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12950 Ukraine - Agreement for Cooperation Concerning Peaceful Uses of Nuclear Energy


   
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TREATIES AND OTHER INTERNATIONAL ACTS SERIES 12950

 

 

ATOMIC ENERGY

Peaceful Uses of Nuclear Energy

 

 


Agreement Between the
UNITED STATES OF AMERICA
and UKRAINE

 

Signed at Kiev May 6, 1998

with

Annex and Agreed Minute

 

 

 


 

NOTE BY THE DEPARTMENT OF STATE

Pursuant to Public Law 89—497, approved July 8, 1966
(80 Stat. 271; 1 U.S.C. 113)—

“. . .the Treaties and Other International Acts Series issued
under the authority of the Secretary of State shall be competent
evidence . . . of the treaties, international agreements other than
treaties, and proclamations by the President of such treaties and
international agreements other than treaties, as the case may be,
therein contained, in all the courts of law and equity and of maritime
jurisdiction, and in all the tribunals and public offices of the
United States, and of the several States, without any further proof
or authentication thereof.”

 

UKRAINE

Atomic Energy: Peaceful Uses of Nuclear Energy

Agreement signed at Kiev May 6, 1998;
Entered into force May 28, 1999.
With annex and agreed minute.


AGREEMENT FOR COOPERATION BETWEEN
THE UNITED STATES OF AMERICA
AND UKRAINE
CONCERNING PEACEFUL USES OF NUCLEAR ENERGY
The Government of the United States of America and the
Government of Ukraine;
Reaffirming their support for strengthening nuclear non-
proliferation measures worldwide;
Mindful of their respective obligations under the Treaty on
the Non-Proliferation of Nuclear Weapons ("NPT") to which
both the United States of America and Ukraine are parties;
Reaffirming their intention to work closely together and
with other states to urge universal adherence to the NPT
and full realization of the purposes of the preamble and of
all the provisions of the Treaty;
Reaffirming their commitment to ensuring that the
international development and use of nuclear energy for
peaceful purposes are carried out under arrangements that
will to the maximum possible extent further the objectives
of the NPT;
Affirming their support of the objectives of the
International Atomic Energy Agency ("IAEA");
2
Recognizing the indispensable role of the safeguards system
of the IAEA in the maintenance of an effective non-
proliferation regime;
Confirming their commitment to the strengthening of IAEA
safeguards, including their readiness to take such steps as
are necessary to allow the Agency to apply safeguards
effectively and efficiently and to attain its inspection
goal at facilities in their respective jurisdictions;
Recognizing that they have decided to act in accordance
with the principles contained in the Guidelines for Nuclear
Transfers of the Nuclear Suppliers Group;
Stressing the importance of Nuclear Suppliers Group
principles on full-scope IAEA safeguards as a condition of
transfer to non-nuclear weapon states; on the control of
dual-use items; and on the exercise of restraint in the
export of sensitive items;
Recognizing the importance of maintaining effective nuclear
material control and accountancy and physical protection in
accordance with international standards;
Desiring to cooperate in the development, use and control
of peaceful uses of nuclear energy; and
3
Mindful that peaceful nuclear activities must be undertaken
with a view to protecting the international environment
from radioactive, chemical and thermal contamination;
Have agreed as follows:
ARTICLE 1 - DEFINITIONS
For the purposes of this agreement:
(A) "Byproduct material" means any radioactive material
(except special nuclear material) yielded in or made
radioactive by exposure to the radiation incident to the
process of producing or utilizing special nuclear material;
(B) "Component" means a component part of equipment or
other item, so designated by agreement of the parties;
(C) "Conversion" means any of the normal operations in the
nuclear fuel cycle, preceding fuel fabrication and
excluding enrichment, by which uranium is transformed from
one chemical form to another -- for example, from UF6 to
U02 or from uranium oxide to metal;
(D) "Decommissioning" means the actions taken at the end of
a facility's useful life to retire the facility from
service in a manner that provides adequate protection for
the health and safety of the decommissioning workers and
4
the general public, and for the environment. These actions
can range from closing down the facility and a minimal
removal of nuclear material coupled with continuing
maintenance and surveillance, to a complete removal of
residual radioactivity in excess of levels acceptable for
unrestricted use of the facility and its site;
(E) "Equipment" means any reactor, other than one designed
or used primarily for the formation of plutonium or uranium
233, or any other item so designated by agreement of the
parties;
(F) "High enriched uranium" means uranium enriched to
twenty percent or greater in the isotope 235;
(G) "Low enriched uranium" means uranium enriched to less
than twenty percent in the isotope 235;
(H) "Major critical component" means any part or group of
parts essential to the operation of a sensitive nuclear
facility;
(I) "Material" means source material, special nuclear
material, byproduct material, radioisotopes other than
byproduct material, moderator material, or any other such
substance so designated by agreement of the parties;
5
(J) "Moderator material" means heavy water or graphite or
beryllium of a purity suitable for use in a reactor to slow
down high velocity neutrons and increase the likelihood of
further fission, or any other such material so designated
by agreement of the parties;
(K) "Parties" means the Government of the United States of
America and the Government of Ukraine;
(L) "Peaceful purposes" include the use of information,
material, equipment and components in such fields as
research, power generation, medicine, agriculture and
industry but do not include use in, research on, or
development of any nuclear explosive device, or any
military purpose;
(M) "Person" means any individual or any entity subject to
the jurisdiction of either party but does not include the
parties to this agreement;
(N) "Reactor" means any apparatus, other than a nuclear
weapon or other nuclear explosive device, in which a self-
sustaining fission chain reaction is maintained by
utilizing uranium, plutonium or thorium or any combination
thereof;
(O) "Restricted data" means all data concerning (1) design,
manufacture or utilization of nuclear weapons, (2) the
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production of special nuclear material, or (3) the use of
special nuclear material in the production of energy, but
shall not include data of a party which it has declassified
or removed from the category of restricted data;
(P) "Sensitive nuclear facility" means any facility
designed or used primarily for uranium enrichment,
reprocessing of nuclear fuel, heavy water production, or
fabrication of nuclear fuel containing plutonium;
(Q) "Sensitive nuclear technology" means any information
(including information incorporated in equipment or an
important component) which is not in the public domain and
which is important to the design, construction,
fabrication, operation or maintenance of any sensitive
nuclear facility, or other such information which may be so
designated by agreement of the parties;
(R) "Source material" means (1) natural uranium, depleted
uranium, thorium, or any other material so designated by
agreement of the parties, or (2) ores containing one or
more of the foregoing materials in such concentration as
the parties may agree from time to time;
(S) "Special nuclear material" means (1) plutonium, uranium
233, or uranium enriched in the isotope 235, or (2) any
other material so designated by agreement of the parties.
7
ARTICLE 2 - SCOPE OF COOPERATION
1. The parties shall cooperate in the use of nuclear
energy for peaceful purposes in accordance with the
provisions of this agreement and their applicable treaties,
national laws, regulations and license requirements.
2. Transfer of information, material, equipment and
components under this agreement may be undertaken directly
between the parties or through authorized persons. Such
transfers shall be subject to this agreement and to such
additional terms and conditions as may be agreed by the
parties.
ARTICLE 3 - TRANSFER OF INFORMATION
1. Information concerning the use of nuclear energy for
peaceful purposes may be transferred. Transfers of
information may be accomplished through various means,
including reports, data banks, computer programs,
conferences, visits, and assignments of staff to
facilities. Fields which may be covered include, but shall
not be limited to, the following:
(A) Development, design, construction, operation,
maintenance and use of reactors, reactor experiments, and
decommissioning;
8
(B) The use of material in physical and biological
research, medicine, agriculture and industry;
(C) Fuel cycle studies of ways to meet future world-wide
civil nuclear needs, including multilateral approaches to
guaranteeing nuclear fuel supply and appropriate techniques
for management of nuclear wastes;
(D) Safeguards and physical protection of materials,
equipment, and components;
(E) Health, safety and environmental considerations related
to the foregoing; and
(F) Assessing the role nuclear power may play in national
energy plans.
2. This agreement does not require the transfer of any
information which the parties are not permitted under their
respective treaties, national laws, and regulations to
transfer.
3. Restricted data shall not be transferred under this
agreement.
4. Sensitive nuclear technology shall not be transferred
under this agreement unless provided for by an amendment to
this agreement.
9
ARTICLE 4 - TRANSFER OF MATERIAL, EQUIPMENT AND COMPONENTS
1. Material, equipment and components may be transferred
for applications consistent with this agreement. Any
special nuclear material transferred to Ukraine under this
agreement shall be low enriched uranium, except as provided
in paragraph 4. Sensitive nuclear facilities and major
critical components thereof shall not be transferred under
this agreement, unless provided for by an amendment to this
agreement.
2. Low enriched uranium may be transferred for use as fuel
in reactor experiments and in reactors, for conversion or
fabrication, or for such other purposes as may be agreed by
the parties.
3. The quantity of special nuclear material transferred
under this agreement shall not at any time be in excess of
that quantity the parties agree is necessary for any of the
following purposes: use in reactor experiments or the
loading of reactors, the efficient and continuous conduct
of such reactor experiments or operation of reactors, and
the accomplishment of other purposes as may be agreed by
the parties.
4. Small quantities of special nuclear material may be
transferred for use as samples, standards, detectors,
10
targets and for such other purposes as the parties may
agree. Transfers pursuant to this paragraph shall not be
subject to the quantity limitations in paragraph 3.
5. The United States of America shall endeavor to take
such actions as are necessary and feasible to ensure a
reliable supply of nuclear fuel to Ukraine, including the
export of nuclear material on a timely basis and the
availability of the capacity to carry out this undertaking
during the period of this agreement.
ARTICLE 5 - STORAGE AND RETRANSFERS
1. Plutonium and uranium 233 (except as contained in
irradiated fuel elements), and high enriched uranium,
transferred pursuant to this agreement or used in or
produced through the use of material or equipment so
transferred shall only be stored in a facility to which the
parties agree.
2. Material, equipment and components transferred pursuant
to this agreement and any special nuclear material produced
through the use of any such material or equipment shall not
be transferred to unauthorized persons or, unless the
parties agree, beyond the recipient party's territorial
jurisdiction.
11
ARTICLE 6 - REPROCESSING AND ENRICHMENT
1. Material transferred pursuant to this agreement and
material used in or produced through the use of material or
equipment so transferred shall not be reprocessed unless
the parties agree.
2. Plutonium, uranium 233, high enriched uranium and
irradiated source or special nuclear material, transferred
pursuant to this agreement or used in or produced through
the use of material or equipment so transferred, shall not
be altered in form or content, except by irradiation or
further irradiation, unless the parties agree.
3. Uranium transferred pursuant to this agreement or used
in any equipment so transferred shall not be enriched after
transfer unless the parties agree.
ARTICLE 7 - PHYSICAL PROTECTION
1. Adequate physical protection shall be maintained with
respect to source or special nuclear material and equipment
transferred pursuant to this agreement and special nuclear
material used in or produced through the use of material or
equipment so transferred.
12
2. The parties agree to the levels for the application of
physical protection set forth in the Annex to this
agreement, which may be modified by mutual consent of the
parties without amending this agreement. The parties shall
maintain adequate physical protection measures in
accordance with these levels. These measures shall as a
minimum provide protection comparable to the
recommendations set forth in the current version, as agreed
to by the parties, of IAEA Document INFCIRC/225.
3. The adequacy of physical protection measures maintained
pursuant to this article shall be subject to review and
consultations by the parties from time to time and whenever
either party is of the view that revised measures may be
required to maintain adequate physical protection.
4. The parties will keep each other informed through
diplomatic channels of those agencies or authorities having
responsibility for ensuring that levels of physical
protection for nuclear material in their territory or under
their jurisdiction or control are adequately met and having
responsibility for coordinating response and recovery
operations in the event of unauthorized use or handling of
material subject to this article. The parties will inform
each other through diplomatic channels, as well, of the
designated points of contact within their national
authorities to cooperate on matters of out-of-country
transportation and other matters of mutual concern.
13
5. The provisions of this article shall be implemented in
such a manner as to avoid undue interference in the
parties' nuclear activities and so as to be consistent with
prudent management practices required for the economic and
safe conduct of their nuclear programs.
ARTICLE 8 - NO EXPLOSIVE OR MILITARY APPLICATION
Material, equipment and components transferred pursuant to
this agreement and material used in or produced through the
use of any material, equipment or components so transferred
shall not be used for any nuclear explosive device, for
research on or development of any nuclear explosive device,
or for any military purpose.
ARTICLE 9 - SAFEGUARDS
1. Cooperation under this agreement shall require the
application of IAEA safeguards with respect to all nuclear
activities within the territory of Ukraine, under its
jurisdiction or carried out under its control anywhere.
Implementation of a Safeguards Agreement pursuant to
Article III (4) of the NPT shall be considered to fulfill
this requirement.
2. Source or special nuclear material transferred to
Ukraine pursuant to this agreement and any source or
14
special nuclear material used in or produced through the
use of material, equipment or components so transferred
shall be subject to safeguards in accordance with the
agreement between Ukraine and the IAEA for the
application of safeguards in connection with the NPT,
signed on September 21, 1995 and entered into force on
January 22, 1998.
3. Source or special nuclear material transferred to the
United States of America pursuant to this agreement and any
source or special nuclear material used in or produced
through the use of any material, equipment or components so
transferred shall be subject to the agreement between the
United States of America and the IAEA for the
application of safeguards in the United States of America,
done at Vienna November 18, 1977, entered into force on
December 9, 1980.
4. If either party becomes aware of circumstances which
demonstrate that the IAEA for any reason is not or will not
be applying safeguards in accordance with the agreement as
provided for in paragraph 2 or paragraph 3, to ensure
effective continuity of safeguards the parties shall
consult and immediately enter into arrangements with the
IAEA or between themselves which conform with IAEA
safeguards principles and procedures, which provide
assurance equivalent to that intended to be secured by the
15
system they replace, and which conform with the coverage
required by paragraph 2 or paragraph 3.
5. Each party shall take such measures as are necessary to
maintain and facilitate the application of safeguards
provided for under this article.
6. Each party shall establish and maintain a system of
accounting for and control of source and special nuclear
material transferred pursuant to this agreement and source
and special nuclear material used in or produced through
the use of any material, equipment or components so
transferred. The procedures for this system shall be
comparable to those set forth in IAEA document INFCIRC/153
(corrected), or in any revision of that document agreed to
by the parties.
7. Upon the request of either party, the other party shall
report or permit the IAEA to report to the requesting party
on the status of all inventories of material subject to
this agreement.
8. The provisions of this article shall be implemented in
such a manner as to avoid hampering, delay or undue
interference in the parties' nuclear activities and so as
to be consistent with prudent management practices required
for the economic and safe conduct of their nuclear
programs.
16
ARTICLE 10 - MULTIPLE SUPPLIER CONTROLS
If any agreement between either party and another nation or
group of nations provides such other nation or group of
nations rights equivalent to any or all of those set forth
under Article 5 or 6 with respect to material, equipment or
components subject to this agreement, the parties may, upon
request of either of them, agree that the implementation of
any such rights will be accomplished by such other nation
or group of nations.
ARTICLE 11 - CESSATION OF COOPERATION
1. If either party at any time following entry into force
of this agreement:
(A) does not comply with the provisions of Article 5, 6, 7,
8, or 9; or
(B) terminates, abrogates or materially violates a
safeguards agreement with the IAEA;
the other party shall have the rights to cease further
cooperation under this agreement and to require the return
of any material, equipment and components transferred under
17
this agreement and any special nuclear material produced
through their use.
2. If Ukraine at any time following entry into force of
this agreement detonates a nuclear explosive device, the
United States of America shall have the same rights as
specified in paragraph 1.
3. If either party exercises its rights under this Article
to require the return of any material, equipment or
components, it shall, after removal from the territory of
the other party, reimburse the other party for the fair
market value of such material, equipment or components.
ARTICLE 12 - CONSULTATIONS AND ENVIRONMENTAL PROTECTION
1. The parties undertake to consult at the request of
either party regarding the implementation of this agreement
and the development of further cooperation in the field of
peaceful uses of nuclear energy.
2. The parties shall consult, with regard to activities
under this agreement, to identify the international
environmental implications arising from such activities and
shall cooperate in protecting the international environment
from radioactive, chemical or thermal contamination arising
from peaceful nuclear activities under this agreement and
in related matters of health and safety.
18
ARTICLE 13 - SETTLEMENT OF DISPUTES
Any dispute concerning the interpretation or implementation
of the provisions of this agreement shall be promptly
negotiated by the parties with a view to resolving that
dispute.
ARTICLE 14 - ENTRY INTO FORCE AND DURATION
1. This agreement shall enter into force on the date on
which the parties exchange diplomatic notes informing each
other that they have completed all applicable requirements
for its entry into force.
2. This agreement shall remain in force for a period of 30
years. This term may be extended for such additional
periods as may be agreed between the parties in accordance
with their applicable requirements. The agreement may be
terminated at any time by either party on one year's
written notice to the other party.
3. Notwithstanding the termination or expiration of this
agreement or any cessation of cooperation hereunder for any
reason, Articles 5, 6, 7, 9, 9, and 11 shall continue in
effect so long as any material, equipment or components
subject to these articles remains in the territory of the
party concerned or under its jurisdiction or control
19
anywhere, or until such time as the parties agree that such
material, equipment or components are no longer usable for
any nuclear activity relevant from the point of view of
safeguards.
IN WITNESS WHEREOF the undersigned, being duly authorized,
have signed this Agreement.
DONE at Kiev
, this 6th day of May 1998,
in duplicate, in the English and Ukrainian languages, both
texts being equally authentic.
FOR THE GOVERNMENT OF THE FOR THE GOVERNMENT OF
UNITED STATES OF AMERICA: UKRAINE:
ANNEX
Pursuant to paragraph 2 of Article 7, the agreed levels of
physical protection to be ensured by the competent national
authorities in the use, storage and transportation of the
materials listed in the attached table shall as a minimum
include protection characteristics as below:
Category III
Use and storage within an area to which access is
controlled.
Transportation under special precautions including prior
arrangements among sender, recipient and carrier, and prior
agreement between entities subject to the jurisdiction and
regulation of supplier and recipient states, respectively,
in case of international transport specifying time, place
and procedures for transferring transport responsibility.
Category II
Use and storage within a protected area to which access is
controlled, i.e., an area under constant surveillance 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.
2
Transportation under special precautions including prior
arrangements among sender, recipient and carrier, and prior
agreement between entities subject to the jurisdiction and
regulation of supplier and recipient states, respectively,
in case of international transport, specifying time, place
and procedures for transferring transport responsibility.
Category I
Material in this category shall be protected with highly
reliable systems against unauthorized use as follows:
Use and storage within a highly protected area, i.e., a
protected area 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 communication with
appropriate response forces. Specific measures taken in
this context should have as their objective the detection
and prevention of any assault, unauthorized access or
unauthorized removal of material.
Transportation under special precautions as identified
above for transportation of categories II and III materials
and, in addition, under constant surveillance by escorts
and under conditions which assure close communication with
appropriate response forces.
TABLE: CATEGORIZATION OF NUCLEAR MATERIAL
Material Form Category I Category II Category IIIc
1. Plutoniuma Unirradiatedb 2 kg or more Less than 2 kg but more than 500 g or less but more than
500 g 15 g
2. Uranium-235 Unirradiatedb
- uranium enriched to 20% 5 kg or more Less than 5 kg but more than 1 kg or less but more than
235u or more 1 kg 15 g
- uranium enriched to 10% 10 kg or more Less than 10 kg but more
235U but less than 20% 235U than 1 kg
- uranium enriched above 10 kg or more
natural, but less than 10%
235U
3. Uranium-233 Unirradiatedba 2 kg or more Less than 2 kg but more than 500 g or less but more than
500 g 15 g
4. Irradiated Fuel Depleted or natural uranium,
(The categorization of thorium or low enriched fuel
irradiated fuel in the table (less than 10% fissile
is based on international content)d/d
transport considerations.
The State may assign a •
different category for
domestic use, storage, and
transport taking all
relevant factors into
account.)
a All plutonium except that with isotopic concentration exceeding 80% in plutonium-238.
b Material not irradiated in a reactor or material irradiated in a reactor but with a radiation level equal to or less than 1 Gy/hr (100 rads/hr) at one meter
unshielded.
c Quantities not falling in Category III and natural uranium, depleted uranium and thorium should be protected at least in accordance with prudent management
practice.
d Although this level of protection is recommended, it would be open to States, upon evaluation of the specific circumstances, to assign a different category of
physical protection.
e Other fuel which by virtue of its original fissile material content is classified as Category I or II before irradiation may be reduced one category level while .
the radiation level from the fuel exceeds 1 Gy/hr (100 rads/hr) at one meter unshielded.
AGREED MINUTE
During the negotiation of the Agreement for Cooperation
Between the United States of America and Ukraine Concerning
Peaceful Uses of Nuclear Energy ("the Agreement") signed
today, the following understandings, which shall be an
integral part of the Agreement, were reached.
Coverage of Agreement
Material, equipment and components transferred from the
territory of one party to the territory of the other party,
whether directly or through a third country, will be
regarded as having been transferred pursuant to the
Agreement only upon confirmation, by the appropriate
government authority of the recipient party to the
appropriate government authority of the supplier party,
that such material, equipment or components will be subject
to the Agreement.
For the purposes of implementing the rights specified in
Articles 5 and 6 with respect to special nuclear material
produced through the use of nuclear material transferred
pursuant to the Agreement and not used in or produced
through the use of equipment transferred pursuant to the
2
Agreement, such rights shall in practice be applied to that
proportion of special nuclear material produced which
represents the ratio of transferred material used in the
production of the special nuclear material to the total
amount of material so used, and similarly for subsequent
generations.
Safeguards
If either party becomes aware of circumstances referred to
in paragraph 4 of Article 9, either party shall have the
rights listed below, which rights shall be suspended if
both parties agree that the need to exercise such rights is
being satisfied by the application of IAEA safeguards under
arrangements pursuant to paragraph 4 of Article 9:
(1) To review in a timely fashion the design of any
equipment transferred pursuant to the Agreement, or of any
facility which is to use, fabricate, process, or store any
material so transferred or any special nuclear material
used in or produced through the use of such material or
equipment;
(2) To require the maintenance and production of records
and of relevant reports for the purpose of assisting in
ensuring accountability for material transferred pursuant
to the Agreement and any source material or special nuclear
3
material used in or produced through the use of any
material, equipment or components so transferred; and
(3) To designate personnel, in consultation with the other
party, who shall have access to all places and data
necessary to account for the material in paragraph 2, to
inspect any equipment or facility referred to in
paragraph 1, and to install any devices and make such
independent measurements as may be deemed necessary to
account for such material. Such personnel shall, if either
party so requests, be accompanied by personnel designated
by the other party.
FOR THE GOVERNMENT OF THE
UNITED STATES OF AMERICA:
FOR THE GOVERNMENT OF
UKRAINE:



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