modified to take into account the licensee's differing needs or capabilities; (d) The benefits that would be gained, or the detriments that would be avoided to the licensee, if the proposed regulation were modified as suggested by I
the commenter; and (e) How the regulation, as modified,.would still adequately protect the public health and safety.
1 LIST OF SUBaECTS IN 10 CFR PARTS _40, 70 AND 73 Part 40: Domestic Licensing of Source Material - Government contracts, Hazardous materials - transportation, Nuclear materials, Penalty, Reporting Requirements, j
Source material, Uranium.
i Part 70: Hazardous materials - Transportation, Nuclear materials, Packaging and containers, Penalty, Radiation protection, Reporting requirements, Scientific j
i equipment, Security measures,.Special nuclear material.,
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Part 73: Hazardous materials - Transportation', Nuclear materials, Nuclear power plants and reactors, Penalty, Reporting requirements, Security measures.
For the reasons set out in the preamble and under the authority of the Atomic Energy Act of 1954, as amended, the Energy Reorganization Act of 1974, as amended, and 5 U.S.C. 553, the NRC is proposing to adopt the following amendments to Parts 40, 70 and 73.
1.
The authority citation for Part 40 is revised to read as follows:
Authority: Secs. 62, 63, 64, 65, 81, 161, 182, 183, 186, 68 Stat. 932, 933, 935, 948, 953, 954, 955, as amended, secs. 83, 84, 92 Stat. 3033, as amended, 3039, sec. 234, 83 Stat. 444, as amended (42 U.S.C. 2092, 2093, 2094, 2095, 2111, 2113, 2114, 2201, 2232, 2233, 2236, 2282); secs. 202, 206, 88 Stat.1244,1246 (42 U.S.C. 5842, 5846) unless otherwise noted.
Section 40.7 also issued under' Pub. L.95-601, sec. - 10, 92 Stat. 2951 (42 U.S.C. 5851). Section 40.31(g) also issued _under sec.122, 68 Stat. 939 (42 U.S.C.2152).
Section 40.46 also issued under sec.184, 68 Stat. 954, as amended (42 U.S.C. 2234).
For the purposes of sec. 223, 68 Stat 958, as amended (42 U.S.C. 2273),
j40.3, 40.25(d)(1)-(3),40.35(a)-(d),
4tl.41(b) and (c), 40.46, 40.51(a) and (c) and 40.63 are issued under sec.161b., 68 Stat. 948 as amended (42 U.S.C. 2201(b)); and j40.25(c) and (d)(3) and (4), 40.26(c)(2), 40.35(e), 40.41(f), 40.61, 40.62, 40.64, and 40.65 are issued under sec. 1610., 68 Stat. 900, as amended (42 U.S.C. 2201(o)).
2.
Section 40.12 is revised to read as follows:
40.12 Ca rriers i
Common and contract carriers, freight forwarders, warehousemen, and j
U.S. Postal Service are exempt from the regulations in this part and' the requirements set forth in section 62 of the Act to the extent that they transport or store source material in the regular ~ course of-the carriage for another or storage incident thereto. This exemption does not apply to the transport of transient, export and import shipments of natural uranium, other than in the form of ore -
or ore residue, in amounts exceeding 500 kilograms by persons covered by the general license issued under 640.21a.
3.
A new 40.21a is added to read as follows:
40.21a General license for carriers of transient shipments of natural uranium other than in the form of ore or ore residue.
(a) A general license is hereby issued to any person to possess a' transient shipment of natural uranium, other than in the form or ore or ore residue, in amounts exceeding 500 kilograms.
(b) Persons generally licensed under this section who plan to carry a transient
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shipment with scheduled stops at a United States port, shall notify the Material Transfer Safeguards Licensing Branch, Division of Safeguards, U.S. Nuclear Regula-tory Commission, Washington, D.C. 20555 by U.S. Mail. The notification must be 4
received at least 14 days before the first scheduled stop in the United States.
The Material Transfer Safeguards Licensing Branch shall also be notified, as soon as reasonably possible, of any changes to the shipment itinerary. The advance notification must include the following information:
(1) Location of all scheduled stops in United States territory; (2) Arrival and departure times for all scheduled stops in United States territory; l
(3) The type of transport vehicle; l
(4) A physical description of the shipment; (5) The numbers and types of containers; i
(6) The name and telephone number of the carrier's representative at each stopover location in United States territory; (7) For shipments between nations that are not party to the Convention on l
the Physical Protection of Nuclear Material, assurances, to the extent practicable, that the natural uranium will be protected during international transport at levels described in Annex I to that Convention (see Appendices E and F to Part 73).
(c) Persons generally licensed under this section making unscheduled stops at United States ports, after the decision to stop, shall immediately provide to the l
Material Transfer Safeguards Licensing Branch the information required under paragraph (b) of this section.
4.
A new 40.66 is added to read as follows:
40.66 Requirement for advance notice of export shipments of natural uranium.
(a) Each licensee who plans to export natural uranium, other than in the form of ore or ore residue, in amounts exceeding 500 kilograms, shall notify by U.S.
Mail, the Material Transfer Safeguards Licensing Branch, Division of Safeguards, Office of Nuclear Material Safety and Safeguards, U.S. Nuclear Regulatory Commis-sion, Washingtea, DC 20555 of the proposed shipment postmarked at least 14 days in advance of the shipping date.
(b) The advance notification must be in writing and include the following information:
(1) The name, address, and telephone number of the shipper, receiver, and carrier (s);
(2) A physical description of the shipment;
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(3) A listing of the mode (s) of shipment, transfer points, and routes to be used; (4) The estimated dates and times of arrival and departure; and (5) Assurance that the natural uranium will be protected during inter-national nuclear transport at levels described in Annex I to the Convention j
on the Physical Protection of Nuclear Material (see Appendix E of Part 73).
5.
A new 40.67 is added to read as follows:
40.67 Requirement for advance notice for importation of natural uranium from countries that are not party to the Convention on the Physical Protection of Nuclear Material.
(a) Each licensee who plans to import natural uranium, other than in the form of ore or ore residue, in amounts exceeding 500 kilograms, from countries not party to the Convention on the Physical Protection of Nuclear Material (see Appendix F of Part 73) shall notify by U.S. mail, the Material Transfer Safeguards Licensing Branch, Division of Safeguards, Office of Nuclear Material Safety and
. Safeguards, U.S. Nuclear Regulatory Commission, Washington DC 20555 of the proposed shipment postmarked at least 14 days in advance of the shipping date.
(b) The advance notification must be in writing and include the following information:
(1) The name(s), address (es), and telephone number (s) of the shipper, receiver and carrier (s);
(2) A physical description of the shipment; (3) A listing of the mode (s) of shipment, transfer points, and routes to be used; (4) The estimated dates and times of arrival and departure; and i
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(5) Assurances that the imported material will be protected during international transport in accordtace with Annex I to the Convention on the l
Physical Protection of Nuclear Paterial (See Appendix E of Part 73).
6.
The authority citation for Part 70 is revised to read as follows:
l AUTHORITY: Secs. 51, 53,161,182,183, 68 Stat. 929, 930, 948, 953, 954, as amended (42 U.S.C. 2071, 2073, 2201, 2232, 2233); secs. 201, as amended, 202, 204, 236, 88 Stat.1242, as amended, 1244, 12,45, 1246 (42 U.S.C. 5841, l
5842,5845,5846).
i Section 70.7 also issueo under Pub. L.95-601, sec. 10, 92 Stat. 2951 (42 l
U.S.C. 5851).
Section 70.21(g) also issued under sec.122, 68 Stat. 939 (42 U.S.C. 2151). Section 70.31 also issued under sec. 57d, Pub. L.93-377, 88 Stat. 475 (42 U.S.C. 2077).
Section 70.36 and 70.44 also issued under sec. 184, 68 Stat. 954, as amended (42 U.S.C.2077).
Section 70.61 also issued under secs. 186,187, 68 Stat. 955 (42 U.S.C. 2236, 2237).
Section 70.62 also issued under sec. 108, 68 Stat. 939, as amended (42 U.S.C. 2138).
For the purposes of sec. 223, 68 Stat. 958, as amended (42 U.S.C. 2273);
70.3, 70.19(c), 70.24(a) and (b), 70.32(a)(3), (5), (6), and -(d), 70.36, 70.39(b) and (c), 70.41(a), 70.42(a) and (c), 70.56, 70.57(b), (c), and (d),
70.58(a)-(g)(3), and (h)-(j) are issued under sec.161b, 68 Stat. 948, as amended (42 U.S.C. 2201(b)); Q70.20a(d), 70.20b(c) and (e), 70.21(c), 70.24 (b), 70.32(e) and (g), 70.56, 70.57(b) and' (d) and 70.58(a)-(g)(3) and (h)-(j) are issued under sec.161, 68 Stat. 949, as amended (42 U.S.C. 2201(1)); and 70.20b(d) and (e), 70.38, 70.51-70.55, 70.58(g)(4), (k), and (1) and 70.59 are issued under sec. 1610, 68 Stat. 950, as amended (42 U.S.C. 2201(o)).
7.
Section 70.20b is revised to read as follows:
@70. 20b General license for carriers of transient shipments of formula quantities of strategic special nuclear material, special nuclear material of moderate strategic significance, special nuclear material of low strategic significance and irradiated reactor fuel.
(a) A general license is hereby issued to any person to possess transient shipments of the following kinds and quantities of special nuclear material:
(1) A formula quantity of special nuclear material of the types and I
l Quantities subject to the requirements of 6673.20, 73.25, 73.26 and 73.27 of this chapter:
(2) Special nuclear material of moderate and low strategic signif-l icance of the types and cuantities subject to the requirements of 673.67; (3) Irradiated reactor fuel of the type and quantity subject to the requirements of 673.37.
1 (b) Persons generally licensed under this section are exempt from the requirements of Parts 19 and 20 of this chapter and the requirements of this part, except Q70.32(a) and (b), 70.52, 70.55, 70.61, 70.62 and 70.71.
(c) Persons generally licensed under this section to possess a transient j
shipment of special nuclear material of the kind and quantity specified in paragraph (a)(1) of this section shall provide physical protection for that shipment in accordance with or equivalent to 73.20(a),73.20(b)ana73.25 l
of _this chapter and comply with the requirements of 73.70g and 73.71(b) of this chapter from the time a shipment enters a United States port until it exits that or another port. - _ _
(d) Persons generally licensed under this section to possess a transient shipment of special nuclear material of moderate or low strategic significance of the kind and quantity specified in paragraph (a)(2) of this section shall provide physical protection for that shipment in accordance with or equivalent to 673.67 of this chapte'r and shall comply with the requirements of 673.71(b) of this chapter.
(e) Persons generally licensed under this section to possess a transient shipment of irradiated reactor fuel of the kind and quantity specified in para-graph (a)(3) of this section shall provide physical protection for that shipment in accordance with or equivalent to 673.37 of this chapter and shall comply with the requirements of 673.71(b) of this chapter.
(f) Persons generally licensed under this section who plan.to carry transient shipments with scheduled stops at United States ports, shall notify the Administrator [-D& rector-] of the appropriate-Nuclear Re,gulatory Comission
[-Inspec-t4on--and--Enforc-ement] Regional Office listed in Appendix A of Part-73 and to the Material Transfer Safeguards Licensing Branch, Division of Safeguards, Office of Nuclear Material Safety and Safeguards, U.S. Nuclear Regulatory Commis-sion, Washington DC 20555 by U.S. Mail. The notification must be received 14 days l
before the first scheduled stop in the United States. The Administrator [04+ecter-]
of the appropriate Nuclear Regulatory Commission Regional Office shall also be notified by telephone 14 days in advance of the shipping date that an advance shipping notice has been sent by mail, and of any changes thereafter to the ship-ment itinerary (as soon as reasonably possible) prior to the shipment date.
Persons who are generally licensed under 670.20b(a)(1) must include the information listed i
i in (1) through (8) of this paragraph.
Persons who are generally licensed i
under 670.20b(a)(2) and (3) must include information listed in (1) through (7) of this paragraph.
(1) location of all scheduled stops in United States territory;.
(2) Arrival and departure times for all scheduled stops in United States territory; (3) The type of transport vehicle; (4) A physical description of the shipment (elements, isotopes, enrich-ments,etc);
(5) The number and types of containers; (6) The name and telephone number of the carrier's representative at each stopover location in United States territory; (7) For shipments between nations that are not party to the Conven-tion on the Physical Protection of Nuclear Paterial, provide assurances, as far as practicable, that this nuclear material will be protected during international transport at levels described in Annex' I to that Convention (see Appendices E and F to Part 73) and (8) A physical protection plan for implementing the requirements of 70.20b(c), which will include the use of armed personnel to protect the shipment during the time the shipment is in a United States port.
,{gl Persons generally licensed under this section making unscheduled stops at United States ports, immediately after the decision to stop, shall:
(1) Provide to the Material Transfer Safeguards Licensing Branch, the information required under paragraph (f) of this section.
(2) In the case of persons ~ generally licensed under paragraph '(a)
~
(1) of this section, arrange for 1_ocal. law enforcement authorities or trained and qualified private guards to protect the shi_pment during the stop.
~
(3). In the case of/ persons generally licensed under paragraph (a) j (2) of this section, arrange for the shipment to be protected as~ required in 673.67 of this chapter.
-(4) In the case of persons generally licerised 'under paragraph (a)
.(3)ofthis'section,arrangefortheshipmenttobeprotNetedas' required in 673.37(e) of this-chapter.
151Implementthese.arrangemen_tswithinaireasonabletimeafterthe arrival of the shipment at a_ United States _ port to remain.in effect'until' the shipment exits that or. another port.
i Part 73 PHYSICAL PROTECTION OF PLANTS. AND MATERIALS 8.
The authority citation for. Part 73 is. revised to' read as follows:
AUTHORITY:
Secs. 53,161, 68 Stat. 930, 948,; as -amended, sec.147, 94 Stat..
780 (42 U.S.C.. 2073, 2167, 2201);. sec. 201, _88 : Stat. ' 1242, as. amended,'sec. 204,
,i 88 Stat.1245- (42 U.S.C. 5841, 5844).
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Section 73.37(f) is also issued under'sec; 301, Pub. L.96-295, 94 Stat. 789 (42 U.S.C. 5841 note).-
For the purposes of sec. 223, 68 Stat. 958, as amended (42 U.S.C.f 2273);
~
jj73.21, 73.37(g), 73.55 are-issued under sec.161b, 68 Stat. 948, as amended _
(42 U.S.C. 2201(b));
73.20, 73.24,'73.25, 73.26. 73.27,.73.37,E73.40, 73.45, 73.46, 73.50, 73.55, 73.67 'are issued under-sec. ~1611, 68 Stat. ' 949, as ' amended -
(42 U.S.C. 2201(1)); and 73.20(c)(1), 73.24(b)(1) 73;26(b)(3), (h)(6), and
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. (42 U.S.C. 2201(b));
73.20, 73.24, 73.25, 73.26, 73.27, 73.37, 73.40,-73.45.
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73.46, 73.50, 73.55, 73.67 are issued under sec. 1611, 68 Stat. 949, as amended (a2 U.S.C. 2201(i)); and 73.20(c)(1),73.24(b)(1),73.26(b)(3),(h)(6),and (k)(4), 73.27(a) and (b), 73.37(f), 73.40(b) and (d), 73.46(g)(6) and (h)(2),
73.50(g)(2), (3)(iii)(B) and (h), 73.55(h)(2), and (4)(iii)(B), 73.70, 73.71, 73.72 are issued under sec. 1610, 68 Stat. 950, as amended (42 U..S.C. 2201(o)).
9.
In 73.1, a new paragraph (b)(8) is added to read as follows:
Q73.1 Purpose and scope (b)
(8) This part prescribes requirements for advance notice of export and import shipments of special nuclear material including irradiated reactor fuel.
10.
Section 73.72 is revised to read as follows:
73.72 Requirement for advance notice of shipment of formula quantities of strategic special nuclear material or special nuclear material of moderate strategic signifi-cance.
[ spec-i+1-nuc-lar-eate#ab-]
(a) Each licensee who plans to import, export,-transport, deliver to a carrier for transport in a single shipment, or take delivery, at the point where it is delivered to a carrier, the following materials shall notify the Administrator
[D4-r-ecetoe.] of the appropriate b iear Regulatcry Commission [lupect4on-ed-En-forte-ment-] Regional Office listed in Appendix A and to the Material Transfer Safeguards Licensing Branch, Division of Safeguards, Office of Nuclear Material Safety and Safeguards, U.S. Nuclear Regulatory Commission, Washington, D.C. 20555 by U.S.
Mail, postmarked at least _14_ [-7-] days in. advance of the shipping date:
(1) fonnula quantities of strategic special nuclear material, or (2) special nuclear material of moderate strategic significance.
i (b) [-The--foi-low 4eg-4n-format-ton-shal be--feroi shed--i n-the-advance-not-i c e4 sMpper,--receivec,--c+er4ec{s-),-ost 4 mated-4ates-end-t4 mes-of-deperttfre-and-a rriva-i,- L ous-fer point-(5-),-end-fede(5-)-of-sh4 eent-] The notification f
shall include the following information:
(i) The name, address, and telephone number of the shipper, receiver and carrier (s);
(ii) A' physical description of 'the shipment (elements, isotopes, enrich-ments,etc.);
(iii) A listing of the mode (s) of shipment, transfer point (s) and route (s) to be used; (iv) The estimated time (s) and date(s) of arrival and departure; and (v) For export shipments, assurance that this nuclear material will be protected during international transport at levels described in Annex I to the Convention on the Physical Protection of Nuclear Material (see Appendix E of this Part.
(c) The Administrator [Gi-rector-] of the appropriate Nuclear Regulatory Commission Regional Office shall also be notified by telephone H [-7-] days in advance of the shipping date that an advance notice has been sent by mail and of any changes to the shipment itenerary prior to the shipment date. Road shipments or transfers with one-way transit lines of 1 hour1.157407e-5 days <br />2.777778e-4 hours <br />1.653439e-6 weeks <br />3.805e-7 months <br /> or less in duration between installations of a licensee are exempt from the requirements of this section 11.
Section 73.73 is added to read as follows:
73.73 Requirement for advance notice of export shipments of special nuclear material of low strategic significance and irradiated reactor fuel. E
i fa) Each licensee who plans to export the following materials shall notify by U.S. Mail the Material Transfer Safeguards Licensing Branch, Division of Safeguards, Office of Nuclear Material Safety and Safeguards, U.S. Nuclear Regu-latory Commission, Washington, DC 20555 of the proposed shipment, postmarked i
at least 14 days in advance of the shipping date:
8 (1) Special nuclear material of low ~ strategic significance 'and (2) Irradiated reactor fuel.
(b) The advance notification must be in writing and include the following information:
(1) The name, address, and telephone number of the shipper, receiver, and i
carrier (s);
(2) A physical description of the shipment (elements,' isotopes, enrich-3 ments,etc.);
(3) A listing of the mode (s) of shipment, transfer points, and routes to be used; (4) The estimated dates and times of arrival and departure; and (5) Assurance that this nuclear material will be protected during inter-national nuclear transport at levels described ~in Annex I-to the Convention on the Physical Protection of Nuclear >bterial (see Appendix E of this Part).
12.
Section 73.74 is added to read as follows:
Q73.74 Requirement for advance notice for the importation of nuclear material from countries that are not party to the Convention on the Physical Protection of Nuclear Phterial.
(a) Each licensee who plans to import the following nuclear materials 'from countries not party to the Convention on the Physical Protection of Nuclear
. F 1
t 4
Material- (See Appendix F of this Part) shall notify by U.S.' Mail the Material o
L
.i Transfer Safeguards-Licensing Branch, Division of-Safeguardsf 0ffice of Nuclear-n Material Safety and Safeguards, U.S. Nuclear Regulatory Commission, Washington-i DC 20555 of the proposed shipment postmarked at least'14 daysnin' advance of.
'j the shipping date.
1 (1) Formula quantities of strategic special nuclear material, (2) Special nuclear material of moderate strategic' significance-
.-r containing in any part strategic special' nuclear' material,.
l (3) Special nuclear material of low strategic significance or (4) Irradiated' reactor fuel.
(b) The advance notification must be in: writing-and include the following information:
(1) The name(s). address (es) and telephone number (s) of the shipper.
receiver and carrier (s);'
(2) A physical description of the shipment (elements,: isotopes, enrich-
- ments,etc.);
(3) A listing of mode (s) of shipment, transfer points and routes to be used; (4) The estimated dates and times of arrival and: departure'; and i
(5) Assurances that the imported material will' be protected 'during inter-national transport in accordance with Annex 1 to the Convention on the Physical Protection of Nuclear Material (See Appendix E of-this Part). i
i
- 13. Appendix E is add::d to read as follows:
Appendix E - LEVELS OF PHYSICAL PROTECTION TO BE APPLIED IN INTERNATIONAL l
IRANSPORT OF NUCLEAR MATERIAL *
(From Annex 1 to The Convention on the Physical Protection of Nuclear Paterial)
(a) Levels of physical protection for nuclear material during storage incidental l
to international nuclear transport include:
(1) For Category III materials, storage within an area to which access if controlled; (2) For Category II materials, storage within an area under constant surveil-lance by guards or electronic devices, surrounded by a physical barrier with a l
limited number of points of entry under appropriate control or any area with an equivalent level of physical protection; (3) For Category I material, storage within a protected area as defined for l
Category II, to which, in addition, access is restricted to persons whose trustworthiness has been determined, and which is under surveillance by guards l
who are in close communication with appropriate response forces. Specific measures taken in thh context should have as their object the detection and prevention of any assault, unauthorized access or unauthorized removal of material.
(b) Levels of physical protection for nuclear material during international transport include:
(1) For Category II and III materials, transportation shall take place under special precautions including prior arrangements among sender, receiver, and carrier, and prior agreement between natural or legal persons subject to the jurisdiction and regulation of exporting and importing States, specifying time,
- See Appendix C to Part 110 for the physical description of the Categories of nuclear material as set forth in Annex I to the Convention.. For the purposes of this Part, the following categories of nuclear material are synonymous:
Category I is a formula quantity of strategic special nuclear material; Category 11 is special nuclear material of moderate strategic significance; and Category Ill is special nuclear material of low strategic significance.
place and procedures for transferring transport responsibility; (2) For Category I materials, transportation shall take place under special precautions identified for transportation of Category II and III materials, and in addition, under constant surveillance by escorts and under conditions which assure close communication with appropriate response forces; (3) For natural uranium other than in the form or ore or ore residue, transportation protection for quantities exceeding 500 kilograms U shall include advance notification of shipment specifying mode of transport, expected time of arrival and confirmation of receipt of shipment.
14.
Appendix F is added to read as follows:
Appendix F -- Nations that are Parties to the Convention on the Physical Protection of Nuclear Nterial (a) The following nations are party to the Convention on the Physical Protection of Nuclear Mterial:*
(1) Czechoslovakia, April 23, 1982 (2) German Democratic Republic (East Germany), February 5,1981 (3) Korea, Republic of, April 7,1982 (4) Philippines September 22,1981 (5) Sweden, August 1, 1980 (6) United States of America, December 13,1982 Dated at Washington, D.C. this day of
,1983.
For the loclear Ibgulatory Commission.
Samuel J. Chi 1 k, Secretary of the Commission.
- Once the Convention enters into force, an updated list of party nations will appear annually in the Department of State's publication Treaties in Force.
Appendix F will be amended as required to maintain its currency.
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sENiTE l
r CONVENTION ON THE PHYSICAL PROTECTION OF-NUCLEAR MA.TnTAT, l
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THE PRRSmENT OFM. UNITED 8 TAT..ES TRANs3EET1TNG THE CONVENTION ON THE PHYSICAL PROTECTION OF NUm'An MATERIAL, ADOPTED AT A VIENA MEETING OF GOTERNMEh?
REPRESENTATIVES ON OCTOBER 28, 1979 AND WAS SIGhTD BT THE UNITED STATES ON MARCH 3,1980-
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MAY 9,1950Montention was read the Arzt time and, together.with the accompanying - papers, ' referred 7 to the - Committee on ' Foreig~
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-- Reistions and ordered to be printed for the use of the Senate l
U.S. GOYERN1!ENT PRINTING OFFICE 59-115 0 WASHINGTON s 19SO.
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I LETTER OF TRANSMITTAL 4
P Taz Warrs Housr.,May s,1980.'
l To the Senate of the Us.itedStates: -
I submit herewith, for Senate advice and consent to ratification the '
l Convention on the Physical Protection of Nuclear Material. This Con-F vention was ado ted at a Vienna meeting overnment ta-i ti,ves on Octobe 26, 1979, and was signe the United tates on.
l.
March 3,,1980. The Convention establishes an international frame- -
work for unproving the physical protection of nuclear material durmg i
international transport as well as for international cooperation in :
recovering stolen nuclear material and in responding to senous ofenses I
involvingnuclearmaterinL -
4 The United States has been a leader in the international campaign to prevent the proliferution of nuclear explosive devices. The C' ngress _,
o and I have cooperated in enacting the Nuclear Non. Proliferation Act : -
of 1978 to stren6 en this critically important efort. :
th The Convention on the Physical Protection of Nuclear Material was
- a Unit d States initiative called for by that Act. It complements our 4
non proliferation eforts by dealing with threats to nuclear material that may arise from terronst groups. This is a gap in the' current intar-national structure and I urg,e the Senate to act expeditiously in giving.
its advice and cons,ent to ratification. I also transmit herewith, for the.
information of the Senate, the report of the Department of State con-cerning the Convention.
Juner 'CN (nz)
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LETTER OP SUBMITTAL Dzraarxxxr or' Surz,1 TFasEngton, Apr:7ss,493._
The Par.ser.xr,.
The TVMts House.
h Pazzmzxr:I have the honor to submit to you, with a New to.
- its tr===k= ion to b Senate for adrios and consent to ratification,:
- the Convention on the Physical Protection of Nuclear Material. The -
Convention was adopted at a Vienna meeting of government npre-sentatives on October 3,1980, b date on which it opened for signature.
The Convention is the result of a United States proposal ora made by the Secretary of State in 1974 in his statement to the ni Nations General Jusembly. On May 30,1975, the NPT Review Con.
farence urged that work in this ana be undertaken. In February 1976 the United States began informal consultations;with a number of J,
governments.on a draft which it had repared. On June 16 1977, the International Atomic Energy Age IAEA) circulated a i7.S. draft
=r to all members of the IAEA, and tober 1977 the IAEA General.
Conference adopted resolution GC(XII)/Res/350. supporting the esorts underway to drafting s convention.. '
Meetings of governmental representatives were held in Vienna at.
4
~l IAEA Headquarters from October 81-November 10,1977,~ April 10-20,1978 February 5-16,1979, and October 15-26,1979. Informal con'
'cultation,s between ' vernmental representatives took place.Septem-ber4-7,1978 and Se ember 24-25 1979.-
On October 26 1 79, the negotia, tion of the Convention was success-fully concluded,, he text was adopted and representatives signed b :
t Final Act of the meeting. Representatives of 58 states and one orga *-
obserrer states and one observer organization. The, there were fourtext, as fi nization participated in the negotiations. In addition J
I adopted, was agreed to by consensus.
Although the United States initiative leading to the Convention predates the Nuclear Non. Proliferation Act of 1978 (NNPA), the Convention: does, in~ fact, contain provisions covering key' elements -
called forby the Act.
' Section 208 of the NKPA. 22 U.S.C. 8243, calls upon the United States to seek to negotiate with other nations and groups of nations' to " establish international procedures to be followed in the event of diversion, theft or sabotage of nuclear materials or sabotage of nuclear <
facilities and for recovering nuclear materials that have been lost or stolen..,.."
Section 403 of the NNPA,42 U.S.C. 2153b, provides that the Presi-dent shall talte immediate and rigorous steps to keep, agreement from all nations and groups of nations that" adequate physical security will _
be established and maintained with nspect to all nuclear actarities' (t)-
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within the territories of each nation and group of nations under its national shi, or under its control anywhere, and with respec,t to inter-jurisdiction pment of significant quantities of source or special nuclear material or arradiated source or special nuclear material, which shallt also be conducted under international safeguards." -
During the negotiation of the Convention the United States sought' covertngkeyelem, and the Convention as ad, opted contains pro such provisions ents of those called for.'
Article 2 provides that the Convention applies to nuclear mate-ial used for peaceful purposes. It makes clear that Articles 3 and 4 and:
1 paragraph 3 of Article 5 apply only to international nuclear rt, while the remainder of the provisions also apply more bros to.
nuclear material while in domestic use, storage and transport. ara-graph 3 of Article 2 uns inserted to reassure states that apart from those domestic commitments expressly set forth, the Convention does 7
not afect a state's right to regulate domestic use,'storaga and trans.
port of nuclear material.L
- =,. -
s-
-Under Article 8, each state party is required to take a steps within the framework of its national law and ca=p*propriate' 1
ent with:
international law to ' ensure as far as prseticable thatsduring interna -
tional nuclear transport, nuclear material:within its territory, or on -
board a ship or aircraft under its inrisdiction and enge,ged in transport =
to or from that state is protected at levels of protection ses forth for.
-diferent categories o,f material in Annex I to the Convention. ThiT provision will be implemented in the United States by appropriate regulations. -
_ {.
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Article 4 of the Convention requires each state pasty not to export L or authorize the export of nuclear material unless it has ' received assurances that such material will be protected during international l
nuclear transport at the levels of protection provided for in Annar L.
Where the exportin importing state is, g stata is not a party to the Convention but the i
4 this responsibility falls on the importing state.
Where neither the exporting nor the importing state is a party, it l
becomes the obligation of a state party that is transited by land or-internal waterway or whose airports or seaports are entered to receive -
i these assurances as far in advance-as practicable. The state party.
responsible for receiving assurances is to identify'd to transit bp and inform in advance states which the nucksr material is expecte i
land or internal waterway or whose airpoIts or weaports it is uW to enter. Thess obligations will be implemented in the United Statas -
' through regulatory and procedural changes.-
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1.
1 Article 5 provides a framework for international cooperation in the recovert and protection of stolen nuclear material Each state party is -
required to identify and make known to each other its antral author-
-ity and point of contact for physical protection of nuclear material and coordinating recovery and response operations. In the event of theft,'
i robbery or any unlawful taking of nuclear material or credible threat -
thereof, states parties, in accordance with their national law, agree to ;
provide cooperation and assistance to the maximum extent feasible in the recovery and protection of such material to any state that so re-;
- quests. Such cooperation ~ and assistance enn include informing other concerned states, exchanging information, verifying the integrity of.
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shipping l containers, coordinating esorts through diplomatic;and7 j
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other agreed channels, rendering Uther requested assistance', and en-i suring theieturn of stolen or missing material States parties are to-
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i cooperate and consult as appropriate, either directly'or through inter--
national organizations,,with a view to ob *
- dance on the de-sss o cal protection sign, maintenance and improrement of.m of nuclear mate rial in international tisnsport. In connection,pur-suant to section 202 of the NNPA,it may be noted that the De 1
j of Energy has established a safeguards and physical training obliga- -
p,rogram for fonign persons concerned with these matters. cons m Article l
I'
'.changesinlaw or regulation.
rArnele 6 deals with the protection of information. It provides thati l
appropriate measuits consistent with national law will be tahan to ~
f protect the confidentiality of any information received in confidence under the terms of the Convention. It further provides that states shall not be required to provide information they are not permitted to com-o
. municate pursuant to national law or which would jeopardise the secum rity of the state concerned or the physical protection of nuclearmate ; <
L I
rial. These provisions require no change in United States law.--
l Articles 7-14 define certain serious ofenses involym* g' nuclear. mate _
. rial which states part es are to ma e pun s ai h ble and for which ofen-
.i i
k i-r ders would be subject to a systeni of extradition or submission-for c
i prosecution. These provisions parallel those under a number of other conventions,'such as the Convention on the Prevention and. Punish
- ment of Crimes Against Internationally Protected Persons Including ;
j.
Diplomatic Agents, to which the United States is a party. The' Ad-i mhtistration-will propose appropriate implementing legislation for -
these provisions, which should be enacted prior to the deposit by the United States of its instrument of ratification for the Convention..
' Under Ardele 7 each state party shall make puninhable under its -
4 national law such, acts as theft or robbery of nuclear material, ding ~
em-L deman bezzlement or fraudulent obtaining of nuclear material,idation,and-l
~
nuclear material by threat or force or other form of intim i
L i-Under Article 8, each state party shall establish its jurisdiction over i
these ofenses when committed in the territory of that state or on board s ship or aircraft agistered in that state, when the alleged ofender is _'
lL a national of that state, or when the ofender is "usent m its territory '
'.i and that state does not extradite him to one,oH the foregoing states.
- i Under Article 9, upon being satisfied that the circumstances so war-rant. the state party m whose territory the alleged ofender is present :
- i
- i shall take appropnate measures under its national law to insure his presence for the purpose of prosecution or extradition.
j.
Article 10 requires that that state in which the alleged ~ofender is.
Present, if it does not extradite himi to submit, without exception =
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whatsoever and without undue delay, the case to its competent authori-tics for the purpose of prosecution.-,
I:
, Article 11 regulates extradition relations between states parties con--
eerning ofenses listed in' Article 7. Article is guarantees alleged of-2 fenders fair: treatment at all stages.of the proceedings. Article;13:
requires states parties to aford 'one another the greatest measure ofl assistance in enminal proceedings brought in respect to ofenses set -
E forth in Article 7. Article'14 provides fo'r the exchange of relevant information concerning these matters..
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% Convention was opened for signature in New York and Vienna on March 3,1980 Article 18. A special provision permits the Euro-pean Atomac Ener(gy Commu)nity to pararru Article 18. The Convention enters into force on the 3 a follow-19 i, and for each mdividual state adherinfurt for amendme,nt of tE '
after that date 30 da after the deposit of its instrument. A proce Convention is provided (Article 20). A state party may denounce the Convention by written notice,itory (Article 21). In any event, thers effective 180 cars following the date notice is recetred by the depos will be a review conference fire years after entry into fo and at five year intervals thereafter if a majority of parties so desire Article -
16). Disputes concerning the interpretation or application of Con-rention are to be submitted to arbitration or referred to the Intersa -
tionalCourtof Justles fordecision it does not consider itself bound by,exceptif a state partydeclaresthat either or both of these procedures (Article 17).
The depositary of the Convention is the IAEA (Article 28 whichi has the duty of notifying all states of all signi8 cant developme)n,ts con-'
l cerning the Convention (Article 22).
N U.S. delegation to the confennes at which this Convention was neptisted was led by the Department of State and included. represent- -
atzres of the Departments of Energy and Defense, the Nuclear Regs, latory Commission and the Arms iControl and Disarmament Agency.'
Allof theseagencieshaveapprovedtheConvention 1.
I recommend that you transmit this Convention to the Senate with -
the recommendation that it be approved at an early date.
-Respectfully submitted..
Ornus Yurcz.
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7 CzrrHICATToN.
I certify that this is a true copy of the Convention' on the Physical Protection of Nnelear Material, which shall be open for signature by all States at the Headquarters of the International Atomic Energy Agency and at the Headquarters of the United Nations in New York '
from 3 March 1980, and shall be deposited thereafter with the Director.
Generalof theInternational AtomicEnergy Agency.
Vienna, February 1,1980.
L.W. Hzanox Director, Legal Dis'irion (For Director General).
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i Coxrzxnox ox raz ParmCAL Paorzerzow oF {UCI.r.A1 NMML i
. The States Parties to This Convention,,
Recognising the right of all States to develop and apply nuclear -
~!
energy for peaceful purposes and their legitimate mteresta m the poten-(
tial benefits to be derived from the peaceful application of nuclear energy,inced of the need for facilitating international co-operation:
Canc in the peaceful application of nuclear energy, d by the unlawful taking Desiring to avert the potential dangers pose
-i and use of nuclear material,1 -
Convinced that'ofences relating to nuclear material are a matter
'l of grave concern and that there is an urgent need to adopt appropriate -
and efective measuns to ensure the prirention, detection and punish.
- mentof suchofences, for international co operation to establish in -
Aware of the Need conformity with the national law of each State Party and with htis Convention
-i material
, efective measures for the physical protection of huelear -
~~
ConviEced that this Convention should facilitate the safe transfer i
of nuclearmaterial's importance of the physical protection of nuclear Streseing also th I
material in domestic use, storage and transport, Recognising the -importance of efective physical' protection of-.
a nuclear material used for military purposes, and underd=5mr that such material is and will continue to be accorded stringent ph"ysical protection, J
Harz Acazzo as follows:
4 A rticit [
For the purposes of this Convention i :
(a) " nuclear material" means plutonium execpt that with isotopic i
concentration exceeding 80% in plutonium-238;ium containin;g the uranium-233 urs-nium enriched in the isotopes 235 or 233; uran
.I mixture of isotopes as occurring in nature other than in the form' of ~
ore or ore residue; any material containing one or more of the fore--
goinf;"uraninm enriched in the 235 or 233"means uranium containin the(b isotopes 235 or 233 or both in an amount such that the abundance
- ratio of the sum of these isotopes to the isotope 238 is greater than the ratio of the isotone 235 to the isotone 238 occurring in nature;
, (c)- international nuclear transport" means the carring of a con.
. signment of nucient material by any means of transportatson intended to y beyond the territory of the State where the sliipment originates '
begmning with the departure from a facility of the shipper m that State and ending with the arrival at a facility of the recetrer within
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the State of ultimate destination..-
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-~ Article 9 1
I
- 1. The Convention shall apply to' nuclear material used for peaceful o
4 purposes while in international nuclear transport.1 1
j
- 2. With the exception of articles 3 and 4 and paragraph 3 of article 5, 1
- this Convention shall also_ apply to nuclear matenal used for peaceful' I
purposes while in domentie use, storage and transport. :
[
- 3. Apart from the commitments expressly undertaken by States 1
- Parties in the articles covered by paragraph 2 with respect to nuclear.
material used for peaceful purposes while in domestic use, storage j
i and transport, nothing in this Convention shall be-interpreted:as' afecting the sovereign rights of a State regarding the domestic use,;
3 i.
storage and transport of such nuclear matenal.
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Artfo3s 3-l 4
' Each State Party shall take ap riate steps within the fraine-1 i
work of its national:lawJ and =p op*nbwith-international 5Inw:
1:
nm j
to ensure as far as practicable that, during international nuclear trans-1 or on boarti a ship or; y
port, nuclear material within its terntory,h ship or aircraft is;en--
4 aircraft under its jurisdiction insofar as suc 1
$[
gaged in the transport to or from that State, is protected at the levels ;
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' describedininner L..
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- 1. Each State Party shall-not export or authorin the ' export of '
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i nuclear material unless the State Party has received assurances that j
such material will belprotacted dunng the. international nuclear-1 transport at the levels described in Annex LL
- 2. tach State Party shall not import or authorin the import of i
nuclear material from a State not party to this Convention unless the i'
State Party has received assurances that such material will during the t
international nuclear transport be. protected'at the levels desenbed l
in AnnexL j
P
- 3. A State Party shall not allow the transit of its territory by land i
.or internal waterways or through its airports or seaports of nuclear i
material between States that are riot parties to this Convention unless i
the State Party has received assurances as far as practicable that this i.
L nuclear material will be protected during international nuclear trans-1 0
port at the levels described in Annex L i=
- 4. Each State Party shall apply within the framework of its na- -
1:
tional law the levels of physical protection described in Annex I to 4
i nuclear material being transported from a part'of that Stata to.
1
.another part of the same State' through internationaLwaters or.
airspace..
Y
,5. The State Party' responsible lor receiving assuraneMhat the.
4 nuclear material will be pinteeted at the levels described in Annex I
[
according to paragraphs 1 to 8 shall identify and inform in advance i
- l States which the nuclear material is expected to transit by land or -
- internal. waterways, or whose airports or seaports it is expected.to.
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- 6.' The responsibility for obtaining assurances referred to in' para- -
graph I mnv be transferred, by mutual agreement, to the State Party t
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% Nothing in this article shall be interpreted as in any way affecting the territorial sovereignty and jurisdiction of a State, meluding that over its airspace and terntorial sea.
Artkle 5
- 1. States Parties shall identify vid make*known to each other directly or through the International Aiomic Energy Agency their central authority and point of contact having responsibility for physi-cal protection of nuclear material and for co-ordinating recovery and response operations in the event of any unauthorized removal, use or alteration of nuclear material or in the event of credible threat thereof.
- 2. In the case of theft, robberv er any other unlawful taking of nuclear material or of credible threat thereof, States Parties shall, 1
in accordance with their national law, provide co-operation and assist-such material to any State that so requests. In particular: protection of ance to the maximum feasible extent in the recovery and (a) a State' Party shall take appropriate steps to inform as sbon as possible other States which appear to it to be concerned, of any theft, robbery or othe,r unlawful taking of nuclear mate-rial or credible threat thereof and to inform, where appropriate, international organizations; (5) as appropriate, the States Parties concerned shall cAch'ange_ _
information with each other or international organizations witn a view to protecting threatened nuclear material, verifym* g the integrity of the shipping container, or recovermg unlawfully taken nuclear materialand shall:
(i) co-ordinate their efforts through diplomatic and other agreed channels;, tance,if requested (it) render assis ing(iii) ensure the return of nuclear; material stolen as a consequence of the above-mentioned events.
The means of implementation of this co-operation shall be determined by the States Parties concerned.
each other directly or thron-h international organizations, with a, with
- 3. States Parties shall co-operate and consult as appropriate view to obtaining guidance on tI2e design, maintenance and improvement of systems of physical protection of nuclear materialin international transport.
Adkle 6
- 1. States Parties shall take appropriate measures consistent with their national law to protect the confidentiality of any information which they receive in confidence by virtue of the provisions of this Convention from another State Party or through participation in an activity carried out for the implementation of this Convention. If States Parties provide information to international organizations in confidence, steps shall be taken to ensure that the confidentiality.of such information is protected.
- 2. States Parties shall not be required by this Convention to provide ~
any information which they are not permitted to communicate pur-suant to national law or which would jeopardize the security of the State concerned or the physical protection of nuclear matenal.
~ ~_ - - = - -
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A rticle 7 i
1.Theintentionalcommission of:'
cei(pt, possession, use transfer, alteration, disposal or dispers
- s) an act without lawfe.1 authority which constitutes the n of nucJear material an,d which causes or is likely to causa death or serious iniure to any person or substantial damage to propedy; -
(5): a thef't or robbery of nuclear rnaterial: :
t
. (c) an embezzlement : or fraudulent. @iniar of ' nuclear material;.
(d) an act constituting a demand for nuclear material by threati 1
or use of force'or by any other form of intimidation;: - ;
- (e) a threat:.
to an)y person or substantin! propedy damage, ori..'(i to use 1
order)to compel a natural orlegal(ii to commit an ofense described international orgs-
- nization or State to do or to refram, person,doing any set from (ab)b) or (c);pt to commit any ofense described m parag;ra j
(f an attem and..
(a an act which constitutes participation _in any.of,ense'de in parsgraphs to f)
E hall be made a punishable (a) fens (e by each State Party underits
. sen s
o tional law.
- 2. Each State Party shall makh the ofenses described in this adiele -
't punishable by appropriate penalties which take into' account their grare nature.
Article ' 8.
- 1. Each State Party shall take such measures :.s may be necessay -
i to establish its jurisdiction over the'ofenses set forth m article 7 in the following cases:.
' (s) when the ofense is committed in the territory of that Stats or on board a ship or aircraft registered in that Stata; 1
- (5 when the alleged ofenderis a national of that Stata. -..
- 2. Each) State Party shall likewise take such measures as may 8
l essary to establish its jurisdiction over these ofenses in cases where the.
i alleged ofender is present in its territory and it does not extradite him l
pursuant to article 11 to any of the States mentioned in paragraph 1. -
- 8. This Convention does not exclude any criminal junsdict. ton exere cised in accordance with national law.
- 4. In addition to the State Parties mentioned in paragraph $1 and 2,1
~
each State Party may consistent with international law, establish its, jurisdiction over the osenses set forth in article 7 whenit is involved in
~
international nuclear transport as the exporting or importing State.3 4
- A rticZs P.
4 Upon being satisfied that the cirrumstances so warrant the State.
Party in whose territory the alleged ofender is present sha,ll take ap-propriate measures, including detention, under its national law to en -
sure his presence for the purpose of prosecution or extrndition. Meas-ures taken according to tlus article shall be notified without delay to the.
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5 States required to establish jurisdiction pursuant te
. ticle 8 and, where appropriate, all other States concerned.
Artick 10 The State Party in whose territory the alleged ofender is present shall, if it does not extradite him submit, without exception what-soever and without undue delay, th,e case to its competent authorities for the puropse of prosecution, through proceedings in accordance withthelawsof thatState..Artkle 11 L The ofences in article 7 shall be deemed to be included as ex-traditable oHences in any extradition treaty existing between States Parties. States Parties undertake to include those ofences as extradit-able ofenses in every future extradition treaty to be concluded be-tween them.
2.If a State Party which makes extradition conditional on the exist-ence of a treaty necives a request for extradition from another State Party with which it'has no extradition treaty, it may at its option consider this Convention as the legal basis for extradition in nspect of those ofences. Extradition shall be subject to the other conditrons provided by the law of the requested State.
- 3. States Parties which do not make extradition conditional on the -
existence of a treaty shall recognize those ofences as extraditable of-fences between themselves subject to the conditions provided by the law of the requested State.
- 4. Each of the ofences shall be treated, for the purpose of extradi-tion between States Parties, as if it had been committed not only in the 11 ace in which it occurred but also in the territories of the States
?arties required to establish their jurisdiction in accordance with para-graph l of article 8.
Article 19 Any person regarding whom proceedings are being carried out in connection with any of the oEenses set forth in article 7 shall be guaranteed fair treatment at all singgs of the proceedings.
Article 13
- 1. States Parties shall aford one another the greatest measum of assistance in connection with criminal proceedings brought in respect of the ofenses set forth in article 7, including the supply of evidence at their disposal necessary for the proceedings. The law of the State re-quested shall applyin all cases.
- 2. The provisions of paragraph I shall not nRect obligations under 1
any other treaty, bilateral or multilateral, which govems or will govern, in whole or in part, mutual assistance in crimmal matters.
Article 14
- 1. Each State Party shall inform the depositary of its laws and regulations which give cEect to this Convention. The depositary shall communicate such mformation periodically to all States Parties.
e I
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. 6
- 2. The State Party where an alleged ofender is prosecuted shall whenrer practicable, first communicate the Anal'ontcome of the pro,.
ceedings to the States directly concerned. The State Party shall also
~
communicate the final outcome to the depositary who shall inform all' States.
. 8. Where an ofence involves nuclear material-used for peaceful-purposes in domestic use, storage or transport and both the alleged -
ofender and the nuclear material remain in the, territory of the State Party in which the ofence was committed nothing in this Conven-fonnation concernm,reted as reaniring that $ tate Party to provide in--
tion shall be interp g ' criminal proceedings arising. out of such an ofense.D
- Article 16
- The Annexes constitute an integral part of this Convention. '
- Article'16 i
3
- 1. A conference of States Parties shall be convened by.the'deposi'
- tary fire years after the entry into force of this Conrantion to review 2
the implementation of the donvention and its adequacy.as concerns the preamble, the whole of the operative part and the annexes in the g
4 light of the then prevailing situation.
- 2. At intervals of not less than are years thereafter the majority of '.
the depositary, the conven,m,by submitting a proposal to this efec States Parties may obtain i]
g of further conferences with the same objective.
J Article 17
- 1. In the event of a dispute between two ormore States Parties con.
carning the interpretation or application of:this Convention such g
States Parties shall consult with a view to the settlement of the dispute 9
by negotiation, or by any other peaceful means of settling disputes -
- acceptable to all parties to the disputa..
l
. 2. Any dispute of this charneter which cannot be settled in ths man-ner prescribed in paragraph 1 shall, at the request of anyparty to such -
dispute,f Justice for decision. Where a dispute is submitted to arbi-be submitted to arbitration or referred to the International; Court o i
tration,if, within six months from the date of the request, the parties to the dispute are unable to agree on the organization of the arbitra- -
tion, a party may request the President of the International Court of -
~ Justice or the Secretary. General of the United Nations to appoint one -
or more arbitrators. In case of con 4icting requests by the parties to the
- dispute the request to the Secr<ary-General of the United Nations -
shall ha,ve pnonty.
- 8. Each State Party may at the time of signature ceptance or approval of this Convention or accession, ratification, ac ;
thento declare that it does not consider itself bound by either or both of the disputa -
settlement procedures provided for in paragraph 2. The other States -
Parties shall not be bound by a dispute settlement procedure provided:
for in paragraph 2, with res reservation to that procedure.pect to a State Party which has made a-
- 4. Any State Party which has made a merration in accordance with ;
paragraph 3 may,at any time withdraw that reservation by notifica--
tion to the depositary.
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Article 18
- 1. This Convention shall be open for signature b all States at the Headquarters of the International Atomic Energy ncy in Vienna i
and at the Headquarters of the United Nations in ew York from 3 March 1980 until its entry into forte-
- 2. This Convention is subject to ratification. acceptance or approval by the signatory States.
- 3. After its entry into force. this Convention will be open for acces-sion by(a)ll States.This Conventien shall be open for si; mature or accession a
4.
international organizations and regional organizations of i
an integration or other nature provided that any such or-ganization is constituted by so,vereign States and has com-petence in respect of the negotiation.conchtsion and appli-cation of international agreements in matten covered by this Convention.
(5) In matters within their competence, such organizations shall, on their own behalf, exercise the rights and fulfill the resp'onsibilities which this Convention attributes to States Parties.
(c) When becoming party to this Convention such an organi-zation shall communicate to the depositary a declaration indienting which States are members thereof and which ar ~
ticles of this Convention do not apply to it.
(d) Such an organization shall not hold any vote additional to those of its Member States.
- 5. Instruments of ratification, acceptance, approval or. accession shall be deposited with the depositary.
Article 19
^
- 1. This Convention shall enter into force on the thirtieth day follow-ing the date of deposit of the twenty, first instrument of ratification, acceptance or approval with the depositary,
- 2. For each State ratifying, accepting, approving or acceding to the Convention after the date of deposit of the twenty first instrument of ratification, acceptance or approval, the Convention shall enter intd force on the thirtieth day after the deposit by such State of its instru-ment of ratification, acceptance, approval or accession.
A rticle 20
- 1. Without prejudice to article 16 a State Party may propose amendments to this Convention. The p,roposed amendment shall be submitted to the depositary who shall circulate it immediately to all States Parties. If a maiority of States Parties request the depositary to convene a conference to consider the proposed amendments, the depositary shall invite all States Parties to attend such a conference to begin not sooner than thirty days after the invitations are issuod.
Anv amendment adopted. at the conference by a two-thirds majority of all States Parties shall be promptly circu' lated by the depositary to all States Parties.
- 2. The amendment shall enter into force for each State Party that, deposits its instrument of ratification, acceptance or approval of the
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amendment on the thirtieth day after the date on which two thirds
-i of the States Partis have deposited their instruments of rati6 cation acceptance or apprord with tha depositary. Thereafter, the amend, '
ment shall enter mto force for any other State Party on the day on.
which that State Party deposits its instrument of ratification, accept.
ance or approvalof the amendment.-
~ -
' Article 21'
)
notificat[onto the depositary.L1. 'An L Stata Party may denounce -i
' 2. Denunciation shall take efect one hundred and eighty days fol-:
lowing the data on which notiScation is received by the depostary.
1 Article Rt l
The de
'tary shall promptly notifr a11 Statas of: -
(
eachs,ignature of this Convention-(
each deposit of an instrument of ratification, acceptance, l
approvaloraccession 17(c).any reservation; or withdrawal in accordance'with 1 dd any communication made by an organization in accordance with) aragraph 4(c) force of this bonvention; of article 18 theentrysto
- the entry into force of any amandment to this Convention;'
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(g) any denunciation made under article 21..-
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Article 23 Enghsh, deposited with the Director General of of which the Arabic, Chinese French, Russian and Span shan be i
-Atomic Energy Agency who shall send certified copies thereof 14 allStates.
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- 1. Levels of physical protection for nuclear material during storap.
1
)
incidental to international nuclear transport include:.
. (a) For Category III materials, storngs within an area to which.
access is controlled ; ;
(6) For Category II materials, storage within an arts under.
constant surveilTance by guards or electronic devices surrounded by a physical barrier with a limited number of poi,nts of entry
.J under appropriate contal or any area with an equivalent level of.
-i physical protection;.
l (c) For Category I material ~storag'e within a protected area-H as defined for Category II abov,e, to which,in addition access is
~
restricted to persons whose trustworthiness has been de,termined, and which is under surveillance by guards who are in close com- -
munication with appropriate response forces. Specz'fic measures --
taken in this context should have as their object the detection and '
prevention of any assault, unauthorized access or unauthorized removal of material.1
~
- 2. Levels of physical protection ~ for nuclear material during interi I'
8 national transport, include:
For Category II'and III materials transportation shall-tak(e) place under special precautions inclu, ding p,rior arrange-a ments among sender, receiver, and carrier, and pnor agreement between natural or legal persons subject to the jurisdiction'and regulation of e orting and importing States, specifying time, place and ures for transfernng transport onsibility; (b) For ategory I materials, transportatzon take place under special precautions identified above for transportation of -
Category II and III materials, and in addition,ich assure close under constant surveillance by escotts and under conditions wh communication with appropriate response forces;
)
(c For natural uranium other than in the form of ors or ore-i resid)ue, transportation protection.for quantities exceeding 500.
1 kilograms U shall include advance notification of shipment speci-
'l fying mode of transport expected time of arrival and confirmae tion of receipt of shipmen,t..
Ix Wrrxzss M nzazor, the undersigned, being dul authorized, have signed this Convention, opened for signature at Vienna and at New
- York on 3 March 1980.'
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. 1 b.551% 0 TABLE: CATIcot!ZATION OF NUCLEAR 84ATLRIAl.
Category Eaterial Fene I
il ggas L Pluteehne t.._ Unitrediatede
-2kger e Lass man i kg bet more 500 t erless bet seere mas 500 s.
Saa It 3.,
2.Urnelum 235.
Unirredbted 8
- eresies serished to 5 na er mor=
' Less thee I na Mmore 1 na etless het more 207s Urs or more than 1 ks..
Inne is A
--erserem seriched to 10 kg er more.
Lees then le kt but tWe Une butless more mee I kg.
than 20%
.-erassen earlshed 10 kg er enere.
steve estorat. Det
^ less thee 10fs U's.
3.Urselem 233.
Unitradiated:
,,, I kg er more Less thas ! kg het more 300 g erless het mere than 500 g.
See 15 s.
- 4. ltradiated fuef_
Depleted er estarei
==
oramen, thorien er beweenehed fusi Cees maa 10T, Easte sentestA* e e All plutealum ascent that wim inetspic esecantraties esteediet ar le plutonism 238.
e
- r.atanal set irradiated is a reacter er materialirradsted la e rescut het wita e radiaties level equal is et less thee 100 reds hout at see metre omskuei6ed.
8 Quantities setfalling to Caugory til sad estoral ereaism eheeld be protected le acuerdance wie predast management pracise.
- Althovsk tNs level of protecties is recommeedet it would be spes to States, spee evaluaGee of the spanic circues=
stances to assige a diflerest ca'sgery of physd protedse.
a Olhat feel aldch by Dirtue el its erstinal IIssele lasterial teatest is classi5ed as Catetery I and ll before irradeGee may be reduced ese category 6eral wtute ce radiation levet from the fuel sameses 100 racs/heer at one meue enshieided (11)
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ENCLOSURE 3 t
1 6
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i 1
SOURCE MATERIAL PROTECTION IN THE UNITED STATES
- In May 1980, the Department of State wrote the NRC on behalf of the Government of the United Kingdom concerning the physical protection of source material in the U.S.
The U.K. requested that the U.S. provide assurance to them that we protect source material as specified in the International Atomic Energy. Agency document entitled "The Physical Protection of Nuclear Material," INFCIRC/225/
Rev.1, dated June 1977.
In footnote d. to Table: Categorization of Nuclear Material on page 6 of INFCIRC/225/Rev.1, a guideline for protection of source material "in accordance with prudent management practices" was established.
A review of regulations and actual industry practices found that controls required in handling source material in 10 CFR 40 are sufficient to pennit the conclusion that the U.S. nuclear industry is applying prudent management practice to le protection of source material.
NRC requirements include:
10 CFR 40 540.3 General license requirements: "No person subject to the regulations of this part shall receive title to, own, receive, possess, use, transfer, deliver or import into... the U.S.... any source material... except as authorized in a specific or general license issued by the Commission pursuant to the regulations in this part."
140.32 The issuance of the license will not be inimical to the common defense and security or to the health and safety of the public.
540.41(c) The licensee must confine possession and use to the locations and purposes authorized in the license.
140.51 Transfer restrictions.
140.61 Records required for receipt, transfer and disposal of source material.
140.62 Licensee required to afford NRC an opportunity to inspect.
l I
- Part 40 Definition: " Source Material" means (1) uranium or thorium or any combination thereof, in any physical or chemical form or (2) ores which con-l tain by weight one-twentieth of one percent (0.05%) or more of (1) uranium, l
(ii) thorium or (iii) any combination thereof.
ENCLOSURE 3
a
. 140.64(a)
Notification of NRC by both shipper and receiver of 1000 KG or more of source material that the material has been shipped and received.
(c)
Prompt notification to appropriate NRC Regional Office of any incident in which an attempt has been made or is believed to have been made to commit a theft or diversion of more than 15 pounds of source material at any one time or more than 150 pounds of source material in any one calendar year.
Based upon staff evaluation of this matter, on October 28, 1980, James R. Shea.
Director, Office of International Programs, at the request of the Commission, responded to the U.K.'s question.
In a letter to DOS (attached).the NRC stated "The Commission believes that source material and SNM in less than Category III quantities are provided a level of protection within the licensed industry which is consistent with prudent management practice."
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- l. cuts Y. C3:*nzo-Yretary for nuclear JRShea Caputy AssistafitiS:
Energy and, Energy Technology Affairs
~U.S. Dapartmant of Stata
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Washington, D.C.
2052D' 1
u Daar Mr. Nosenzo:-
l Thank you for four letter of May 6 explaining the need to provideL British Goverra.ent with assurances.regarding the physical protec
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source -.ateria1 Lin the U.S J As you know, :the, question of international:'
I l
t ials'.is.a
. assurances regarding the physical, protection of nu
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our. review of export license applications.
'your. request and has asked ice to respond.
4 J
In: response to your l'atter, the NRC staff has conduc'tedLa revie
~
1 i l re'gulations'with respect.to the possession and handling of source and:S!G4 in less '.than Category III quantities by RRC 1,icensees,
.rovie.::td tha. actual practices of selecteThe staff concludedithe leveliof protec~
-Mttfr the licensed industry is consistant'with pFudent manage.cnts p control of sourca uetarial.
j This sevel of protection is:not, however,; requir
+
Comission-activities. = On the basis of these and other consideration 1
b21ieves that source material and Sici in less than Category lIII qu sre provided a level of protection within the: licensed: industry w
. I
.Y consistant with prudent management practice. 1.~3A'i.'--
1 a
Cocadssionar Bradford believes that:the Comissi'on:cannot[ base i
telephone survey of selected licensees reasonably;' conclude that these.
catarials are censistently assured of-a level of protection'consiste d
prudant canagoc. int. - Furtharrore 'he, believj u
' prot.e: tion..
' 7:.e itaf.f is still: evaluating thelrnuirt :nts of >.
chnge. -
. Sincerely, r,:.e.a.s..u, I
?**=te n.Chrs.
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7
LRCFwmt U.S. NUCLEAR REaULATa RY COMMIS$1;N RECOMMENDED DISTRIBUTION Office of the Secretary
- "'"* "c' Division of Safeguards, Office of l* "'^ '
I " '"*' "
Nuclear Material safetv Rnri 4Rennarae Stavan Renwn 74186 a
TITLE OF PROPOSED PAPER
~
~
Proposed Amendments to Parts 4n. 7n and 73 implementina Provisions of the Ennventinn on the Physical Protection of Nuclear Material PAPER TYPE l MEETING l Xl AFFIRMATION l l NOTATION l l lNFORM ATION DISTRl8UTION IChecn cos tor eecn racaent)
$p[g RECIPtENT
$,[g RECIPIENT i
A 3
CM*eRMAN PALLADINO X
h ADW8NSTRATON 2
'COMMISSONER GIUNSKY h
CenslatetGR k
X 3
COWhubheONER BRADFORD X
d EXECUTIVE LEGAL D6 RECTOR X
2 COWusteONER AHEARN
_{
^
X 2
COMWeBSONER ROBERTS 1
CC,;O ;2^LT:2;G urn.miumlTY '
X 2
STATE PROGRAMS X
i CONGRESSONAL AFFAIRS X
2 INTERNATONAL PROGRAMS X
1 PuBUC AFFAIRS X
10 NUCLEAR REACTOR REGULATON X
5 GENERAL COUNSEL X
2 INSPECTOR & AUDITOR X
Tl(
NUCLEAR MATERIAL SAFETY & SAFEGUARDS X
4 POLCY EV ALUATION X
10 NUCLEAR REGULATORY RESLARCH X
10 SECRETARY X
2 ANALYSIS & EVALUATON OF OPERATIONAL DATA -
X. 1 COOEM w
' = ~ rc=n:: ;rn; m.
.u-vr ru X
2 DOCUMENT MANAGEMENT SR.
X
/Q INSPECTON & ENFORCEMENT X
3 E.XECUTIVE DIRECTOR FOR OPERATONS X_
REGON AL OFFCES X gf OEPUTY DIRECTOR FOR OPERATONS X
1 KING O8 PRUSSM hh
[
1 ATLANTA ADVISORY COMMITTE E ON REACTOR SAFE GU ARDS X
1 CHICAGO 16 2
ATOW4C SAFETY & LICENSING BOARD PANEL k
DALLAS 2
ATOuC SAFETY & LICENSING APPEAL PANEL
[
1 SAN FRANCISCO TOTAL 42 SUBTOTAL 58 NuMsER Or copies
- 100
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NUMBER OF COPIES KE ta A".K S RETURN ORIGIN AL TO:
NAME I ORGANIZATON I M AL STOP Steven J. Brown NMSS/SGMT SS-881