ML20206E626
| ML20206E626 | |
| Person / Time | |
|---|---|
| Issue date: | 12/18/1984 |
| From: | Dircks W NRC OFFICE OF THE EXECUTIVE DIRECTOR FOR OPERATIONS (EDO) |
| To: | Jennifer Davis NRC OFFICE OF NUCLEAR MATERIAL SAFETY & SAFEGUARDS (NMSS) |
| References | |
| NUDOCS 8606230467 | |
| Download: ML20206E626 (130) | |
Text
. _ _ .
94-JO DEC1I MEMORANDUM FOR: John G. Davis, Director Office of Nuclear Material Safety and Safeguards FROM: William J. Dircks Executive Director for Operations
SUBJECT:
CONTROL OF NRC RULEMAKING By memorandum of February 13, 1984, " Control of NRC Rulemaking by Offices Reporting to the EDO," Offices were directed that effective April 1,1984, (1) all offices under ED0 purview must obtain my approval to begin and/or continue a specific rulemaking, (2) resources were not to be expended on rule-makings that have not been approved, and (3) RES would independently review rulemaking proposals forwarded for my approval and make recommendations to me concerning whether or not and how to proceed with the rulemakings.
In accordance with my directive, the following proposals concerning rulemaking have been forwarded for my approval along with recommendations from RES con- ;
cerning the proposals: '
(1) Proposed rulemaking (Advanced Notice of Proposed Rulemaking) concerning
" Financial Responsibility of Materials Licensees for Cleanup After Accidental and Unexpected Releases." (Sponsored by NMSS _ memorandum, Minogue to ED0 dated December 4, 1984.)
(2) Proposed final amendments to 10 CFR Parts 40, 70, 73 and 110 concerning
" Implementation of the Convention on Physical Protection of Nuclear Material for shipments of convention-defined materials during international transport. (Sponsored by NMSS - memorandum, Minogue to ED0 dated December 4, 1984.)
Continuation of these rulemakings is approved. The NRC Regulatory Agenda (NUREG-0936) should be modified to reflect the status of these proposals.
$lgaseWmiam).Dirchs, 8606230467 841218 EDO RM William J. Dircks 40 PDR Executive Director for Operations cc: V. Stello Distribution:
J. Roe WJDircks WSchwink H. R. Denton VStello DEDR0GR cf R. C. DeYoung JHSniezek R. B. Minogue Central File ED0 rf J. Phillips P. G. Norry OFC :ROGR/S
/ n
- ROGRJD :DEDR i :EDO : : :
_____:__,..' 4 __:_____
7:____________.____________.___________
NAME _ :WSc
- __:JMs_h__
) lezek _n k_____:
- VS' 11'o' ___________:
- WJDir : g_ ::
.._______:____g/84 DATE :12/14/84 :12/ /84 :12/l. :12///84 l
- 12/ /84 : :
- o
~g UNITED STATES Q; 8 o NUCLEAR REGULATORY COMMISSION A
{ E WASHINGTON, D. C. 20555 g
\...../ wpp DEC 0 41984 :
l PEMORANDUM FOR: William J. Dircks j Executive Director for Operations FRCit: Robert B. Minogue, Director 1
Office of f!uclear Regulatory Research SUEJECT: CONTROL 0F fiRC RULEf4AKIhG: RES Ih0EPENDEtcT REVIEW 0F ADVANCED NOTICE OF PROPCSED RULEMAKIhG SP0hSORED i BY NMSS Based on our independent review of the advanced notice of proposed rulemakir.9, t (At PRit), " Financial Responsibility of Materials Licensees for Cleanup After l Accidental and Unexpected Releases," sponsored by f:hSS, RES agrees with the recoricendation of the Director, NMSS, that this ruletaking effort should j continue. Specifically, we agree that NRC shculd proceed with an ALPRM i
to obtain industry and public input with regard to this issue. Our judgement
- regarding the nore general question of proceeding with further rulemaking
! following from this AfiPRM is more preliminary in nature and will have to be
- developed in core detail based on corments received on the AhPRh and the
- exact contents of any subsequent ruleraking package, i
- The basis for our agreement with this recontendation is as follovis:
1 The ANPRM invites advice and recorrsendations on several questions relateo to i
rulemaking that hRC is considering. This rulemaking would require certain persons licensed to possess nuclear materials to denonstrate that they possess
! adequate financial means to pay for cleanup of accidental releases of radioactive rnaterials and would potentially affect f acilities licensed under 10 CFR Parts 30, 40, 61, 70, and 72. The questions raised in the AhPRii address scope and
- magnitude of necessary coverage, potential exeruptions from requirerents, and cost of various funding assurance methods. With regard to this activity
l o Proceeding with the Af;PRh would enable f;RC to obtain industry and public I input regarding issues related to financial responsibility for accidents
, which can be f actored into any sut; sequent rulen aking.
! o It is our preliminary judgerr.ent that proceeding with rulerraking sub-sequent to the Af PPJi would result in assurance of funds to clean up i accidents at fuel cycle and materials facilities thus protecting public health and safety by reducing the risk of radiation exposure of the l
_ ~ . _ - . - _ . _ _ _ . - - . . . . . _ . _ - _ . . . - _ . . _ -
_ .,. - .. . . . _ . - . . - . . _ . - , _ . . . . _ ,.- - -- - m-_. -
I Mr. Dircks 2 DEC0 41384 public and workers. More detailed judgements would have to be trade at a later date when the exact contents of any rulemaking package are known, specifically, exemptions from requirer ents, arrounts of assurance necessary, costs and funding methods required.
The complete RES independent review package has been sent to OEDO (Attention:
DEDROCR) and to the Director, NMSS.
P i Robert P. Minogu , irector Office of Nuclea'r Regulatory Research
,,..g- ,e ," < _ ~. c,
. ..es. f-m 4._ ,, p . ,.;s. n .' .- ,..i ,n* ., , ;, .
,** ....:,, + g,,w_ ' , ' . " d.. . .--
.j>J y' ' .~ ,y' ._.e -
s s s s . .-
- r' .c.'.Q' '-
'Q. . . . ,'+. g } .'8" 7'/,,-*. ,***'7_-
~* ,
', g f ..',e- A . .+ y w,,.
7, "g -
y' .sr ,. .?., ... - ' - ':. = ,..y .* - ,. - -- e ,g
.. ; ,s
..>r
.. +
+6- '
~
. ag e .% , .e . 4 -
- g4p.. . .
i , ,, , ,
e=. .%. ,
)g g "ys
~. ..
7 ' 4 (, 'u; . ,.
.,W f
'5 4,- % 4 i" * ~
('fy_ .. f.4.9.Q.. .y:~W. ( , .' . ,' * .
(',.'- *
'y . .e
- y/
- p#fQ r.f ?.
' . y[, .'%.i. .; ,',2 a ' A ~-
.t-,; . . , ' o4.4.,..s .-e.
A e .. . - g.>- '
- a t & 4,.:
4 .
n
.=m = *ar . .g - .s.. s .m, ..
.p
-...,..4sr,.. y .+ . . .q
. e
?.c.q_ :f , j ^t g Q,, .s . .
pv ,,- ' j*g, ,, R.s, ,,i'. . - -
W
~ . *t.; ,. 1. - , . .g ,, ;. - r . ./- .f g. .q.._,,,,+.5-
./ . ,.g, . %
+
g',.~,
,. p: . .~.r- 3 .c q x ,,7*1 . _ . 4Ag.f ~
, * ,j ,y.!;j , , ,( ' -
t- ..; , g .g
^
- ,'[ , ., -+g f _ ' > i * , : _ .
.s e, - . . -r.< -
- f. 3c. , .. . ,% ' "' ',._g
- v. . , t-
. , . 4, .
"Ar_* .-j' . --4',.-'
^.'. , ,'
,.,3'..' , , _ ,
- E -4 il s / .' , , . ,; . )
N "$'- K' 1, y >*- r , ", ... Y , ' :. Q ,, ' - t' , ::- . ; L q' ,j ,l h.3 '
I.
y er ,.
C Y .6 it, , 4 - n '
.'s ..f o .i #- .Q m* t - g ** -
,s4,+.
.4,-
e4
. y*.. .,..A- .
84..
- -. . - - .a ,,, , - -.s.>*p < g - g r,
? w g
.= 7. , b f. '.r,, *t , +.v- .,t .g'*k y e
. r
,7 W .
,,,n 4 ,
y
- g_ ; / . . . , * . . , ,;, . p. .. -
y, . g, 4* } )^ ;.,' , , , ...
A
. .. , ' . , '-.9 %.. ' *
%.,. ,, ': A' ; .-
.h,.',
.],..'*.,.
1.. ~ .7 , , " '
'?--
' -; J .,.
~.- .t g
+
1 - , . .. -:
-f.- j'.p f , y ;e ' ,, , . ...,._..,.l .
[ -- , g I.'
.h . - > - .:, , a e;- :p -...
'? *
\ c.
h...
sj x..
. , . . f . Q. , ' .' , , '
i
' ,.' . _ ' fo *',_..c- -ll. ..vfy. l
. t- -
- y. ty 7 . . ... p- : ., q. ,,_ *2 ," m;, , , g , -
. . . al ,e ; r.3 . . ,.- > . 3J' .- , .
.* i,, ga
. V, -
-,.%,..=. . . . - .. .:n. =
i t < ., . . ..~.,. .. , .,.
- v. . . . .. ,
., .* = : s. - -
.2 c - +'37 P g' .a '
g e. - Et .. - = .
- l.W . +",, - *.,..g... ,-
- s. . ,
, 4; ; .
g . <, - , p, , , 3 .
_. , .. .L.-
- 1 , . , . " , , ' , -
a n,
, . , , ,,,o . . . .,:.. e : .. ; .. ;.. ..
1.s ,y . .xo c.., =,.,\
.m n qt- +1 . >
.. .- ",N.
W X :.
- i.-t .@, 3, 3f- .y - .". c.1.. .. s
- #w ,.
. -i,, e.y M, ,
%, a , . . - ~ . R : . '. 4 - ; a ;* ;, ..% . e.:-: . , -
g ,, U m..d. .
. . p . . .p 1
..v.
M[. , -- ,,
- 5.: ' '- '
.(. .h
-. , p a,_.
,.- N. .
.. ,, i .
(... _g.l' .1 ,
P
- _gr', .- f d " "_ , ;' ,' - -' _'
. ~, ' ' , . . . -'[ . ' . , k ,. u i t; ]O
.,,.y..,...w A t <. .-. - -
-,s
... < , . SWG; .c . . ;.
%..,;',,-.- p r.- -
., m.
,.s.
d- ,.,,., -
5 r
y 7.
.. r.,
t .a ,-
'g.. ., >
.. . .'-+ 1xn - > .,,'./.
..(,
. , .c
=,-.,,e 'g
- h. [.,
. , - ; '- n..'. n ' .* .5 :~ ,* *-
. . " . . . ., , . ,5.J > .-. ~ . .
,+- ;,, e , .. . ;3 . c q- an,...
.~.
- , _ g.
- n. ,
,t - _.
.?. t ,- , . . ,: ,
W.g*;Ec _ ,, ;; . : % .es
A., %r y i * 'p. -( - . , ,' .
g',,'/
t
. , . J.w ,. -
6 s.
,,',l- .'
g g
j .
.._+4 , e,
,.. .. .T . ;- -
. c , .. ( ,
,..- .. {-' [t.9 ...',('-.i.,.i.,-
+
".,,1
.h _ .
m,,
i t., #.
. . . , ,p;- -. '. f .;3 4 . -
.T . .7 3' ' :: c * . -
o..g',.-
% s e- <? .y
. _ g sg . , . , v- ; ,,.$ * . , .
& j.4 h? '? -$ - ' *~ .; ' , '-
. '_ , .y l f
$ ', ,g' 3 -
)f
, ;; y, 3
.v-' .: . _ +- .- 4:
. - ,- - . ... , ,- .- e w .
- g. - y.3 'N,".,., p,J_
.. v. . .
- e. .- . . . . . r. *. .xa DO NOT use this form as a RECORD of approvals, concurrences, disposals, clearances, and similar actions FROM: (Name, org. symbol, Agency / Post) Room No.-Bldg.
n !
i
/
, ReRh R65 pnoo, no.
.l 6041-102 OFTIONAL FORM 41 (Rev. 7-76)
Presenbod GSA FPMR (41 101-11.206
.pjg DISikIBullth:
RES RDG/ ALPHA CEER RDG/SUBJ bec: RMinogue DEC 0 4 D Dross MEMORAFDUM FOR: Pilliam J. Dircks FGillespie Executive Director for Operations CArlotto KSteyer FROM: Robert P. Minogue, Director FCardile Office of Nuclear Regulatory Research
SUBJECT:
CONTROL OF FRC RULEMAKING: RES INDEPENDLhT kEVIEW 0F ADVAhCED NOTICE OF PROPOSED RULEMAKING SPONSORED BY NMSS Based on our independent review of the advanced notice of proposed rulemaking, (ANPRM), " Financial Responsibility of haterials Licensees for Cleanup Af ter Accidental and Unexpected Releases," sponsored by hMSS, RES agrees with the recommendation of the Director, id*SS, that this rulen.aking effort should continue. Specifically, we agree that hRC should proceed with an ANPRM to obtain industry and public input with regard to this issue. Our judgement regarding the more general cuestion of proceeding with further ruleraaking following from this ANPRh is raore preliminary in nature and will have to be developed in more detail based on comments received on the AhPRh and the exact contents of any subsequent rulemaking package.
The basis for our agreerent with this recommendation is as folleis:
The ANPRM invites advice and recomendations on several questions related to l rulemaking that NRC is considering. This rulemaking would require certain persons licensed to possess nuclear materials to demonstrate that they possess adequate financial means to pay for cleanup of accidental releases of radioactive materials and would potentially affect facilities licensed under 10 CFR Parts 30, 40, 61, 70, and 72. The questions raised in the AhPRM address scope and magnitude of necessary coverage, potential exemptions from requiren.ents, and cost of various funding assurance methods. With regard to this activity:
o Proceeding with the ANPRM would enable NRC to obtain industry and public input regarding issues related to financial responsibility for accidents which can be factored into any subsequent rulemaking.
o It is our preliminary judgement that proceeding with rulemaking sub-sequent to the ANPRM would result in assurance of funds to clean up accidents at fuel cycle and traterials facilities thus protecting public health and safety by reducing the risk of radiation exposure of the
- "'c 9 ............. ..... ..................... ..................... ... .............. . ..................... .................... ......... ..........
SATEf .................. .................... ..................... ..................... ..................... .................... ...................
nac m ai. . io..o Nac" " OFFICIAL RECORD COPY
s Mr. Dircks 2 LEC 0 41384 public and workers. More detailed judger.ients would have to be made at a later date when the exact contents of any rulemaking package are known, specifically, exemptions fron: requirements, amounts of assurance necessary, costs and funding methods required.
The complete RES independent review package has been sent to OE00 (Attention:
DEDROGR) and to the Director, KMSS.
Robert B. Minogue, Director Office of Nuclear Regulatory Research 1
/, , a \ Y uria > . ..R ES,;,C E,B,R f,(,RES,;C,E . . .R. : f...... '}IRB.....
- . . .RES :D D . . . . . . . . ...J .... ............. ......
a "^"*> . f.C,a,r,q,1,1,e,: b,h ,, ,g S.t ey. . r. . . . . .
, ... r. atta... I..n p.ie. . . D ERo s.s. . . . . . . . . ...RBMiopgue... ....................
sur) . . . . . /. ./.f. ../.. 1.1./.
11
. . 8 4.. ..I. . 4. . . .. .. . . . . ./t ( . . ./.8. 4.8.. 4.. . . .. .. .T. .T./. . . . . . /.8.. .4..g. ..y,i,
. 8. .. . . ,/.Q 4. ... ... . . . . . . . . . . . . . . .
j u c ,c:=3i. io.oinacuon' OFFICIAL RECORD COPY _ __
I
7 <
[,
i RES INDEPENDENT REVIEW PACKAGE i
I
(
{
l l
l
RES Draft Independent Review of phPkh or,
" Financial Responsibility of hhterials Licensees for Cleanup After Accidental and Unexpected Peleases 4
- 1. Summary of RES staff prelicinary judgetents l Based on the RES draft inoependent review of the AhPkM " Financial hesponsi-bility of Haterials Licensees for Cleanup Af ter Accidental and Unexpected Releases,"
(discussed in detail below in 2a through f) it is the staff's preliminary judge-c.ent that the FRC should proceed with this rulemaking effort, specifically that the ANPRM be published in the Federal Register. As noted belcu in 2d and e, this recomendation is that this rulemaking should proceed, specifically ir the fora k of an ANPRM to obtain industry and public input with regard to this issue. 1 Judgements regarding the more general question of proceeding with further rulemaking following this ANPRM are more preliminary in nature and will have to be de. loped in more detail based on the coments receiveo on the AKPRh and the exact contents of rulemaking packane. At this tire, RES agrees with the recommendation of the Director, hMSS, that this rulemaking effort should continue because based on our review in 2a through f, there is a need for the rulemaking, it is consistent with applicable policies, and it appears to be inportant relative to accomplishing NRC's mandate, namely, protecting the public health and safety. l
- 2. Details of RES draft review
- a. Issue to be tddressed The problem to be corrected is that there may not be sufficiert funds for prompt cleanup of accidental releases (both onsite and offsite) caused by activities of certain NRC fuel cycle and materials licensees. Lack of funds could result in delayed or irproper cleanup with resultant public health and safety problems.
2
- b. Necessity and Uroency for Addressing this Issue The At.' PPM points cut exar.ples of accidents whict, have occurred at materials facilities and resulted in large costs being incurred. Costs for these accidents ranged from $500,000 to $2,000,000. In each case, the accident resulted in contamination being spread both onsite and offsite into public buildings and in one case the licensee was unable to pay for the cleanup. The ANPRM points out that the reported cases of accidental releases from iuel cycle and raaterials facilities involving significant cleanup costs occurred at fewer than one percent annually of the total number of licensees. However, the AhPRM does indicate that i one purpose of the AhPRM is to obtain input on the scope and magnitude of the
{
problem. In addition, the AhPRM points out that the Comission should rot wait .
I until a major accident occurs involving significant costs and potential public l I
health problems before proceeding with a rulemaking effort. Based on the above i experience and the other considerations, it appears that there is a potential health and safety problem needing to be addressed with inability to clean up accidents due to lack of funds.
[
There is some urgency to get on with this effort due to the large number of j fuel cycle and materials licensees (greater than 8000) and the fact that the process of ANPRM, followed by proposed rulemaking and ef fective rulen.aking will take several years to complete.
- c. Alternatives to Rulemaking
- 1. ?!o action One alternative is to take no action on this matter, however current l regulations in 10 CFR Parts 30, 40, 61, 70, and 72 do not address responsibility f
of NRC raterials licensees to pay for prompt cleanup of accidental contamination.
- .. ~ . . . _ _ _ .
3 Another alternative would be to take no action in NRC rulen,aking but seek to have EPA cover l'RC fuel cycle and caterials licensees under the 1960 Comprehensive Environmental Response, Compensation and Liability Act. However, as noted in i
the ANPRM, EPA does not intent to have this fund be available to cover NRC i
licensees. !
i
- 2. Other guidance
{
Regulatory guides could be used to assure financi6l responsibility for coverage for accidents. However, as pointed out above, there are no existing l
regulations on which to base such guidance, f t
- 3. Rulemaking j
The ANPRii proposes that following consideration of public concents on !
the ANPRM rulemaking may be forthcoming regarding financial responsitility for cleanup of accidents. This would provide clearly implementable requirerients regarding licensee financial responsibility for cleanup of accidents. Ey way of precedent f;RC promulgated on March 31, 1982 amended rules, 10 CFR 50.54(w),
which reouire that power reactor licensees obtain property damage insurance for the purpose of covering reasonable decontamination and cleanup ccsts associateo with the property damage resulting from an accident.
An alternative form of the rulemaking would be to con.bir.e it with other related rulemaking. Currently, the ifRC is engaged in promulgation of rules regarding decommissioning of nuclear facilities, (SECY-84-354) including assuring availability of funds for decontaissioning. However, it wculd be impractical to combine these two ef forts because the timing of cotbining them would be very difficult since the decomissioning rule has already been reviewed in a Cormission meeting for issuance as a proposed rule whereas this package is
s 4
I at the stage of going out to obtain further inforniation in an AhPRM ana a number of issues and questions still need to be addressed. In addition there are a number of technical reasons why these rules should not te combined, including. ,
I (1) the decommissioning rulemaking covers all facilities and not just fuel cycle and materials facilities; (2) the decoon.issioning rule covers funding assurance for activities following a normal shutdown of the facility rather than following an accident; (3) certain fuel cycle and tiaterials facilities which are covereo by any rule on accidental coverage may be exempted from requirements in the decornissioning rule (e.g., users of sealed sources v hich are not normally !
contaminated); (4) the amounts of assurance for the various fuel cycle and materials facilities for an accident cleanup would likely vary significantly from the amount of assurance required for normal cleanup in the decommissioning rule.
- d. How the Issue will be Addressed throuch Rulemaking The ANPRM indicates that in general the following features are being considered for inclusion in rulemaking:
- 1. fuel cycle and materials licensees would have to demonstrate adequate financial resources to cover cleanup of accidental releases of radio- ,
active materials onsite and offsite on private and public properties;
- 2. A specific amount of funding would be set as the an.ount of financial responsibility necessary to be maintained;
- 3. Certain licensees would be excluded from having to maintain financial responsibility, such as government licensees;
- 4. Acceptable funding methods would be indicated such as insurance, trust funds, sureties, or corporate guarantees.
l
5 In development of the content of the rule the ANPRh asks for cocraent on the following general subjects:
- 1. The amount of coverage necessary for different types of fuel cycle and reaterials licensees and should the atount vary depenoing on such things .
I as the risk associated with types and quantities of raterials possessed;
- 2. Should certain licensees be exerapted frorn these requirerner.ts based on i such things as types, quantities, or half-lives of the raaterials which they possess;
- 3. The criteria to be used in evaluating funding methods and availability I of insurance for accidents at fuel cycle and materials facilities.
Based on the public responses to these questions in the AhPRM as well as on
[
other detailed corr..ents, the ANPRh indicates that Cornission will then consider the advisability of proceeding with rulemaking requiring certain NRC licensees to demonstrate that they possess sufficient financial capability to undertake prompt cleanup following an accident. It is presumed that the content of any rules will reflect the couaents and consider the benefits of the rule versus impacts to the licensees,
- e. How the Public, Industry and NRC will be Affected as a Result of Rulemaking, including Benefits and Costs
- 1. Benefit The APPRM itself will have the benefit of giving the industry and the public the opportunity to provide early imput into NRC decision-making process. It will also have the benefit of providing NEC with industry and public input so that the decisions with regard to rulemaking can be more responsive to the public.
)
_t
]
6 1 e With regard to any rulemaking which may proceec from the M4RM, it is ;
somewhat premature to definitively state the benefit since the exact content of i the rule is not known. However, based on the preliminary assessment of what '
might be in the rulemaking as well as on the areas in which ccments are requested the following appear to be benefits:
, NRC The NRC will have the benefit of having ir, place a clear policy re-garding funding for cleanup of accidents. This will assure that NRC's mission of protecting public health and safety is carried out by reducing risk of radiction exposure to the public and workers. Pith assurance of funds for these cleanups, NRC staf f will not have to be involved in time-consuming activities such as enforcement actions against licensees to clean up accidents, interfaces i
.1 with a concerr.ed public regarding contamir.ated sites, and possible litigation.
Industry The rulemaking process will assure industry has an input to the decision- ;
making regarding such important c,uestions as what licensees should be. excluded, how much coverage should be required, and what funding metnods should be allowed.
Industry will benefit in that funds will be available in the event of an accident to pay for prompt cleanup.
Public The benefit to the public will be a reduced risk of potential rediation exposures resulting from improper or delayed cleanup of accidents caused by lack of funds. This reduction in risk would apply to both the general public and workers who might be involved in the cleanup. The risk associated with delayed or improper cleanup could result from either direct exposure to con-tamination or releases of radioactivity f rom a contaminated facility.
u 7
l
- 2. Impacts / Costs The ANPRN itself will not cause undue impact or cost to the public, industry, or FRC since it is only a reouest for comcents on proposed rulenaking.
With regard to any rulemaking which may proceed from the Af'PRM, it is ,
sorewhat prenature to definitively state the irpact or costs to licensees since i
the exact content of the rule is not known and, in particular, the ANPRM has .
i requested contrents on such matters as exemptions of licensees from the require-ments, levels of coverage necessary, and acceptability of various potential eethods for providing financial responsibility. In addition the AbPRM has reouested information on the cost of insurance coverage for this type of accident. It is expected that when proposed rulemaking is clenerated the impacts and costs to the NRC, licensee and the public will have to be carefully con- ,
I sidered and balanced against the benefits. A prelirainary estimate of those
{
impacts / costs is the following:
NRC The inpact on the NRC will be the staff time necessary to complete I
rulemaking. This will include the regional offices, NMSS, RES, and OSP. In
)
addition, regulatory guidance irrplementing the rule may be necessary. If the ANPRP. results in rulemaking becoming effective, staff tine may have to be spent reviewing and approving financial responsibility plans if they are sub-mitted to the NRC. This would probably involve hMSS and regional offices. In addition, staff time may be necessary in reviewing updates to those plans if !
if it deemed necessary.
Industry The impact of potential rulemaking on the industry is the time spent i obtaining the means of financial responsibility reauired. Another impact is l the cost of the required method. The AlePRM points out the bRC staff believes i
c 8
that most materials licensees have sone financial resources or insurance coverage
i for prompt cleanup of accidental releases as a matter of prudent business i, practice. Hence, the impact of any proposed rulemaking on these licensees may not be significant.
- f. NRC Resources and Scheduling Needed for Rulemaking The AFPRM indicates that the resources necessary for the ANPkti are about 0.6 FTE in FY84 and 0.3 FTE in FY85. The schedule for corpleticr. of the Af;PRh is the 2nd quarter of FY85.
I j No information is given in the package regarding resources or scheoule for any proposed rulemaking which follows the AhPRN. It is indicated that this is dependent on the comments received and the scope of the resultant rulen.aking.
It is expected that the f;RC resources and scheduling expended in any rulemaking would be comrensurate with those of similar efforts such as the rulemaking on financial assurance for decommissioning or the rulemaking for accident insurance on reactors, i
i l
l 1
i
. . . d. . m 6. hema *O RULEMAKING REVIEW PACKAGE RECEIVED FR0:1 NMSS
F
.pn naru
+ o UNITED STATES
[ ^ ,j NUCLEAR REGULATORY COMMISSION
- 7. E WASHINGTON, D. C. 20555
%*****j f,UG 0 71984 MEMORANDUM FOR: F. P. Gillespie, Chairman RES Independent Review Board FROM: R. E. Browning, Director Division of Waste Management Office of Nuclear Material Safety and Safeguards
SUBJECT:
REVISED REVIEW PACKAGE FOR ANPRM ON " FINANCIAL RESPONSIBILITY OF MATERIALS LICENSEES FOR CLEANUP AFTER ACCIDENTAL AND UNEXPECTED RELEASES" Your August 17, 1984 memorandum asked for the following information:
Documentation of ANPRM on Financial Responsibility l
A copy of the proposed ANPRM sent to the States in accordance !
with NRC Manual Chapter 0401 is enclosed. !
Relationship of ANRPM to three NRC RM's Item No. 5 of NMSS Office Finding has been revised, along with a revised NRC Regulatory agenda.
We have modified the Office Finding and Agenda writeup to reflect your concerns. Accordingly, we suggest that similar modifications be made to the Office Findings and Agen;fa writeups of the other three rulemakings referenced ;
in your memo, so that all rulemaking documentation will have equivalent levels of detail.
E ,w .
RobertE. Browning,Directhr Division of Waste Management
Enclosures:
- 1. Draft ANPRM w/ transmittal memo from State Program
- 2. Revised NRC Regulatory Agenda write-up
- 3. HMSS Office Findings on Proposed ANPRM for Financial Responsibility cc: George Beveridge d
I r
4 1 b
) .
I a
UNITED STATES Id *
,[jan seug$\ NUCLEAR REGULATORY COMMIS$10N L
e j w AsMINGTON. D. C. 20555
- M"g n ! WM 00CKET CONTROL CENTER
,; i
- C. C ,
y0 l
%, . . . . . f l
'8 :
2: AUS 7# Ref: SA/ DAN 1
i I
L ALL AGREEMENT STATES AND NON-AGREEMENT STATES !
[
Enclosed for your review and comment is a draft Advance Notice of i Propcsed Rulemaking (ANPRM) on financial responsibility for materials !
licensees. The draf t ANPRM would seek cormlents on the development of financial responsibility standards for both on-site and off-site cleanup of accidental releases of certain materials licensees. We recognize that this issue is a matter of State interesti the Conference of Radiation Control Program Directors has recognized the need for Federal stancards since at least 1976.
The financial responsibility cleanup program envisioned here is separate "
from the Price-Anderson liability progran, which focuses on compensation for personal injury and property damage for offsite releases. The proposed rulemaking is also distinct from the ongoing Comission rulemaking on decontamination and decorr.issioning, which is limited to l recuired and predictable activities at the end of a facilities' useful life, and not accidental releases, per se.
In order tc receive the benefit of State comments input at an early
.s ANPRM by stage, we would appreciate receivirg your connents on t September 17, 1984 If you have questions about the draft ANPRM, the NRC staff contact is Mary Jo Seeman of tne Office of Nuclear Materials Safety and Safeguaros. She can be reached at (301) 427 4647.
Thank you for your help in this matter.
G. ay e Kerr, Dir or Office of State P grams
. i Q
Enclosure:
As stated WM Record file WM Project DC Docket h POR LPDR Distribution:
LTOC i
= ms,
{Re: urn to WM,623.SS) gg y t
f i
NUCLEAR REGULATORY COMMISSION i 10 CFR Parts 30, 40, 61, '0, and 72 Financial Responsibility Recuirements for Cleanup of Accidental and l
Unexpected Releases of Radioactive Materials Licensees !
t AGENCY: Nuclear Regulatory Commission, ACTION: Advance notice of proposed rulemaking (ANPRM).
SUMMARY
The Nuclear Regulatory Commission is considering amending its ,
regulations td require certain persons licensed to possess nuclear ,
i materials to demonstrate that they possess adequate financial means to !
pay for cleanup of accidental releases of radioactive materials. The~ i consequences could be potentially significant for the public, the licensee, and the Federal government, if licensees lack adecuate l financial resources and funds are not available for prompt cleanup of i accidents. This advance nctice of proposed rulemaking is being issued to invite advice and recommendations on several cuestions pertaining to '
this proposed rulemaking concerning scope of coverage, as well as the availability and ccst to licensees of obtaining various financial assurance mechanisms.
DATE: Cemrent period expires . Comments received after this cate will be consicerec if it is practical to de so, but assurance of censideration cannet be given except as to conments received before this date. ,
ADDRESSES: Sene comments or suggestices to the Secretary nf the Commission, U.S. Nuclear Regulatory Connission, Washington, D.C. 20555, Attent'ce: Docketing and Service Branch.
Hand deliver comments to: Room 1121, 1717 H St. NW., Washington, D.C. between 8:15 a.m. and 5:00 p.m.
Examine comments received at: The NDC Public Document Room, 1717 E Street NW., Washington, O.C.
^
FOR FURTHER INFORMATION CONTACT: Mary Jo Seeman, Office of Nuclear Materials Safety and Safeguards, U.S. Nuclear Regulatory Comrission, Washi,ngton, D.C., 20555, teleph.one (301) 427-4647.
('. ,
c .
SUPPLEMENTARY INFORMATION:
BACKGROUND ,
Purpose and Scope 1
The Nuclear Regulatory Commission (and its predecessor the Atomic Energy Comission), has regulated the possession, use, and disposal of nuclear materials since the 1950's. This ANPRM is seeking guidance on requiring certain classes of these materials licensees to demonstrate evidence of financial responsibility for cleanup of accidental releases, i.e., an unauthorized release of radioactive materials due to human error, system failure, or defective components. Licenses under consideration in this ;
ANPRM include radiopharmaceutical manuf acturers, industrial radiographers, users of gauging devices, gas chromatography, well-logging, nuclear medicine diagnosis and radiation therapy. At the end cf 1983, the Commission bad approximately 8,800 materials licensed.
Of these, approximately 5,000 were in a sealed source fortn, and 2,300 possessed radioactive materials with half-lives of less than 120 days.
Other NRC licensed operations covered by this proposed rule incluce fuel cycle activities such as uranium milling, UF production, and fuel processing and fabrication. Regulated waste p nagement activities i include commerciai low-level waste disposal and persons disposing or storing of thei.r own waste under special license conditions.
The financial assurance program for cleanup of accidental releases being consicerec by the Commission in this ANPRM is separate and distinct from the compersation program mandated by the Commission regulations pursuant to the Price-Anderson Act, which does not provide funds for cleanuo ,
per se. Currently, the Price-Anderson program applies only to nuclear reactors on a mandatory basis ano to plutonium processors and fuel fabricators on a discretionary basis. These activities and uses of materials wculd not be included in the proposed program. The program i proposed ir this ANPRM is not intended to provide compensation to persons fer cersonal. injury or property damage and is, therefore, not public liability program.
The finarcial responsibility program being considered in this ANPRM is .
i intended to assure availability of licensee funds to cleanup sites where radioactive materials are processed, used, stored, or disposed 50 that
~ .
M heT proposed financiai responsibility program would' not cover.high' level waste repositories licensed pursuant to 10 CFR Part'60. These facilities will be owned by the Department of Energy, a government agency, and in the event of an an accident. DOE h.as access te public funds to pay for cleanup. Additionally, 00E private contractors working at the repository can be indemnified under Section 170(d) of the Atomic Energy Act. ,
l,
public funds will not need to be expended for this purpose under the Comprehensive Environmental Response, Compensation and Liability Act of 1980," CERCLA"(P.L.96-510).
)
CERCLA, among other things, cculd provide funds for cleanup of l
radioactive releases to the environment, if the owner or operator is i unable to voluntarily undertake the task, and if the release is not a nuclear incident covered by the Price-Anderson provisions of the Atomic 1 Energy Act (AEA), as amended. (Radioactive materials have been designated as hazardous air pollutants under Section 112 of the Clean 4 Air Act and accordingly, are hazardous substances under CERCLA, making l
these types of releases eligible for cleanup funds.) However, it F appears that CERCLA would not provide cleanup funds for releases d involving NRC licensees. In a Federal Register notice issued on j September 8, !983, EPA made the following policy statement:
" EPA has also chosen not to list releases of source, byproduct, and ,
special nuclear material from any facility with a current license
+
issued by the Nuclear Regulatory Connission (NRC), on the grounds that the NRC has full authority to require cleanuo of releases from -
such facilities." (FR Vol . 48. , No.175, p. 4066)
Accordingly, since there appears to be little chance that CERCLA would !
provide funds for cleanup of NRC licensed materials released intc the environment, the Commission is considering the establishment of a ;
firancial rescensibility cleanup program for these licensees under 1
existing Commissicn regulatory authority.
pur cse and Scoce regardless of tne cause of tne release. v ampies or ccusen..r. .% e human error or negligence, an Act. of God, licensee misconduct, system
. failure, or defective components. , , ,
. This ANPRM focuses on requiring licensees to demonstrate financial responsibility for cleanup of accidental or unexpected releases of radioactive materials and not for authorized and predictable activities normally associated with deconnissioning. The la,tter.is being addressed in a separate ongoing Commission rulemaking on decommissioning.
o
e .
Need for Action i
Although there is little information available on the financial
- condition of NRC fuel cycle and materials licensees, the NRC staff 1 believes most of these licensees already have some financial resources [
or insurance coverage for on-site and off-site cleanup as a prudent business practice. However, if a licensee did not have adequate financial resources, and an accidental or unexpected contamination did occur, there could be both short and long term consequences with
' possible public exposure from the residual contamination, as well as' loss of use of contaminated property.
Both NRC and Agreement State licensees have had accidental or unexpected releases of radioactive materials that have been costly to cleanup.
State and federal estimates'for cleanup costs have been estimated at up tc S2,000,000 for a single event. Examples of some of these cleanup ccsts that the NRC staff is aware of include:
-- In 1983, a cesium-137 sealed source was accidentally ructured.
Workers inadvertentl y spread the contamination inte residences and public buildings. The cost for cleanup of this contamination was estimated tc be at least 5500,000.
-- In 1982, an americium-241 sealed source in use in a well-logging cperation was inadvertently ruptured, resulting in contamination of both on-site drilling equipment and off-site homes and commercial residences.
Cleanup costs were estimated to be up to at least 51,000,000.
-- During 197.9 and 1980, a tritium manufacturer's operations in Tucson, Arizona resulted in releases both on and offsite. The company was financially unable to pay for cleanuc, and State of'icials estimated that tne State spent approximately 52,000,000 ir labcr and capital costs for removal and cleanup of the tritium.
Reiatively little data on cleanup costs for accicental releases of licensees is available in NRC records, mainly because this type of information is not recuired to be submitted to the agency. Mcwever, a recent review of NRC unusual non-reactor events reports for radioactive releases by materials and fuel cycle licensees indicates that from 1980 to 1983, the reported cases of accidental or unexpected releases from licensees' operations believed to involve s'ignifica'nt cleanup costs (more than a few thousand dollars) occurred at few'er than one percent annually.of the total fuel cycle and materials licensees authorized to ' -
possess.and use byproduct, source and special' nuclea'r ma'terials.-
i O
4 1
Besides lacking a comprehensive data base for licensee cleanup costs for accidental releases, the Commission also has no available records to determine if licensees lack (or previously lacked) adequate funds to j provide for prompt cleanup of accidental releases. Accordingly, the I
Corrnission is using this ANPRM to solicit public arc industry input en the scope and magnitude of the problem. However, even given this lack of a strong data base, the NRC staff does not think it is necessary for a health and safety agency such as the Comission to wait until an expensive cleanup occurs to consider the development of regulatory stancards. Other agencies, such as the U.S. Environmental Protection Agency, have gone forward with financial responsibility requirements in the absence of a large documented data base.
In addition, several NRC-funded studies have presented cost estimates for cleanup of' NRC-licensed fuel cycle f acilgies related to emergency planning issues and the Price-Anderson Act. - Since these studies were prepared fcr olfferent purposes and assumptiens, it is difficult to compare the results or to use their conclusions as the basis for estimating cleanup costs for the vast majority of fuel cycle and material licersees. Therefore, the NRC staff is precosing to use the limiteo, but actual, past cleanup cost experience (discussed previously) as the basis for setting the amount of financial responsibility coverage in this ANPRM. The NRC staff will consider, at a later date, the issue '
of financial resconsibilities for the small numoer of licensees who have '
the potential to be involved in the significantly more costly cleanups pcstulatec in the NRC funded studies.
In the past, cleanuo has been conducted by the state er federal government, but frecuently public monies are used for cleanup only after lengthy delays. Fuelic health, safety, and procerty degradation may occur at contaminated areas in the long run, if adecuate funding is not available for prenpt cleanup. Moreover, from an ecuity viewpoint, the Comission thinks it appropriate that the licensee, and not the public, should assume financial respersibility for prompt cleanup of accidental releases caused by licensee activities.
U See J.P. McBride, "Econcmic Consetuences of Accicental Releases from Fuel Fabrication and Radioisotope Processing Plants," prepared by Oak Ridge National Laborateries for the U.S. Nuclear Regulatory Comission, .
1979, (NUREG/CR-0222), the results of the study were discussed in U.S. l Nuclear Regulatory Commission Information Report, " Extension of Indemnity Coverage To Materials Licensees Other Than Those Possessing
, And Using Plutonium," (EECY-80-467), Octobe'r.10, 1980. See also H.K.
- Elder, Working Paper, " Technology, Safety and Costs of Decomis: ion-ing .
Reference Nuclear Fuel Cycle and Non-Fuel Cycle Facilitie's Following Postulated Accidents," Pacific Northwest Laboratory, NUREG/CR-3293, August, 1983.
Regulatory Precedents ,
A variety of state and Federal agencies have enacted financial l responsibility requirements to provide assurance that funds are available for cleanup of accidental releases of various substances.
Federal agencies have enacted requirements pursuant to the Motor Carrier Act, (Pub. L.96-296), the Resource Conservation and Recovery Act, (Pub.
L.94-580), the Federal Water Pollution Control Act of 1972, (Pub. L.92-500), Surf ace Mining Control and Reclamation Act of 1977 (Pub. L.
95-87). 0 uter Continental Shelf Lands Act (Pub. L.95-372), the .
Trans-Alaska Pipeline Authorization Act of 1973 (Pub. L.93-153), and the Deep-Water Port Act of 1974 (Pub. L.93-627). .
The stipulated dollar recuirements vary from $10,000 to over $5,000,000 ,
i for these different programs, but as an example, the 1984 minimum levels '
of financial responsibility for motor carriers transporting hazatdous substances ranges from between $1,000,000 and 55,000,000 (Motor Carrier Act of 1980). The EPA regulatio s for financial responsibility for i
owners anc operators of hazardous waste facilities (40 CFR Parts 264 and 265, Subpart H) reovire coverage of $1,000,000 dollars for each sudden l occurrence, with an annual aggregate cf at least $2,000,000, and 53,000,000 for each nonsudden occurrence, with an annual aggregate of at least 56,000,000 (Subtitle C - Hazardous Waste Management, Resource Conservation and Recovery Act).
Some Agreement States have also promulgatec financial responsibility recuirements to assure funds for cleanup of releases of radioactive materials. The need for ;tandard requirements for cleanup of racicactive materials following accicental releases was recognized in 1976 cy a star.e organization, the Lonference of Radiation Control Program Directors.
Imcacts The Commission is aware that, if promulgatec, the potential rule could :
impact a variety of parties. The Commission believes, however, that the {
benefits of such a requirement outweigh the pctential ccsts to l licensees. If licensee funds are not promptly available for clearuo, public funds might have to :e directly experded by state and Federal j agencies. Even without a bankrupt licensee, there could be significant public impacts if cleanup is delayed by ensuing litigation over the ,
responsibility and cost.
i
- 6 I
l
{
6 I
l p
As previously mentioned, the NRC staff believes that most materials I licensees have adequate financial resources for prompt cleanup of accidental releases as a matter of prudent business practice. This proposed rulemaking would have the most significant impact on those licensees who may not be able to provide adequate financial assurances.
Accordingly, the staff is especially interested in hearing from those licensees who feel they cannot possibly demonstrate that they have sufficient resources to assure cleanup of accidental releases. l The cost to NRC licensees for meeting the financial requirements for prompt cleanup would vary, depending onThere the level are of fundingof a variety and on the possible type of financial assurance mechanism.
legal instruments and arrangements that could be used to demonstrate that a licensee possesses adequate resources to provide funds for prompt cleanup of accidental releases of radioactive materials. They include insurance, trust funds, surety or perfonnance bonds, escrow accounts, certificates of deposits, deposits of securities, letters of credit, a parent company guarantee, and an analysis of the licensee's financial statements.
The ecst expensive approach would require that a licensee put aside 100%
of the estimated cost of cleanup. Examples of this approach include Less expensive approaches cash deposits, or deposits of securities.
involve purchasing an insurance policy or financial instrument from a third party, sucn as an insurance company, bank, or financial institution with a face amount ecual to the estimated costs of cleanup. i Specific costs of the various financial mechanisms are not easily obtained from licensees or from the financial and insurance institutions. Accordingly, the NRC is specifically interested in cbtaining ccrrents on the costs of these types of financial instrucients in this AflPRP.
The proposed regulatory requirement would also impact NRC resources.
The logistics and resource costs fcr amending thousands of materials licensees would be significant. The requirerent would also entail an !
agency administrative effort for recordkeeping, auditing, anc' l enforcement. However, the proposed financial assurance recuirement !
could also avert substantial NRC costs resulting from lengthy enforcement proceedings and/or litigation against licensees unable to l assure prompt cleanup.
W SU!HARY OF FEATURES BEING CONSIDERED FOR PROPOSED RULE ,
The Conunission is considering a rulemaking requiring certain fuel cycle '
and materials licensees to demonstrate adequate finarcial resources for I cleanup of accidental releases of radioactive materials on-s.ite and off-site. The prcposed requirement would also co'ver financial' ,
responsibility for any necessary environmental restoration. I t
l
\
i For the purposes of initial discussion, the Comission is considering a l
52,000,000 baseline as the required amount of financial responsibility for materials and fuel cycle facilities. This figure was chosen because ;
it is in the range of known cleanup costs for NRC licensees and of other stated dollar amounts of state and federal financial responsibility requirements for cleanup of accidental releases. (See " Regulatory 4
! Precedents") The Comission is aware that this amount could be '
inadequate to pay for cleanup of a major accident at some facilities e
' which might result in cleanup costs of several million dollars. At L first, the Commission believed that the Comprehensive Environmental
.' Response, Compensation and Liability Act of 1980, could provide cleanup funds for a low probability scenario, when a licensee was unable to !
provide funds for an expensive cleanup. However, as previously noted in September of 1983, EPA made a policy statement noting that they would not list relenses of source, byproduct, and special nuclear material from NRC licensed facilities on the National Priorities List. EPA felt i
that the NPC had full authority to require cleanup of NRC licensee j releases. Accordingly, the Commission staff is seeking corsnents on the appropriateness of setting a dollar requirement for larger, catastrophic
! accidents above 52,000,000.
1 The proposed rule would have the following features: L L
- 1. Carriers of radioactive materials covered by the financial I resconsibility requirements of the Motor Carrier Act of 1980 r
(P.L.96-296) would be excluded.
- 2. Financial responsibility would cover both sudder and non-sudden
' releases and would exclude those types of releases covered by the Comission's decontarination and decomissioning rulemaking, i
- 3. Financial respersibility would cover on-site and o'f-site cleanup for private and public property, as well as environmental J
restcration of natural resources.
4 Licensed State, Federal government, or cther sel'-insured public authorities would be excluded.
- 5. Types of possible acceptable ficarcial assurances that the l Consnission staff is considering include: ,
- a. standard compre'ensive n general liability insurance
- b. environmental impairment liability insurance " -
- c. conventional property insurance? .
J j
d non-Price Anderson nuclear liability and p_roperty insurance i
e, cash or negotiable securities held by a third party..such as a trust, or escrow account l
- f. a financial test .
- g. a surety or performance bond '
j
- h. a corporate guarantee from a parent company 1
I
i l
o.
i SPECIFIC CONSIDERATIONS Advice and recommendations on the Commission's proposed action are invited from all interested persons, and specifically, from licensees, state officials, and representatives of the finance and insurance industry. Comment is also invited on which licensees should be considered for exemption from this proposed requirement, as well as the availability, cost, and applicability of the various financial assurance mechanisms to provide adequate financial assurances for cleanup of accidental releases. Comments and supporting reasons are particularly requested on the following questions:
- 1. What criteria should NRC use for determining the amount of coverage to be required for different classes of licensees?
s
- 2. What effect would the cost of this coverage have on licensee operations?
- 3. Should there be a uni <orm minimum amount, or a " sliding scale" recuirerent, to match the financial reauirements to the actual risks of various types and quantities of materials possessed, or the financial size of the licensee? If so, what criteria are suggested in this regard?
4 One basis for determining the amount of coverage required under the Commission's proposed rulemaking would be the characteristics of the licensed' material. Should the Ccmmission exempt licensees with certain types er quantities of radioactive materials, such as those with short half-lifes with icw activities? If so, what cuteff criteria shculd be applied?
- 5. What criteria shculd NRC use in evaluating financial assurance mecnantsns?
- 6. With regard to comprehensive general liability and environmental impairment liability policies, the Commission staff is especially interested in hearing from offerers of these policies regarding the availability of their insurance for specified nuclear risks, as well as the terms and con'ditier.5 of these types of insurance. What is the I .
availability'and premium cost of these types of pclicies (as well as facilit'y form liability coverage from the n.uclear insurance pools) to' provide cleanup coverage for off-site - -
sudden and non-sudden accidental or unexpected releases cf' radioactive materials from licensee operations, including damage to natural resources? Are the terms.and conditions of these existing types of policies approp'riate for covering the risks of accidental nuclear releases? If not, would the ,
insurance industry provide this type of coverage?
4 l
- 7. What is the cost and availability of property insurance from the conventional insurance market and the nuclear insurance pools to provide cleanup coverage for sudden and non-sudden on-site accidental or unexpected releases of radioactive materials from materials licensees? Are the terms and conditions of these existing types of policies appropriate for covering the risks of accidental nuclear releases? If not, would the insurance industry provide this type of coverage? l I
- 8. Are there financial assurance mechanisms and insurance policies currently available to provide coverage for environmental restoration of natural resources?
- 9. Should the Comnission also consider requiring licensees to i I
provide evidence of financial responsibility for the non-radiological component of cleanup of an accidental !
release?
- 10. Should the Cemrissior, consider differentiating between intentional and accidental releases?
LIST OF SUBJECTS IN 10 CFR PART 30 Byproduct material, Government contracts, intergovernmental relations, Isetopes, Nuclear materials, Penalty, Radiation prctection, Reporting and recordkeeping recuirements.
L*st of Sutfects in 10 CFD Fart 40 Government contracts, hazardous materials, Penalty Peporting ar.c recordkeeping requirements, Source material, Uranium.
L'st cf Subjects in 10 CF: art 61 Low-level waste, Nuclear materials, Penalty, Waste treatment and disposal.
List of Subiects in 10 CFR Part 70 Hazardous materials transportation, Nuclear materials, Packaging and containers, Penalty,; Raciation protection,.
Reporting and recordkeeping requirements.
9
The authority citation for this document is: Section 161, Pub. L.83-703, 68 Stat. 948 as amended (42 U.S.C. 2201).
_ day of , 1984 f Dated at Washington, D.C., this l' For the Nuclear Regulatory Comi s sion.
Samuel J. Chilk, Secretary of the Comission f
)
1 Enclosura 2 August 24, 1984 i
TITLE: Financial Responsibility of Materials Licensees for Cleanup After l Accidental and Unexpected Releases CFR CITATION: 10 CFR Parts 30, 40, 61, 70, and 72 ABSTRACT: By ANPRM, NRC would solicit comments on the advisability of having f NRC require a mechanism to assure financial capability on the part of l' certain NRC materials licensees (e.g. , fuel fabricators and users of sealed radiation sources) to undertake prompt cleanup of accidental releases or contamination, both on- and off-site. The cited regulations do not address such responsibility. Estimates for cleanup costs in the recent past have ranged up to $2 million for a single event. To date, cleanup has been conducted by the state or federal government but frequently public monies are used only after lengthy delays. Use of a possible alternative, i.e., the 1980 Comprehensive Environmental Response, Compensation and Liability Act (CERCLA), is effectively blocked by EPA policy. EPA maintains that NRC has full authority to require cleanup of accidental releases by licensees; thus, the CERCLA public funds should not be used for such purpose. The ANPRM is specifically inviting comments on the costs, coverage, and availability of various financial assurance mechanisms.
The staff will analyze the comments submitted on these issues before ;
proceeding with a notice of proposed rulemaking.
There are three other ongoing NRC rulemakings (decommissioning, emergengency preparedness, residual contamination limits.) that will impact some of the same licensees that the ANPRM will cover.
However, these rulemakings have different scopes and do not address f
- the ANPRM's focus of financial responsibility for cleanup of 1
accidental releases.
1 i
Enclosure 2 August 24, 1984 J
l TIMETABLE: ANPRM to States in August 1984.
2 LEGAL AUTHORITY: 42 USC 2201 EFFECTS ON SMALL BUSINESS AND OTHER ENTITIES: Undetermined.
AGENCY CONTACT:
Mary Jo Seeman
- Office of Nuclear Material Safetey and Safeguards
=
Washington, D.C. 20555 (301) 427-4647 i
i 1
t J
I 4
i 1 1
1 I
l i
i
Enclosura 3 August 24, 1984 i
NMSS OFFICE FINDING ON PROPOSED RULEMAKING Financial Responsibility for Materials Licenses / Cleanup 10 CFR Parts 30, 40, 61, 70, and 72
- 1. Issue Assure availability of funds for prompt cleanup of accidental releases both on and off-site) caused by activities of certain NRC materials licensees.
- 2. Need Regulations cited above do not address responsibility of NRC materials licensees to pay for prompt cleanup of accidental releases and contamination, e.g. , by system failure or component defect. The licensees of most concern include fuel fuel processors and fabricators, manufacturers of radiation sources, and radiopharmaceuticals, industrial radiographers and oil well loggers. Recent estimates for cleanup costs have ranged up to $2 million for a single event. To date, cleanup has been conducted by the state or federal government, but public monies are frequently used only af ter lengthy delays.
- 3. Alternatives An alternative is to attempt to persuade EPA to revise its p>11cy of effectively excluding NRC licensees from possible coverage by the 1980 Comprehensive Environmental Response, Compensation and Liability Act.
However, EPA maintains that because NRC has full authority to require cleanup of accidental releases by its licensees, CERCLA funds should not be used to pay for cleanup of activities caused by NRC licensees.
Accordingly, Staff believes NRC should exercise its regulatory authority I to require licensees to provide assurance of financial responsibility for cleanup.
- 4. Proposed Action An ANPRM will be issued to solicit comments on the advisability of requiring certain NRC licensees to demonstrate that they possess sufficient financial capability to undertake prompt cleanup. Any necessary environmental restoration also would be included. The baseline of required financial assurance being proposed for discussion in the ANPRM is $2 million.
August 24, 1984 I
Financial Responsibility ANPRM - 2
- 5. Effects of Proposed Action The issuance of an ANPRM per se will not impose undue requirements on the public, licensees or Commission staff. The ANPRM specifically invites comments on the scope, availability, and costs of various financial assurance mechanisms, but no one is required to submit comments to the NRC. The staff will analyze the comments submitted on this issue before proceeding with a notice of proposed rulemaking. 3 There are three other ongoing NRC rulemakings that will also effect some of the same licensees covered by the ANPRM. However, these RM do not addre.ss the focus of the ANPRM (i.e., financial responsibility for cleanup of accidental releases). Accordingly, no regulatory conflict exists between the ANPRM and these other three rulemakings.
The other three rulemakings (RM) include:
- a. Decommissioning and Decontamination RM This RM addresses planned, expected activities, at the end of a facility's useful life. Although financial responsibility requirements exist in the decommissioning rulemaking, the focus is different from those covered by the ANPRM, which addresses funding for cleanup of unanticipated releases throughout the life cyle of an operation. The distinction between the financial responsibility coverage in these two rulemakings is so noted in the decommissioning RM.
- b. Emergency Preparedness RM The RM is concerned with assuring that appropriate emergency response actions are taken by licensees and State / local governments when necessary, to protect members of the public following an accidental release of radioactive materials. Financial responsibility is not an issue in this RM.
August 24, 1984 I,
i t
Financial Responsibility ANPRM - 3 !
b r
I:
- c. Residual Contamination Limits RM i
This RM would establish quantitative criteria for use in planned i decommissioning operations and for cleanup after unexpected releases.
Again, financial responsibility is not an issue in this RM. I
'1
- 6. Resources and Schedule !
Resources to develop and process the ANPRM are estimated to total 0.6 FTE I in FY84 and about 0.3 in FY85. No contractual support will be used.
Staff efforts are expected to be complete in the 2nd Qtr. of FY85. New estimates can be made once comments are received.
i!
l d
i l
- cf % UNITED STATES g I+. NUCLEAR REGULATORY COMMISSION WASHINGTON. D. C. 20556 'l
- g
$....+/ l MEMORANDUM FOR: R. E. Browning, Director Division of Waste Management
! Office of Nuclear Material Safety and Safeguards
! FROM: F. P. Gillespie, Chaiman RES Independent Review Board
SUBJECT:
ADEQUACY OF MSS REVIEW PACKAGE FOR " FINANCIAL RESPONSIBILITY OF MATERIALS LICENSEES FOR CLEANUP AFTER ACCIDENTAL AND UNEXPECTED RELEASES" The RES Independent Review Board (RIRB) has reviewed the review package for the above rulemaking enclosed in the memorandum of August 7,1984, from J. G. Davis to the EDO and has detemined that the review package is inadequate in two significant areas.
- 1. The review pekage does not provide currently available documentation; for example, the advance notice of proposed rulemaking that is being provided to States in August 1984.
- 2. The NMSS office finding does not address how the industry and NRC will be affected as a result of this rulemaking in relation to other ongoing rulemakings, e.g., decommissioning criteria for nuclear l facilities to assure funding will be available for decomissioning, l emergency preparedness requirements for selected fuel cycle and other materials licensees, and residual radioactive contamination limits for decommissioning and cleanup of buildings, structures, equipment, materials, and lands used in NRC licensed activities.
You are requested to provide the additional material so that RES may undertake its independent review of the MSS review package for the Financial Responsibility ANPRM in a timely manner.
F. P. Gillespie, Chairman RES Independent Review Board I
I I
l t* *t
- } kR%
,,3 racq
/ o UNITED STATES f .- g y j NUCLEAR REGULATORY COMMISSION 9 E WASHINGTON, D C. 20555 o, f ' i 7j
' li ' f
%, ...../ gg 7 gg MEMORANDUM FOR: William J. Dircks Executive Director for Operations FROM: John G. Davis, Director Office of Nuclear Material Safety and Safeguards
SUBJECT:
CONTROL OF NRC RULEMAKING - EDO INITIAL REVIEW In response to your memorandum of February 13, 1984, and in accordance with instructions provided in subsequent memoranda from the Office of Nuclear Regulatory Research (RES), the Office of Nuclear Material Safety and Safeguards has reviewed the on-going rulemaking activity listed below. On the basis of our review, we recommend the approval of continued activity on this rule.
Reviewed By NMSS For EDO Initial Review
" Financial Responsibility of Materials Licenses for Cleanup After Accidental and Unexpected Releases" n
/
, i a -: ~ ___
[c .(kh.' John G.' Davis, Director .
Office of Nuclear Material Safety and Safeguards
Enclosure:
Review Package for the above listed rulemaking activity ,
cc: w/ encl: RE aM i
[
TITLE: Financial Responsibility of Materials Licensees for Cleanup After Accidental and Unexpected Releases CFR CITATION: 10 CFR Parts 30, 40, 61, 70, and 72 ABSTRACT: By ANPRM, NRC would solicit connents on the advisability of having NRC require a mechanism to assure financial capability on the part of certain NRC materials licensees (e. g., fuel fabricators and users of sealed radiation sources) to undertake prompt cleanup of accidental releases or contamination, both on- and off-site. The cited regulations do not address such responsibility. Estimates for cleanup costs in the recent past have ranged up to $2 million for a single event. To date, cleanup has been conducted by the state or federal government but frequently public monies are used only after lengthy delays. Use of a possible alternative, i.e., the 1980 Comprehensive Environmental Response, Compensation and Liability Act (CERCLA), is effectively blocked by EPA policy.
CERCLA provides funds for cleanup if the owner or operator is unable voluntarily to do so and if the release is not covered by
" Price-Anderson" provisions, which address liability and do not provide funds for cleanup per se. EPA maintains that NRC has full authority to require cleanup oTaccidental releases by licensees; thus, the CERCLA public funds should not be used for such purpose.
Costs to licensees of the possible different financial assurance mechanisms are based on proprietary information. Staff is inviting comments in response to the ANPRM to address costs aspects, as well as scope of coverage and availability of mechanisms.
TlMETABLE: ANPRM to States in '08/00/84 LEGAL AUTHORITY: 42 USC 2201 EFFECTS ON SMALL BUSINESS AND OTHER ENTITIES: Undetennined.
AGENCY CONTACT:
Mary Jo Seeman Office of Nuclear Material Safetey and Safeguards Washginton, D.C. 20555 i
(301) 427-4647 1 d
hMSS OFFICE FINDING ON PROPOSED RULEMAKING l
Financial Responsibility for Materials Licenses / Cleanup 10 CFR Parts 30, 40, 61, 70, and 72
- 1. Issue Assure availability of funds for prompt cleanup of accidental releases--on site and off--caused by activities of certain NRC materials licensees.
- 2. Need Regulations cited above do not address responsibility of certain NRC materials licensees for being able to pay for prompt cleanup of accidental releases and contamination, e.g., by system failure or component defect. .
The licensees are fuel cycle cperators (other than reactor) and t manufacturers and users of radiation sources, e.g., radiopharmecutical manufactures, industrial radiographers and users of sources in such activities as gauging, well-logging, ano medical diagnosis and therapy.
Estimates for cleanup costs in the recent past have ranged up to $2 million for a single event. To date, cleanup has been conducted by the state or federal government but frequently public moni'es are used only after lengthy delays.
- 3. Alternatives The only alternative is to persuade EPA to revise its announced policy which effectively excludes NRC licensees from possible coverage by the 1980 Comprehensive Environmental Response, Compensation ano Liability Act.
CERCLA provides funds for cleanup if the owner or operator is unable voluntarily to do so and if the release is not covered by " Price-Anderson" provisions, which address liability and do not provide funds for cleanup per se.
EPA maintains that NRC has full authority to require cleanup of acciTe~ntal releases by licensees; thus, the CERCLA public funds should not be used for such purpose.
- 4. Proposed Action By ANPRM, solicit comments on the advisability of having NRC require a '
mechanism to assure financial capability on the part of NRC materials licensees to undertake prompt cleanup of accidental releases or contamination. Any necessary environmental restoration also would bc l
l 1
0
Financial Responsibility ANPRM - 2 included. The baseline of required financial responsibility being proposed is $2 million.
- 5. Effects of Proposed Rulemaking The issuance of an ANPRM per se will not impose undue requirements on the public, licensees or Commission' staff. Depending upon the comments '
received, and judgment on trying to change EPA policy, there may be significant consequences for licensees if the thrust of the ANPRM is
- pursued by rulemaking. Costs of the possible different financial assurance mechanisms are based on proprietary information. Staff expects the ANPRM comments to address cost aspects.
- 6. Resources and Schedule Resources to develop and process the ANPRM are estimateo to total 0.6 FTE in FY84 ano about 0.3 in FY85 No contractual support will be used.
Staff efforts are expected to be complete in the 2nd Qtr. of FY85. New estimates can be made once connents are received.
~
l
y .
sA0s-huAs 1
/. ..' UNITED STATES u sy NUCLEAR REGULATORY COMMISSION "
y 41 4 S WASHINGTON, D. C. 20555 -
(
~
E /j)3Jt1- c s...../
DEC 4 1984 4
MEMORANDUM FOR: Willian J. Dircks ,
Executive Director for Operations FROM: Robert B. Minogue, Director Office of Nuclear Regulatory Research
SUBJECT:
CONTROL OF NRC RULEMAKING: RES INDEPENDENT REVIEW OF ONG0ING RULEMAKING SPONSORED BY hMSS Eased on our independent review of the ongoing rulemaking, " Implementation of the Convention on Physical Protection of Nuclear Material," sponsored by NMSS, RES agrees with the recommendation of the Director, NMSS, that this rulemaking effort should be forwarded for Commission consideration, i
The basis for cur reconnendation is as follows:
4 This specific ongoing rulemaking would implement the U.S. commitment to protulgate the Convention on Physical Protection of Nuclear Material. The objectives of the Convention are to establish an international framework for
- improving the physical protection of nuclear material during international transport, for international cooperation in recovering stolen nuclear material, and for responding to serious offenses involving nuclear material. The convention was negotiated among 58 countries and approved by the U.S. Senate in 1981. Implementing legislation was enacted by Congress and was signed by the President during October 1982. The U.S. ratified the Convention on December 13, 1982. The Conventien will enter into force on the thirtieth day following the date on which the twenty-first country formally ratifies the Ccnvention.
The publication for information purposes of the intended final rule at this time would der.cnstrate continuing U.S. support for the Convention and may encourage t other countries to ratify the convention, of which only eight of the twenty-one needed have ratified it. The provisions of the final rule are not scheduled to become effective until after the Convention enters into force. The NRC will ther republish the notice of rulemaking with the effective date expressed as a calendar date.
9 i
. . ~ . . . , , .. -,-,, , . - . . - -. . . , . , . , , . , - . . . --, - - -
- 11. J. Dircks 2 DEC 4 1984 This rulemaking and subsequent adoption of the Convention would:
o Revise the NRC regulations in four specific transportation areas to comply with the Convention.
I i
o Encourage ratification of the Convention by the needed twenty-one countries, o Obtain the international cooperation necessary to strengthen the protection of international shipments of nuclear material.
A value impact statement has been made and the impact on the industry and NRC was faund to be minimal.
The ccaplete RES independent review package has been sent to OED0 (Attention:
DEDROGP,) and to the Director, NMSS. This package includes some suggested wording changes in the rulemaking package which we believe will improve the quality of the proposal.
Robert B. Minogue, Director '
Office of Nuclear Regulatory Research 1
1
4 ROUTING AND TRANSMITTAL SUP /2[ M TO: (Name, office symbol, room number, initials Date building, Agency / Post)
- n. 06Do (W DEDRo& R) 1 1
4.
5.
[ Action File Note and Retum Approval For Clearance Psr Conversation As Requested For Correction Prepare Reply Circulate ; For_Your information See Me __
Comment [ Invesogate Signature Coordination l Justify i
.AA %
W /~ ~87 d' "5 1fdfm MA " dAA$S.
N M T
{ & , a ss, NSM M '" &
MW H M m W USWM-e%'
gg DO NOT use this to 9 % f s a RECORD of approvals, concurrences, disposafs, clearances, and similar actions FROM: (Name, org. symbol, Agency / Post) Room No.-Bidg.
) Phone No.
y y 3 - ) Er r >/
504j-102 PTIONAL FgM 41 (Rev. 7-76) e FPun (41 ck 101-11.206 ,
t
- - - . . - - - . - - . - . _ _ . . . . - . - . - - - - - - - . -- .- ---R - 2 fif. - - - - - - . -.
-y &% /
DEC 4 19 M MEMORANDUM FOR: William J. Dircks Executive Director for Operations FROM: Robert B. Minogue Director Office of Nuclear Regulatory Research
SUBJECT:
CONTROL OF NRC RULEMAKING: RES INDEPENDENT REVIEW OF ONGOING RULEMAKING SPONSORED BY NMSS Based on our independent review of the ongoing rulemaking, " Implementation of the Convention on Physical Protection of Nuclear Material," sponsored by NMSS, RES agrees with the recomendation of the Director, HMSS, that this rulemaking effort should be forwarded for Comission consideration.
The basis for our recomendation is as follows:
This specific ongoing rulemaking would implement the U.S. comitment to promulgate the Convention on Physical Protection of Nuclear Materiel. The objectives of the Convention are to establish an international framework for improving the physical protection of nuclear material during international transport, for international cooperation in recovering stolen nuclear material, and for responding to serious offenses involving nuclear material. The convention was negotiated among 58 countries and approved by the U.S. Senate in 1981. Implementing legislation was enactei by Congress and was signed by the President during October 1982. The U.S. ratified the Convention on December 13, 1982. The Convention will enter into force on the thirtieth day following the date on which the twenty-first country formally ratifies the Convention.
The publication for information purposes of the intended final rule at this time i
would demonstrate continuing U.S. support for the Convention and may encourage 4 other countries to ratify the convention, of which only eight of the twenty-one needed have ratified it. The provisions of the final rule are not scheduled to become effective until after the Convention enters into force. The NRC will then republish the notice of rulemaking with the effective date expressed as a calendar date.
i
)
" '* ,I. . .
- - - ..l .
i .l .
--' 1 4 -J.
- p. _ ,_ _ y omcpecoao con
Je oww,m . . -
-h*-sww.--4-, . w,* +ee-- .-,--,..,..--<-.sm.- +-e, - e.-.wm- --4 - - - . - . - . - - - e--aw W. J. Dircks 2 DEC 4 B84 This rule:naking and subsequent adoption of the Convention would:
o Revise the NRC regulations in four specific transportation areas to comply with the Convention.
o Encourage ratification of the Convention by the needed twenty-one countries.
o Obtain the international cooperation necessary to strengthen the protection of international shipments of nuclear material.
A value impact statement has been made and the impact on the industry and NRC was found to be minimal.
The complete RES independent review package has been sent to OEDO (Attention:
DEDR0GR) and to the Director, t.74SS. This package includes some suogested wording changes in the rulemaking package which we believe will improve the quality of the proposal, bb
/ Robert Office ofB.Nuclear Minogue, Director Research Regulatory l
l DISTRIBUTION:
Circ Chron FGillespie JNorberg MErnst PTing STurel l STurel/rdg l HFSG/subj HFGS/rdg i
l 1
- See Previous Concurrence e e "= > .. "f3??!"^.*"f??S!?RA
- HFSgBlgRA. gRAl g . .
ylgIR .,gglRES
, , , p}f, ,
-> ...S.79re!,, ,,,P. m g , , , , , , ,g;tgbe[g ,,,,,Er st,,, ,,, F.Gi lesp ie,,D.Ross,,,, ,,,R.Minogue, f i a^" > . ..?M8?. ..2?S/8?.. ..1/12/89,,
2
, ,i 1 .,,,
/84 ,, ,,,,ggg89,,
1
, ,,,11/,,/89,, , , y ,$g , ,
NRC FORM 318 (10 80) N RCM O24 OFFICIAL RECORD COPY
RES Independent Review Package l
l 1
i
oete ROUTING AND TRANSMITTAL SUP fiDV 7 1384
' TO: (Name, oNice symbol, room number, initials Date l bulsdins, Agency /Poso j g, 0. E. Bassett, !! ember, RIRB ;
g K. R. Goller, flember, RIRB
- s. G. A. Arlotto, itember, RIRB l 4.
1 5.
y Action Flie Note and Retum Approval For Clearance Per Conversation As Requested For Correction Prepare Reply Circulate For Your Information See Me Comment investigste Signature Coordination Justify REMARKS tig M o%-
%r, % 4 n u.<>.wr gataaL" We are at step III.C.2, "RIR3 deliberations," of.the ~
RES independent review procedures for the attached specific ongoing rulemaking sponsored by Please evaluate the attached dra'ft independent review package and provide RAltRB with your voting sheet indicating your position on the rulemaking.
Your response by c.o.b. .
will assist in RES' making independent recommendations to the ED0 in a timely manner.
DO NOT use this form as a RECORD of approvels, concurrences, despiaals, clearances, and similar actions FItOld: (Neme, org. symbol, Agency / Post) Room No.-Bldg.
i RN1RB staff Pnon. No.
443-7885 seet-to OPTIONAL FOAtl 41 (Itov. 7-76)
"II
- GPO: 1983 0 - 301-529 (232) l
~ f,t1 Ncam J Y
RES INDEPENDENT REVIEW BOARD VOTING SHEET T0: F. P. GILLESPIE*, CHAIRMAN, RIRB FROM: 0. E. BASSETT, MEMBER, RIRB TITLE OF RULEMAKING: " Implementation of the Convention on Physical Protection of Nuclear Material" AGREE WITH DRAFT RES REQUEST RIRB INDEPENDENT RECOMMENDATIONS MEETING.
IN DRAFT INDEPENDENT REVIEW PACKAGE.
MODIFY DRAFT RES NOT PARTICIPATING.
X INDEPENDENT RECOMMENDATIONS AS INDICATED BELOW.
COMMENTS AND SUGGESTIONS:
The proposed memo from the Director of RES to ED0 states in two places that publication of the intended final rule will encourage ratification of the convention by other countries. Although this fact is also asserted in the supplementary information section of the rule, no basis for it is provided. Since the U.S. was a leading proponent of the convention, has already ratified it and implementing legislation has already been enacted, it is not clear how this further step will encourage ratification by other countries. I recommend that R. B. Minogue not make this assertion in his memo to the ED0 unless a convincing basis is provided. I also recommend that the statement on page 2 of the Supplementary Information section which says " Publication of the intended final rule... will encourage other countries to ratify the Convention" be changed to indicate it "may" encourage other countries.
In Attachment 2 to the proposed memo from R. B. Minogue to EDO:
Item 5 b, the $230,000 should be $130,000.
Item 5 c, the "0.5 man years in I&E", should be "0.5 man years in NMSS."
- 0. E. BASSETT /
MEMBER, RIRB l
//kT YY DATE
l
. c.
l RES INDEPENDENT REVIEW BOARD VOTING SHEET T0: F. P. GILLESPIE, CHAIRMAN, RIRB FROM: G. A. Arlotto, Member, RIRB TITLE OF R EMAKING: " Implementation of the Convention on Physical Protection of Nuclear Material" AGREE WITH DRAFT RES REQUEST RIRB y INDEPENDENT RECOMMENDATIONS IN DRAFT INDEPENDENT REVIEW MEETING.
PACKAGE.
MODIFY DRAFT RES ~
NOT PARTICIPATING.
~ ~~
INDEPENDENT RECOMMENDATIONS AS INDICATED BELOW.
COMMENTS AND SUGGESTIONS:
, . I MEMBER, RI.B alYVY DATE
NOV 0 91984 RES INDEPENDENT REVIEW BOARD ['\. A A V0 TING SHEET T0: F.P.GILLESPIE,CHAfRMAN,RIRB FROM: K. R. Goller, Member, RIRB TITLE OF RULEMAKING: " Implementation of the Convention on Physical Protection of Nuclear Material"
/ AGREE WITH DRAFT RES REQUEST RIRB N/ INDEPENDENT RECOMMENDATIONS MEETING.
IN DRAFT INDEPENDENT REVIEW PACKAGE.
MODIFY DRAFT RES NOT PARTICIPATING.
INDEPENDENT RECOMMENDATIONS AS INDICATED BELOW.
COMMENTS AND SUGGESTIONS:
L ,
/
MEMBER, RIRB
///E/M DATE
, - = - . . . . _ = _- - -. - -- - _ . - _-
4 Attachnent 1 i
Inplementation of the Convention on the Physical Protection of Nuclear Material Rule, Sponsored by NMSS - Review of Rulemaking Review Pakcage.
As per the memorandum of May 30, 1984 to Minogue from Dircks each rulemaking review package cost contain the following documentation:
l a. The NRC Regulatcry Agenda entry updated to give a clear indication of the current status of the rule.
- b. The rulemaking as it is currently proposed to be published in the Federal Register.
I
- c. The office director's recomcendations to the EDO concerning whether and how to continue with the rulemaking. The recommendations must be i limited to 2 pages and must be self contained. (See item e, for l supporting documentation requirements.)
i
- d. The results of the sponsoring office review that, as a minimum, considers the following natters:
the issue to be addressed, i.e., the problem to be corrected; the necessity and urgency for addressing the issue; i
alternatives to rulemaking; i
i
- how the issue will be addressed through rulemaking; 1 -
huw the public, industry, and NRC will be affected as a result of rulemaking, including benefits and costs (risk,
- occupational exposure, and resources); and i
l 4
i
. . ~ . . . - -- .. .. .. - - . - . . - . -
l' ;
1 1
1 l
NRC resources and scheduling needed for the rulemaking.
4
- e. A copy of each Comission paper, regulatory analys s, CR3R pcckage, or other underlying documents relied upon by the sponsoring office I in conducting its office review.
- f. Any sumary sheet, form, or other documentation requested by OEDO or
- others (involved in control of NRC rulemaking by offices reporting to the ED0) to assist in their review of the rulemaking.
- Upon review of the rulemaking review package submitted by NMSS against the above j criteria it was found that the package was complete.
-l 1
l f
i
+
i i
- i l
3 i '
i Attachment 2 Results of Independent Review of NMSS Submitted Final Rule - Implementation of the Convention on the Physical Protection of Nuclear Material.
Based upon the RES independent review as detailed below it is recommended by this office that the subject ongoing rulemaking be continued.
The following criteria were considered.
j 1. Is the rulemaking package complete?
The rulemaking package was found to be complete.
- 2. Does technical data in preamble support rule?
The U.S. signed the Conventon of the Physical Protection of Nuclear Material on March 3, 1980. It was subsequently enacted by the Congress and signed by the President on Oct. 18, 1982. A review of the NRC regulations and procedures disclosed that they are in accord with the convention except for four specific situations that are addressed in the rule. flodifications to the rules and procedures were proposed and published for comment on July 14, 1983. All comments received were considered, most being incorporated into the rule or guidance. All technical data presented in.the preamble describing this process does support the rule.
t
- 3. Is rule adequately supported by accompanying statement of basis and purpose?
i I
Yes. The need for the rule change was well documented by the statement i of basis and purpose. The need is to change NRC rules and procedures ,
to agree with the Convention on Physical Protection.
- 4. Does rulemaking proceeding comply with APA?
Yes, in its entirety.
- 5. Does rulemaking proceeding violate any of the Commission's rules for rulemaking?
l No.
- 6. Does the rulemaking package indicate resource impacts?
Yes.
- 7. Are there significant errors in the regulatory drafting style or format?
No.
- 8. Is the need of the rulemaking for an EIS or negative declaration consistent with the current revision of 10 CFR Part 517 Yes Also considered were:
- 1. The issue to be addressed.
Certain NRC rules and procedures need to be changed to agree with the signed and enacted Convention on Physical Protection of Nuclear Material.
- 2. Necessity and urgency.
The U.S. was the lead nation in proposing this Convention. The new rule would go into effect thirty days after final ratification of the Convention by 21 countries. The rule would then be republished with an effective date expressed as a calendar date. As of this date eight countries have ratified.
- 3. Alternatives to rulemaking.
The only alternative to rulemaking would be to ignore the Convention.
Since the U.S. was the leader in the Convention this was not a viable alternative.
- 4. How the issue will be addressed through rulemaking.
Certain NRC rules will be changed to be in conformance with the Convention.
- 5. a) How public will be affected?
The adoption of the Convention will result in improved security for for Convention defined nuclear material during international transport.
b) How industry will be affected?
8I303000 Compliance is expected to cost the licensees about 423h000 annually c) How NRC will be affected?
tlMSS The addition of about 0.5 manyear in,1&E for processing notifications.
Also, there will be no additional risks or occupational exposure caused by the adoption of this rule.
- 6. NRC resources and scheduling need.
The proposed resources and scheduling were reviewed and found to be
Attachment 3 Suggested Wording Changes.
- 1. On each page of the thirty-five pages of the final rule publication the billing code [7590-01] should be entered in the top right hand corner.
- 2. Wherever a specific part of the chapter is referred to (such as page 19, 5th line) "of this chapter" should be used. Example (same page and line) - instead of ---- in 10 CFR Part 110, it should be
in Part 110 of this chapter.
l l
h
NMSS Rulemaking Review Package l
i TITLE:
Implementation of the convention on the Physical Protection of Nuclear Material CFR CITATION:
10 CFR 40; 10 CFR 70; 10 CFR 73; 10 CFR 110 ABSTRACT:
The NRC is amending its regulations in order to implement the provisions of the Convention on the Physical Protection of Nuclear Material. Since NRC is responding to implementing legislation enacted by Congress and signed by the President, no alternati,ves were considered. The proposed amendments would require (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 NRC concerning the export of Convention-defined nuclear materials, and (3) advance notification and assurance of protection to NRC concerning the importation of Convention-defined nuclear material's from countries that are not parties to the Convention, and (4) advance notification and assurance of protection concerning transient shipments of Convention-defined nuclear material shipped between countries that are not party to the Convention. The adoption of the proposed amendments would result in improved security for Convention-defined nuclear material during international transport.
Compliance with the new regulations is expected to cost licensees about $230,000 annually. Public comments have been received and analyzed. A final rule is being drafted.
TIMETABLE:
NPRM 07/14/83 48 FR 32182 NPRM Comment Period Begin 07/14/83 48 FR 32182 NPRM Comment Period End 10/13/83 Final Rule to EDO 08/00/84 Final Rule to Commission 09/00/84 LEGAL AUTHORITY:
42 USC 2201; 42 USC 5841 l
EFFECTS ON SMALL BUSINESS AND OTHER ENTITIES: No l
AGENCY CONTACT:
Carl Sawyer Office of Nuclear Material Safety and Safeguards Washington, DC 20555 301 427-4186 I
29 l
l
[
![pa, ..ticg Io, UNITED STATES
.,lj NUCLEAR REGULATORY COMMISSION g , j WASHINGTON, D. C. 20555
- ,,, a
\ . , ', #' OCT - 21984 MEMORANDUM FOR: James C. Malaro, Chief Regulatory Analyses Branch Division of Risk Analyses Office of Nuclear Regulatory Research FROM: Theodore S. Sherr, Chief Material Transfer SG Licensing Branch Division of Safeguards Office of Nuclear Material Safety and Safeguards
SUBJECT:
FINAL RULE FOR IMPLEMENTATION OF CONVENTION ON PHYSICAL PROTECTION: RES REVIEW The attached subject final rule package which carries IP, RES, IE, and ELD concurrence was submitted to EDO on August 7. Subsequently, we were informed in a note from Mr. Jim Sniezek (Enclosure 1) of a need to: (1) modify the paper to set forth a new IE position; and (2) arrange for RES review as specified in EDO nemoranda of February 13 and May 30, 1984. The package has been modified to incorporate the new IE position (Enclosure 2).
This rule was exempted from the initial RES review because: (1) it is based on a Congressional mandate; and (2) it was issued for public comment, and public comment was completed, within one year before the ED0 memoranda were issued.
We request that you carry out any needed RES review. Hopefully, the review can be completed expeditiously. In this regard, please note that the rule has been concurred in by RES (see Enclosure 3).
We understand that under applicable procedures you will transmit the package to EDO af ter the RES review is complete.
[ .
Theodore S. Sherr, Chief Material Transfer SG Licensing Branch Division of Safeguards Office of Nuclear Material Safety and Safeguards 1
Enclosures:
As stated l
l
r__.._..______._.__.____ _ . _ . . . . _ . _ _ _ . _ _ _ . _ . . . . - . _ . . . _ .
l os ucu i / ao UNITED STATES j l' , . . J ' ,j NUCLEAR REGULATORY COMMISSION
] 3 a# . j WASHINGTON, D. C. 20555 1
e c
) '%.....*# OCT - 2 1984
.i I
1 i
'I MEMORANDUM FOR: James C. Malaro, Chief 1 Regulatory Analyses Branch j Division of Risk Analyses
! Office of Nuclear Regulatory Research FROM: Theodore S. Sherr, Chief
, Material Transfer SG Licensing Branch
! Division of Safeguards Office of Nuclear Material Safety and Safeguards
SUBJECT:
FINAL RULE FOR IMPLEMENTATION OF CONVENTION ON
- PHYSICAL PROTECTION
- RES REVIEW i
The attached subject final rule package which carries IP, RES, IE, and ELD
. concurrence was submitted to ED0 on August 7. Subsequently, we were informed in a note from Mr. Jim Sniezek (Enclosure 1) of a need to: (1) modify the paper to set for,th a new IE position; and (2) arrange for RES review as specified in ED0 memoranda of February 13 and May 30, 1984. The package has
{ been modified to incorporate the new IE position (Enclosure 2).
I This rule was exempted from the initial RES review because: (1) it is based i on a Congressional mandate; and (2) it was issued for public comment, and i
public coment was completed, within one year before the EDO memoranda were i issued. -
We request that you carry out any needed RES review. Hopefully, the review 4
can be completed expeditiously. In this regard, please note that the rule has been concurred in by RES (see Enclosure 3).
We understand that under applicable procedures you will transmit the package j to EDO after the RES review is complete.
1 j Theodore S. Sherr, Chief i Material Transfer SG Licensing Branch j -
Division of Safeguards i
Office of Nuclear Material Safety and Safeguards
Enclosures:
As stated 4
9 ee...-_,eee.,< m - - - e + .- --* +
. ----=-,:.* w -.e. w- -- - --
7sve-
[sA Keeg* UNITED STATES
! j , ,. , [h} NUCLEAR REGULATORY COMMISSION
- t
- /f WASHINGTON. D. C. 20555
- l% ""/'/
j; .7.$ .
- SEP 121984 l
] NOTE T0: John Davis FINAL AMENDMENTS TO 10 CFR PARTS 40, 70, 73 AND 110 TO IMPLEMENT THE a INTERNATIONAL CONVENTION ON PHYSICAL PROTECTION OF NUCLEAR MATERIAL i
The subject proposal is being returned to you because:
4
[j 1. In accordance with the EDO memoranda of February 13 and May 30, 1984,
-! concerning Control of NRC Rulemaking, the proposal has not been 1 independently reviewed by RES.
- 2. The discussion of the impact on IE and the Regions should be corrected because it is factually incorrect in that according to L. Bush (IE),
inspections concerning this matter were not included in the budget and therefore are not planned. This should be made clear in the proposal and coordinated with IE and IP.
This has been discussed with Mr. Sawyer of your staff.
. 3
- CGvb Ji Sniezek i'
cc: R. DeYoung
- . J. Tay1or L. Bush C. Sawyer
?
'I 1
Contact:
Walt Schwink, ROGR Staff 492-8639 Enclosure 1
_. _. . _ . ~ . . _ ~ . - - . _ - . - - -
S % ) -__m _.
_9.-
-9 y -
w- - - --. . , --.p- ,
o
[vs cec ,#'c UNITED STATES NIJCLE AR REGULATORY COMMISSION f lg, s. f' E 7 4 pgs/.
WASHINGTON, D. C. 20555
"%f W Y*g!
..... M F 2 ' $84 l'EMORANDUM FOR: John G. Davis, Director Office of Nuclear Material Safety and Safeguards FROM: Richard C. DeYoung, Director Office of Inspection and Enforcement SUSJECT: FINAL AMENDMENTS TO 10 CFR PARTS 40, 70, 73, AND 110 TO IMPLEMENT THE INTERNATIONAL CONVENTION ON PHYSICAL PROTECTION OF NUCLEAR MATERIAL We have reviewed the subject proposal and recommend that the statement on page 3 concerning the impact on IE resources be amended to say: _The impact on Office of Inspection and Enforcement resources will involve developing written guidance to support any reactive inspections or responses to serious offenses 4, involving nuclear material [, ine'di ; rc::. ry of :ti ...aci .ci 3that may be d required. Developmant of this guidance and infrequent reactive activities are &
expectedtobeaccomplishedwithoutadcitionalresources.] euv ~~e p 2 r4im 4 -:7 Richard C.' eYoung Director Office of Tnspection and Enforcement cc: J. H. Sniezek, ED0 J. M. Taylor, IE L. L. Bush, IE J. N. Grace, IE E. L. Jordan, IE Enclosure 2
4 i
- ' UNITED STATES
[g f "%)* ,. NUCLEAR REGULATORY COMMisslON w AsuiscTo u, o. c. 2osss
[e-
\ . ,','. .
- JUL 0 21W i
MEMORANDUM FOR: John G. Davis, Director Office of Nuclear Material Safety and Safeguards FROM: Robert B. Minogue, Director Office of Nuclear Regulatory Research
SUBJECT:
IMPLEMENTATION OF CONVENTION ON PHYSICAL PROTECTION OF NUCLEAR MATERIALS: CONCURRENCE We have reviewed the subject final rule and concur. Our comment from a review of an earlier version has been incorporated into the final rule. Also, we agree with the changes suggested by other reviewers.
/. .I /
{ lb , /{
- Robert IJFnogue, iTecto ,
Office of Nuclear Regulato'ry'Research i
e
(
s.
i ENCLOSURE 3 l
1 l
s !
[s Micvq%, UNITED STATES ,
E'
, 'j NUCLEAR REGULATORY COMMISSION l 5 WASHINGTON, D. C. 20555
' t f
f.'.F-. 7 M4
, MEMORANDUM FOR: William J. Dircks Executive Director for Operations FROM: John G. Davis, Director
^l Office of Nuclear Material Safety and Safeguards
SUBJECT:
IMPLEMENTATION OF CONVENTION ON PHYSICAL PROTECTION: FINAL RULE The objective of the subject rule is to bring NRC regulations into accord with the Convention on Physical Protection of Nuclear Material, which was ratified by the U.S. in December 1982.
i The subject rule was issued in proposed form in July 1983. Public coments were taken into account. A draft final rule substantively identical to the subject rule was developed and circulated for comment to the Departments of State, Transportation, and Energy, the five NRC Regional Offices, and seven NRC Headquarters Offices. The comments and suggestions we received have been taken into account in the enclosed paper.
i The enclosed paper has been concurred in by RES, IE, and IP. ELD has no legal objection. ADM has reviewed the paper for proper format.
We recommend that the enclosed pa be forwarded for Commission consideration.
A I John G. avis, Director Office of Nuclear Material Sefety and Safeguards
Enclosure:
As stated d.
Enclosure 1
_m _1 1.*.. _
.sv
_--s u, - .- . -..r.:
^
.m, , -' -
1 i
For: The Commissioners From: Willian J. Dircks Executive Director for Operations
[f
Subject:
IMPLEMENTATION OF CONVENTION ON PHYSICAL PROTECTION i
4
Purpose:
To consider issuance of a final rule (Enclosure 1) to implement the J Convention on Pnysical Protection of Huclear Material
- Category
- A safeguards policy matter requiring Commission approval Discussion: Background The objectives of the Convention (see Attachment 1 to Enclosure 2) are to establish an international framework for improving the phys-ical protection of nuclear material during international transport, for international cooperation in recovering stolen nuclear material, and for responding to serious offenses involving nuclear material.
The Convention was negotiated among 58 countries, with four others in the role of observers. It was approved by the Senate in 1981.
Subsequently, implementing legislation was enacted by Congress and -
was signed by the President during October 1982.
A review of NRC regulations revealed the following four highly specific transportation situations where the regulations are not in accord with the Convention: (1) the pnysical protection of transient shipments of special nuclear material of moderat'e and low strategic significance and irradiated reactor fuel; (2) advance notification to the NRC regarding the export of Convention-defined nuclear material; (3) advance notification and assurance of pro-tection to NRC concerning transient shipments of Convention-defined nuclear material between countries that are not parties to the Con-vention; and (4) advance notification and assurance of protection to the NRC regarding the importation of Convention-defined nuclear material from countries that are not parties to the Convention. A transient shipment is one originating and terminating in foreign countries, on a vessel or aircraft which stops at a U.S. port.
i
Contact:
- C. Sawyer j 42-74186
- 4 t
_ , . - -. - . . . - - - . -- + - -
__ _ ,, .m... ., -
I l
The Commissioners ,
l Convention-defined material includes natural uranium (other than in the form of ore or ore residue) in a quantity exceeding 500 kilograms, plutonium, uranium-233, uranium enriched in uranium-l 235, and irradiated fuel.
A proposed rule to bring fiRC regulations into accord with the
) Convention was published in July 1983 for public connent. Five i
letters, each containing numerous coraments and suggestions, were received. Some comments led to recommended changes in the rule as proposed; other comments will be explicitly addressed in lidC guid-ance documents; still others did not result in changes to either the rule or guidance documents. The comments and tne I4RC responses are set forth in detail in Enclosure 1.
Changes to the Rule Following is a summary of changes that have been incorporated into the recommended final rule.
- 1. Single notification to the NRC. In the proposed rule, a licen-
., see would provide various advance notifications to both the cognizant Region Office and f4RC headquarters. The recommended
..j final rule provides for notification only to fiRC headquarters.
i
, 2. Shortened notification time. The proposed rule provides for
, notification 14 oays before transport commences. The final l rule provides that the notification shall be received at f4RC headquarters 10 days before transport commences.
- 3. Uniformity of notification times, flotification times are not uniform f rom section to section in the proposed rule; this has e,
been corrected in the final rule.
- 4. Provision for use of telephone to amend an advance notifica-tion. f40t all sections of the proposed rule explicitly pro-vide that a licensee whose shipping plans change may amend a written advance notification by telephone. The omissions have been corrected in the recominended final rule.
- 5. Miscellaneous. Several clarifying changes have been made in I i the recommended final rule. Cross references have been added
]J in Parts 40 and 110.
l I ,
~ ~ ~ ~ ~ ' ^ ^ ' * ^ ~
_ _ . . - . - - . -- ~~~~.:-~' ~ - ~ ~ ' ' ~ ~
r , .,
-. _ ._- _ . _ _ _ . . _ . . , . _.- : :.. a _ 2 ;. _. . _ . ~e. _ . . _ . _ . _
1 1
i The Commissioners a value/ Impact: The value of the rule is its aid in establishing an international
, framework for improving the physical protection of nuclear mate-rial during international transport, for international cooperation
, in recovering stolen nuclear material, and for responding to ser-g ious offenses involving nuclear material. The impacts of the g rule expressed in terms of costs to licensees, are estimated to L.! be $130,000 annually. A supporting Regulatory Analysis is at 1 Enclosure 2.
Resource bie staff estimates that the amendments will result in an annual Estimates: workload increase of 0.5 staff years in the Office of Nuclear Material Safety and Safeguards. The impact on Office of Inspection and Enforcement resources will involve developing written guidance to support any reactive inspections or responses to serious offenses involving nuclear material that may be re-qui red. Development of this guidance and infrequent reactive j activities are expected to be accomplished without additional resources.
, Interagency The Department of State and the Department of Transportation have
,1 Coordination: reviewed the final rule and have no objection.
- i
! Recommendation: That the Commission:
- I
} 1. Approve for publication in the Federal Register the final rule set forth in Enclosure 1.
N:
- 2. Certify, in order to satisfy the requirements of the Regula-i} 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 final rule will not go into effect unless and until 21 countries ratify the Convention.
, b. That the final rule will be republished promptly after 4
the 21st country ratifies the Convention, with the effec-
- j1 tive date expressed as a calendar date.
- l c. That, pursuant to 10 CFR 51.32 and 51.35, the material
-' to be published in the Federal Register contains a Com-mission finding of "no significant impact on the human
.]
environment," based on an environmental assessment pre-pared pursuant to 10 CFR 51.21, and 51.30, and included in the Regulatory Analysis for this rulemaking.
g ,., g a m
-.a..-_-.. . - . . . = ..-.---
3,- ... . .- _ _ ...
i l
?
The Comissioners 4-
- d. That the Subce.mittee on huclear P.eSulation of the Senate Cornmittee on the Environment and Public wnrks, the Sub-committee on Energy and Environnent of the House Comit-
, tee on Interior and Insular Af fairs, the Subcome.ittee on Energy and Power of the House Cornittee on Interstate i
dnG Foreign loinnerce, the Subcorwittee on Environment, Energy and Natural Resources of the House Cormaittee on Governrient Operations, the Senate Connittee on Foreign kelations, and the House Committee on Foreign Af fairs will be informed.
- e. That a public announcement such as Enclosure 3 will be issued by the Office of Public Af fairs when the notice of final rulemaking is filed with the Office of the Federal Register.
- f. That copies of this notice will be distributed to affected licensees anc other interested persons by the '
Of fice of Administration.
- g. That the Chief Counsel for Advocacy of the Small business j Administration will be informed of the certification and i the reasons for it as required by the Regulatory Flexi-
] I bility Act.
j h. This final rule amends information collection require-nents that are subject to the Paperwork Reduction Act at 19E0 (44 U.S.C. 3501 et seq.). These requirenents were approved by tne Office of Managenent and Budget approval numbers 3150-0002,3150-0009, and 3150-0020.
Willian J. Dircks Executive Director for Operations
Enclosures:
4
- 1. Federal Register hotice j 2. Regulatory Analysis e 3. Public Announcement ED0 1 1
.k WJDircks I
+ # .. / /84 i Vk '
- c. fiE V HMSS r Vi rue oung UMausshardt a1A's' rh #
[//84p b'l SGMTCs?
CSawyer t+, %
SGMTV g
CKNulsen TSSherr
)FC Y, %y SG it RECu'nni ngnam RFBurnett 4/y/84..,
dP D)2
- DJShear t
/ /84
-.RMinogue-
/ PES IH~' ./y', ELD GCunningnan 1
l 4 /;V /84 4 /p /84 b/2.(/84 4 /#/84 ' /y /84 / / $ /84 /. /s /84 ," //f /84
-- l
-7
?
.._.. _ _ [7590-01] _._ -
NUCLEAR REGULATORY COMMISSION 10 CFR Parts 40, 70, 73, and 110 Implementation of the Convention on [
Physical Protection of Nuclear Material AGENCY: Nuclear Regulatory Commission.
ACTION: Final rule.
i
SUMMARY
- Tne Nuclear Regulatory Commission has decided to amend its regulations to bring them into accord with the provisions of the Convention on the Physical -
f Protection of Nuclear Material. The amendments will result in strengthened pro- l
[
tection of shipments of Convention-defined materials during international trans- l port. The amendments will affect licensees and carriers who import, export, or i i
transport international shipments of Convention-defined materials in four specif- [
I ically-defined situations. !
}
EFFECTIVE DATE: This notice of rulemaking is being published for information only. The amendments are intended to become effective 30 days af ter the 21st country ratifies the Convention. Following the 21st ratification, the NRC will republish this notice of rulemaking with the effective date expressed as a calendar date.
FOR FURTHER INFORMATION CONTACT: Carl B. Sawyer, Of fice of Nuclear Material Safety and Safeguards, U.S. Nuclear Regulatory Consnission, Washington, DC 20555, Telephone: 301-427-4186. l 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.). The Convention is the result of a U.S. proposal originally made by l ENCLOSURE 1
__ . - _ . _ _ _ _ . _ _ _ _ 3
i the Secretary of State in 1974. Its purpose is to provide for the establish-ment and maintenance of adequate physical security with respect to international l i ;
l shipment of significant quantities of source or special nuclear material. The j Senate approved the Convention on July 30, 1981 and the implementing legislation j a i
- was enacted by the Congress and signed by the President on October 18, 1982 l 1 l (Pub. L.97-351, 96 Stat. 1663). The Convention will enter into force on the thirtieth day following the date on which the twenty-first country formally rati-i fies the Convention. The U.S. ratified the Convention on December 13, 1982.
Publication of the intended final rule at this time demonstrates continuing l U.S. support for the Convention and will encourage other countries to ratify the Convention. The provisions of the final rule, however, are not scheduled to become effective until after the Convention enters into force. International cooperation is necessary if the strengthened protection of international ship-ments envisioned by the Convention is to be attained. Rules enacted by the i U.S. or any one country alone would have little impact on overall protection of 4
international shipments. As of [date], eight* of the needed twenty-one countries have ratified the Convention.
A review of NRC regulations and procedures disclosed that they are in ac-cord with the Convention except for four specific situations: (1) the physical j 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 l NRC regarding the importation of Convention-defined nuclear materials from coun-
! tries that are not parties to the Convention. Convention-defined material includes i = inis Information will be updated just before release for publication.
i i
t
natural uraniun (other than in the forn ut ore or ore residue) in a quantity i l
exceecing 500 kilograus, plutuniur., uraniun-233, uraniun enriched in uranium-235, ant; irradiated f uel, a transient stiips;ent is one originating and ter:aina-ting in toreign countries, that is transported on a vessel or aircraf t wnich stops at a U.S. port.
]
. l l
Un July 14, 1903, tne i.RC publisneu a FLUERAL REGISTER notice (43 FR 32132) I inviting public comnent on a proposed rule tnat would bring IIRC regulations into accord with tne Convention in the four situations cited above. Tne 9h-day con-nent period endeo on October 13, 1983.
Five letters of corwent were received, each containing several corments and suggestions. The individual coments and suggestions were considered by I!RC and are discussed in terms of three categories: (A) those that led to o change in the regulations as proposed; (B) those that are to be incorporated into various guidance documents; and (C) those that were not adopted.
A. Conuents that led to a cnange in the rule as proposed
- 1. Single notification to 1:RC. The proposed rule called for licensees to I
provide shipment notification to the llRC headquarters and to the cognizant 1;dC degional Office. Sone coments orgued tnat this is a needless ourden on licensees and that the liRC should set up whatever internal mechanisms are needed to work from a single notification.
Tne I;RC agrees with this suggestion. The final rule has been revised to !
call for a licensee to notify only the I;RC headquarters.
- m - * *- ,a. __% , ,
i
- 2. Specification of notification times. The proposed rule called for noti-fication 14 days in aavance of the time transport is to comience. Some coments i
were concerned about possible changes in shipping plans during the 14-day period dnd requesteo that it be shortened.
The udC agrees that a shorter notificotion period will likely contrioute to ciore accurate notification details. The liRC staff has consulted witn the staff 4 of the Deportment of State and has determined that a 10-day period is the minimun needeu to process tne messages and corriunicate theia to the countries situated along the shiprent routes. The regulation has been modified accordingly. If experience shows thdt a snorter time can be tolerdted or that a longer time is necessary, the regulation will be so modified in the future.
- 3. Uniformity of notification times. Some comments pointed out that the phrasing of the notification time requirements differs in the various parts of J
the proposed rule.
The I.RC agrees with this observation. Identical phrasing is used in the various parts of tne final rule.
- 4. Changes to advance notification information. One coment pointed out that routes or other shipment plans night be changed at the last minute before shipnent, thereby invalidoting at least part of the advance notification infor-mation.
The hRC agrees that tne rule should provide for sucn last ninute changes.
The rule has been nodified to permit the advance notification infonnation to be modified by telepnone. ,.
4 i i i
1 l
- ====--m-==s-===- =- . _ _ _ _ _ _ _ _ - . - _
--~~
~ 57bi nip 1'i fi ca t i on o f ~riropisseo ls40.~ 66 ( b ) ( 5 )'a nd 40;67 (b ) ( 5 ) .
Some concents suggested that the reguldtion would be clearer if the text of sub-ject proposed paragraphs is replaced by the referenced tioteridl in Appendix E.
Another coiwent asked wnat a licensee nust do to provide the " assurance" ref erred to in tne subject paragraphs as proposed.
The suggestion was adopted. The term " assurance" does not appear in the redrafted paragrapns.
- 6. Changes 673.72 to include irradiated fuel. Some connents pointed out that (1) the phrasing of 573.72 could lead a reader to believe that it applies exclusively to a foruula quantity of strategic special nuclear material; but (2) -
573.37(b)(1) requires tnat spent fuel snipments be reported under 573.72. The I;RC agrees witn tne comment and has rephrased 573.72.
- 7. Clarification. Several connents pointed out language defects in 5540.12 and 70.20b(e) and in Appendix E. The passages in Parts 40 and 70 have been modi- ,
fied to eliminate the defects. Introductory phrasing to Appendix E has been modi-fied to emphasize that a verbatim quotation is used. Finally, cross references have been added in Parts 40 and 110.
B. Comments incorporated into guidance. Some coninents and suggestions are to be addressed in various guidance documents. The purpose of this guidance is to i describe some nethods acceptable to the llRC staff for implementing the provisions.
The guidance is intended as an aid to licensees and is not legally binding.
The specific guidance documents involved will be explicitly identified and made available when this notice of rulemaking is republished following ratifica-tion of the Convention by the 21st country (see Effective Date section). Follow-ing is a summary of comments tk.be addressed in guidance documents.
'~
_ ._. __ a
(
~17 Details ~of shipment ^'locationi;- Une comment ~ suggested thatT40.~23(2)(i~)- ~ ~~~ 1 and 70.200(f)(2)(i) snould oe modified to specify details of the location infor-nation needed (e.g. , street address, berth, etc. ). l l
llRC needs to have the infonaation specified to a level that will enable '
inspectors to find and observe the vessel Dearing the shipment. Sometimes tne information needed will not be available wnen the advance notification is prepared, i.oreover, tne ilRC oelieves that tne various combinations of transport '
modes, locotions, and contingency situations comoine to nake the detailed speci-fication of shipment location more lengthy than is appropriate for a regulation.
Tne matter will be addressed in an appropriate guidance docunent.
- 2. Definitions. One comment asked for definitions of: (1) " Ore or ore ,
residue" and (2) " Storage incidental to international nuclear transport." k l
Another coruaent asks whether "storatje incidental to international nuclear I
transport" includes the time at the container loading station and, if so, !
will tne Inspection and Enforcenent groups of tne 11RC accept tne normal con- e ditions at these locations as meeting the requireuents of " Controlled Access i
Area" es it is defined in 9 3.2(Z). Still another comment asks wnether uraniun t ore concentrate-U308 is considered to f all within the category of natural ;
uranium other than in the fann of ore or ore residue. i i
In Inis context, " ore" means natural mineral that nas been mined with the intention of later treatment to extract the uranium contained therein. "llatural uraniun" means uranium containing U-238 and U-235 in the proportions found in !
I i
nature. " Ore residue" means that part of the ore that remains after the treatment i process to remove the uraniun. For an export shipment, the period of international transport connences when the first transporter takes custody of tne shipment at the I port of departure from the United States and ends when a prearranged agency in the 1
receiving country takes custoqy of the snipment. For an import snipment, inter-i national transport ends when tne shipment is cleared through U.S. customs at the (
U.S. port of entry.
I
i
" Storage incidental to international transport" means any storage of the j shipment during the period of international transport, and occurs most com-monly when a shipment is removed from one transport vehicle and stored temporar- ,
ily with the intention of subsequent loading aboard another transport vehicle.
l The NRC believes that the Convention is intended to apply to any product f I
(of a manmade chemical reaction) containing natural uranium in greater concen-tration than that in natural ore. In natural ore, the concentration of uranium
{
is a few pounds per ton. In the uranium concentrate U 38 0 , uranium accounts for about 85% of the weight. Accordingly, the Convention is interpreted by the NRC to apply to U 380-i The above information will be included in a guidance document.
The final rule imposes no change to current security requirements applicable to loading stations in the United States.
- 3. Publication of selected parts of the Convention. One comment offered the view that public understanding of the regulation would be improved if the complete text of the Convention's Annex I and 11 be included in the regulations.
Annex I appears in both the proposed and final rule as Appendix E. Annex II essentially repeats the definitions of formula quantity of special nuclear mate-rial, special nuclear material of moderate strategic significance, and special nuclear material of low strategic significance that appear in 10 CFR Part 73 and was therefore considered redundant.
l
C. Coments not incorporated in the ragulation er guidance i
i :
, 1. Justification for the rule. Some comments contended that the NRC has not i provided a proper or sufficient basis for the new requirements.
! a. Need for protection of natural uranium shipments. One comment 1 questioned the justification for requirements for protection of natural uranium, ;
! arguing that natural uranium does not pose a significant threat. Another com-ment pointed out that essentially all of the proposed requirements are routinely '
- carried out as prudent management practice and accordingly there is no need for j the explicit regulations.
i +
l l The NRC agrees that natural uranium, even in large quantities, does not j pose a threat in the absence of further processing. Further processing would in-clude enrichment by diffusion, centrifuge, or laser technology and breeding of Pu-239 or 241 in heavy water research reactors or non-power or power reactors.
! International shipments between selected countries could likely be made without incident. The drafters of the Convention, however, were faced with the difficult I problem of designing a set of protection requirements to apply to virtually all i
international shipments of Convention-defined materials and to apply indefinitely l into the future. The drafters elected to include greater-than-500-kilogram ship-l ments of natural uranium among the materials to be protected.
l l Inasmuch as the Convention is a U.S. Initiative, with enabling legis-lation enacted by Congress and approved by the President, the Commission deems it necessary to have its regulations in accord with the provisions of the l
1 l ..
l
. - ~ . . _ -
Convention. In t'le Convention, isnnex 1, Paragraph 2(c) sets forth the protection requireuents for natural uraniuri. The hi:C requireuents are an adaptation of the Convention's requirements.
- b. Cost of protection of natural uranium shipnents. Une coirient argued i
that toe proposed rule for the protection of natural uraniun would not improve security and would involve an undue cost burden on licensees.
The IH;C agrees that the requirenents, consioered in isolation, do not con-stitute a strons protection system. however, wnen considered as an integral and necessary part of the larger package of Convention provisions, a souewhat dif-ferent picture energes. Signatories to the Convention agree, for exauple, to cooperate in tne protection of shipments, in the recovery of snipnents that are stolen, and in tne prosecution of persons who steal or conspire to steal ship-ments. The in(C believes that the Convention will lead to actual protection and l d
deterrents far stronger than those now in force. When those additional benefits ,
are considered, the cost of the requirements is justified.
- 2. phrasing of requirements for protection of natural uranium. One comment suggested tnat the regulation reference the language of the Convention, e.g., as
(
set forth in foutnote c of Appendix C of Part 110. j Tne suggestion was not adopted. The hitC is concerned that a regulatio6 urit-1 i
l ten as suggested would be too vague for uniform inplementation. 14 ore concrete i phrasing, such as that proposed, is less likely to be misunderstood.
- 3. Justification for protection of shipments of low strategic significance.
4 Some courents questioned the need for the requirements of [73.73 for export ship-nents of special nuclear naterial of lou strategic significance ar$d of C73.74 for import shipments of low strategic significance from countries that are not party to the Convention. The requireuents were seen as either unnecessary or as
-c-
~
~*
- ~ ~ - -- - ~~~ ~--
l
'baiiig oVe~rly~ bUrdinsome. n i
The Convention provides explicitly for These suggestions were not adopted.
protection of what it defines as Category III material. Category III material I is essentially identical to what NRC regulations call material of low strategic ,
significance. The two shipment situations of concern here (the export of material of low strategic significance to all countries, and the import of )
I material of low strategic significance from a country not a party to the Con-
) vention) are not addressed elsewhere in NRC regulations. The need for and {
l benefit of explicitly addressing each provision of the Convention have been I l discussed in paragraph 1, in connection with comments on protection require- !
ments for natural uranium.
2 <
l 4. NRC use of notifications and NRC costs. One comment asked what NRC will do with the notification and whether NRC will have to hire larger staffs both at l
I headquarters and in the Regions to handle notifications for material of " low strategic significance".
- The NRC will arrange for the shipment information to be transmitted (through Department of State channels) to countries that will be transited by the shipment.
, Current planning calls for an additional 0.5 staff-year to handle the advance I notifications at NRC headquarters. The impact on Office of Inspection and
! Enforcement resources will involve developing written guidance to support any
! reactive inspections or responses to serious offenses involving nuclear material l
that may be required. Development of this guidance and infrequent reactive activities are expected to be accomplished without additional resources. '
, 5. Impacts on carriers. Some comments addressed various aspects of how the l amendments could affect carriers.
I a. Intent of amendments. One comment questioned whether the amendments would result in the licensing of carriers.
4 A carrier of a shipment o'f Convention-defined material would become a gen-l eral licensee and thus be subject to applicable NRC regulations for the duration 1 !
l
E n
l
-n- -.-. - . _ _ . - - . - . _ . . - - . .~ - . . . _ - - . - - - .
of tue time that it possesses the shipment in the U.S. n general license does not require tue tiling of an application witn the Connission or tne issuance ot ;i i o licensing ancument to the licensee. For some years, a similar general license Uds been issued to carriers of spent fuel and of Category i shipnents. The anena-nents under consideration here would extend the general license to include carriers who transport otner Convention-defined materials.
D. Carrier awareness of general license process. Une connent expressed concern tnat carriers of transient snipments mignt not be aware of the general l
{
license. The carrier nient, therefore, unwittingly fail to comply with the amendoents during stopovers in the U.S. and be liable for fine or other penalty.
Tne anendnents will oecone effective only af ter at least 21 countries ratify tne convention. Gost international shipnents will originate or terminate in one of these countries. Siullar protection requirenents will be imposed in '
each of these countries. Witti such widespread application of similar require-nents, the llRC believes that international carriers will becone aware of the general license and tne related requirenents.
- c. Carrier response to general license. Some comments concluded tnat carriers eitner might refuse to transport Convention-defined materials rather than become liRC licensees subject to hi:C requirenents or might use the require-nents as an excuse to raise rates to an unreasonable level.
Tne scenario that carriers might refuse to accept shipments or saight charge excessively to carry tne shipments is possible but speculative. Licensees can reduce the potential burden on carriers. For inport and export shipments, protection during international shipnent will likely be arranged by the foreign importer or exporter or by the doinestic inporter or exporter. Witti appropriate cooperation between the snipper, receiver, and carrier, natters could be arranged so as to mininize the burden on the carrier and the potential concern could possiuly be avoided.
1 l
For soue years, corriers of certain nuclear naterials nave becone gen-eral licensees under reguldtions in 10 CFl: ;70.20a. The lu C is aware of no t
inordinate dif ficulty oeing imposea upon carriers because, in practice, the pro- ,
tection requirements are generally arranged for and carried out Dy the iMC ;
i licensee unich does the snipping or receiving.
{
- c. Exenption for private carriage. One coment suubested that 540.12(a) ,
should exeopt private carriage.
i Tne .MC oelieves that the suggested change is unnecessary. Carriers of nuclear uaterials appear to be adequately covered by the current purasing unico is repeated in several other ports of our regulations. The I.RC is andre of no carrier a
or other person wno is being iuproperly inconvenienced by the current purasing. ;
J i 6. Spent fuel shipments. Soue comments addressed various dspects of protec-i i tion of transient ship.nents of spent fuel.
i
- a. Appropriateness of current requirements. One connent suggested tnat the proposeu G70.20b(e) snould be revised to require protection of transient shipments of spent fuel equivalent to annex 1 and 11 of the Convention rather
.tnan referring to [the more stringent] I,73.37 requirements.
The suggestion was not adopted because it would introduce non-uni-foruity wherein protection requirements for a transient shipment of spent fuel in the U.S. would be different from requireuents for a domestic shipment.
liowever, the I;i!C ogrees with the view that current requirements for the protec-tion of spent fuel uay be overly stringent. hoderated requirements for protec-tion of spent fuel shipnents were published in proposed forra on June C,1984 in the FEUEHAL itEGISTEl: (49Fl: 23367).
4
_____--_i_----_.'_' ._T__.*. '
- b. Differing kinds of spent fuel. One comment suggested that current
! requirements are based solely on characteristics of high burnup fuel from light
! water power reactors and do not take into account the more favorable character- f, i
! istics of spent fuel from research reactors or high temperature gas cooled power reactors.
i The NRC agrees with the comment. Research is currently in progress to i
detemine whether protection requirements should take into account the differing characteristics of the spent fuel from various kinds of reactors.
- 7. Respective role of D0T and NRC. One comment pointed out that for the U.S., j the Department of Transportation is the " national competent authority" responsible l for administering International Atomic Energy Agency (IAEA) transportation safety {
, .i
- requirements in the U.S. [" National competent authority" is an IAEA tem used in j that agency's documents.) Accordingly, the comment reasoned that D0T rather than j NRC should administer Convention concerns, including advance notification, and thereby avoid unnecessary duplication, waste of time, and waste of money. !
Both the DOT and the NRC have a statutory responsibility and authority to l regulate the safety and security of shipments of radioactive materials in the U.S. Recognizing the possibility for duplication of effort and possible con-t I flicts in regulations, the two agencies came to an agreement on their respective l roles. Among other things, the agencies decided that the NRC should be the lead i agency for issuance of transportation security regulations for shipments of radioactive materials. The Convention, of course, deals with the subject of
]
j transportation security. Largely for that reason, the agencies agreed that NRC l should issue the regulations needed to implement the Convention.
i 4
Th2 NRC agr;ss that th2 DOT is thn Compst:nt Authority for administering the IAEA regulations for transportation safety in the U.S.; however, the principal activity of the D0T in connection with the subject of this rulemaking is to carry out safety reviews for import packages. For each import package design, the D0T l issues one approval which is valid for a period of up to 3 years unless explicitly modified. The D0T has no requirements for notification of individual shipments.
The DOT has no regulations requiring carriers to specifically comply with the notification and shipment protection guidelines contained in IAEA document INFCIRC/225/Rev. 1.
- 8. Comparative costs for shipments. One comment expressed concern that the rule will make the transportation of nuclear material of " low strategic signifi-cance" have the same importance and cost as materials of " moderate strategic sig-nificance" and irradiated materials which already have the majority of transporta-tion restrictions.
The NRC disagrees with the conclusion reached in the comment. The protection 7 requirements for Category II and III shipments are similar but not identical.
For Category 11 shipments, there is a requirement that the shipment be stored in an area under surveillance at all times by guards or electronic devices during storage incidental to international transport. A less stringent re-quirement applies to Category III shipments during storage incidental to inter-national transport. Because of this difference, the NRC expects that typical shipment protection cost for a Category III shipment will be lower than that
. for a Category 11 shipment. Protection cost for a Category II shipment will likely be lower than that for a spent fuel shipment.
- 9. Protection of shipment information. One consnent asked that shipment information be kept confidential_, because it would be of interest to competitors.
Another comment pointed out that release of shipment information into the public domain would reduce rather than strengthen physical protection. Yet another I
i
~~commentTointid cut that thTIAEA~publicatien ThiPhysicil Pr6ticticn of'Nuc1sar~~
- - - '~
Material, INFCIRC/225/Rev. 1 recommends that shipment information not be made public.
The NRC agrees with the comment that information concerning international shipments should be withheld from public disclosure if so requested by any of the foreign countries to be transited. This is consistent with Article 6 of the Convention. Other countries have generally accepted the view that public dis-closure of shipment information is a significant detriment to physical security (as discussed in INFCIRC/225/Rev. 1).
For an export shipment, the NRC considers international shipment to consnence at the port of departure from the United States. For an import shipment, the NRC considers international transport to end at the port of entry.
Shipment information for international shipments can be protected under various existing statutes and regulations, depending on the kind and quantity of nuclear material involved. Shipment information concerned with Category I ship-ments is protected as U.S. national security information. Shipment information for most Category II and Category III shipments provided to the NRC in confidence by a foreign country can be protected (i.e., withheld from disclosure) under the present provisions of 10 CFR 2.790(d). If it becomes necessary to provide such information to a licensee, a license condition prohibiting disclosure of the information would be written into the appropriate license. The present NRC practice not to withhold information on domestic routes for spent fuel shipments, including the domestic segments route for iniport or export shipments, would con-tinue unchanged.
PAPERWORK REDUCTION ACT STATEMENT This final rule amends information collection requirements that are subject to the Paperwork Reduction Act.of 1980 (44 U.S.C. 3501 et seq.). These require-ments were approved by the Of fi~ce of Management and Budget approval numbers l 3150-0002, 3150-0009, and 3150-0020.
7-1 REGULATORY ANALYSIS
- The Commission has prepared a regulatory analysis on this final regulation. !
I i j The analysis examines the costs and benefits and environmental implications of -
the regulation. Interested persons may examine a copy of the regulatory analysis at the NRC Public Document Room, 1717 H Street NW, Washington, DC. Single copies of the analysis may be obtained from Carl B. Sawyer, Office of Nuclear j Material Safety and Safeguards, Nuclear Regulatory Commission, Washington, DC 20555, telephone: 301-427-4186. -
{
FINDING OF NO SIGNIFICANT ENVIROPMENTAL IMPACT: AVAILABILITY ,
The Commission has determined under the National Environmental Policy Act l l
of 1969, as amended, and the Commission's regulations in Subpart A of 10 CFR j Part 51, that this rule is not a major Federal Action significantly affecting the quality of the human environment and therefore an environmental impact i !
! statement is not required. The proposed rule would improve the physical pro- l tection of nuclear material during international transport and would result in no negative environmental impacts. The environmental assessment and finding i of no significant impact on which this determination is based are part of the Regulatory Analysis prepared in connection with this rulemaking.
i
- REGULATORY FLEXIBILITY CERTIFICATION As required by the Regulatory Flexibility Act (5 U.S.C. 605(b)), the Com-l mission certifies that this rule does not have a significant economic ig act on
!* a substantial number of small entities. The NRC reviewed data on igort and i
i export shipments made during the period between December 1,1983 and February 29, i
1984, and found that no small entities in the U.S. were among the igorters or ,
., l l ._
J .
~
?
B sxporters. Additionally, public c mments resp:nding to the pr ptssd rule da not indicate significant economic impact on a large number of small entities. :.
I (One letter of comment is from a company identifying itself as a small entity.
The objective of the letter, however, is judged to be to present constructive l 1
comment for improving the proposed rule rather than to demonstrate that, because of its size, the company is likely to bear a disproportionate adverse economic impact.) The data reviewed shows no transient shipments of spent fuel or formula-quantities of strategic special nuclear material; such shipments are very rare. Currently, there are no reporting requirements for transient ship-ments of natural uranium or special nuclear material of low or moderate signifi-cance. Such shipments, if they are regularly made, are not expected to affect a substantial number of small entities.
LIST OF SUBJECTS IN 10 CFR PARTS 40, 70, 73 and 110 Part 40: Government contracts, Hazardous materials - transportation, Nuclear materials, Penalty, Reporting and recordkeeping requirements, Source material.
Part 70: Hazardous materials - transportation, Nuclear materials, Packaging and containers, Penalty, Radiation protection, Reporting and recordkeeping re-quirements, Scientific equipment, Security measures, Special nuclear material.
Part 73: Hazardous materials - transportation, Incorporation by reference, Nuclear materials, Nuclear power plants and reactors, Penalty, Reporting and recordkeeping
. requirements, Security measures.
Part 110: Administrative practice and procedure, Classified information, Export, Import, Incorporation by reference, Intergovernmental relations, Nuclear materials, Nuclear power plants and reactors,,,
Penalty, Reporting and recordkeeping require-ments, Scientific equipment.
For the raasons stt out in th2 praamble and und2r the authority of tha Atomic Energy Act of 1954, as amended, the Energy Reorganization Act of 1974, as amended, i and 5 U.S.C. 553, the NRC is adopting the following amendments to Parts 40, 70, 73 and 110. l PART 40 - DOMESTIC LICENSING OF SOURCE MATERIAL i l
- 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.11e(2), 83, 84, Pub. L.95-604, 92 Stat. 3033, as amended, 3039, sec. 234, 83 Stat. 444, as amended (42 U.S.C.
2014(e)(2), 2092, 2093, 2094, 2095, 2111, 2113, 2114, 2201, 2232, 2233, 2236, 2282); sec. 274, Pub. L.86-373, 73 Stat. 688 (42 U.S.C. 2021); secs. 201, as amended, 202, 206, 88 Stat.1242, as amended, 1244, 1246 (42 U.S.C. b841, 5842, t
5846). i 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 amendec (42 U.S.C. 2234). Section 40.71 also issued under sec. 187, 68 Stat. 955 (42 U.S.C. 2237). ,
For the purposes of sec. 223, 68 Stat 958, as amended (42 U.S.C. 2273), 40.3, 40.25(d)(1)-(3), 40.35(a)-(d), 40.41(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 40.25(c) and (d)(3) and (4), 40.26(c)(2), 40.35(e), 40.42, 40.61, 40.62, 40.64, and 40.65 are issued under sec.161o., 68 Stat. 950, as amended (42 U.S.C. 2201(o)).
- 2. In 40.1, paragraph (a) is revised to read as follows:
640.1 Purpose.
(a) The regulations in this part establish procedures and criteria for the issuance of licenses to receive title to, receive, possess, use, transfer, or deliver source and byproduct ma'terials, as defined in this part, and establish
C and prcvid2 for th2 terms and conditions up n which the Commissign will issue such licenses. The regulations in this part also establish certain requirements ;
{
for the physical protection of import, export, and transient shipments of natural g f
uranium. (Additional requirements applicable to the import and export of natural i uranium are set forth in Part 110 of this chapter.) The regulations in this part h do not establish procedures and criteria for the issuance of licenses for mate- I rials covered under Title I of the Uranium Mill Tailings Radiation Control Act of l
1978 (92 Stat. 3021). [
- 3. In 40.4, a new (r) is added to read as follows: l 640.4 Definitions.
(r) " Transient shipment" means a shipment of nuclear material, originating and terminating in foreign countries, on a vessel or aircraft that stops at S
a United States port.
- 4. Section 40.12 is revised to read as follows:
640.12 Carriers.
(a) Except as specified in paragraph (b) of this section, consnon and contract carriers, freight forwarders, warehousemen, and the U.S. Postal Service are exempt from the regulations in this part and the requirements for a license set forth in section 62 of the Act to the extent that they transport or sto're source material in the regular course of the carriage for another or storage incident thereto.
(b) The exemption in paragraph (a) of this section does not apply to a person who possesses a transient shipment (as defined in 40.4(r)),aninportshipment,or an export shipment of natural uranium in an amount exceeding 500 kilograms, unless the shipment is in the form of 6re or ore residue.
- 5. A new 40.23 is addId to r:ad as follows:
640.23 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 of ore or ore residue, in amounts exceeding 500 kilograms.
(b)(1) Persons generally licensed under paragraph (a) of this section, who plan to carry a transient shipment with scheduled stops at a United States port, shall notify the Material Transfer Safeguards Licensing Branch, U.S. Nuclear Regulatory Commission, Washington, DC 20555. The notification must be in writing and must be received at least 10 days before transport of the shipment commences at the ship-L ping facility. 1 (2) The notification must include the following information:
(i) Location of all scheduled stops in United States territory; (ii) Arrival and departure times for all scheduled stops in United States territory ;
(iii) Tne type of transport venicle; I (iv) A physical description of the shipment; I (v) The numbers and types of containers; (vi) The name and telephone number of the car'rier's representative at each l
stopover location in United States territory-(vii) A listing of the modes of shipments, transfer points, and routes to be used; l l
(viii) The estimated date and time that shipment will commence and that each l nation (other than the United States) along the route is scheduled to be entered;
a (ix) For shipments betwe:n countrics that ar2 n:t party to th2 Cony:ntion on the Physical Protection of Nuclear Material (i.e., not listed in Appendix F to Part 73 of this chapter), a certification that arrangements have been made to notify the Material Transfer Safeguards Licensing Branch when the shipment is received at the destination facility.
(c) Persons generally licensed under this section making unscheduled stops at United States ports, immediately after the decision to make an unscheduled stop, shall provide to the Material Transfer Safeguards Licensing Branch the information required under paragraph (b) of this section.
(d) A licensee who needs to amend a notification may do so by telephoning
the Material Transfer Safeguards Licensing Branch at 301-427-4186.
i
- 6. A new 40.66 is added to read as follows: l 640.66 Requirement for advance notice of export shipments of natural uranium.
(a) Each licensee authorized to export natural uranium, other than in the form i
of ore or ore residue, in amounts exceeding 500 kilograms, shall notify the Mate- i rial Transfer Safeguards Licensing Branch, U.S. Nuclear Regulatory Commission, Wash-ington, DC 20555. The notification must be in writing and must be received at least 10 days before transport of the shipment commences at the shipping facility.
(b) The notification must 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 date and time that shipment will commence and that each nation (other than the United States) along the route is scheduled to be entered; and #
(5) A certification that arrangements have been made to notify the Material '
d l- -
i Transfc.r-Safc. guards Licensing Brcnch when -the shipment-is--rec 2iv:d--at--the - --i receiving facility.
(c) A licensee who needs to amend a notification may do so by telephoning the Material Transfer Safeguards Licensing branch at 301-427-4186.
I
) 7. A new 40.67 is added to read as follows:
640.67 Requirement for advance notice for importation of natural uranium I from countries that are not party to the Cenvention on the Physical Protection of Nuclear Material, j (a) Each licensee authorized to import natural uranium, other than in the ;
1 i j form of ore or ore residue, in amounts exceeding 500 kilograms, from countries j i i
! not party to the Convention on the Physical Protection of Nuclear Material (see ;
i !
Appendix F of Part 73 of this chapter) shall notify the Material Transfer Safe-guards Licensing Branch, U.S. Nuclear Regulatory Commission, Washington, DC 20555. t
- 1 The notification nust be in writing and nust be received at least 10 days before 1
transport of the shipment corsnences at the shipping facility, l
j (b) The notification must include the following information:
i (1) The name(s), address (es), and telephone number (s) of the shipper, I receiver and carrier (s);
j (2) A physical description of the shipment; (3) A listing of the mode (s) of shipment, transfer points, and routes to
- be used; -
I j (4) The estimated date and time that shipment will commence and that each 4
nation along the route is scheduled to be entered.
(c) The licensee shall notify the Material Transfer Safeguards Licensing j Branch by telephone at 301-427-4186 when the shipment is received at the l receiving facility.
1
~
(d) A licensee who needs to amend a notification may do 50 by telephoning l
} the Material _ Transfer Safeguards Licensing Branch at 301-427-4186.
- 22 -
..,,.w ,, +..,.p-.>~ , - - - ----m,---3--w, --, ,- - - , , . - -,,,. - py.- ., . . -,,,- -y.,y ,,y, . . , . , ,--. ,,e-. ,-
w-..v-~,y,,p+-9,ye,.--p-v+-pw g,y,.e%-,,,,--ymw-y-
z t____.____..___________ _ . _ _ _ _ _ _ - _ _ ____-- _ _
i PART 70 - DOMESTIC LICENSING OF SPECIAL NUCLEAR MATERIAL i
i l 8. The autnority citation for Part 70 is revised to read as follows:
4 AUTHORITY: Secs. 51, 53, 161, 182, 183, 68 Stat. 929, 930, 948, 953, 954, as amended, sec. 234, 83 Stat. 444, as amended, (42 U.S.C. 2071, 2073, 2201, 2232, 2233, 2282); secs. 201, as amended, 202, 204, 206, 88 Stat. 1242, as i
amended, 1244, 1245, 1246 (42 U.S.C. 5841, 5842, 5845, 5846).
Section 70.7 also issued under Pub. L.95-601, sec.10, 92 Stat. 2951 (42 l
l U.S.C. 5851). Section 70.21(g) also issued under sec.122, 68 Stat. 939 (42 U.S.C. 2152). 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. 2234). 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).
t For the purposes of sec. 223, 68 Stat. 958, as amended (42 U.S.C. 2273);
1 j 70.3, 70.19(c), 70.21(c), 70.22(a), (b), (d) - (k), 70.24(a) and (b), 70.32(a)
! (3), (5), (6), (d) and (i), 70.36, 70.39(b) and (c), 70.41(a), 70.42(a) and (c),
j 70.56, 70.57(b), (c), and (d), 70.58(a) - (g)(3), and (h) - (j) are issued i under sec. 161b, 68 Stat. 948, as amended (42 U.S.C. 2201(b)); g 70.7, 70.20a 1
(a) and (d), 70.20b(c) and (e), 70.21(c), 70.24(b), 70.32(a)(6), (c), (d), (e)
- and (g), 70.36, 70.51(c)-(g), 70.56, 70.57(b) and (d) and 70.58(a)-(g)(3) and 1
4 (h)-(j) are issued under sec.161, 68 Stat. 949, as amended (42 U.S.C. 2201(i));
and 70.20b(d) and (e), 70.38, 70.51(b)'and (1),'70.52, 70.53, 70.54, 70.55, 70.58(g)(4), (k), and (1) and 70.59, and 70.60(b) and (c) are issued under sec. 1610, 68 Stat.950,asamended(4?U.S.C.2201(o)).
j i
j .
~ - .
t l
- 9. Secticn 70.20b is revis1d to rsad as follows: )
i J 670.20b 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
- (1) A formula quantity of special nuclear material of the types and j quantities subject to the requirements of 73.20, 73.25, 73.26 and 73.27 of this chapter; (2) Special nuclear material of moderate and low strategic signif-icance of the types and quantities subject to the requirements of 73.67 of this chapter; (3) Irradiated reactor fuel of the type and quantity subject to the requirements of 73.37 of this chapter.
(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 j part, except 70.32(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
. 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), 73.25, and 73.26 of this chapter and shall conply with the requirements of 73.70(g)and 1
73.71(b) of this chapter from the time a shipment enters a United States port i until it exits that or another U.S. port.
l 1
I (d) Persons generolly licensed under this section to possess a transient snipnent of special nuclear naterial at noderate or low strategic significence ;
of the kind and quantity specified in paragraph (a)(2) of tnis section shall provide pnysical protection for tnat shipment in accordance with or equivalent to C73.67 of this chapter and shall comply with the requirements of r,73.71(b) of this chapter. l (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 l
in accoroonce with or equivalent to 573.37 of tnis chapter and snali couply with the requirenents of 973.71(b) of this chapter.
(f)(1) Persons generally licensed under Inis section, who plan to carry l
' I transient shipments with scheduled stops at United States ports, shall notify '
in writing the taterial Transfer Safeguards Licensing Branch, U.S. huclear Regulatory Connission, Washington, DC 20555.
(2) A person generally licensed under this section shall assure that:
(i) The notification will be received at least 10 days Defore transport of the shipment comences at the shipping facility; (ii) The iiaterial Transfer Safeguards Licensing Branch has been notified by telephone at 301-427-4106, at least 10 days before transport of the shipment a commences at the snipping f acility, that an advance snipping notice has been sent by nail; and (iii) The haterial Transfer Sateguards Licensing Branch will be notified by telepnune at 301-427-4186 of any cnanges to the shipnent itinerary.
I (3) P2rsons t:ho are g:narally lic;ns:d und:!r paragraph (a)(1) of this s:cticn H must include the information listed in paragraphs (f)(3)(i) through (ix) of this '
section. Persons who are generally licensed under 70.20b(a)(2) and 70.20b(a)(3) d must include the information listed in paragraphs (f)(3)(1) through (viii) of this !;
section. i, (i) Location of all scheduled stops in United States territory; (ii) Arrival and departure times for all scheduled stops in United States territory; (iii) The type of transport vehicle; (iv) A physical description of the shipment (elements, isotopes, and enrich-ments);
(v) The number and types of containers; (vi) The name and telephone number of the carrier's representative at eacn stopover location in United States territory; (vii) The estimated time and date that shipment will commence and that each country (other than the United States) along the route is scheduled to be entered; (viii) For shipments between countries that are not party to the Convention on the Physical Protection of Nuclear Material, provide assurances, as far as is 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 of Part 73 of this chapter); and (ix) A physical protection plan for implementing the requirement 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.
(g) Persons generally licensed under this section making unscheduled stops at United States ports, immediately after the decision to make an unscheduled stop, shall:
F (1) Provide to tne haterial Transfer Sofeguards Licensing Branch, the infornation required under paragraph (f) of this section.
(2) In tiie case of persons generally licensed under paragraph (a)(1) of this section, arrange for local law enforceuent authorities or trained and qualified private guards to protect the shipment during the stop.
(3) In the case of persons generally licensed under paragraph (a)
(2) of this section, arrange for the shipuent to be protected as required in r73.67 of this chapter.
(4) In the cose of persons generdily licensed under paragraph (a)
(3) of this section, arrange for the shipment to be protected as required in [73.37(e) of tnis cnapter.
(5) luplement tnese arrangements within a reasonable time after the arrival of the shipnent at a United States port to remain in effect until the shipnent exits that or another U.S. port.
Part 73 - PHYSICAL PROTECTION OF PLAtlTS AllD MATERIALS
- 10. The authority citation for Part 73 is revised to read as follows:
AUTil0RITY: Secs. 53, 161, 68 Stot. 930, 948, as amended, sec.147, 94 Stat. f 780 (42 U.S.C. 2073, 2167, 2201); sec. 201, as amended, 204, 88 Stat. 1242, as anended, 1245 (42 U.S.C. 5341, 5844).
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 amendec (42 U.S.C. 2273);
5573.21, 73.37(g), 73.55 are issued under sec.161b, 68 Stat. 948, as amended I
(42 U.S.C. 2201(b)); 9973.20, 73.24, 73.25, 73.26, 73.27, 73.37, 73.40, 73.45, 73.46, 73.50, 73.55, 73.67 are issued under sec. 1611, 68 Stat. 949, as amended j (42 U.S.C. 2201(i)); and 6973 20(c)(1), 73.24(b)(1), 73.26(b)(3), (h)(6), and l 4
5
~ - =
~ '{k)(4)~, 73.27(a)^and~ (b)T73.37(f)T73.40(b) and ~(d)T73.~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.161o, 68 Stat. 950, as amended (42 U.S.C. 2201(o)).
- 11. In %73.1, a new paragraph (b)(8) is added to read as follows:
673.1 Purpose and scope.
t (D)
(8) This part prescribes requirements for advance notice of export and import !
shipments of special nuclear material, including irradiated reactor fuel. l
- 12. Section 73.72 is revised to read as follows: f i
673.72 Requirement for advance notice of shipment of formula quantities of I
strategic special nuclear material, special nuclear material of moderate strategic significance, or irradiated reactor fuel.
(a) A licensee, other than one specified in paragraph (b) of this section, who, 6 in a single shipment, plans to deliver to a carrier for transport, to take delivery at the point where a shipment is delivered to a carrier for transport, to import,
.to export, or to transport a formula quantity of strategic special nuclear material, special nuclear material of moderate strategic significance, or irradiated reactor p fuel required to be protected in accordance with 73.37, shall:
(1) Notify in writing the Material Transfer Safeguards Licensing Branch, U.S.
b Nuclear Regulatory Commission, Washington, DC 20555- l d
(2) Assure that the notification will be received at least 10 days before '
transport of the shipment commefices at the shipping facility; o
28 - I h
~
e I
.I
. . . _ _ . . . - . _ .. . - - -- - -- - - - - - - - - - - - - - ~ - - - - ' -
(i) the name(s), address (es), and telephone number (s) of the shipper, receiver and carrier (s);
(ii) a physical description of the shipment: (A) for a shipment other than irradiated fuel, the elements, isotopes, enrichment, and quantity; (B) for a ship-ment of irradiated fuel, the physical form, quantity, type of reactor, and original '
enrichment; (iii) a listing of the mode (s) of shipment, transfer point (s) and route (s) to be used; (iv) the estimated time and date that shipment will commence and that each :
country along the route is scheduled to be entered; and :
(v) the estimated time and date of arrival of the shipment at the destination; I (4) Notify the Material Transfer Safeguards Licensing Branch by telephone at i
301-427-4186 at least 10 days before transport of the shipment commences at the !
shipping facility that en advance notice has been sent; and A
(5) Notify the Material Transfer Licensing Branch by telephone at 301-427-4186 ,
of any changes to the shipment itinerary. ;
(b) A licensee who makes a road shipment or transfer with one-way transit i times of one hour or less in duration between installations of the licensee is e exempt from the requirements of this section for that shipment or transfer.
- 13. Section 73.73 is added to read as follows:
673.73 Requirement for advance notice and protection of export shipments of special nuclear material of low strategic significance.
l (a) A licensee authorized to export special nuclear material of low strategic '
significance shall:
e' 29 -
- mm.
O l
(1) Notify in writing the Material Transfer Safeguards Licensing Branch, U.S.
Nuclear Regulatory Commission, Washington, DC 20555; i (2) Assure that the notification will be received at least 10 days before transport of the shipment commences at the shipper's facility; i
(3) Include the following information in the notification: l (i) the name(s), address (es), and telephone number (s) of the shipper, receiver and carrier (s);
(ii) a physical description of the shipment (the elements, isotopes, form, etc.);
(iii) a listing of the mode (s) of shipment, transfer points, and routes to be used; (iv) the estimated time and date that shipment will commence and that each country along the route is scheduled to be entered; and (v) the estimated time and date of arrival of the shipment at the destination; (4) Assure that during transport outside the U.S., the shipment will be protected in accordance with Annex I to the Convention on the Physical Protectia of Nuclear l Material (see Appendix E of this part).
(b) A licensee who needs to amend a written advance notification required by paragraph (a) of this section may do so by telephoning the Material Transfer Safeguards Licensing Branch at 301-427-4186.
- 14. Section 573.74 is added to read as follows:
673.74 Requirement for advance notice and protection of import shipments of nuclear material from countries that are not party to the Convention i on the Physical Protection of Nuclear Material.
(a) A licensee authorized to import special nuclear material of low strategic i i
significance from a country not a party to the Convention on the Physical Pro-tection of Nuclear Material (i.e'., not listed in Appendix F of this part) shall:
1 1
(1) Notify in writing the Material Transfer Safeguards Licensing Branch, U.S.
1 Nuclear Regulatory Commission, Washington, DC 20555; -
(2) Assure that the notification will be received at least 10 days before transport of the shipment commences at the shipper's facility; and l (3) Include the following information in the notification:
(i) the name(s), address (es) and telephone number (s) of the shipper, receiver !
and carrier (s); j i
(ii) a physical description of the shipment (the isotopes, enrichment, quantity, etc.);
(iii) a listing of mode (s) of shipment, transfer points, and routes to be used; and '
t (iv) the estimated time and date that shipment will commence and that each country along the route is scheduled to be entered; and (v) the estimated time and date of arrival of the shipment at the destination.
(b) A licensee who needs to amend a written advance notification required by paragraph (a) of this section may do so by telephoning the Material Transfer Safeguards Licensing Branch at 301-427-4186. l (c) A licensee authorized to import from a country not a party to the Convention on the Physical Protection of Nuclear Material (i.e., not listed in Appendix F of this part) a formula quantity of special nuclear material, special nuclear material of moderate strategic significance, special nuclear material of low strategic sig-nificance, or irradiated reactor fuel shall assure that during transport outside
, the U.S. the shipment will be protected in accordance with Annex I to the Con-vention on the Physical Protection of Nuclear Material (see Appendix E of this part).
i
t l
- 15. A new AppIndix E is added to read as follows. l
[
Appendix E - LEVELS OF PHYSICAL PROTECTION TO BE APPLIED IN INTERNATIONAL l TRANSPORT OF NUCLEAR MATERIAL If (Verbatim from Annex I to The Convention on the Physical Protection of Nuclear Material)
(a) Levels of physical protection for nuclear material during storage incidental -
to international nuclear transport include: '
I (1) For Category III materials, storage within an area to which access is f 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 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 Category II, to which, in addition, access is restricted to persons whose i
~
1/ See Appendix C to Part 110 of this chapter 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 F are synonymous:
Category I is a formula quantity of strategic special nuclear material; Category II is special nuclear material of moderate strategic significance or irradiated fuel; and j Category III is special nuclear material of low strategic significance.
l l :
1 .-
1 trustuurthiness nas been determined, and wnich is under surveillance by guards who dre in close coittunicdtion with appropriate response forces. Specific saeasures taken in this context should have as their object tne detection and prevention of any assault, unauthorized access, or unauthorized renoval of material.
L (b) Levels of pnysical protection for nuclear naterial during international transport' include: l 1
i I
(1) For Category 11 and 111 siaterials, transportation shall take place under t i
special precautions including prior arrangements among sender, receiver, and I carrier, and prior agreement between natural or legal persons subject to the jurisdiction and regulation of exporting and importing States, specifying tine, e t-place and procecures for transferring transport responsibility; f (2) For Category I saaterials, transportation shall take place under special h precautions icentifieo for transportation of Category 11 and 111 materials, and in addition, under constant surveillance by escorts and under conditions f which assure close communication with appropriate response forces; (3) For natural uraniun other than in the form of ore or ore residue, trans-portation protection for quantities exceeding 500 kilograms U shall include advance notification of shipment specifying saode of transport, expected tirae f of arrival and [shall provide for] confirmation of receipt of shipment.
l i
IC. A new Appendix F is added to read as follows:
Appendix F - Nations that are Parties to the Convention on the Physical Protection of Nuclear Material 2/*
Date of Deposit of Instrument Nation of Ratification with the IAEA Bulgaria May 2, 1984 Czechoslovakia April 23,1982 German Democratic Republic (E. Germany) February 5,1981 Korea, Republic of April 7, 1982 Philippines September 22, 1981 Sweden August 1, 1980 Union of Soviet Socialist Republics May 25, 1983 i
United States of America December 13, 1982 I
PART 110 - EXP0RT AND IMPORT OF NUCLEAR FACILITIES AND MATERIALS
- 17. The authority citation for Part 110 is revised to read as follows:
Authority: Secs. 51, 53, 54, 57, 62, 63, 64, 65, 81, 82, 103, 104, 109, 111, 126, 127, 128, 129, 161, 181, 182, 183, 187, 189, 68 Stat. 929, 930, 931, 932, 933, 936, 937, 948, 953, 954, 955, 956, Pub. L.88-489, 78 Stat. 603-605; Pub. L.91-560, 84 Stat. 1472; 70 Stat. 1071, Pub. L.85-256, 71 Stat. b79; Pub. L.87-615, 76 Stat. 409; Pub. L.93-377, 88 Stat. 473, 475, Pub. L.95-242, 92 Stat. 125, 126, 131-139, 141 (42 U.S.C. 2071, 2073, 2074, 2077, 2092-2095, 2111, 2112, 2133, 2134, 2139, 2139a, 2141, 2154-2158, 2201, 2231-2233, 2237, 2239); Sec. 201, Pub. L.93-438, 88 Stat.1242, as amended by Pub. L. 94-79, 89 Stat. 413, 414 (42 U.S.C. 5841).
-2/ 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.
- This table will be updated just before release for publication.
l 1
o S2c. 110.13 also issund undar s:c. 122, Pub. L.83-703, 68 Stat. 939 (42 U.S.C. I 1
2152). Sec.110.50(b)(4) also issued under sec.123, Pub. L.95-242, 92 Stat.142-f 145 (42 U.S.C. 2153). Sec.110.51 also issued under sec.184, Pub. L.83-703, 63 ,
Stat. 954; Pub. L.88-489, 78 Stat. 607 (42 U.S.C. 2234). Sec. 110.52 also issued under sec.186; Pub. L.83-703, 68 Stat. 955 (42 U.S.C. 2236) . Sec.110.80-110.113 also issued under 5 U.S.C. 552, 554. Sec. 110.130-110.135 also issued under 5 U.S.C. 553.
- 18. In 110.50, paragraph (b)(5) is revised to read as follows:
110.50 Terms.
(b)
(5) A licensee authorized to export or import nuclear material is responsible g for compliance with applicable requirements of Parts 40, 70, and 73 of this chapter, unless a domestic licensee of the Commission has assumed that responsibility and the Commission has been so notified.
Dated at Washington, DC this day of , 1984.
For the Nuclear Regulatory Commission.
Samuel J. Chilk, Secretary of the Commission.
._ -- ._ _ _ _ _. ,-_ - . . . . ~ - . - - - - _ - - -
- a. s ,., .,, , , _. . ,
. ~. .i .. 1. J.. ./ . ._ ~' ; .' _" M .-_'__ _ . , _ _ ,
l
- i
?
a 4
'f e j
+
k l*
REGULATORY ANALYSIS AND ENVIRONMENTAL ASSESSMENT FOR 1
IMPLEMENTATION OF THE CONVENTION ON THE -
PHYSICAL PROTECTION OF NUCLEAR MATERIAL
}
. I
] j t
ENCLOSURE 2 l i
M- -- **w*,=-
-~--- - . . - - . . . . . _ . . s_* _ . _ , , , , , , , , , _._ , ,.
- 1. Objective The objective of this final rule is to bring NRC regulations-into accord f with the Convention on the Physical Protection of Nuclear Materials (Attachment 1).
The rule change will affect licensees and carriers who import, export, or transport .
international shipments of Conventien-defined nuclear materials in four specific
- situations. The rule change will result in strengthened protection of shipments
- of Convention-defined materials during international transport.
- 2. Background
- The objectives of the Convention are to establish an international framework for improving the physical protection of nuclear material during international transport, for international cooperation in recovering stolen nuclear material, and for responding to serious offenses involving nuclear material. The Conven-tion was negotiated among 58 countries, with four others in the role of observers.
' On March 3,1980, the United States signed the Convention (Exec. H, Senate, 96th Cong., 2d Sess.). The Senate approved it on July 30, 1981. Implementing legis-lation was enacted by the Congress and signed by the President on October 18, 1982 (Pub. L.97-351, 96 Stat. 1663). The U.S. ratified the Convention on December 13, 1982. The Convention will enter into force on the thirtieth day following the date on which the twenty-first country ratifies the Convention.
A review of NRC regulations revealed the following four highly specific transportation situations where the regulations are not in accord with the Convention: (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) advance notification and assurance of protection to NRC concerning transient shipments of Convention-defined nuclear material between countries that are not parties to the Convention; and (4) advance
'~
4 notification and assurance of protection to the NRC regarding the importation of Convention-defined nuclear materials from countries that- are not Fa'rties to the a Convention. Convention-defined material includes natural uranium (other than in the form of ore or ore residue) in a quantity exceeding 500 kilograms, plutonium, -
.; uranium-233, uranium enriched in uranium-235, and irradiated fuel. A transient shipment is one originating and tenninating in foreign countries, that is trans-ported on a vessel or aircraft which stops at a U.S. port.
The purpose of this rulemaking proceeding is to address each of the four situations to bring NRC regulations in accord with the Convention.
- 3. Alternatives The "do-nothing approach (wherein there would be no modification to NRC regu-
]
! lations) was considered but it does not qualify as a viable alternative. The Con-vention is a U.S. initiative, approved by Congress and the President. The Conven-tion is, therefore, a pronouncement of U.S. policy concerning the protection of j shipments of Convention-defined materials during international transport. Appendix E to the Convention sets forth in comprehensive detail the kinds and quantities of materials to be protected and the protection measures to apply to each kind and il quantity of material. NRC regulations should be, but currently are not, in full y accord with the Convention. The "do-nothing" approach was rejected because it would indicate less than full commitment by NRC to established U.S. policy.
The alternative of revising NRC regulations to bring them into accord with the Convention avoids the disadvantages of the "do-nothing" approach. Changes needed to bring NRC regulations into accord with the Convention are reproduced
-l as Attachment 2 to this analysis. Other alternatives were not considered.
- i l 4. Environmental Assessment Benefit and cost estimates. The chief benefit of the rule change is its aid in establishing an international framework for improving the physical protection of l
l
. - - - - . . - . . - . . - . ..-....-.-----.---~--------.-:--------
i e
l
- nuclear material during international transport, for international cooperation in i recovering stolen nuclear material and for responding to serious offenses involving i
nuclear material. Such values cannot, of course, be expressed quantitatively with
]
I any degree of confidence. The dollar cost of the rule to licensees is described
.i-j in the table below.
Annual number Cost per Annual Kind of Shipment of shipments Shipment Cost 1
Transient shipment: Ra re*
{
moderate significance $500 -
low significance 200 -
f 1 irradiated fuel 1700 -
.; Export shipments 1300 100 $130,000 1
Transient shipment be- Rare
- 200-1700 -
tween countries not parties to the Con- ,
l vention Import shipments from Rare
- 100 -
, nations not party to the Convention i
j Estimated total
- c. annual cost: $130,000
.j
' Current planning calls for an additional 0.5 staff years in NMSS to process l the advance notifications. The impact on Office of Inspection and Enforcement 4
- resources will involve developing written guidance to support any reactive i
,{ inspections or responses to serious offenses involving nuclear material that may
'i i be required. Development of this guidance and infrequent reactive activities i
are expected to be accomplished without additional resources.
t
- One shipment every few years.
i k
- . - . , . - - .-- =. ,
2 -. - : a . .- -- : . .L . . z- . -.:.r .=
a..-
f Finding of no significant impact. The provisions of the rule (Attachment 2) were examined and compared against various criteria typically- used in en'vironmental analyses. The rule would involve no new comitment for land use, air use, or water use. No new pollutants would be produced as compared with a do-nothing a l h alternative. No new or exclusive use structure or equipment is involved. No l human, natural, or man-made resources are involved except immediately preceding during, and immediately following a shipment. No irreversible dedication of resources is involved. No new dangers to flora, fauna, or endangered species are involved. No new traffic or shipment patterns are involved. Use of existing communication channels is involved, but no new equipment or capability is neces-fi '
sary.
The foregoing reasons form a basis for a Comission finding that the proposed
- )
alternative will have no significant impact on the human environment and a decision not to prepare an environmental impact statement for the rule.
!)
5.
Specification of Criteria 1
In the development of the final rule the NRC staff was guided by the Ij following criteria:
'I A. When in force, the Convention will be " law of the land." NRC regulations
- must be brought into accord with the Convention.
ii 4
B. Consistent with the achievement of Criterion A, the set of regulatory
.i requirements least costly and least burdensome to licensees is to be identified
- and recommended for issuance as a final rule.
~)
.1 l 6. Final Decision i
i The set of requirements entitled " Implementation of the Convention on jI Physical Protection of Nuclear Material" best satisfy the decision criteria.
l _ 4-
i 4
. J. .
i, i
s 4
i 1
i PUBLIC INFORMATION NOTICE i
i.
1 I
t i
4 s
e G
I s
t d
4 4
e t
I
! ENCLSOURE 3
. . , - .~ . - . - . . . . . p
. _ , , _ ...,.w..
9 -
NRC CHANGES RULES TO IMPLEMENT CONVENTION ON ,
PHYSICAL PROTECTION OF NUCLEAR MATERIAL The Nuclear Regulatory Commission is amending its regulations to implement -
provisions of.the Convention on the Physical Protection of Nuclear Material.
The United States signed the Convention in March 1980. 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.
Legislation implementing the Convention was signed by the President on October 18, 1982.
The changes to NRC regulations require:
- 1) physical protection for transient shipments of special nuclear material of moderate and low strategic significance, irradiated reactor fuel and natural <
uranium (transient shipments are those which originate or terminate in foreign countries with one or more stops at U.S. sea or airports);
- 2) notice to NRC 10 days in advance of export of Convention-defined nuclear materials (formula quantities of strategic special nuclear materials and special nuclear materials of low and moderate strategic significance; irradiated reactor fuel; and natural uranium, other than in the form of ore or ore residue, for amounts exceeding 500 kilograms);
- 3) advance notification of 10 days and assurance of protection to NRC con-cerning transient shipments of Convention-defined nuclear material between countries that are not parties to the Convention; and
- 4) advance notification of 10 days and assurance of protection to NRC con-cerning the importation of Convention-defined nuclear materials from countries that are not parties to the Convention.
f
l The amendments to Parts 40, 70, 73, and 110 of the NRC's regulations will become effective 30 days after the 21st nation ratifies the Convention.
Following the 21st approval, the NRC will republish the notice of rulemaking P
with the'effictive date expressed as a calendar date.
i f
2-
. ,g.
,. - - - - ,- ,- r y ,---- -
q - -,--., ,- , - -,,
I
~ \
"gCogasse} 3 317, u j o..
,, {
J b
!}
CONVENTION ON THE PHYSICAL PROTECTION OF u ,
3Ut'rm yrrynrAr,
,t MESSAGE THE PRRSrnENT OF THE Uhl'I'ED STArPRS I
. EtANIMITZUG THE CONVENTION ON THE PHYSICAL PROTECTION OF NUNAR MATERIAL, ADOPTED AT A VIENNA MEETING OF GOVERNMENT REPRESENTATIVES ON OCTOBER 28, 1979 AND WAS SIGNED BT THE UNITED STATES ON MARCH 3,1980 t
i
~
W f MAY 9,1980.--<ontention was read the Srst time and, together with the accompanying papers, referred to the Committee on Foreigr j Relations and ordered to be printed for the use of the Senate i
+! c.s.corrassrzxr raisTzxa orrrcz j so-us o w.tsarxaTox:1sso i'
I ATTACHMENT 1
-- --- -r -
O
-i
. I o , ;
p . l ,
. LETTER OF TRANSMITTAL
[ TamWarrsHousz,May3,19#.
Y To theSenatsof the UnitedStatss:
I submit herewith, for Senate advice and consent to ratification, the Convention on b Physical Protection of Nuclear Material. This Con-vention was adoptul at a Vienna meetin f government representa-ti;res on October 26,1979, and was si by the United States on 2
March 8,,1980. The Convention estab es an international frame-
, work for unproving the physical protection of nuclear material during !
- international transport as well as for international cooperation in '
recovering stolen nuclear material and in responding to serious ofenses involvingnuclearmateriaL
, The United States has been a leader in the international campaign
, to prevent the proliferation of nuclear explosive devices. The C' o ngress , l i '
and I have cooperated in enacting the Nuclear Non-Proliferation Act --
of 1978 to stren6then this critically important efort.
The Convention on the Physical Protection of Nuclear Material was a United States initiative called for by that Act. It complements our non proliferation esorts by dealing with threats to nuclear material that may arise from terrorsst groups. This is a gap in the current inter-national structure and I urge the Senate to act expeditiously in dying .
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-carning the Convention.
~
Jnorr CE (nz) ,
i j .
1 t
i P
Y e
-- e
e _.
a d
- 1 .
l
- ' LETTER OF SUBMITTAL, ;
DzrAmruxxT or Surz,980.
T9'askington,.iprG98,1 l t The Passmzxr, s ;
The TF'hite House. !
The F-----m:I have the honor to submit to you, with a view to '-
, its transmission to the Senate for advice and consent to ratification, the Convention on the Physical Protection of Nuclear Material. The
> Convention was ado ted at a Vienna meeting of government repre-
. sentativesonOctobe 19S0, the date on which it opened for si4 nature.
t The Convention is e result of a United States proposal onginally i made by the Secretary of State in 1974 in his statement to the United
- j Nations General Assembly. On May 30,1975, the NPT Review Con-farence urged that work in this area be undertaken. In February 1976,
- 1 ~
the United States began informal consultations with a number of ,
i acrernments on a draft which it had repared. On June 16,1977, the a International Atomio Energy Agency IAEA) circulated a U.S. draft
- j to all members of the IAEA3 and in ober 1977 the IAEA General
- Conference adopted resolution GC(XII)/Res/350 supporting the
- esorts underway to drafting a convention.
Meeti
' IAEA _ngs of governmental Headquarters from Oct re resentatives 1-November 10,1977, were held in 10-April Vienna at 20,1978 February 5-16,1979, October 15-26 1979. Informal con;
- 'sultation,s between governmental representatives,took place Septem-ber 4-7,1973 and September 24-25,1979.
On October 26,1979, the negotiation of the Convention was success-i fully concluded, the text was adopted and representatives signed the, Final Act of the meeting. Representatives of 58 states and one orgs-ninHon participated in the negotiations. In addition, there were four
- observer states and one observer organization. The text, as finally adopted, was agreed to by consensus.
Although the United States initiative leading to the Convention i predates the Nuclear Non. Proliferation Act of 1978 (NhTA), the Convention does, in fact, contain provisions covering key elements -
called forby the Act. -
1 Section 203 of the NNPA,22 U.S.C. 3243, calls upon the United !
i4 States to seek to negotiate with other nations and groups of nations !
J to " establish international procedures to be followed in the event of 1 diversion, theft or sabotage of nuclear materials or sabotage of nuclear
- l facilities and for recorenng nuclear materials that have been lost or 1 stolen. . ,. .
il; Section 403 of the NNPA,42 U.S.C. 2153b, provides that the Prest- 1 H dent shall tale immediate and vigorous steps to keep, agreement from .
i all nations and groups of nations that" adequate physteal security will
- be established and maintained with respect to all nuclear activities l (O '
i l
___-.___m._. .._1 _L.-,
7 I.
- w. ~
l
- l. .
1 n .
yg - .
, within the territories of each nation and group of nations under its ll jurisdiction or under its control anywhere and with respec,t to inter-
, national shi,pment of significant quantities o, f source or specsal nuclear i
- - material or 1rraMmM source or special nuclear material, which shall also be conducted under international safeguards." i
! During,the ne such provisions,gotiation of the Convention, the United States soughtand the keyelementsof those calledfor.
7Arti e 2 provides that the Convention applies to nuclear material used for peaceful purposes. It mekan clear that Articles 3 and 4 and .
' paragraph 3 of Article 5 apply only to internationalnuclear rt, .
. while the remainder of the provisions also apply more b y to
- nuclear material while in domestic use, storage and transport. Para-graph 3 of Article 2 was inserted to reassure states that apart from tnose domestic commitments expressly set forth, the Convention does not afect a state's right to regulate domestic use, storage and trans-
- port of nuclear matersal. -
- r. -
Under Article 3, each state party is required to take appropriate j
steps rithin the framework of its national law and consistent with international law to ensure as far as practicable that, during interna-tional nuclear transport, nuclear material within its territory, or on
' board a ship or aircraft under its jurisdiction and enga,ged in transport is protecten at levels of protection set forth for to or from diferent that state,f catepries o material in Anner I to the Convention. ThiT provision win be implemented in the United States by appropriate
' regulat2ons.
Article 4 of the Convention requires each state party not to export or authorize the export of nuclear material unless it has received assurances that such material will be protected during international nuclear transport at the levels of protection provided forin Anner L Where the exporting state is not a party to the Convention but the importing state is, this responsibility falls on the importing state.
Where neither the exporting nor the importing state is a party, it
! becomes the obligation of a state party tnat is transited by land or internal waterway or whose airports or seaports are entered to receive these assurances as far in advance as practicable. The state party l responsible for receiving assurances is to identify and inform in advance states which the nuclear material is expected to transit 1- land or internal waterway or whose airports or seaports it is to enter. These obligations will be implemented in the United tates 4 through regulatory and procedural changes. .. - - . '..
i'1 Art 2cle 5 provides a framework for international cooperation in the
, recovery and protection of stolen nuclear material. Each state party is
.: required to identify and make known to each other its central author-4 ity and point of contact for physical protection of nuclear material and
, i coordinating recovery and response operations. In the event of theft,.
4 robbery or any unlawful taking of nuclear material or credible threat j thereof, states parties, in accordance with their national law, agree to
'I o 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 can include informing other 1 concerned states, exchanging information, verifying the integrity of shipping containers, coordinating cEorts through diplomatic,and 4
- p,,, , .,-
. _ . . ..- ..~. .. . - - .- . - . - -
a
'4 1 .
1 1 m i
other agreed channels, rendering other requested ==I*ncei, and en-
) vuring the return of' stolen or missing material States parties are to
'i J cooperate and consult as appropriate, either directly'or dance on the de-through inter-national organizations,,with a view to obtaining cal protection l
s1[%
o nuclearmaintenance and improvement material in international transport. Inof .3.m connection, o par-suant to section 202 of the NNPA,it may be noted that the Department ;
y of Energy has ==+=hli had a safeguards and physical security training program for foreign persons concerned with these matters.The oblige-ithout tionsin Article 5 can be met b l i changes inlaw or regulation. y the concerned federa agenc es w .
i Article 6 deals with the protection of information. It provides that l appropriate measutie consistent with national law will be taken to 0
- protect the conAdentiality 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-1 municate pursuant to national law or which would jeopardize the secu-rit3 of the state concerned or the physical protection of nuclear mate-h rial. These provisions require no change in United States law.
" Articles 7-14 define certain serious ofenses involving nuclear. mate-rial which states parties are to make punishable and for which ofen-ders would be subject to a system of extradition or submission-for prosecution. These provisions parallel those under a number of other.-
' conventions, such as the Convention on the Prevention and Punish-ment of Crimes AgainstInternationaHy Protected Persons Including Diplomatic Agents, to which the United States is a party. The Ad-ministration will propose a repriate implementing legislation for these provisions, which she be enacted prior to the deposit by the -
United States of its instrn=nt of ratificat2on for the Convention. .
Under Article 7 each state party shall make punishable under its national law such, acts as theft or robbery of nuclear material, em-
- i bezzlement or fraudulent obtaining of nuclear material, demandm* g nuclear material by threat or force or other form of intimidation, and
- Under Article 8, each state party shall establish its jurisdiction over
' these ofenses when committed in the territory of that state or on board a ship or aircraft registered in that state, when the alleged ofender is a national of that state, or when the ofender is present in its territory
- < and that state does not extradite him to one,of the foregoing states.
, Under Article 9, upon being satisfied that the circumstances so war-
- rant the state party in whose territory the alleged ofender is present shall take appropnate measures under its national law to insure his ij presence for the purpose of prosecution or extradition.
7 Article 10 regmres that that state in which the alleged ofender is i! present, if it does not extradite him, to submit, witnout exception
- i whatsoever and without undue delay, the case to its competent authori-j i ties forthe purpose of prosecution.
Article 11 regulates extradition relations between states parties con-
- l cerning ofenses listed in Article 7. Article 12 guarant'ees alleged of-l fenders fair treatment at all stages of the proceedings. Article.13 li requires states parties to aford one another the greatest measure of assistance in enminal proceedings broup.at in respect to ofenses set
- ,i forth in Article 7. Article 14 provides fJr the exchange of relevant
'. information concerning these matters.
\
l E. - . .
--,-w-- - - - - , . , . - - - , . , . - - - - , - - - , , , , , - , . -------r ---- - -, ----
__.__...m.m.-- ~ _ . - _ _
1 -
!] -
- -vzzr .
?) h Convention was o
.l on March 3,1980 (Artibed for signature in New York and Vienna 8). A speela q paragraph 4 of
- j follow-1 .
pean Atomic Energy Community to become a party (0 Article 18). The Convention enters into force on the 3
~
the date of deposit of the 21st instrument of accession r ce 1 and for each mdividual state adbs- after that date,30 days l l
er the deposit of its instrument. A Convention is provided (Article A state20).party procedure for amendment may denounce the of the Convention b,y written notice, efective 180 days following the data
.!' notice is receared by the depository (Article 21). In any event, there
~
will be a rariew conference fire years after entry into fo and at s five year intervals thereafter if a majority of parties sp desire e d 16). Disputes concerning the interpretation or apphcation of Con-
'i rention are to be submitted to arbitration or referred to the Interna-tional Court of Justice for decision, except if a state party declares that
- i it does not consider itself bound by either or both of these procedures (Article 17).
The depositary of the Convention is the TAE A. (Article 23 which has the duty of notifying all states of all significant developms)n,ts con-cernintthe Confention (ArticIs 22).
The U.S. delegation to the conference at ivhich this Convention was negotiated was led by the Department of State and included. represent-atares of the Departments of Energy and Defense, the Nuclear Regua, latory Commission and the Arms Control and Disarmament Agency.
i All of these agencies have approved the Convention.
I recommend that you transmit this Convention to the Senate with the recommendation that it be approved at an early date.
l Rephafully submitted.
! Craus VArcs.
i l
}
+
1 1
t I$
- 1 -
i 4 :
I ,
i
'1 i
i I
' )
^
- - -,7- 3 _ _
__... _-._._. . m. n._._. __.. _ . ..__ __. .__ _ _ _ ._ . .. __ . . .
J i .
i I ,
l .
s l Czrrmcmox I certify that this is a true copy of the Convention on'the Physical Protection of Nuclear 3faterial, which shall be open for signature by all States at the Headquarters of the International Atomic Energy
- Agency and at the Headquarten of the United Nations in New York from 3 3farch 1980, and shall be deposited thereafter with the Director Generalof the International Atonne Energy Agency.
Vienna, February 1,1980.
L W. W-ox, Dinctor Legal Dism, ,os (For Director General).
9 ed i
e I
>e
\
i
}
- l <
I
- . . . . . . - , . - ~_ , . .,_ ,,_
--x,
'$-4 - ,_y-_ g --. - - - - -. , s y.4 .
w, __.g. -
. ~ . - . - - _ . . . . . - - _ .
L, .. .
i 3
l .
Coxvz:mox ox Tzz PursrcAz. Pmmmioar or Nucz.zAn ErzazAE, 9 The States Paities to This Convention, Recognising the right of all States to develop and apply nuclear 1 energy for peaceful purposes and their legitimate mterests m the poten- *
, tial benefits to be denved from the peaceful application of nuclear a . energy,inced Conv of the need for facilitating international co-operation 1
j inBese' the peaceful
'ng to avertapplication of nuclear the potential dangers poseenergy, d by the unlawful taking o
anduseof Convincednuclearmaterial, lating to nuclear material are a matter
~
that ofences re D of grare concern and that there is an urgent need to adopt appropriate and efective measures to ensure the prevention, detection and punish-mentof atoam suchofences, of tAs Need for international co operation to establish, in conformity with the nationallaw of each State Party and with this Convention, efective measures for the physical protection of huelear "~
material, Convinced that this Convention should facilitate the enfo transfer of nuclearmaterial,
! Stressing also the importance of the physical protection of nuclear material in domestic use, storage and transport, ,,
.: Recognising the importance of efective physical protection of nuclear maternal used for military purposes, and understanding that 1
j ',,
such material is and will continue to be accorded stringent physical ii protection, Harm Acazzo as follows:
i, article 1
): Forthe purposes of this Convention:
d (a) " nuclear material" means plutonium except that with isotopio
- uranium-233 ura-concentration nium enriched inexceeding the isotopes80% 235 orin233; plutonium-238;ium uran containin;g the mixture of isotopes an occurring in nature other than in the form of
', ore or ore residue; any material containing one or more of the fore-pmg;"uraninm (5
enriched in the 235 or 233" means uranium c 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
sig(nm) ent of nuclear material by any means of transportation intended" interna
~'
b to 9 eyond the territory of the State where the shipment originates
- j begmning with the departure from a facility of the shipper m that i State and ending with the arrival at a facility of the recetrer within the State of ultimate destination.
(1) 1
, _ , . . . . . . _ . - - - -----..*e..-e--= .- .+ -a
-- . . _ . . x-. c . _
- =--
_ . _ . - _ .- - 1 . . _ . : _ _ n. .-.a _ _ _. _ c . ; . . ._ = = = . _.
2-Article s
- 1. The Convention shall apply to nuclear material used for peaceful -
purposes while in international nuclear transport.
. 2. Withtheexceptionof articles 3and4andpa
- ph 3 of article 5,
- this Convention shall also apply to nuclear used for peaceful purposes while in domestic use, storage and transport.
- 3. Apart from the commitments expressly undertaken by States
. Parties in the articles covered by paragraph 2 with respect to nuclear material used for peaceful purposes while in domestic use, storage and transport, nothing in this Convention shall be interpreted as '
. afecting the sovereign rights of a State regarding the domestic use,
. storage and transport of such nuclear material.
Article 3 Each State Party shall take appropriate steps within the frame-work of its national law and consistent with international law to ensure as far as practicable that, during international nuclear trans-or on board a ship or
' port, aircraftnuclear material under its within jurisdiction its territory,h insofar as suc ship or aircraft is en-gaged in the transport to or from that State, is protected at the levels describedin AnnexL '
Article 4
- 1. Each Stata Party shall not export or authorize the export of nuclent material unless the State Party has received assurances that such material will be protected dunng the international nuclew transport at the levels described in Annex L .-
- 2. Each State Party shall not import or authorize the im rt of nuclear material from a State not party to this Convention ess the State Party has received assurances that such material will during the -
u
' international nuclear transport be protected at the levels desenbed inAnnerL
- 3. A State Party shall not allow the transit of its territory by land ,
or internal waterways or through its airports or seaports of nuclear material between States that are not parties to this Convention unless the State Party has received assurances as far as practicable that this s nuclear material will be protected during international nuclear trans.
port at thelevels described in Anner L
- 4. Each State Party shall apply within the framework of its na-tional law the levels of physical protection described in Annex I to nuclear material being transported from a part of that State to another part of the same State through international waters or airspace.
4 5. The State Party responsible /or receiving assurances that the nuclear material will be protected at the levels describui in Annex I
- I according to paragraphs 1 to 3 shall identify and inform in advance States which the nuclear material is expected to transit by land or i internal waterways, or whose airports or seaports it is expected to enter.
+
- 6. The responsibility for obtaining assurances referred to in parn- .
graph 1 may be transferred, by mutual agreement, to the State Party mvolved in the transport as the importing State.
i
- i. ... - . . . - . . - , . . .. - - -
c . .
3-t
- 7. Nothing in this article shall be interpreted as in any way afecting-the territorial sovereign and jurisdiction of a State, meluding that 1 overits airspace and torn rialsea.
.driiele 5 l
- 1. States Parties shall identify and make known to each other '
directly or through the Internat2onal Atomic En ,
cy their central authority and point of contact having respons: 1 or physi-cal protection of nuclear material and for co-ordinaHng recovery and response operations in the event of any unauthorized removal, use or ,
alteration of nuclear material orin the event of credible threat thereot
- 2. In the case of theft, robberv or any other unlawful t of
- nuclear material or of credible threat thereof, States Parties in accordance with their national law, provide co operation and assist-ance to the maximum feasible extent in the recovery and such material to any State that so requests. In p, articular: protection of -
(a) a State P shall take appimpnate steps to inform as s'oon as possible States, which a r to it to be concerned, of any theft, robbery or other unia taking of nuclear mate-rial or credible threat thereof and to inform, where appropriate,
- international organizations;
- 5) as appropriate, the States Parties concerned shall
- Manos _
i rmation with each other or international o nintions wiBt
- a view to protecting threatened nuclear materia veri the integrity of the shipping container, or recovering y takennuclearmaterialand shall:
(i) co-ordinate their eforts through diplomatic and other agreed channels;,-
render assistance,if requested; ensure the return of nuclear material stolen or miss-ing as) a consequence of the above-mentioned events.
The means of implementation of this co-operation shall be determined
, by the States Parties concerned.
- 3. States Parties shall co-o rate and consult as appropriate eachotherdirect! orthrou international organizations, view with a, with to obtaining gui ance on t a design, maintenance and improvement of systems of physical protection of nuclear materialin international transport. ,
- 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 throng articipation in an activity carried out for the implementation of Convention. If .
States Parties provide information to international organizations in confidence, ste,ps shall be taken to ensure that the confidentiality of .
such information is protected.
a 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 conectned or the physical protection of nuclear material.
,.-, . w . 7 -.-- - -- -.o- --.
L _ _ - - s-- - , n .;;; . - . - , . = - , , , , .,_ _ . ,,
,..... . . .- --....:.-_.:. = . = . . - . - = . - u-. . ..-.- . .- ~ .
i, -
Artide 7 L Theintentionalcommissionof:
9 cei(pt,a) an 'on, act use without transfer lawful authority alteration, whichorconstitutes disposal dispenal the m. i of n ear material an,d which c,auses or is likely to causa death or serious infury to any pemon or substantial damage to property; l (5) a theft or robbery of nuclear matenal: )
' (c) an embezzlement or fraudulent @=ining of nuclear l
. material; j '
l (d) an act constituting a demand for nuclear material by threat '
or use of force or by any other form of inti>=Ma+ ion; (e) a threst:
(i) to use nuclear insterial to cause death or serious injury to any penon or substantial property damage, or (ii) to commit an ofense described in subparagraph (b) in order to nization compel or State to doaornatural to refrain or legal from person,doing any act;internat (a(), anor attempt (c);andto commit any ofense described in paragraphs -
(a a)n act which constitutes participation in any ofense de-shall b$ mad tmis bleofe each State Party undeYits ne tional law.
- 2. Each State Party shall make the ofenses described in this article punishable by appropriate penalties which take into account their grave nature.
Artido 8
- 1. Each State Party shall take such messuns .s may be necessary to establish its Jurisdiction over the ofenses set forth in article 7 in the following cases:
(a) when the ofense is committed in the territory of that State or on board a ship or aircraft registered in that State; (5 when the alleged ofenderis a national of that State.
- 2. Each) State Party shall likewise take such measures as may be ne essary to establish its jurisdiction over these ofenses in cases where the alleged ofender is present in its territory and it does not extradite him pursuant to article 11 to any of the States mentioned in paragraph L
- 3. This Convention does not exclude any criminal jurisdiction exer-cised in accordance with national law.
- 4. In addition to the State Parties mentioned in paragraphs 1 and 2, '
cach State Party may, consistent with international law, establish its jurisdiction over the ofenses set forth in article 7 whenit is involved in international nuclear transport as the exporting orimporting State.
i Artide 9 Upon being satisfied that the cirrumstances so warrant the State i
- Party in whose territory the alleged ofender is present sha,ll take ap- l propriate measures, including detention, under its national law to en- )
j ~ sure his presenes for the purpose of prosecution or extradition. Mens-ures taken according to this article shall be notified without delay to the .
. . _ . . *+==-*ev~** #~
.: .._- - . ;b .. *-'".***_~ - . . --
- z.- .==;-=-----.-. : .=---
j* '
j .
, 5~
1 States required to establish jurisdiction pursuant to article 8 and,
. where appropriata,allotherStatesconcerned.
1 Artick 10 '
J . The State Party in whose territory the alleged ofender is present shall, if it does not extradite him submit, without exception what-i soever and without undue delay, th,e case to its competent authorities 1 for the puropse of prosecutionrthrough pr~-adings 2n accordance j
withthelawsof thatStata. .Artida 11 -
Il 1. The ofences in article 7 shall be deemed to be included as ex-traditable ofences in any extradition treaty wida- between States i
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 cf a treaty receives a request for extradition from another Stata m Party with which it'has no extradition treaty, it may at its option consider this Convention as the legal basis for extradition in respect of those ofences. Extradition shall be subject to the other conditaans provided by the law of the requested State. -
- 3. States Parties which do not make extradition conditional on the - -
y existence of a treaty shall reco6nize those ofences as extraditable of- '
fences between Amwives subject to the conditions provided by the
.! lawof the requested State. '
1 4. Each of the ofences shall be treated, for the purpose of extradi-
- i tion between States Parties as if it had been committed not only in the place in which it occurred but also in the territories of the States i Parties required to establish their jurisdiction in accordance with para-i graph lof article 8.
M Artick 1B '
/ Any person regarding whom proceedings are being carried out in connection with any of the ofenses set forth in article 7 nhmH be guaranteed fair treatment at all stagp of the proceedings.
Artkk 13 L States Parties shall aford one another the greatest measure of assistance in connection with criininal proceedings bron ht in respect of the ofenses set forth in article 7, including the supp of evidence i at their disposal nacessary for the proceedings. The law o the State re-quested shallapplyin all cases. .
- i i 2. The provisions of paragraph I shall not afect obligations under q . any other treaty, bilateral or multilateral, which governs or will govern, in whole or in part, mutual assistance in crimmal matters.
]
l Artkk 14
'i 1. Each State Party shall inform the depositary of its laws and
- i regulations which give efect to this Convention. The depositary shall communicate such mformation periodically to all States Parties.
i.
?
^
..m.. e- ,e . -~: *-e. --~~**-~=w, *=
~7 r ~ '~ ' * * * ~ ~ " *~ ~ ~ ~ * - ~
. . E . ;;c . ___ , _ __. _ __ _
2 ,
6
- 2. The State Party where an alleged ofender is prosecuted shall, r wherever practicable, first communicate the final outcome of the pro- '
ceedings to b States directly concerned. The State Party shall also
. communicate the final outcome to the depositary who shall inform all '
4 States.
s 3. Whers an ofence involves nuclear material used for -M i purposes in domestic use, storage or transport and both the" alleged i ofender and the nuclear material remain in the, territory of the State Party in which the ofence was committed, nothing in this Conven-
~.
- tion shall be interpreted as requiring that Stats Party to provide in- '
j . formation cor.cerning cru' nm' al proceedings arising out of such an ofense, 1
d 4rticle 15 The Annoces constitute an integral part of this Convention.'
Article 16
- 1. A conference of States Parties shall be convened by the deposi- !
tary five years after the entry into force of.this Convention to review the implementation of the Convention and its adequacy as concerns ;
the preamble, the whole of the operative part and the annexes in the -
's light of the then prevailing situatson. -
9 2. At intervals of not,less than fin years thereafter the majority of 3 ~
i by submitting a proposal to this efect to
'I States Partiesthemay the depositary, cor.ren obtain,ing of further conferences with the same d objective.
U Article 17 1
.I L In the event of a dispute between two or more States Parties con-t earning _ the interpretation or application of this Convention, such 1 States Parties shall consult with a view to the settlement of the d2spute 1 by negotiation, or by any other peaceful means of settling disputes acceptable to all parties to the dispute.
>' 2. Any dispute of this charneter which cannot be settled in the man-ner prescribed in paragraph 1 shall, at the request of anyparty to such be subnutted to arbitration or referred to the International dispute,f Court o Justice for decision. Where a dispute is submitted to arbi- 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-j 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 conflicting requests by the parties to the -
dispute, the request to the Secretary-General of the United Nations
- shall have priority.
!j 3. Each State Party may at the time of signature, ratification, ac-
!l ceptance or approval of this Convention or accession thereto declare that it does not consider itself bound by either or both of the dispute.
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 respect to a State Party which has made a
- j! reservation to that procedure.
- 4. Any State Party which has made a reservation in accordance with paragraph 3 may,at any time withdraw that reservation by notifica-tion to the depositary. l 9
~ -~ - - * ' ' '* * * * * + * * ** ~ ~ ' ' -~*
.. < m<=powe-eum 4 m- =*.=-M sr
% M
-, , i- ,. --4--r - , 6 e -- +, - m-
. . .. . = . . = = - - - - - -.
~
. l
. I 7- .
Ankk 18 -
- 1. This Convention shall be open for signature b au States at the ~
Headquarters of the International Atomic Energy Vienna -
r -and at the Headquarters of the United Nations in ew York from j 3 March 1980 until its entry into force.
.i : 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- -
a sion
- 4. by(e)ll States.This Convention shall be open for signature or accession by .
~
international organizations and regional organi=Hons of an integration or other nature provided that any such oe-ganization is constituted by so,vereign States and has com-petence in respect of the negotiation. conclusion and appli-cation of international agreamants in matters covered by this Convention.
(5) In matters within their competence, such organizations
' shall, on their own behalf, exercise the rights and fulfill :
the res_p'onsibilities which this Convention attributes to
~
States Parties.
(c) When becoming party to this Convention such an organi-zation shall commumcate to the depositary a declaration 4 indicating 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 J those of its Member States. .
j 5. Instruments of ratification, acceptance, approval or necaarian
- j shall be deposited with the depositary.
Article 19 d
- 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 Stata ratifying, accepting, approving or acceding to the Convention after the date of depostt of the twenty first instrument o(
ratification, acceptance or approval, the Convention shall enter into force on the thirtieth day after the deposit by such State of its instru-ment of ratification, acceptance, approval or = Mon.
Arikk 20 l' 1. Without prejudice to article 16 a State Party may propose l
amendments to this Convention. The proposed' amendment shall be i, submitted to the depositary who shall circulate it immediately to all
!' States Parties. If a majority of States Parties request the depositary ij to convene a conference to consider the proposed amendments the
. depositary shall invite all States Parties to attend such a confer,ence
- i to begin not sooner than thirty days after the invitations are issued.
.! Any amendment adopted at the conference by a two-thirds majority of all States Parties shall be promptly ciretilated by the depositary 4
to allStates Parties.
- 2. The amendment shall enter into force for each State Party that
, deposits its instrument of ratification, acceptance or approval of the t
t B
s - u ,
~
s
. - - - - - , - - - + , -
'e,- * - ,. , ' q R ?.
- __ _ , _ _ _,
.- - . _ . .-- . . .__.-.:.. L..- _ . . . . . . - ... : .- .= . . . _ : . :. -.. .:...-.-
J -
g amendment on the thirtieth da after the date on which two thirds of the States Parties have de 5
their instruments of ratification acceptance or approval wi the depositary. Thereafter, the amend, ment shall enter mto force for any other State Party on the day on f
which that State Party deposits its instrument of ratification, accept.
ance or approvalof the ==aad=aat Article 21 1' 1. Any State Party may denounce this Convention by written '
~
i *; . notificationto the depositary. '
- 2. Denunciation shall take effect one hundred and eighty days fol.
1 lowing the date on which noN ian t is received by the depositary.
Article St Thede 'tary shall promptly notify all States of :
(a eachsignature of this Convention-(b each deposit of an instrument ol ratification, acceptance, approvaloraccession; (c) any reservation or withdrawal in accordance with article 17-('d any communication made by an organization in === dance -
of article 18; with) aragraph4(c) force of this Convention; the entryinto the entry into force of any amendment to this Convention; an (g) any denunciation made under article 21.
Article 23 .
of which the Arabic, Chinese lirench, Russian and Span Enelish, shall be deposited with the Director General of the ,
Atomic Energy Agency who shall send certified copies thereof tA allStates.
1
.. .am . .. .+ * * -
'l
.s - - -
-. , - , " , - - - - * * ' " ' - .- - - -n -. - - .--: -- N
. . . - - . . ~ . ~ _ . . . - -. .. . . . .. . . . - :r_=-.------.. .....-...---z-----.--a.w--
e
~
., . ANNzzI LETzLa or FETsICAL FROrECTzoN TO BE AFFLZzD IN INTERNATIONAL mans-Four or NrcLzAn xATzazAz, As CATroonrzzo zN ANNxx xx 1 . L IAYelS of physical protection for nueI*et" material during storage
- incidental to international nuclear transpart include : .
1 (a) For Category III materials, storage within an ares to which access (b) ForisCategory controlle(; II materials, storage within an area under eanstant surveillance by guarda or electronic devices, surrounded by a physical barrier with a limited number of points of entry under appropria,te control er any area with an squivalent Iovel of h
P (ysical protectaon; I material, storage within a protected area c) For Category as defined for Category II above, to which, in addition, access is restricted to persons whose trustworthiness has been determined, -
and which is under surveillance by guards who are in close com- -
! munication with appropriate response forces. Spec 2fie measurei-
- taken in this context should have as their object the detection and prevention of any assault, unauthorized access or unauthorized removal of material
- 2. IAvels of physical protection for nuclear material during inter.
. national transport include:
9 s For Category II and III materials, transportation shall tak(e) place under special precautions including prior arrange-ments among sender, receiver, and carrier, and prior agreement .
between natural or legal persons subject to the jurisdiction and regulation of e rting and importing States, specifying time, place and ures for transferrmg transport responsibility; (b) For egory I materials, transportation shall take place under special precautions identified above for rtation of Category II and III materials, and in addition, un constant surveillance by escorts and under conditions which assurs close communication with appropriate response forces;
~
(c For natural resid)ue, urantum other transportation than infor protection the form of ore quantities or ore- 500 exceeding
- . kilograms U shall include advance notification of shipment speci-fying mode of transport, expected time of arrival and confirma-tion of recei t of shipment.
' IN WrrNzss dzzzazor, the undersigned, being duly authorized, have signed this Convention, opened for signature at Tienna and ' at New r Yorkon 3 March 1980.
W .
6
- . __. , - . _ . ~ , ~ . , _
. :.. - - . . ~ . . .. . , -. . .: . .: - . . . - - . . - ~
- * . m w
?
. Anzx II ,
TA8Lt.: CATIS088ZATICII 0F NUCLEAR 8tdTE88AL Catesmy Itaterlef Feen i 18 Igg s Ueleredisinde 2 kg w mee Laos thas 2 kg but mee 500 g er less het mee '.
L Flatselum I mes SOB s. See 15 3
- 2. "
- UsinedWet
' --senses serished to S kg w mere _ Less thee $ kg M mere 1 kg etless het mese thas I kg. men 18 t, 25% Ureer mere - Less thee 10 kg but
-.orensen eenshed to 10 k8 er =
ISE (pas not less more See I hs.
See 209'e te kg er uma,
-erseien eerished aesse esteret. not less 9se 107, LPa.
3.Ursalem.238. Usirradiated e 2 kg er h Less saa 2 kg but mese 500 t erless but same mee See g. maa 15 s.
Decisted er esenrol =
4.Irradated feel erassem, eartem er M fest Gees thes 105 Hamle eneses0,s e s All plotsmen esseet that wide instspis asemestreden esseedlag 80'/.le pistseiam 23L I teatonal est irramates le a teamer er eseenal irradiated is a reester het une e racialise level equel to er less See ii 100 rees. hear at ese meere essasessed, a Quantitpos est falEngie Category ill and esteral eremium should be protestadie asserdesse wie predest meestament Practise.
- Atmoush eds is,el et protesties is ressasseded. It weeld be open to States, spee essemedse of the seemes choses.
staesse to assise a eserent sategory of persiese protestfee.
a Omer fund hich by virtue of its origions tasde material castest is dassised as Catevery I and it tafere irredelles mey be redused ees sategory level weste me reestsen levet from me fees easseds 100 reesAser at see metre oeshisoded (11)
O e
e 1 .
l i
l s
___ __ .._ - s - , , . . - .
..= .- ; .=. :_ _: .. - . . .. . ._.. .. . . .. . ... . ~ .
<i
.i
- 1
- i -
. i -
.t 4
ji b
1 i
.i CHANGES NEEDED TO BRING NRC REGULATIONS
.; INTO ACCORD WITH THE
- CONVENTION ON PHYSICAL PROTECTION ll OF NUCLEAR MATERIAL 4
i f
1 I
a o
'l i
'i e
ATTACHMENT 2 i
= 6 '"'*- ' * " " "
- g ......s. .. ,w s-. -- . , ..~---,o
= _+'
J . . ,:. - . .. . -. .. : . . -.. ~ . a . - .. - - .. _ _ ... . = - a- = -- =- - - - - - - - . . - - - - - - -
N l4 LIST OF SUBJECTS IN 10 CFR PARTS 40, 70, 73 and 110 Part 40: Government contracts. Hazar.dous materials - transportation, Nuclear materials, Penalty, Reporting and recordkeeping requirements, Source material, Uranium.
i.
Part 70: Hazardous materials - transportation, Nuclear materials, Packaging and containers, Penalty, Radiation protection, Reporting and recordkeeping re-quirements, Scientific equipment, Security measures, Special nuclear material.
Part 73: Hazardous materials - transportation, Incorporation by reference, Nuclear materials, Nuclear power plants and reactors, Penalty, Reporting and recordkeeping requirements, Security measures.
N r
- Part 110: Administrative practice and procedure, Classified information, Export,,
1' Import, Incorporation by reference, IntergcVernmental relations, Nuclear materials, Nuclear power plants and reactors, Penalty, Reporting and recordkeeping require-ments, Scientific equipment.
1
For the reasons sat out in tha preamble a'nd under the authority of th3 Atomic Energy Act of 1954, as amended, the Energy Reorganization Act of 1974, as amended, 1
and 5 U.S.C. 553, the NRC is adopting the following amendments to Parts 40, 70, 73 and 110.
PART 40 - DOMESTIC LICENSING 0F SOURCE MATERIAL '
- 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.11e(2), 83, 84, Pub. L.95-604, 92 Stat. 3033, as amended 3039, sec. 234, 83 Stat. 444, as amended (42 U.S.C.
2014(e)(2),2092,2093,2094,2095,2111,2113,2114,2201,2232,2233,2236, 2282); sec. 274, Pub. L.86-373, 73 Stat. 688 (42 U.S.C. 2021); secs. 201, as amended, 202, 206, 88 Stat.1242, as amended, 1244, 1246 (42 U.S.C. 5841, 5842, 1 5846).
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).
Section 40.71 also issued under sec.187, 68 Stat. 955 (42 U.S.C. 2237).
For the purposes of sec. 223, 68 Stat 958, as amended (42 U.S.C. 2273), 40.3, 40.25(d)(1)-(3), 40.35(a)-(d), 40.41(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 40.25(c) and (d)(3) and (4), 40.26(c)(2), 40.35(e), 40.42, 40.61, 40.62, 40.64, and 40.65 are issued under sec.161o. , 68 Stat. 950, as amended (42 U.S.C. 2201(o)).
- 2. In 40.1, paragraph (a) is revised to read as follows: l
' i 640.1 Purpose.
i (a) The regulations in this Part establish procedures and criteria for the j issuance of licenses to receive title to, receive, possess, use, transfer, or deliver source and byproduct materials, as defined in this Part, and establish l
2 l l
l
and provida for tha terms and conditions upon which the Commission will issue such licenses. The regulations in this Part also establish certairi requirements 5 for the physical protection of import, export, and transient shipments of natural uranium. (Additional requirements applicable to the import and export of natural uranium are set forth in 10 CFR Part 110.) The regulations in this Part do not ,
s establish procedures.an'd criteria for the issuance of licenses for materials covered under Title I of the Uranium Mill Tailings Radiation Control Act of 1978 92 Stat. 3021).
i
- 3. In 40.4, a new (r) is added to read as follows:
640.4 Definitions (r) " Transient shipment" means a shipment of nuclear material, originating and tenninating in foreign countries, on a vessel or aircraft that stops at
- a United States port.,
- 4. Section 40.12 is revised to read as follows:
640.12 Carriers.
(a) Except as specified in paragraph (b) of this section, common and contract carriers, freight forwarders, warehousemen, and the U.S. Postal Service are exempt from the regulations in this part and the requirements for a license 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.
, (b) The exemption in paragraph (a) of this section does not apply to a person who possesses a transient shipment (as defined in 40.4(r)), an import shipment, or i an export shipment of natural-uranium in an amount exceeding 500 kilograms, unless the shipment is in the form of are or ore residue.
3
._ g - _ _ . _ . _ _ . _ _ _ , _ . , , . . . - , . ,
= - = ; = = . . ~- ~...
11
- 5. A new 40.23 is added to read as follows:
4 .
640.23 General license for carriers of transient shipments of natural uranium
.i j other than in the fonn of ore or ore residue.
~
q (a) A. general license is hereby issued to any person to possess a transient shipment of natural uranium, other than in the fonn of ore or ore residue, in amounts exceeding 500 kilograms.
11
- (b)(1) Persons generally licensed under this section, who plan to carry a tran-4! sient shipment with scheduled stops at a United States port, shall notify the Mate-rial Transfer Safeguards Licensing Branch, U.S. Nuclear Regulatory Commission, Wash-
!I ington, DC 20555. The notification must be in writing and must be received at '
least 10 days before transport of the shipment commences at the shipping facility.
(2) The notification must include the following information:
(i) Location of all scheduled stops in United States territory;
- i
- j (ii) Arrival and departure times for cll scheduled stops in United States Ii territory; i'
I. (iii) The type of transport vehicle; i (iv) A physical description of the shipment; i'
i (v) The numbers and types of containers;
! (vi) The name and telephone number of the carrier's representative at each l4 stopover location in United States territory; (vii) A listing of .the modes of shipments, transfer points, and routes to be
[l used; i
1 (viii) The estimated date and time that shipment will commence and that each
,: nation (other than the United States) along the route is scheduled to be entered; 4
,w e-w---w yi- -r.-e4-vy -q-,- g-- w -up us --w--we y-eppy w---er-y---- -
-g.,g *-v-vy-- y y ..-ae-y-.a-.w-. -- - + , -- - .e.- -- _-----9.e-- - - - - e -s--e4 q y< , -
. :..: .. ... = = -. .-. .- .. ..- = - -- - - -- = - ---
d 4
- (ix) For shipments between countries that are not party to the Convention on ,
the Physical Protection of Nuclear Material (i.e. , not listed in Appendix F to 10 CFR Part 73), a certification that arrangements have been made to notify the Material Transfer Safeguards Licensing Branch when the shipment is received at the destination facility.
! (c) Persons generally licensed under this section making unscheduled stops at 4 United States ports, immediately after the decision to make an unscheduled stop,
- s g
l shall provide to the Material Transfer Safeguards Licensing Branch the information required under paragraph (b) of this section.
4 (d) A licensee who needs to amend a notification may do so by telephoning the Material Transfer Safeguards Licensing Branch at 301-427-4186.
'.}
4
- 6. A new {40.66 is added to read as follows:
640.66 Requirement for advance notice of export shipments of natural uranium.
J Ii,- (a) Each licensee authorized to export natural uranium, other than in the form of ore or ore residue, in amounts exceeding 500 kilograms, shall notify the Mate-j j .i rial Transfer Safeguards Licensing Branch, U.S. Nuclear Regulatory Commission, Wash-ington, DC 20555. The notification must be in writing and must be received at least 10 days before transport of the shipment commences at the shipping facility.
hl (b) The notification must include the following information:
1 (1) The name(s), address (es), and telephone number (s) of the shipper, receiver, and carrier (s);
(2) A physical description of the shipment;
- i (3) A listing of the mode (s) of shipment, transfer points, and routes to be used; (4) The estimated date and time that shipment will commence and that each 3
j nation (other than the United States) along the route is scheduled to be entered, i
I (5) A certification that arrangements have been made to notify the Material 5
w wT7" "'"m-Nv /'-*-' r---=** O P A +*----l-W*ewvm------ew-&- tbb =-w----- - - - . -e =*4rm-er----ww -+-'i -"=- -ee-g-- -
v-r-----$w----re--
_=.; - . ..-. . .-- - ..- .
Transfer Safeguards Licensing Branch when the shipment is received at.tha ,
receiving facility.
- (c) A licensee who needs to amend a notification may do so by elephoning
'l '
.l the Material Transfer Safeguards Licensing Branch at 301-427-4186.
1 .
- 7. A new {40.67 is added to read as follows:
640.67 Requirement for advance notice for importation of natural uranium q
l from countries that are not party to the Convention on the Physical
)
j Protection of Nuclear Material.
(a) Each licensee authorized to import natural uranium, other than in the fonn of ore or ore residue, in amounts exceeding 500 kilogrcms, from countries i
i not party to the Convention on the Phy'ical s Protection of Nuclear Material (see Appendix F of Part 73) shall notify the Material Transfer Safe,1uards Licensing
't Branch, U.S. Nuclear Regulatory Commission, Washington, DC 20555. The notifica-4
~
2 tion must be in writing and must be received at least 10 days before transport of the shipment commences at the shipping facility.
- (b) The notification must include the following information
(1) The name(s), address (es), and telephone number (s) of the shipper, l1 h receiver and carrier (s);
'l l (2) A physical description of the shipment; 4
M (3) A listing of the mode (s) of shipment, transfer points, and routes to
,t
'li be used; (4) The estimated date and time that shipment will commence and that each l' nation along the route is scheduled to be entered.
j (c) The licensee sh'all notify the Material Transfer Safeguards Licensing ti
, j Branch by telephone at 301-427-4186 when the shipment is received at the 1
, j receiving facility. ,
(d) A licensee who needs to amend a notification may do so by telephoning i the Material Transfer Safeguards Licensing Branch at 301-427-4186.
6 1
_ . , . . . - _ . , . . , _ ,.-..m-.___._.--.y - . _ . _ . - _- ...- _ _ . - ...,--_.._-py< . ., ,-+,_g,,.-___m.. _y-.-._ .v- _ w,_.-_v. _,-#- ,,9 g3 p w y - m y %-w-_ _ _
._ - ~ . . - -. ~- ..-
h PART 70 - DOMESTIC LICENSING 0F SPECIAL NUCLEAR MATERIAL 7
h 8. The authority citation for Part 70 is revised to read as follows:
AUTHORITY: Secs. 51, 53,161,182,183, 68 Stat. 929, 930, 948, 953, 954, ,
j as amended. sec. 234, 83 Stat. 444, as amended, (42 U.S.C. 2071, 2073, 2201, f
j' 2232, 2233, 2282); secs. 201, as amended, 202, 204, 206, 88 Stat.1242, as ti amended, 1244, 1245, 1246 (42 U.S.C. 5841, 5842, 5845,* 5846).
't
/ Section 70.7 also issued under Pub. L.95-601, sec.10, 92 Stat. 2951 (42
- U.S.C. 5851). Section 70.21(g) also issued under sec.122, 68 Stat. 939 (42 Section 70.31' also issued under sec. 57d, Pub. L.93-377, 88
(- U.S.C. 2152).
!l Stat. 475 (42 U.S.C. 2077). Section 70.36 and 70.4,4 also issued under sec. 184, 68 Stat. 954, as amended (42 U.S.C.2234). Section 70.61 also issued under secs. 186, 187, 68 Stat. 955 (42 U.S.C. 2236, 2237). Section 70.62 also I
issued under sec.108, 68 Stat. '939, as amended (42 U.S.C. 2138).
V.
j' For the purposes of sec. 223, 68 Stat. 958, as amended (42 U.S.C. 2273);
4 q{ 70.3, 70.19(c), 70.21(c), 70.22(a), (b), (d) - (k), 70.24(a) and (b), 70.32(a) f (3), (5), (6), (d) and (1), 70.36, 70.39(b) and (c), 70.41(a), 70.42(a) and (c),
1
!' 70.56, 70.57(b), (c), and (d), 70.58(a) - (g)(3), and (h) - (j) are issued 4 .'
under sec.161b, 68 Stat. 948, as amended (42 U.S.C. 2201(b)); jg70.7, 70.20a U (a) and (d), 70.20b(c) and (e), 70.21(c), 70.24(b), 70.32(a)(6), (c), (d), (e) q U and (g), 70.36, 70.51(c)-(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(i));
ll and Q70.20b(d) and (e), 70.38, 70.51(b) and (1), 70.52, 70.53, 70.54, 70.55, 70.58(g)(4), (k), and (1) and 70.59, and 70.60(b) and (c) are issued under sec.
ld ;
f! 1610, 68 Stat. 950, as amended (42 U.S.C. 2201(o)).
i
- i l
7
- w.m.g --%- f - r. .
y.,,ym.. --v-. ,. ,w.- y, .p y 4.,,.s y p-e-.m.a.9- --m--
.. . . =. .-- - _
6
- 9. Section 70.20b is revised to read as follows: ,
- r70.20b General license for carriers of transient shipments of formula 5 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 O quantities subject to the requirements of 9973.20, 73.25, 73.26 and 73.27 of
[l this chapter;
.a _.
(2) Special nuclear material of moderate ar-a:e:and low strategic signif-
-. :- =
icance of the types and quantities subject to the requirements of 973.67; (3) Irradiated reactor fuel of the type and quantity subject to the
~
l requirements of 973.37.
.i
, (b) Per' sons generally licensed under this section are exempt from the
.i requirements of Parts 19 and 20 of this chapter and the requirements of this part, except 970.32(a) and (b), 70.52, 70.55, 70.61, 70.62 and 70.71.
i (c) Persons generally licensed under this section to possess a transient j shipment of special nuclear material of the kind and quantity specified in
~I paragraph (a)(1) of this section shall provide physical protection for that shipment in accordance with or equivalent to 9973.20(a), 73.20(b), 73.25, and 73.26 of this chapter and shall comply with the requirements of 9973.70g and 73.71(b) of this chapter from the time a shipment enters a United States port 1
until it exits that or another U.S. port.
8
1 (d) Persons generally licens d und:r this s:ction to posstss 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 73.67 of this chapter.and snall comply with' the requirements of j73.71(b) of this chapter.
i (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 973.37 of this chapter and shall comply with the requirements of 973.71(b) of this chapter.
(f)(1) Persons generally licensed under this section, who plan to carry transient shipments with scheduled' stops at United States ports, shall notify -$
in writing the Material Transfer-Safeguards Licensing Branch, U.S. Nuclear ..
.c.
W.1 Regulatory Commission, Washington, DC 20555.
(2) A person generally licensed under this section shall assure that:
(i) The notification will be received at least 10 days before transport of the shipment commences at the shipping facility; (ii) The Material Transfer Safeguards Licensing Branch has been notified by telephone at 301-427-4186, at least 10 days before transport of the shipment commences at the snipping facility, that an advance shipping notice has been sent by mail; and (iii) The Material Transfer Safeguards Licensing Branch will be notified by telephone at 301-427-4186 of any cnanges to the shipment itinerary.
i i 9 l
- ~ -
= .
- w. . .-. .
... w . . - . - - . . .
(I l
', (3) Persons who are generally licensed under Q70.20b(a)(1) mus't include the 4,
infonnation listed in paragraphs (f)(3)(i) through. (ix) .of this section. Persons I
who are generally licensed under 70.20b(a)(2) and g70.20b(a)(3) must. include the information listed in (f)(3)(1) through (viii) ~of this paragraph.
'j (1) location of all scheduled stops in United States territory; (ii) Arrival and departure times for all scheduled. stops in United States i territory;
'(iii) The' type of transport vehicle;
- (iv) A physical description of the shipment (elements, isotopes, and enrich-j ments);
I (v) The number and types of containers;
..::1-
, (vi) The name and telephone number of the carrier's representative at
' each stopover location in United States territory;
- (vii) The estimated time and date that stifp'meint will commence and that each -
. .e
~
country (other than the United States) along the route is scheduled to be
- : 1. .
entered; ,
(viii) For shipments between countries thatf re not party to the Convention on the Physical Protection of Nuclear Material, provide assurances, as far as is 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 of Part 73); and (ix) A physical protection plan for implementing the requirement of 70.20b(c), which will include the use of anned personnel to protect the
- shipment during the time the shipmt it is in a United States port.
,+
+
(g) Persons generally licensed under this section making unscheduled i stops at United States ports, immediately after the decision to make an
. unscheduled stop, shall:
! 10 l
l
- .. =
y,g-*-r - ,- yw== yy ---1---- w-,yyy, -*-,y-par-- n-- = =*
(1) Provide to the Material Transfer Safeguards Licensing Branch, the 4 information required under paragraph (f) of this section.
(2) In the case of persons generally licensed under paragraph (a)(1) of this section, arrange f,or local law enforcement authorities or trained and qualified private guards to protect the shipment during the stop.
(3) In the case of persons generally licensed under paragraph (a)
(2) of this section, arrange for the shipment to be protected as required in 573.67 of this chapter.
(4) In the case of persons generally licensed under paragraph (a)
(3) of this section, arrange for the shipment to be protected as required in 73.37(e) of this chapter. ..
(5) Implement these arrangements within a reasonable time after the arr.ival of the shipment.at a United States por.t to remain,in effect until .$kc&.-
the shipment exits that or another U.S. port. ,
.;,u nt Part 73 - PHYSICAL PROTECTION OF PLAllT'S AllD MATERIALS 4c
.i_i.,
(rf
- 10. The authority citation for Part 73 is revised to read as follows:
3:.:. -
AUTHORITY: Secs. 53, 161, 68 Stat. 930, 948, as amended, sec. 147, 94 Stat.
780 (42 U.S.C. 2073, 2167, 2201); sec. 201, as amended, 204, 88 Stat.1242, as
~
amended, 1245(42U.S.C.5841,5844).
Section 73.37(f) is also issued under sec. 301, Pub. L.96-295, 94 Stat. 789 (42 U.S.C. 5841 note).
9 For the purposes of sec. 223, 68 Stat. 958, as =.cnded (42 U.S.C. 2273);
9573.21, 73.37(g), 73.55 are issued under sec.161b, 68 Stat. 948, as amended
[
i j (42 U.S.C. 2201(b)); 973.20,73.24,73.25,73.26,73.27,73.37,73.40,73.45, 73.46, 73.50, 73.55, 73.67 are issued under sec. 1611, 68 Stat. 949, as amended 1
- (42 U.S.C. 2201(1)); and 5973.20(c)(1), 73.24(b)(1), 73.26(b)(3), (h)(6), and 11
- :: . - =. = . - .. .. : .z . . . ..- . . : - ~ :._ .. . - -. . :
i (k)(4), 73.27(a) and (b), 73.37(f), 73.40(b) and (d), 73.46(g)(6) and '(h)(2)',
.c
. 73.50(g)(2), (3)(iii)(B) and (h), 73.55(h)(2), and -(4)(i.ii)(B), 73.'70, 73.71, 73.72 are issued under sec. 1610, 68 Stat. 950, as amended (42 U..S.C. 2201(o)). l y
- 11. In j73.1, a new paragraph (b)(8) is added to read as follows:
q .
673.1 Purpose and scope. .
e 1
[ .
(b)
- i d (8) This part prescribes requirements for advance notice of export and import d
y shipments of special nuclear material, including irradiated reactor fuel.
n i .
d;
- 12. Section 73.72_is. revised to read as 'follows: -
- :- u. :- .. y. '. v.s;d1. :. TMO~ - - -t l' 673.72 Requirement for advancs notice of shipment of formula quantities of -
strategic special nuclear material, special nuclear material of I' L:- . . .. . . , , . . .
moderate strategic significance, or irradiated reactor fuel.
(a) A licensee, other than one specified in paragraph (b) of this section, who, in a single shipment, plans to deliver to a carrier for transport, to take delivery j at the point where a. shipment is delivered to a carrier for transport, to import,
! to export, or to transport a formula quantity of strategic special nuclear material, special nuclear material of moderate strategic significance, or irradiated reactor
.i fuel required to be protected in accordance with j73.37, shall:
t.
44 ,
i (1) Notify in writing the Material Transfer Safeguards Licensing Branch, U.S.
il j Nuclear Regulatory Commission, Washington, DC 20555; i
(2) Assure that the notification will be received at least 10 days before transport of the shipment commences at the shipping facility; 12 i
. _ . . . _ . _ . _ . _ _ - - . ~ . . . - _ _ _ _ .__ _ _ . , - . . . , _ _ . ~ , _,__,,../ _ , , , . _ . - , .- . _ _ _
t,__._...._._._ ..__.____._____- _ . . _ . _ _ _ _. - _ .. _ . . _ . _ _
1 i
' ~
I (3) Include the following information in the notification:
) (1) the name(s), address (es), and telephone number (s) of the shipper, 4
4 receiver and carrier (s);
q _
~
(ii) a physical description of the shipment:. (A) for a shipment other than i irradiated fuel, the elements, isotopes, enrichment, and quantity; (B) for a ship-4 ment of irradiated fuel, the physical form, quantity, type of reactor, and original enrichment;
- (iii) a listing of the mode (s) of shipment, transfer point (s) and route (s)
) to be used; lif (iv) the estimated time and date that shipment will connence and that each country along the route is scheduled to be entered; and
]
(v) the estimated time and date of arrival of the shipment at the destination;
, . c: -
a , (4)NotifytheMate{ialTransferSafeguardsLicensingBranchbytelephoneat jl .. .
d 301-427-4186,at least 10 days before transport of the shipment commences at the L
' shipping facility that an advance notice has been sent; and -
a .. .-
H (5) Notify the Material Transfer Licensing Branch by telephone at 301-427-4186
. . t .. .
li i-of any changes to the shipment itinerary.
. _. l 4:
(b) A licensee who makes a road shipment or transfer with one-way transit j u
ti times of one hour or less in duration between installations of the licensee is f r
- l
{l exempt from the requirements of this section fer that shipment or transfer. !
l l
!l!
4
- 13. Section 73.73 is added to read as follows:
il i!
i'
! 673.73 Requirement for advance notice and protection of export shipments of I
special nuclear material of low strategic significance.
- I 1
il (a) A licensee authorized to export special nuclear material of low strategic i n l t, significance shall: l t
2:
4 ,
l 1
] 13 i i l i i !
l< [
. _ - .. ..m. - . - _ . _ _ _ . _ _ . _ _ _ _ , _ . _ . - _ - .
_ . _ _ _ . .. . . _ , - ...___._.-_i
.~.
__u .__ ._1._ . _ . _
1 (1) Notify in writing the Material Transfer Safeguards Licensing Branch, U.S.
Nuclear Regulatory Commission, Washington, DC 20555; -
-^
(2) Assure that the notification will be received at least 10 days before i
l transport of the shipment commences at the shipper's facility; (3) Include.the following information in the notification:
(i) the name(s), address (es), and telephone number (s) of the shipper, receiver and carrier (s);
N '(ii) a physical description of the shipment (the elements, isotopes, form, etc.);
U (iii) a listing of the mode (s) of shipment, transfer points, and routes to be used; j (iv) the estimated time and date that shipment will commence and that each country along the route is scheduled to be entered; and ii (v) the estimated time and date of arrival of the shipment at the destination; (4) Assure that during transport outside the U.S., the shipment will be protected in accordance with Annex I to the Convention on the Physical Protection of Nuclear Material (see Appendix E of this part).
I! (b) A licensee who needs to amend a written advance notification required by paragraph (a) of this section may do so by telephoning the Material Transfer 0 Safeguards Licensing Branch at 301-427-4186.
- 14. Section 73.74 is added to read as follows:
d D 673.74 Requirement for advance notice and protection of import shipments
~!
- j of nuclear material from countries that are not party to the Convention L on the Physical Protection of Nuclear Material.
!]
i' d (a) A licensee authorized to import special nuclear material of low strategic ll
!! significance from a country not a party to the Convention on the Physical Pro-l:
taction of Nuclear Material (i.e., not listed in Appendix F of this part) shall:
i:
14 1 .. .
_____,-,[ , - __ _ . . - _ _ _ _ . _ . . . - _ _ , _ _ . - . _ . _ , , _ _ . _ _
t .
j (1) Notify in writing the Material Transfer Safeguards Licensing. Branch, U.S.
j Nuclear Regulatory Comission, Washington, DC 20555; 1
3 (2) Assure that the notification will be received at least 10 days'before
} transport of the shipment commences at the shippers facility; and (3) Include the foll'owing 'infonnation in the notification:
(1) the name(s), address (es) and telephone number (s) of the shipper, receiver and carrier (s);
(ii) a physical description of the shipment (the isotopes, enrichment, 4
.] quantity,etc.);
(iii) a listing of mode (s) of shipment, transfer points, and routes to be used;
.: and 11 (iv) the estimated time and date that shipment will commence and that each 1
country along the route is scheduled to be entered; and (v) the estimated time and date of arrival of the shipment at the destination.
. (b) A licensee who needs to amend a written advance notification required by I paragraph (a) of this section may do so by telephoning the Material Transfer J
' Safeguards Licensing Branch at 301-427-4186.
- ) (c) A licensee authorized to import from a country not a party to the Convention
[j on the Physical Protection of Nuclear Material (i.e., not listed in Appendix F of this Part) a fonnula quantity of special nuclear material, special nuclear material j of moderate strategic significance, special nuclear material of low strategic sig-nificance, or irradiated reactor fuel shall assure that during transport outside the U.S. the shipment will be protected in accordance with Annex I to the Con-l vention on the Physical Protection of Nuclear Material (see Appendix E of this part).
1 l
15
w_. .- . .. - . - .- -- _
g
- 15. A new Appendix E is added to read as follows. _ ,
I Appendix E - LEVELS OF PHYSICAL PROTECTION TO BE APPLIED IN INTERNATIONAL
[
TRAHSPORT OF NUCLEAR MATERIAL 1/
(Verbatim from Annex I 'to The Convention on the Physical Protection of Huclear Material) i (a) Levels of physical protection for nuclear naterial during storage incidental to international nuclear transport include:
(1) For Category III materials, storage within an area to which access is l
controlled; (2) For Category 11 materials, storage within an' area under constant surveil-
~
lance by guards or electronic devices, surrounded by a physical barrier with a 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 i Category II, to which, in addition, access is restricted to persons whose.
I i
i i i 1/ See Appendix C to Part 110 for the physical description of the categories J of nuclear material as set forth in Annex I to the Convention. For the i purposes of this part, the following categories of nuclear material are 1 synonymous:
3 '
Category I is a formula quantity of strategic special nuclear material; I
i Category II is special nuclear material of moderate strategic significance i or irradiated fuel; and Category III is special nuclear material of low strategic significance.
4 i
I 16 i
i
)
. ... _u . 7 _ __ __ _
I trustworthiness has been determined, and which is under surveillance by guards who are in close communication with appropriate response forces. Specific l
j measures taken in this context should have as their object the detection and I prevention of any assault, unauthorized access, or unauthorized removal of material .
2 i
(b) Levels of physical protection for nuclear material during international l
I
, transport include: ;
1 (1) For Category II and III materials, transportation shall take place under I
i special precautions including prior arrangements among sender, receiver, and 1
carrier, and prior agreement between natural or legal persons subject to the l jurisdiction and regulation of exporting and importing States, specifying time, l place and procedures for transferring transport responsibility; i
(2) For Category I materials, transportation shall take place under special
]
j precautions identified for transportation of Category II and III materials, I
l and in addition, under constant surveillance by escorts and under conditions j which assure close canmunication with appropriate response forces; i
}
1 (3) For natural uranium other than in the form of ore or ore residue, trans-i portation protection for quantities exceeding 500 kilograms U shall include j advance notification of shipment specifying mode of transport, expected time l
) of arrival and [shall provide for] confirmation of receipt of shipment.
t 17 i
--- . . . . , , + . _ . ..
, . 7 O- -
~ ~ - ~
- . _. - . _ _ _ _ . _ - _ -- i ' i . . . _ . . _ . . _ . _ _ . . - . . _ . . . . _ _ _
l i
- 16. A new Appendix F is added to read as follows: - -
j Appendix F - Nations that are Parties to the Convention on the Physical Protection of Nuclear Material 2/*
j l1 Nation Date of Deposit of Instrument of Ratification with the IAEA l f, Bulgaria May 2, 1984 j Czechoslovakia - April 23,1982 0 German Democratic Republic (E. Gennany) February 5,1981 .
Korea, Republic of April 7,1982 0
Philippines September 22, 1981 Sweden August 1, 1980 Union of Soviet Socialist Republics May 25,1983 1; United States of America December 13, 1982 PART 110 - EXPORT AND IMPORT OF NUCLEAR FACILITIES AND MATERIALS
~l-
- 17. The authority citation for Part 110 continues to read as follows:
Authority: 51, 53, 54, 57, 62, 63, 64, 65, 81, 87., 103, 104, 109, 111, 125, 127,128,129,161,181,182,183,187,189, 68 Stat. 929, 930, 931, 932, 933, 936, 937, 948, 953, 954, 955, 956, Pub. L.88-489, 78 Stat. 603-605; Pub. L.91-560, 84 Stat.1472; 70 Stat.1071, Pub. L.85-256, 71 Stat. 579; Pub. L.87-615, 76
{: Stat. 409; Pub. L.93-377, 88 Stat. 473, 475, Pub. L.95-242, 92 Stat.125,126, 131-139, 141 (42 U.S.C. 2071, 2073, 2074, 2077, 2092-2095, 2111, 2112, 2133, 2134,
^
2139, 2139a, 2141, 2154-2158, 2201, 2231-2233, 2237, 2239); Sec. 201, Pub. L. 93-6 438, 88 Stat.1242, as amended by Pub. L. 94-79, 89 Stat. 413, 414 (42 U.S.C. 5841).
!l h
2/ 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.
i Appendix F will be amended as required to maintain its currency.
4
~
- Ints table wt11 be updated just before release for publication.
t 18 Il .
, 4
_P ? f " "** " -% %=sesr?P wy e e er.=.,gm <.,.y y w . meyw % ,.w-- . , w e 9.,.
Sec.110.13 also issued under sec.122, Pub. L.83-703, 68 Stat. 9
,i 2152). Sec.110.50(b)(4) also issued under sec.123 Pub. L. 95- ~
4
' 145 (42 U.S.C. 2153). Sec.110.51 also issued under sec.184, d P
i
! Stat. 954; Pub. L.88-489, 78 Stat. 607 (42 U.S.C. 2234). Sec.110.5 l 10.80-110.113 under sec.186; Pub. L.83-703, 68 Stat. 955 (42 U.S.C. 2236). Sec.1 also issued under 5 also issued under 5 U.S.C. 552, 554. Sec.110.130-110-135 l
! .U.S.C. 553.
In 110.50, paragraph (b)(5)-is revised to read as follows:
i 18. )
9110.50 Tems.
- f' (b)
' (5) A licensee authorized to export or import nuclear mater for compliance with applicable requirements of Parts 40, 70, and ibility and unless a domestic licensee of the Commission has assumed that respons j
i the Commission has been so notified.
1 i ,
t 4
4
.I .-.
'l F
d
+
19
' * .* ~ " * * ' ' *
- w gy ....,.%,, + -
't a
SECY PAPER DISTRIBUTION MEETING POLICY ?,FFIRMATION l SECY-RULEMAKING NOTATION ADJUDICATORY NEGATIVE CONSENT Reviewed by
, INFORMATION NOTE: Classified - Palladino (1), Roberts (
, Asselstine (1), Bernthal (1), Zech (1
. CLASSIFICATION OGC (1), OIA (1), ADM (1), SECY (3)
(
CHAIRMANPALLADINO(3) EXEC DIR FOR OPERATh0NS(3) M COMMISSIONER ROBERTS (2) DEPUTY EXEC DIR FOR OPERATIONS (l) /
COMMISSIONERASSELSTINE(2) DEPUTY EXEC DIR FOR REGIONAL OPS AND GENERIC REQUIREMENTS (1) /
.;COMMISSIONERBERNTHAL(3)
ADMINISTRATION (1) (6)** b i COMMISSIONERZECH(2) RESOURCE MANAGEMENT (3) J
- GENERALCOUNSEL(5)(8) EXECLEGALDIRECTOR(2)(3)** 3 IPOLICY EVALUATION (4) NUCLEAR REACTOR REGULATION (10) [O
- 0I (2) NUC MAT' SAFETY & SAFEGUARDS (4) dO INSPECTION & ENFORCEMENT (10) /O j
[ SECRETARY (15)(30-80 FOR MEETING)
CONGRESSIONAL AFFAIRS (1) *iUCLEAR REGULATORY RESEARCH (10) /c STATE PROGRAMS (2)
N
! INSPECTOR & AUDITOR (2)
PUBLICAFFAIRS(1) INTERNATIONALPROGRAMS(2) b
.__.______________._____________________ .___________ AE00 (2) c?r-i
- REGIONAL OFFICES
- (TOC &RBRANCH,SECY) SDBU CR(1)
DOCUMENT MGMT BRANCH (2)*
KINGOFPRUSSIA(2)
ATLANTA (2)
CHICAGO (2) ACRS (16) l 4
I DALLAS (2) ASLBP(2)
SAN FRANCISCO (2) ASLAP (2)
~~-----------------~~~-~~~---~~~~-----------
NOTES:
- *0n Weekly Information Papers from ED0 Tom Rehm takes care of this.
- IF RULE MAKING TOTAL NUMBER OF COPIES:
RETURN ORIGINAL TO:
! l L._._. _ . . _ _ _ _ _ . . _ _ _ _ . . . _ . . _ _ _ _ _ _ _ _ _ _ _
t .. _- -
.