TREATIES AND OTHER INTERNATIONAL ACTS SERIES 18-905 ________________________________________________________________________

ATOMIC ENERGY Nuclear Safety Protocol Between the

UNITED STATES OF AMERICA

and CHINA

Signed at Rockville and Beijing August 15 and September 5, 2018 with Addendum

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.”

CHINA Atomic Energy: Nuclear Safety Protocol signed at Rockville and Beijing August 15 and September 5, 2018;

Entered into force September 5, 2018. With addendum.

PROTOCOL

BETWEEN

THE UNITED STATES NUCLEAR REGULATORY

COMMISSION

AND

THE NATIONAL NUCLEAR SAFETY ADMINISTRATION

OF THE PEOPLE'S REPUBLIC OF CHINA

ON COOPERATION

IN NUCLEAR SAFETY MATTERS

August 2018

PROTOCOL BETWEEN

THE UNITED STATES NUCLEAR REGULATORY COMMISSION AND

THE NATIONAL NUCLEAR SAFETY ADMINISTRATION OF THE PEOPLE'S REPUBLIC OF CHINA

ON COOPERATION IN NUCLEAR SAFETY MATTERS

The United States Nuclear Regulatory Commission (USNRC), and the National Nuclear

Safety Administration of the People's Republic of China (NNSA), hereinafter the Parties;

Having similarly cooperated under the terms of prior Protocols for the exchange of

technical information and cooperation in nuclear safety matters, most recently the Protocol

between the United States Nuclear Regulatory Commission and the National Nuclear Safety

Administration of the People's Republic of China on Cooperation in Nuclear Safety Matters,

signed on July 11, 2013;

Considering the most recent Memorandum of Further Cooperation on the Nuclear Safety

of the Westinghouse AP 1000 Nuclear Reactor between the Nuclear Regulatory Commission of

the United States of America and the National Nuclear Safety Administration of the People's

Republic of China, and the signed on March 31 , 2017;

In view of the joint cooperative efforts and results achieved by the Parties, the Parties'

reaffirmation of the importance of continued close cooperation in nuclear safety matters, and the

Parties' intent to expand significantly the scope of the existing cooperation between them;

Have agreed as follows:

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ARTICLE 1

Technical Information Exchange

To the extent that the USNRC and the NNSA are permitted to do so under the laws,

regulations, and policy directives of their respective countries, the Parties shall exchange

unclassified technical and regulatory information relating to the safety and environmental

impacts of civil nuclear installations, nuclear materials, waste management, radioactive

sources and activities on the basis of equality, reciprocity, and mutual benefit.

A The cooperation on nuclear safety regulation of civil nuclear installations and radiological

safety may include the following areas:

1. Topical reports concerning nuclear safety, radiological safety including safety for waste

management, decommissioning of nuclear power plants and management of radioactive

sources and environmental effects written by or for one of the Parties as a basis for, or in

support of, regulatory decisions and policies.

2. Documents relating to significant licensing actions and safety and environmental

decisions affecting civil nuclear facilities.

3. Detailed documents describing the USNRC process for licensing and regulating certain

U.S. facilities mutually determined to be similar to certain facilities being built or planned

in China and equivalent documents on such Chinese facilities.

4. Information in the field of reactor safety research that the Parties have the right to

disclose, either in the possession of one of the Parties or available to it, including light

water reactor safety information. Cooperation in research areas may require a separate

agreement, as determined to be necessary by the research organizations of one or both

of the Parties. Each Party shall transmit immediately to the other information concerning

research results that requires early attention in the interest of public safety, along with an

indication of significant implications.

5. Reports on operating experience, such as reports on nuclear incidents, accidents and

shutdowns, and compilations of historical reliability data on components and systems.

4

6. Regulatory procedures for nuclear safety, radiological safety including safety for waste

management, decommissioning of nuclear power plants, and management of radioactive

sources and environmental impact evaluation .

7. Early advice of important events, such as serious operating incidents, government-directed

reactor shutdowns, and emerging technical issues, that are of immediate interest to the

Parties.

B. Cooperation in Nuclear Safety Research

The terms of cooperation for joint programs and projects of nuclear safety research and

development, or those programs and projects under which activities are divided between the

two Parties, including the use of test facilities and/or computer programs owned by either

Party, shall be considered on a case-by-case basis and may be the subject of a separate

agreement, if determined to be necessary by the research organizations of one or both of the

Parties. When not the subject of a separate agreement, the terms of cooperation may be

established by an exchange of letters between the research organizations of the Parties, and

shall be subject to the terms and conditions of this Protocol.

Technical areas specified by such exchanges of letters may be modified subsequently by

mutual consent. Temporary assignments of personnel by one Party in the other Party's

Agency shall also be considered on a case-by-case basis and shall, in general, require a

separate agreement between the research organizations of the Parties.

C. Training and Assignments

Within the limits of available resources and subject to the availability of appropriated funds,

the NNSA and USNRC shall cooperate with each other in providing certain training and

experience for nuclear safety personnel. Unless otherwise agreed, costs of salary,

allowances, and travel of participants shall be paid by the sending Party. The following are

typical of, but not necessarily restricted to, the kinds of training and experience that may be

provided:

1. USNRC designated inspector accompaniment of NNSA inspectors on reactor operation and

construction inspection visits in China, including extended briefings at NNSA

headquarters and regional offices, and NNSA designated inspector accompaniment of

5

USNRC inspectors on reactor operation and construction inspection visits in the United

States, induding extended briefings at USNRC regional inspection offices.

2. Participation of nuclear safety staff in training courses sponsored by each of the Parties

(depending on availability of space).

3. Temporary assignment of experts for certain periods to be determined by the Parties to work

on staff duties of the regulatory body and gain on the job experience.

ARTICLE 2

Administration

A. The exchange of information under this Protocol shall be accomplished through letters,

reports, and other documents, and by visits and meetings arranged in advance on a

case-by-case basis. Periodic meetings shall be held at such times as mutually agreed to

review the exchange of information and cooperation under this Protocol, to recommend

revisions to the provisions of this Protocol, and to discuss topics coming within the scope of

the cooperation. The time, place, and agenda for such meetings shall be agreed upon in

advance. The terms of the visits which take place under this Protocol, including their

schedules, shall have the prior approval of the administrators referred to in Article 2.8.

8. An administrator shall be designated by each Party to coordinate its participation in the overall

exchange under this Protocol. The administrators shall be the recipients of all documents

transmitted under the exchange, including copies of all letters unless otherwise agreed.

Within the terms of the exchange, the administrators shall be responsible for developing the

scope of the exchange, including agreement on the designation of the nuclear energy

facilities subject to the exchange, and on specific documents and standards to be

exchanged. One or more technical coordinators may be appointed as direct contacts for

specific disciplinary areas. These technical coordinators shall ensure that both

administrators receive copies of all transmittals . These detailed arrangements are intended

to ensure that a reasonably balanced exchange giving access to equivalent available

information is achieved and maintained.

C. The administrators shall determine the number of copies to be provided of the documents

exchanged . Each document shall be accompanied by an abstract in English, 250 words or

less, describing its scope and content.

6

D. The application or use of any information exchanged or transferred between the Parties

under this Protocol shall be the responsibility of the receiving Party, and the transmitting

Party does not warrant the suitability of such information for any particular use or application.

E. Recognizing that some information of the type covered in this Protocol is not available within the

agencies that are Parties to this Protocol, but is available from other agencies of the

governments of the Parties, each Party shall assist the other to the maximum extent possible by

organizing visits and directing inquiries concerning such information to appropriate agencies of

the government concerned. The foregoing shall not constitute a commitment of other agencies

to furnish such information or to receive such visitors.

ARTICLE 3

Information Exchange and Use

Exchanges of information and technology undertaken in connection with these cooperative efforts

shall be limited to those which are useful in the development of a nuclear safety regulatory

program. Neither Party shall be required to take any action under this Protocol which would be

inconsistent with that Party's applicable domestic laws and regulations. No nuclear information

related t~ sensitive nuclear technologies shall be exchanged. The exchange and use of

information under this Protocol shall be governed by the terms specified in Addendum A,

"Exchange and Use of Information," attached hereto and made an integral part of this Protocol.

ARTICLE 4

Dissemination of Information and Intellectual Property Rights

The Parties support the widest possible dissemination of information provided or exchanged

under this Protocol, subject to the requirements of each Party's national laws, regulations and

policies and the need to protect proprietary and other confidential or privileged information. The

treatment of intellectual property created or furnished in the course of activities under this

Protocol shall be governed by the Intellectual Property Rights Annex to the Agreement between

the Government of the United States of America and the Government of the People's Republic of

China on Cooperation in Science and Technology, signed at Washington on January 31, 1979,

as amended and extended, or a successor agreement thereto.

7

ARTICLE 5

Implementation of this Protocol shall be subject to the availability of appropriated funds and the

budgetary approval of each Party. The payment of costs shall be decided by mutual written

agreement on a case-by-case basis.

ARTICLE 6

Cooperation under this Protocol shall be in accordance with the laws and regulations of the

Parties. Any dispute or questions between the Parties concerning the interpretation or

application of this Protocol shall be settled by mutual agreement of the Parties.

ARTICLE 7

The application or use of any information exchanged or transferred between the Parties under

this Protocol shall be the responsibility of the receiving Party, and the transmitting Party does not

warrant the suitability of such information for any particular use or application.

ARTICLE 8

A. This Protocol shall enter into force upon the final signature and, subject to paragraph B of this

Article, shall remain in force for a period of five years. It may be extended for a further

period of time by written agreement of the Parties.

B. Either Party may terminate this Protocol by providing the other Party written notice at least

180 days prior to its intended date of termination.

8

DONE in duplicate, in the English and Chinese languages, both texts being equally authentic.

FORTHEUNITED STATES

NUCLEAR REGULATORY COMMISSION:

Krisb vinicki

Chairman

Date: /S'At11,t1tr l121f Place: Rockville, Maryland

United .States of America

FOR THE NATIONAL NUCLEAR SAFETY

ADMINISTRATION OF

THE PEOPLE'S REPUBLIC OF CHINA:

LIU Hua

Administrator

Date: rs,,t. 20/8

Place: Beijing

People's Republic of China

ADDENDUM A EXCHANGE AND USE OF INFORMATION

Pursuant to Article 3 of this Protocol:

A. Definitions

For the purposes of this Protocol and this Addendum A:

1. The term "information" means unclassified nuclear energy-related regulatory, safety, radioactive waste management, scientific or technical data, including information on results or methods of assessment, research, and any other knowledge provided, created, or exchanged under this Protocol.

2. The term "proprietary information" means information made available under this Protocol that contains trade secrets or other privileged or confidential commercial information (such that the person having the information may derive a commercial benefit from it or may have a commercial advantage over those who do not have it), and may only include information that:

a. has been held in confidence by its owner; b. has not been transmitted by the owner to other entities (including the receiving

Party), except on the basis that it be held in confidence; c. is not otherwise available to the receiving Party from another source without

restriction on its further dissemination; and d. is not already in the possession of the receiving Party.

3. The term "other confidential or privileged information" means unclassified information, other than "proprietary information," that has been transmitted and received in confidence under this Protocol and is protected from public disclosure under the laws, regulations, or policies of the country of the Party providing the information, or is otherwise restricted by the provider.

B. Marking Procedures for Documentary Proprietary Information

A Party receiving documentary proprietary information pursuant to this Protocol shall respect the privileged nature thereof, provided such proprietary information is clearly marked with the following (or substantially similar) restrictive legend:

This document contains proprietary information furnished in confidence under a Protocol dated 2018 between the United States Nuclear Regulatory Commission and the National Nuclear Safety Administration of the People's Republic of China and shall not be disseminated outside these organizations, their consultants, contractors and licensees, and concerned departments and agencies of the Government of the United States of America and the Government of the People's Republic of China without the prior approval of the transmitting Party. This notice shall be marked on each page of any reproduction hereof, in whole or in

part. These limitations shall automatically terminate when this information is disclosed by the owner without restrictions.

This restrictive legend shall be respected by the Parties to this Protocol. Proprietary information bearing this restrictive legend shall not be made public or otherwise disseminated in any manner unspecified or contrary to the terms of this Protocol without prior written consent of the transmitting Party. Proprietary information bearing this restrictive legend shall not be used by the receiving Party or its contractors and consultants for any commercial purposes without the prior written consent of the transmitting Party.

C. Dissemination of Documentary Proprietary Information

1. In general, proprietary information received under this Protocol may be disseminated by the receiving Party without prior consent to persons within or employed by the receiving Party, and to concerned government departments and government agencies in the country of the receiving Party, provided: a. such dissemination is made on a case-by-case basis to persons or departments and

agencies having a need for the proprietary information; and b. such proprietary information shall bear the restrictive legend appearing in Section B of this

Addendum.

2. Proprietary information received under this Protocol may be disseminated by the receiving Party without prior consent of the transmitting party to contractors and consultants of the receiving Party located within the geographical limits of that Party's territory, provided a. that the proprietary information is used by such contractors and consultants only for

work within the scope of their contracts with the receiving Party relating to the subject matter of the proprietary information, and shall not be used by such contractors and consultants for any other private commercial purposes;

b. that such dissemination is made on a case-by-case basis to contractors and consultants having a need for the proprietary information and who have executed a non-disclosure agreement; and

c. that such proprietary information shall bear the restrictive legend appearing in Section B of this Addendum.

3. With the prior written consent of the Party furnishing proprietary information under this Protocol, the receiving Party may disseminate such proprietary information more widely than otherwise permitted under the terms set forth in this Protocol. The Parties shall endeavor to grant such approval to the extent permitted by their respective national laws, regulations and policies, provided: a. that the entities receiving proprietary information under Section C.3 of this

Addendum, including domestic organizations permitted or licensed by the receiving Party to construct or operate nuclear production or utilization facilities, or to use

nuclear materials and radiation sources, have a need for the proprietary information and have executed a non-disclosure agreement;

b. that the entities receiving proprietary information under Section C. 3 of this Addendum, including domestic organizations permitted or licensed by the receiving Party to construct or operate nuclear production or utilization facilities, shall not use such proprietary information for any private commercial purposes; and

c. that those entities receiving proprietary information under Section C. 3 of this Addendum, that are domestic organizations permitted or licensed by the receiving Party, agree to use the proprietary information only for activities carried out under or within the terms of their specific permit or license.

D. Marking Procedures for Other Confidential -or Privileged Information of a Documentary Nature

A Party receiving under this Protocol other confidential or privileged information shall respect its confidential nature, provided such information is clearly marked so as to indicate its confidential or privileged nature and is accompanied by a statement indicating: 1 . that the information is protected from public disclosure by the government of the

transmitting Party, and 2. that the information is transmitted under the condition that it be maintained in confidence.

E. Dissemination of Other Confidential or Privileged Information of a Documentary Nature

Other confidential or privileged information may be disseminated in the same manner as that set forth in Section C. of this Addendum, "Dissemination of Documentary Proprietary Information."

F. Non-Documentary Proprietary or Other Confidential or Privileged Information

Non-documentary proprietary or other confidential or privileged information provided in seminars and other meetings arranged under this Protocol, or information arising from assignments of staff, use of facilities, or joint projects, shall be treated by the Parties according to the principles specified for documentary information in this Protocol; provided, however, that the Party communicating such proprietary or other confidential or privileged information has placed the recipient on notice as to the character of the information communicated.

G. Consultation

If, for any reason, one of the Parties becomes aware that it will be, or may reasonably be expected to become, unable to meet the non-dissemination provisions of this Addendum, it shall immediately inform the other Party. The Parties shall thereafter consult to define an appropriate course of action.

H. Other

Nothing contained in this Protocol shall preclude a Party from using or disseminating information received without restriction by a Party from sources outside of this Protocol.

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